Home > Sponsored Project Administration
Defines allowable and unallowable costs on grants and contracts, and how to determine F&A, or indirect costs
Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals and Other Nonprofit Organizations
Defines the general, pre-award, post-award and after-the-award requirements for the management of grants and contracts
Audits of Institutions of Higher Education and Other Nonprofit Institutions
Specifies audit
requirements for organizations, and defines the federal responsibilities
for implementing and monitoring those requirements.
Established to codify
the uniform policies for the acquisition of supplies and services by
executive agencies, normally applied to Requests for Proposals and Federal
Contracts
The Implementation of the
laws passed by congress; A listing of the general and permanent rules
published in the Federal Register by the Executive departments and agencies
of the Federal Government, covering such subjects as the protection
of human subjects, Patents, and Inventions
Cost sharing/matching represents
costs of carrying out a project not charged to the project/award.
Types of cost sharing:
General Rules/Guidelines:
Includes costs such as:
Indirect costs are charged
by multiplying a defined based of expenditures by a rate
Budgeting should reflect program needs within confines of agency policy
Rebudgeting occurs when spending differs from budget
(http://admin-www.uchicago.edu/AdminCompt/CostTran/contents.html)
Terms and conditions outline
programmatic, financial and other required reporting
2. Financial Reporting
(see http://ap-www.uchicago.edu/UCPOL/UCPOLidx.html)
(http://www-uccomp/adminres/armenus/announce.html)
Academic fraud--a deliberate
effort to deceive, including plagiarism, fabrication of data, misrepresentation
of historical sources, tampering with evidence, selective suppression
of unwanted or unacceptable results, and theft of ideas.
Advance
account-- an account that is set up in the University's accounting
system (FAS) prior to the award documents being received from the funding
agency. An advance account is open as of the beginning date of the anticipated
award period.
Allowable overdraft--the
University has agreed to extend credit to the investigators in certain
circumstances when the award has been fully spent or before new or renewed
budget authority has been received. Specific procedures must be followed
in order for any overdraft to be considered allowable.
Amendment--any change
to a contractual agreement needing official signature.
Authorized signature--the
signature of a University official who is designated to give assurances,
make commitments, and execute such documents on behalf of the University
of Chicago as may be required by federal and state agencies and other
organizations which provide financial assistance to the University;
the signature of an authorized official certifies that commitments made
on grant proposals or contract agreements can be honored; and ensures
that all sponsored agreements conform to federal regulations, agency
guidelines, and University policies.
Biological Sciences Division
/Office of Research Services (BSD/ORS)--Office designated by the
Dean of the Division of Biological Sciences to review and provide divisional
approval for all proposals to Federal and other external sponsors
(excluding gifts) assuring compliance with divisional policies.
Office oversees regulatory compliance for institutional animal care
and use committee, BSD-institutional review board, human use of
radioisotopes and radioactive drug research committee, institutional
biosafety committee. Director of ORS has been delegated signature
authority for University approval of certain NIH and several nonfederal
proposals
Budget--the amount of
spending authority awarded by outside funding sources that the University
has a legal claim to collect.
Clinical trial-- an
agreement to test drugs, devices, or other controlled substances for
FDA approval or for-profit corporations. A clinical study involves the
use of humans; a pre-clinical study may involve animal subjects. The
clinical study indirect cost rate of 20% TDC applies only to studies
involving humans. See Guideline 302, "Negotiating Non-Federal Contracts,"
attached Memorandum of Agreement for Clinical Studies, 302A
Conflict of Interest--When
an individual's personal or private interests might lead an
independent observer to reasonably question whether the individual's
professional actions or decisions are determined by considerations of
significant personal interest, financial or otherwise. For purposes
of federal regulations and this policy, a conflict of interest exists
when a significant financial interest could directly and significantly
affect the design, conduct or reporting of a sponsored project.
