Policy Training Program for the Lifecycle of an Account. Account Lifecycle: The Beginning Session 2 Award Establishment. Team Members. Suzanne Bennett, Electrical and Computer Engineering Jeanette Greener, Discovery Park Christy Haddock, Vice President for Research
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Policy Training Program for the Lifecycle of an Account
Account Lifecycle: The Beginning
Suzanne Bennett, Electrical and Computer Engineering
Jeanette Greener, Discovery Park
Christy Haddock, Vice President for Research
Meagan Kramer, Sponsored Program Services
Mary Millsaps, Sponsored Program Services
Helen Moschinger, Sponsored Program Services
Patty Oswalt, Pharmacy
Becky White, Sponsored Program Services
Notice To Proceed (NTP)
Electronic Award Notices
Award Set Up
Upon completion of this course you will understand:
The role of the contract analyst and what governs their actions
The Notice to Proceed (NTP) process
The importance of electronic award information requests and award notices
The issues of Award Set Up
Types of Contracts: Spectrum of Sponsor Influence
Teaming Agreement Cooperative Agreement
Each represents a “legally binding agreement,” no matter what we call it.
Purchasing – University dollars going out (not subcontracts for sponsored projects)
SPS/Fed/State Contracting Team – (work closely with the Young and DP PreAward Teams)
Federal and State of Indiana Contracts/Grants
University Pass-through from the Federal and State of Indiana
SPS/Industrial Foundation Group
Contracts with Industry and Non-Profits, regardless of the prime
Material Transfer Agreements
Confidential Non-disclosure Agreements
Why are the University Contracting offices organized the way they are?
Current Strategic Plan Goals
Statement of Work – Academic Approvals
Budget – Are all costs covered?
System Assessment – Can we meet the terms as written?
Factors for Consideration
SPS Post Award
Other central offices impacted
Where does the analyst get this information?
OMB Circulars A-21 and A-110
Federal Acquisition Regulations (FAR)
State Disclosure Laws
Conflicts of Interest
University Policies (Approved by the Board of Trustees)
What governs the terms and conditions the University can accept?
Types protected by law
Patents, Copyrights, Trademarks and Trade Secrets
Other types mentioned in contracts
Information, Data, Know-How
What is Intellectual Property?
VIII.4.1 Intellectual Property
Except for Copyrights to Instructional and Scholarly Works, the University retains ownership of all IP developed by Purdue employees and students involving or relating to the use of University Resources
University’s policy on Intellectual Property
Licensing Revenue for PI, Department and University
Right to Publish
Right to pursue related research
What does the ownership of IP impact?
Contract Review Board
Director of SPS
Associate Vice President for Research
Director of Office of Technology and Commercialization (Office of PRF that licenses Purdue IP)
What happens if the analyst can’t arrive at a compromise that is within University policies?
They determine appropriateness based on the given situation.
Acme Corp is insisting on owning all data and restricting publication rights.
Who might be involved in resolving this for the University?
When is Gift not a Gift?
How can we work together to make the process more efficient?
Other Points of Interest
Legal Entity: The Trustees of Purdue University
Bylaws of the Board of Trustees
Signature Delegation Authority granted to Executive Vice President and Treasurer and is managed by the Director of Purchasing
Agreements requiring PI acknowledgement: Confidential Non-Disclosure Agreements and Material Transfer Agreements
Why can’t faculty sign their own contracts?
Expressed or implied expectation of economic benefit back to the donor (favorable IP terms)
When is a gift not a gift? (IRS determination)
A gift with strings attached – Managed by SPS
NanoTech Inc. gives Professor Little a gift that comes with an award letter. In the award letter it states that by accepting this gift, Purdue agrees to grant NanoTech the first right to license to any developed IP.
Is this a gift, and how would you handle this award letter?
DO – Communicate, Communicate, Communicate!!
DO – Ask questions of the PI and contracting office
DO – Involve the appropriate contracting office early & often
DO – Have fiscal information necessary for account set up
KNOW – What resources are available to you
Standard Contract Templates – available on the SPS website
COEUS Negotiation Record
How can we work together to effectively navigate through the contracting process?
Coeus Negotiation Record
Contract and file must stand on its own years after the active participants are no longer involved.
Professor Thomas brings a contract to you and asks you to get it to the appropriate office.
What questions would you want to ask at this point?
Who are the parties involved in the agreement?
What activity is this contract governing?
Is there money involved?
Is this related to an already submitted proposal?
SPS Website - contracting tab
Generic email for sponsored program contracting groups
Notice to Proceed
What is a Notice to Proceed (NTP)?
Why should I request a NTP?
PI Smith brings a purchase request for sheep to the business office.
What questions should you ask?
When would SPS authorize a University Backed NTP?
When should a Department back a NTP?
Why is it important to run the NTP report monthly?
Account Management Guidelines for SPS Funds
SPS Staff Directory
Electronic Award Information Requests & Notices
Why is it important to understand electronic award information requests?
Why is it crucial to understand electronic award notice emails and award documentation?
Award Set Up
What are some possible issues when setting up a new SPS award?
General sponsor understanding
Items out of the ordinary
PI Jones has been awarded a new grant that has five distinct tasks. The sponsor requires financial reporting by task.
How can the grant be established in Purdue’s system to accommodate this requirement?
Awareness of required reports & responsible party
Invention (in cooperation with OVPR)
Communication and oversight are critical at award setup!
A new award has three subcontracts in the budget. Two of the subcontracts were fully executed within the month of the award.
What may be holding up execution of the final subcontract?
Award budget deviations from the proposal
*status can be found in COEUS negotiation record
What is the impact of assigning a responsible cost center (RCC)?
The business office received an award notification for Professor Purdue, four months later the business office realized that the account isn’t showing up on their account balance listing report.
What could be wrong and what should be done to correct this?
The wrong RCC could be listed in the sponsored program and this could have been caught upon the award set up review by the business office.
long term issue – expenses weren’t tracked for that department which impacts the research incentive funds
What’s the impact of the “Credit Split”?
What is the impact of the additional data tab?
The RCC on a sponsored program will receive expenditure credit.
Allows for flexibility to allocate expenditure credit among multiple academic departments and add DP centers.
Additional Data Tab - GMPROGRAM
Why does SPS track interest earnings on grants where the interest goes back to the project?
When required by the sponsor to ensure that any interest on the cash balance is credited to the grant.
Allows the interest earned to be used by the project.
This is not a common requirement of sponsors and is most often from foundations.
Account Management Guidelines for SPS Funds
GM Account Set Up checklist
OVPR website for Regulatory compliance