1. Award Set-Up and Advances
Russ Lentz
Associate Director
Sponsored Research Administration (Pre-Award)

2. Award Set-Up Receipt of award Review and negotiation of award
Award set-up in OMNI
PI and department notification of award set-up

3. Award Set-Up: Receipt of Award
All awards are made to Florida State University rather than to individuals
Generally sent to SRA directly, & it is forwarded to PI and department
If sent to PI or department first, please send to SRA

4. Award Set-Up: Receipt of Award
Who’s the sponsor?
Federal government
State of Florida
Other public entities
Flow-through governmental funds
Type of award
Grants
Contracts
Cooperative agreements
Subgrants and subcontracts
Purchase orders
Master agreements and task orders

5. Award Set-Up: Receipt of Award
Award Mechanisms

6. Award Set-Up: Receipt of Award

7. Award Set-Up: Receipt of Award

8. Award Set-Up: Review and Negotiation
PI’s and departments should not negotiate and cannot sign on behalf of FSU
What does SRA (Pre-Award) do when it reviews and negotiates an award?
Asks PI for review and approval of technical elements
Confirms that the award has needed elements
Project period
Budget period
The PI is named
Scope of Work
Terms and conditions, including payment
details and whether the award is fixed
price or cost reimbursable

9. Award Set-Up: Review and Negotiation
Reads and reviews any and all terms and conditions for administrative and legal concerns
Standard terms and conditions, possibly agreed to when the proposal was submitted
FAR clauses
Other terms and conditions
SRA will coordinate review within the Office of Research and will contact the sponsor if any terms are problematic

10. Which of the following do you think are acceptable terms in an award?
A. The award is governed by the laws of Maine
B. The award is blank as to damages
C. Time is a material element of the award
D. FSU will restore a victim to its status prior to an injury caused by FSU

11. Award Set-Up: Review and Negotiation
Which of the following do you think are acceptable terms in an award?
A. The award is governed by the laws of Maine
- No, we don’t want to be bound by the laws of another state
B. The award is blank as to damages
- Yes, FSU cannot accept damages, so it is better to be silent on damages than to have language requiring FSU to pay damages.
C. Time is a material element of the award
- No, to make time a material element means that we have automatic damages if we don’t perform it on time
D. FSU will restore a victim to its status prior to an injury caused by FSU
- No, this is called indemnification and is against state law
For more information, attend the SRA Certificate Series class on award negotiations

12. Award Set-Up: Review and Negotiation
Which of the following are acceptable payment terms in an award?
A. Invoices will be sent to the State of Florida on a periodic basis.
B. FSU shall provide expenditure documentation with invoices in detail sufficient for an audit.
C. This is a fixed price agreement based on reimbursable deliverables.
D. The final invoice is due to Sponsor 90 days after the project end date.

13. Award Set-Up: Review and Negotiation
Which of the following are acceptable payment terms in an award?
A. Invoices will be sent to the State of Florida on a periodic basis.
B. FSU shall provide expenditure documentation with invoices in detail sufficient for an audit.
C. This is a fixed price agreement based on reimbursable deliverables.
D. The final invoice is due to Sponsor 90 days after the project end date.

14. Award Set-Up: Review and Negotiation
What else does SRA do when it reviews and negotiates an award?
Determines what else is needed
Budget summary or amendment
IRB and IACUC approval
EDMS certification
Subaward set-up
Unfavorable terms memo
Cost share commitment and set-up
Subprojects

15. Award Set-Up: Review and Negotiation
Other items to note
Pre-award spending
Available on most direct federal grants; see 2 CFR
Don’t start working early though and simply wait for the award to arrive. Instead: Request an advance and use the Prior approval Request Form, which satisfies the federal requirements
Sign the award, if needed

16. Award Set-Up: Review and Negotiation
What do the PI and department do during review and negotiation?
Review the award for technical elements and respond to SRA with approval or questions
Work with SRA on compliance requirements
Work with SRA in answering questions generated by review of award terms and conditions
Refrain from spending on the project until notification of project set-up is received, unless an advance is in place

17. Award Set-Up: Review and Negotiation
TYPES OF AWARD DOCUMENTS

18. Award Set-Up: Review and Negotiation

19. Award Set-Up: Review and Negotiation

20. Award Set-Up: Review and Negotiation

21. Award Set-Up: Review and Negotiation

22. Award Set-Up: Set-Up in OMNI
What does SRA do to set up the project in OMNI?
Upload award and compliance documents into OMNI
Set up the internal project file
Send the project file to Pre-Award QA and thence to Post-Award
What do the PI and department do during project set up?
Nothing! But please be patient. 

23. Award Set-Up: PI and Department Notification
GETTING AWARD NOTIFICATIONS

24. Award Set-Up: PI and Department Notification
What does SRA do to notify the PI and department?
SRA Post-Award sends an with pertinent details

25. Award Set-Up: PI and Department Notification
What do the PI and department do?
Start spending! And congratulations!
Project will now appear in OMNI

26. Questions?

27. Advances For more information… Why do an advance? FSU’s Advance Policy
SRA Certificate Series class on advances
Next class in the fall
Why do an advance?
It’s not because SRA likes paperwork 
To ensure timely start-up or uninterrupted continuation of a project
To authorize spending before a fully executed award or amendment is received
To allow costs to be charged to the correct project, without transferring them from another project

28. Advances: When You Should Consider One…

29. Advances: When You Should Consider One…

30. Advances
Per FSU policy, with no advance, project work can neither begin nor continue
With no advance, neither salary nor effort can be charged to the project, not even retroactively
Even with an advance, subawards can neither be issued nor extended

31. Advances What is needed to set up an advance? Request for Advance form
Types of advances
Time only
Funding only
Time and funding
Departmental financial backing of direct costs
Required even for time-only advances because spending occurs without an award to back it
Source from non-sponsored funds, typically E&G or SRAD
Sponsor assurance
Start and end dates; the start date in the award must be no later than the start date of the advance
Funds obligated
Anticipated receipt date of award

32. Advances: Mind the Start Date!

33. Advances: Sponsor Assurance

34. Advances What is needed to set up an advance? Strong justification
Great reason: without an advance, project work will be delayed irreparably and adversely
Unacceptable reason: to spend available project funds

35. Advances: Justification

36. Advances What else is needed to set up an advance?
IRB or IACUC approval
Budget, for advances with funding
Cost share commitment

37. Advances What do the PI and department do to create an advance?
Send the advance form with all needed accompanying documents and details to SRA
Ensure that neither work nor spending begins before the advance is in place
Ensure that subawardees neither work nor spend before the fully executed award or amendment is in place
Assume the risk for costs incurred during an advance; rarely, awards fall through
Do not submit deliverables until the award or amendment is in place

38. Advances What does SRA do to create an advance?
Review the advance request and ensure that all accompanying documents and details are in hand
Secure OVPR’s signature on the advance form
Send fully signed paperwork to PI and department for their records
Send project file to Pre-Award QA and thence to Post-Award to set up the advance
Regularly follow up with the sponsor about the anticipated award or amendment
Once the award or amendment is received, send the project file to Pre-Award QA and thence to Post-Award to remove the advance

39. Award Set-Up: PI and Department Notification

40. Questions?