IFAS Internal Management Memoranda

FAS; Processing Components and Procedure for IFAS Contract, Grant and Cooperative Agreement Funds Acceptance

EFFECTIVE DATE: December 1, 1993

INTERNAL MANAGEMENT MEMORANDUM: 6C1-6.50-2 (Revised)

SUBJECT: IFAS; Processing Components and Procedure for IFAS Contract, Grant and Cooperative Agreement Funds Acceptance

  1. The office of IFAS Sponsored Programs provides administrative support for all IFAS Units in the enlistment and preaward functions for IFAS Sponsored Programs prior to final University approval, the responsibility of the Division of Sponsored Research (DSR).

  2. To minimize delays between submission of a proposal or initiation of an agreement and the release of funds, the PI submits to IFAS Sponsored Programs three types of processing components. Processing components include information which will enable both the sponsor and the University to identify who will be doing what, who are the responsible individuals, the amount of funding and method of payment, the specific range of time the project will be active, extent of reporting required, and the level of University resources committed to the project (cost sharing, indirect cost, patent rights, and other provisions).

  3. Three types of processing components supply all necessary information for review and acceptance. The documents themselves vary from memoranda to preprinted government forms, but three types of documents (described below) are always represented: signatures, a "body", and a budget.

    1. Signatures of acceptance by all committing areas.

      1. The U of F Sponsored Projects Approval form can be used for any submission. IFAS also uses its own Sponsored Program Agreement (SPA) under certain circumstances. The SPA is a one-page, fixed cost contract which includes a place for signatures. (See IMM No. 6C1-6.50-4 for SPA procedure.)

      2. The University President or the President's designees (currently only the Division of Sponsored Research) is the only "Authorized Official" signatory for University of Florida acceptance of contracts, grants and agreements.

    2. The Body. This takes the form of a proposal, contract, or other document detailing the scope of work and any other terms of the agreement. IFAS Sponsored Programs has on hand submission forms required by some sponsors for completion of the "body".

    3. A categorical budget. A budget must be included, even if it is not required by the sponsor. When the sponsor does not require a budget, the PI labels it "for internal use only". The PI consults IFAS Sponsored Programs before final preparation to insure current fringe benefits and indirect cost rates are applied.

  4. Procedure for Processing Proposals (See IMM No. 6C1-6.50-8 for "Preproposal" process.)

    1. The principal investigator drafts the proposal in proper style and format required by the agency. The guidelines for many sponsors can be obtained from IFAS Sponsored Programs.

    2. The principal investigator prepares a draft of his proposed budget. Information on fringe benefits, indirect costs, appropriate salary levels, cost sharing, etc., is obtained from IFAS Sponsored Programs before final preparation. Most governmental sponsors provide budget forms. IFAS Sponsored Programs maintains a supply of forms from many agencies. When a sponsor has no requirement for a specific format, the University requires a budget specified in expenditure category detail, that is, salaries, OPS, fringe benefits, expense, OCO, and indirect costs.

    3. The principal investigator prepares the final proposal, prepares the University of Florida Sponsored Projects Approval form, and secures the signatures of the principal investigator, co-investigator(s), and their Unit Administrator(s). The single original copy is then submitted to IFAS Sponsored Programs at least one week before the due date.

    4. IFAS Sponsored Programs obtains approval by the appropriate dean, insures that IFAS reviews and acceptances have been made, resolves any administrative questions, performs a final check on completeness and budget accuracy, and explains to the PI any special mechanisms he or she may need to be aware of for post-award management.

    5. IFAS Sponsored Programs photocopies the appropriate number of copies required by the sponsor and the University.

    6. IFAS Sponsored Programs submits the proposal package to the Division of Sponsored Research (DSR) for University review, acceptance, and submission to the sponsor. IFAS Sponsored Programs communicates by memo to DSR any requests for special handling.

    7. All USDA cooperative agreements are returned through IFAS Sponsored Programs to the appropriate IFAS Dean for forwarding to USDA.

    8. IFAS Sponsored Programs insures that the investigator has a copy of the approved proposal. Copies of any pages altered in IFAS Sponsored Programs (always in consultation with the PI) are sent to the PI who supplies the corrected version to his or her unit administrator.

    9. When an award notice from the sponsor is received at the Division of Sponsored Research or in IFAS Sponsored Programs, a Notice of Award (NOA) is prepared. An NOA is the formal, internal University document used to notify everyone concerned that an award has been made and an account number established for expenditure of funds. A "temporary Internal NOA" can be obtained before formal award notice under certain conditions (See IMM No. 6C1-6.50-5.)

  5. Negotiations. IFAS Sponsored Programs will conduct contractual negotiations (and coordinate actions with all parties) to insure contractual documents are acceptable to IFAS and the University. Negotiated issues may include indirect cost assessment, method of payment, publication terms, and other Intellectual Property provisions.