Continuing or continuation support--on-going support provided by an agency that has been awarded for more than one funding period. A continuation proposal is normally submitted at the end of each budget period in order to receive the next increment of funding. Continuation proposals may be competing (i.e., they are placed in competition with other proposals for funding) or non-competing (they may be referred to as renewal
proposals)
Contract--a written, legal agreement between an institution and an awarding agency normally involving the expectation of an economic benefit on the part of the contractor and the generation of a tangible product, service, or other consideration in return for sponsored support. These might include testing or evaluation of proprietary products, development or construction of equipment, rights to data, patents, copyrights, technical reports or evaluation, consulting services. This definition is taken from a memorandum dated June 16, 1983 from Alexander Sharp, Vice President for Business
and Finance, entitled "Definitions
of Gifts, Grants, and Contracts."
Cost sharing--a requirement
of some funding agencies that an institution share in the costs of a
project. Funding for these costs may come from another source, from
the University's own funds, or from a reduced indirect cost rate. Personnel
effort on a project without salary recovery may be considered cost sharing.
Dean--A University official
with managerial and fiscal responsibilities; each school, division,
or college is administered by a dean under the supervision of the Provost
of the University.
Department Head--A University
official with managerial and fiscal responsibilities for a designated
area, such as department chair, center director, institute director.
Deputy Provost--The
chief academic official designated by the Provost as the person responsible
for the direction and guidance of the University��s research mission.
Direct costs--costs
that are directly related to the project.
Encumbrances--a specific
amount of funds that has been set-aside in an account for the receipt
of an order or the payment of an invoice. Encumbrances reduce the available
balance of an account.
Extension in time--see
definition, no cost extension.
Facilities and Administration
Costs ��F&A��rate—federal rate, see indirect costs for explanation
Form 70 Request for a Restricted
Funds Accounts - Ledger 5 and 6--This form is a Comptroller's Office
form which is used by departments in order to request Restricted Funds
to set up an account. The form is routed through the Divisional Dean's
Office, the Office of Research Administration and/or Development for
review and approval prior to being forwarded to the Comptroller's Office
for processing.
Gift funds are classified as gifts if the following characteristics exist:
Grant--Like a gift (see definition, gift), grants are given voluntarily, without expectation of tangible compensation; however, one or more of the following characteristics exists:
Group project--a center/program
project for which a proposal is submitted with identifiable and separate
budgets.
Indirect costs—costs
which are not directly charged to a project but are associated with
the cost of doing research, training or other sponsored activities (e.g.,
costs for general operations such as utilities, building operations,
library services, purchasing, etc.). Federal indirect cost rates are
negotiated with the federal government or the agency providing the award,
while the institution sets the non-federal and clinical trial rate.
��In-kind�� contribution—Often
required by agencies. Includes those contributions that are made
by the University in support of a project which are not auditable (Ex:
space, investigator��s effort).
Matching funds--funds
raised from other sources to increase the level of support provided
by the granting agency. The granting agency will provide additional
funds equal to the private matching funds raised for the project. Normally,
this is done on a dollar-for-dollar basis. Federal funds may not be
used for matching on another federal project. Unlike cost sharing, neither
personnel effort against the project nor reduction in indirect costs
can be used for the matching component. Some Federal agencies require
matching in order to receive an award.
Memorandum of agreement--a contractual arrangement between the University of Chicago and a corporate sponsor which stipulates the terms and conditions under which specific work is performed; these terms and conditions include scope of work, period of performance, payments, patents, publication, advertising, use of experimental compounds or drugs, human subjects, indemnification, and reports. See Guideline 302, "Negotiating
Non-Federal Contracts,"
attached memoranda of agreement, sections 302A and 302B.
Modified total direct costs (MTDC)--indirect costs on federally sponsored projects are generated against modified total direct costs, which are: total direct costs less equipment, internal patient care charges, University of Chicago Computing Organizations computer charges, scholarships, fellowships, and other student aid, subgrants and subcontracts over $25,000 ($5,000 would be excluded from the direct cost base in a subcontract of $30,000)
and Physical Sciences Division
central shop charges.
