Award Set-up

Types of award

How a project is categorized has ramification for administration, including application of F&A rates, WBS numbering in SAP, and institutional reporting.  Awards at UNMC are generally categorized as follows:

RESEARCH (per Uniform Guidance)

Research and Development means all research activities, both basic and applied, and all development activities that are performed by non-Federal entities. The term research also includes activities involving the training of individuals in research techniques where such activities utilize the same facilities as other research and development activities and where such activities are not included in the instruction function. "Research" is defined as a systematic study directed toward fuller scientific knowledge or understanding of the subject studied. "Development" is the systematic use of knowledge and understanding gained from research directed toward the production of useful materials, devices, systems, or methods, including design and development of prototypes and processes.

INSTRUCTION (per Uniform Guidance)

Instruction means the teaching and training activities of an institution. Except for research training as provided in subsection b, this term includes all teaching and training activities, whether they are offered for credits toward a degree or certificate or on a non-credit basis, and whether they are offered through regular academic departments or separate divisions, such as a summer school division or an extension division. Also considered part of this major function are departmental research, and, where agreed to, university research.

PUBLIC SERVICE (otherwise fits UNMC's mission)

To lead the world in transforming lives to create a healthy future for all individuals and communities through premier educational programs, innovative research and extraordinary patient care.

Award Document Types

Award documents are generally categorized as follows:

• Grant:  Financial assistance for the conduct of a program in which the sponsor anticipates no substantial programmatic involvement
• Cooperative agreement:  Financial assistance for the conduct of a program in which the sponsor will have substantial programmatic involvement
• Contract:  Mechanism for procurement of a product or service with specific obligations

How a project is categorized has ramification for administration and negotiation of terms and conditions.

Award Review

To accept external funding, UNMC must agree to the sponsor’s terms and conditions for spending funds, conducting the project, and reporting on outcomes.  Careful review of the sponsor’s requirements is needed to ensure UNMC can meet them.

Note:  Some sponsors require an applicant at the time of application to agree to accept their terms and conditions, should an award be made.

Award Acceptance

Once SPAdmin has determined that the award terms and conditions are acceptable, UNMC accepts the award, by signing an agreement and accessing funds (e.g., cashing a check).

Authorized Official

The Director of SPAdmin is the official signature authority for sponsored project agreements.  If the Director is unavailable, other UNMC personnel are authorized to sign on the Director’s behalf.

Documentation and notification of project requirements

UNMC uses “checklists” and “halfsheets” to communicate between offices about new projects and changes to existing projects.

Checklists are used when the award amount is being changed:

• New project set-up
• Non-competing continuations
• Supplements
• Renewals
• Closeouts with adjustments

Halfsheets are used if the award amount is not being changed:

• No-cost extension
• Rebudgeting
• Approval to charge administrative costs directly to a project
• Subcontract-out being executed
• Subcontract-out being modified
• Closeouts with no adjustments

Once SPAdmin and SPAcctng have completed award set-up or modification, departments can access the checklist and halfsheets in ADIS.

SPAdmin reviews every agreement to ensure that UNMC can comply and is protected.  Agreements can be categorized broadly as follows.

Federal

Typically, UNMC receives Notices of Award (NOAs) or Notices of Grant Awards (NGAs or NOGAs) from federal sponsors, including NIH and HRSA.  An NOA (or NGA or NOGA) typically provides project-specific details about funding commitments, start and end dates, and any special restrictions.  It also incorporates the sponsor’s grants policy by reference.

UNMC also receives Contracts/Agreements from federal sponsors, including DOD.  A Contract/Agreement typically provides more specific details about applicable regulations, including Federal Acquisition Regulations (FAR) clauses.

State

The NE DHHS uses a standard template with all NU campuses.

Non-profit

Many national non-profit foundations use a standard template with universities and refer to posted policies and procedures.  Some smaller organizations may issue very detailed or very brief award documents.  Although many of UNMC’s non-profit sponsors tend to follow the NIH’s general award process, others may have unique requirements.  For example, many sponsors allow UNMC to rebudget up to 25%; some sponsors limit rebudgeting to 10% or lower.

Industry

SPAdmin’s Contracts team handles industry-sponsored agreements.  UNeHealth handles industry sponsored Clinical Trials agreements.

At a minimum, a sponsored project agreement should address:

• Scientific, administrative, financial, and reporting requirements
• Identification of the key personnel, with roles and responsibilities
• Compensation, including dollar ceiling, method and schedule of reimbursement, type of supporting documentation required, and timing
• Ownership and disposition of intellectual property and real property
• Applicable public policy requirements

Terms and conditions that may require negotiation are described below:

Choice of law and venue  “Choice of law” refers to the legal jurisdiction while  “Venue” refers to the physical location.

Indemnification refers to a guarantee to compensate another party for any loss or damage that occurs in the future.

Copyrights refers to the intellectual property right granted to an author. 

Patents refers to the intellectual property right granted to an inventor.

Publications  Board of Regents Policy on Ownership of Intellectual Property states that "the prompt and open dissemination of the results of research undertaken at the University of Nebraska and the free exchange of information among scholars are essential to the fulfillment of the University's obligations as an institution committed to excellence in research, education, and service."

Payment Schedules  Typically, payment to UNMC by a sponsor is made:

• • In response to a quarterly invoice from UNMC SPAcctng office for reimbursement of actual expenses
  • In response to an invoice from the department based on deliverables met
  • On a set payment schedule

Incorporated by Reference  Some agreements may not specifically state every term or condition but instead refer to other documents.

Federal Acquisition Regulations (FAR) clauses define how to do business with the federal government in a procurement environment.  Link  to the FAR website.