basics of circular a-110
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Basics of Circular A-110. Holly Benze , Director, Research Projects Administration, Johns Hopkins University Anthony Beckman , Research Administrator, University of Rochester. What is the Purpose of A-110. According to the circular itself: - PowerPoint PPT PresentationTRANSCRIPT
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Basics of Circular A-110
Holly Benze, Director, Research Projects Administration, Johns Hopkins University
Anthony Beckman, Research Administrator, University of Rochester
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NCURA 54th annual Meeting, November 4-7, 2012, Washington DC
What is the Purpose of A-110
According to the circular itself:“This circular sets forth standards for
obtaining consistency and uniformity among federal agencies in the administration of
grants to and agreements with institutions of higher education, hospitals, and other non-
profit organizations”
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NCURA 54th annual Meeting, November 4-7, 2012, Washington DC
So what in the world does that mean?
• In a nutshell – 2 things: 1. A-110 sets the MAXIMUM administrative requirements that federal agencies may require from institutions.2. Establishes the MINIMUM administrative standards for institutional systems and procedures.
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General (Subpart A)Pre-award Requirements (Subpart B)Post-award Requirements (Subpart C)
financial & program managementProperty standardsProcurement standardsReports and records
After-the-award requirements (Subpart D)
Uniform Administrative Requirements
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NCURA 54th annual Meeting, November 4-7, 2012, Washington DC
Subpart A
• Equipment: Tangible, non-expendable property charged directly to an award having a useful life of more than a year and an acquisition cost >= $5000.
• Program income: gross income earned by the recipient that is generated by a supported activity or earned as a result of the award.
• Subaward: An award of financial assistance, through any legal agreement, made under and award by a recipient to a Subrecipient. Does not include procurement of goods and services.
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NCURA 54th annual Meeting, November 4-7, 2012, Washington DC
Subpart B
• Instruction on appropriate award mechanism (Grant/Cooperative Agreement/Contract)
• Prescribes the use of the SF424 (thanks to the “Controlling paperwork Burdens on the Public”)
• Debarment and Suspension• Special Award Conditions
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NCURA 54th annual Meeting, November 4-7, 2012, Washington DC
Post-Award Requirements
Financial and Program Management Standards—written procedures,
accounting records, & controls Payment—Check, EFT, advance Cost Sharing or Matching
oMandatory or Voluntary (Committed or uncommitted)oMust be an allowable expense on the awardoCan be cash, in-kind, or third-party
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NCURA 54th annual Meeting, November 4-7, 2012, Washington DC
Financial & Program Management (cont.)
Program Income How should it be used?
1) Added to the project*, 2) deducted from the award amount, or 3)used to fund the non-federal share
*Default if not in the award and for research Usually counts as program income only during
the project period
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NCURA 54th annual Meeting, November 4-7, 2012, Washington DC
Financial & Program Management (cont.)
Revision of Budget and Program Planso Prior approval required for: -change in scope -change in key personnel -need additional funds-absence of PI for more than 3 months-reduction of effort of 25% or more-transfer of funds from participant support-issuing a subaward for substantive effort if not in proposal
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NCURA 54th annual Meeting, November 4-7, 2012, Washington DC
Financial & Program Management (cont.)
Expanded Authority– Pre-award costs – One-time no-cost extension– Automatic carry-forward
Non-Federal Audits (A-133) Instructions Allowability of Costs (A-21, A-87, A-122) Period of Availability of Funds (Instructions on
spending period)
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NCURA 54th annual Meeting, November 4-7, 2012, Washington DC
Property Standards
• Instructions on management and disposition of property
• Instructions on management and disposition of equipment, supplies, intangible property and data
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NCURA 54th annual Meeting, November 4-7, 2012, Washington DC
PROCUREMENT STANDARDS
• To make sure that materials and services are procured in an effective manner and in compliance with Federal statutes
• Written standards to prevent a conflict of interest when procuring a contract
• Free and open competition• Procurement procedures
Must be written
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NCURA 54th annual Meeting, November 4-7, 2012, Washington DC
Procurement Procedures (cont.)
Effort to use small, minority, or women-owned business
Cost and price analysis—reasonableness, allocability, and allowability
Procurement recordsContract provisions and administration
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NCURA 54th annual Meeting, November 4-7, 2012, Washington DC
Reports and Records
• Procedures for monitoring and reporting on projects—financially and technically including any subawards
• Frequency and due dates of reports• What the reports should contain and on what
forms• Site visits• Record retention
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NCURA 54th annual Meeting, November 4-7, 2012, Washington DC
Reports and Records (cont.)
• Termination and Enforcement– When can awards be terminated– Why: cause, convenience, mutual agreement– Remedies for enforcement• Withhold payments• Disallow charges• Suspend or terminate• Withhold further awards• Other legally available remedies
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NCURA 54th annual Meeting, November 4-7, 2012, Washington DC
AFTER-THE-AWARD REQUIREMENTS
Closeout Procedures End of project
reports: technical,final financial, equipment, and invention (when and what)
Adjustments—disallowances, repayments
Audit?
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NCURA 54th annual Meeting, November 4-7, 2012, Washington DC
Case Studies
Questions
Anthony Beckman – [email protected] Benze – [email protected]