Narrative report--a
report submitted by an investigator on the progress and/or status of
a project supported by sponsored funds. Narrative reports are part of
the conditions of many sponsored agreements; may be submitted as an
interim report, with continuation proposals, requests for supplemental
funding, or at the termination of a sponsored project.
No cost extension--a
request to extend the period of performance for a project, without additional
funding.
Office of the Comptroller--The
Comptroller, at the direction of the Board of Trustees has supervision
over the financial records and accounts of the University. The Comptroller
is responsible for keeping proper books of accounts adequately setting
forth the financial condition and transactions of the University
and shall devise proper methods of accounting and internal controls
for all departments of the University.
Overdrafts--an individual
account in which the expenditures and encumbrances have exceeded the
budget. An account is considered to be in overdraft if there is a negative
balance available, regardless of the cause.
Oversight committee--a University committee charged with the responsibility of reviewing the protocol of every research project as it relates to specific health and safety concerns. It is not the responsibility of an oversight committee to judge the scientific merit of the proposed research, only to verify that the research being conducted poses minimal health and safety risks. Projects which use animals or humans as subjects, use University students as research subjects, involve a biohazardous agent or radioactive material, or use a radioactive isotope on a human subject must have the approval of one
of the University's oversight
committees
Pre-award costs--costs,
which are incurred before the beginning dates of an award, or budget
period but can be associated with the research project.
Principal investigator--
The primary person in charge of a research grant, cooperative agreement,
training or service project, clinical study, contract, other sponsored
project or material transfer agreement. Usually a faculty member
holding a regular appointment although other employees may be approved
to serve as P.I.s in some sponsored projects, the P.I. may be
referred to as the project director. This person is responsible
for directing the research and for insuring that all terms and conditions
of a sponsored agreement are met
Program income—Income derived that is earned as a result of an award funded activity.
For Grants, awarding agencies
must comply with section 24 of A-110.
Proposal--a set of documents
containing a descriptive narrative of an idea and a budget to be submitted
to a funding agency for sponsored support. Some agencies require
that proposals be submitted on preprinted forms while others have no
specific format.
Protocol--the methodology
used in conducting a sponsored project
Provost--The chief academic
and administrative officer for all academic units, including the college,
the divisions, schools and centers. The Provost oversees the University��s
compliance with all academic research policies.
Rebudgeting--changes
made to the sponsored agreement's awarded budget.
Restricted funds—(A) funds awarded to the University of Chicago from outside sources for restricted purposes. The majority of restricted funding is given in the form of research support for faculty members at the University. The sources are: (1) the federal government, in the form of grants and contracts (ledger 5 in the University's Accounting System [FAS]) and (2) private donors, foundations, and corporations in the form of gifts, grants, and contracts (ledger 6 in the University's Financial Accounting System [FAS]). This definition is taken from a document dated June 1986 developed by Joyce
Freedman, then Associate Comptroller, entitled "Training Guide: Grant and Contract/Financial Management.". Also (B) RESTRICTED FUNDS
The unit of the Comptroller��s
Office that is responsible for the financial accounting, reporting and
collecting of funds for federal and other sponsored project awards.
Also, this unit is responsible for preparing the Indirect Cost Proposal
and negotiating an Indirect Cost Rate Agreement with the Federal Government.
Sensitive Foundation-- One for which clearance is needed before a faculty member or academic unit may approach the foundation to request support. Sensitive Foundations are defined by one or more of several criteria:
The list is updated annually
in January, and available at the URA website at the following URL: http://www.uchicago.edu/adm/ura/guidelines/G200/sens/fdns.html
Sponsored project--an
activity that is funded from outside the University, from federal or
non-federal sources.
Sponsored research agreement--see
memorandum of agreement.
Supplement-- an increase
in the amount of funding by the sponsor to an existing award. Supplemental
funding increases the award and may extend the award period
Technical report--see
definition, narrative report.
Unit Administrator--An
employee responsible for providing administrative support of one or
more sponsored projects This position may include a wide variety
of roles and position titles including faculty service representative,
account manager, grants & contracts administrator, administrative
assistant, pre-award administrator post-award administrator, account
assistant, project assistant, secretary, etc.
University Research Administration
(URA)--Office designated by the University with the responsibility
to review and provide institutional endorsement for all proposals to
Federal and other external sponsors (excluding gifts), assuring compliance
with University policies and sponsor terms and conditions. URA
is the institutional authority for the negotiation and acceptance of
financial support or other contractually binding obligations in the
form of a contract, grant, or agreement, including material transfer
agreements and clinical trials. URA is the authorized institutional
official for post-award actions necessitating agency approvals
such as a request for a change in P.I., rebudgeting or no-cost extension..
(See URA website at http://www.uchicago.edu/adm/ura/guidelines/GB/B.1.html for more information)
Terms & Conditions (T&C)
Article 1 Recipient responsibilities and federal requirements
Article 2 Allowable costs and prior approvals
Article 3 Programs of related projects
Article 4 Payment
Article 5 Significant project changes
Article 6 Non-competitive or continuation award requirements
Article 7 Financial reports
Article 8 Final report requirements
Article 9 Dissemination of project results
Article 10 Acknowledgement of support and disclaimer
Article 11 Data collection
Article 12 Site visits
Article 13 Pre-award costs
Article 14 Extensions without additional funds
Article 15 Equipment and real property
Article 16 Alteration and renovation
Article 17 Use of U.S.-Flag air carriers
Article 18 Financial management system
Article 19 Procurement system
Article 20 Program income
Article 21 Unobligated balances and limit of federal liability
Article 22 Patents and inventions
Article 23 Audits and records
Article 24 Termination and enforcement
Article 25 National security
Article 26 Nondiscrimination
Article 27 Animal Welfare
Article 28 Research involving recombinant DNA Molecules
Article 29 Clean air and water
Article 30 Human subjects
Article 31 Activities abroad
Article 32 Debarred or suspended parties
Article 33 Closeout
Article 34 Rights in data
Article
35 Changes
What controls are needed to ensure compliance?
Compare award budget to proposal budget
What is the impact of the changes
Are additional funds needed?
Can work be revised without changing scope?
Is there an impact on other awards?
Develop a budget management strategy
Taylor to the specific award
Reconcile reports back to FAS�� AM090, 91 Reports
Establish reporting formats & schedule
Verify compensation budget
Individuals to be charged
Consists of 4 parts
Part I: The ��Schedule��
Section A: Solicitation information and may contain administrative information, instructions
Section B: Description of the supplies or services
Section C: Specifications and statement of work
Section D: Packaging and marking requirements
Section E: Inspection and acceptance requirements
Section F: Requirements for delivery and performance
Section G: Contract administration
Section H: Special contract requirements
Part II: Contract clauses
Many clauses are sited
Clauses that warrant particular attention include
52.216-7 Allowable cost & payment (Reference OMB Circular A-21)
52.232-22 Limitation of funds
Applies to incrementally funded contracts
Requires
notification as cost thresholds on allotted funds are approached
52.244-2 Subcontracts
Requires contracting officer approval
52.245-5 Government property
Maintenance and management requirements
Unless specifically stated in the ��Schedule��, title vests with the government
35.014
Addresses equipment title subject
Part III: List of documents, exhibits and other attachments
Part IV: Representations and instructions
Duns (Data Universal Numbering
System): 005421136
TIN (Tax Identification Number):
362-177-139
CAGE (Commercial and Government
Entity): 5E688
SIC (Standard Industrial Classification):
8221
Congressional District:
01
Illinois House: 25
Illinois Senate: 13
University of Chicago, Year
Founded: 1890
The following are some of the most useful web sites relating to Sponsored Program Management. It is not meant to be a comprehensive listing. As web links are constantly evolving, addresses may go stale. Happy surfing. | |
UNIVERSITY OF CHICAGO WEB SITES | |
The University of Chicago homepage | www.uchicago.edu |
AdminNet | adminet.uchicago.edu |
University Research Administration | www.uchicago.edu/adm/ura |
BSD/Office of Research Services | ors.bsd.uchicago.edu |
BSD Animal Resources Center | arc.bsd.uchicago.edu |
BSD Academic Affairs | oaa.bsd.uchicago.edu |
Restricted Funds | http://adminet.uchicago.edu/admincompt/comptroller/rfunds_index.html |
Managing Research Grants | http://adminet.uchicago.edu/adminres/arcontents/proc_serv/sponsor.html |
Managing Finances |
http://adminet.uchicago.edu/adminres/arcontents/proc_serv/fis.html |
FEDERAL AGENCIES | |
Centers for Disease Control (CDC) | www.cdc.gov |
Department of Commerce (incl. NIST) | www.doc.gov |
Department of Education | www.ed.gov |
Department of Engery | www.doe.gov |
Department of Health & Human Services (NIH, CDC, etc) | www.os.dhhhs.gov |
Department of Transportation | www.dot.gov |
Environmental Protection Agency (EPA) | www.epa.gov |
Food and Drug Administration (FDA) | www.fda.gov |
National Endowment for the Humanities (NEH) | neh.fed.us |
National Institutes of Health (NIH) | www.nih.gov |
National Oceanic & Atmospheric Administration (NOAA) | www.noaa.gov |
National Science Foundation (NSF) | www.nsf.gov |
Office for Protection from Research Risks | grants.nih.gov/grants/oprr/oprr.htm |
US Dept. of Agriculture (USDA) | www.usda.gov |
CFDA (Catalog of Federal Domestic Assistance) | www.gsa.gov/fdac/queryfdac.htm |
US Federal Government Agencies | www.lib.lsu.edu/gov/fedgov/html |
FEDIX (multiple agency listings) | www.fie.com |
Federal Web Locator | www.law.vill.edu/fed-agency/fedweb.exec.html |
FedWorld Information Network | www.fedworld.gov |
NON-GOVERNMENT SITES | |
Foundation On-Lin | www.foundations.org |
Foundation Center | www.fdncenter.org |
American Cancer Society | www.cancer.org |
American Heart Association | http://www.americanheart.org/ |
National Council of University Research Administrators (NCURA) | www.ncura.edu |
Society of Research Administrators | web.fie.com/cws.sra/sra.htm |
Association of University Technology Managers (AUTM) | www.crpc.rice.edu/autm |
Society of Research Administrators (SRA) | http://www.srainternational.org/cws/sra/sra.htm |
SRA��s Grants Web | http://www.srainternational.org/cws/sra/resource.htm |
AGENCY APPLICATION KITS | |
AFOSR, ARO,DOE,NASA, PHS, NSF, ONR & Standard Forms | engineer.tamu.edu/tees/trs/forms.html |
TRAM Electronic Forms (electronic versions for many agencies) | http://trsweb.tamu.edu/Forms/index.html |
National Institutes of Health | http://grants.nih.gov/grants/forms.htm |
National Science Foundation | http://www.nsf.gov/home/grants/grants_forms.htm |
University of Chicago Forms: | |
University Research Administration | http://www.uchicago.edu/adm/ura/ura/ura_forms.html |
BSD/ORS forms (including protocol submission forms) | http://ors/FG/ |
REGULATORY INFORMATION | |
Code of Federal Regulations | www.access.gpo.gov/nara/cfr/cfr-table-search.html |
Federal Register | www.access.gpo.gov/su_docs/aces/aces140.html |
Legistative Updates | thomas.loc.gov |
NIH Grants Policy Statement | grants.nih.gov/grants/policy/nihgps/ |
OMB Circluars | www.whitehouse.gov/wh/eop/omb#docs |
University of Chicago Regulatory Information: | |
Human Subjects | http://ors.bsd.uchicago.edu/HS/ |
Vertebrate Animals | http://ors.bsd.uchicago.edu/AUC/ |
Biohazardous Materials | http://ors.bsd.uchicago.edu/IBC/index.html |
Radiation | http://ors.bsd.uchicago.edu/RC/ |
Chemicals | http://ors.bsd.uchicago.edu/CHEM/ |
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