1 qem/bio workshop october 21, 2005 award administration
TRANSCRIPT
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QEM/BIO WorkshopQEM/BIO Workshop
October 21, 2005October 21, 2005
Award AdministrationAward Administration
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Ask Early, Ask Often!!Ask Early, Ask Often!!
Tarsha JohnsonGrant and Agreement SpecialistDivision of Grants and Agreements(703) [email protected]
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National Science FoundationNational Science Foundation
Inspector General
National Science Board
Director Deputy Director
Staff Offices
Computer & Information
Science&
Engineering
Engineering Geosciences
Mathematical
& Physical Sciences
Social, Behavioral
& Economic Sciences
Education & Human Resources
Budget, Finance & Award
Management
Information Resource
Managemen
t
Biological
Sciences
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The Division of Grants and Agreements (DGA)
handles approximately 35,625 active awards in any given year
reviews, negotiates & obligates funding for around 11,000 new awards each year
is responsible for monitoring the business practices of all of our grantees
With this in mind, DGA is focusing on post-award monitoring
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Considerations for DGAConsiderations for DGA
Type of awardee institution – academic, community colleges, non-profit, local school systems, local government/tribal, for-profit, foreign
Type of award – Grants and Cooperative Agreements
Financial factors – grant amount, cost sharing, F&A rate (indirect)
Administrative factors – type of award & conditions that apply, cognizant agency, subcontracting arrangements
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Players & Communication LinesPlayers & Communication Lines
Principal Investigators (PI)- NSF Program Managers
Sponsored Research Officers (SRO)- DGA Grants Specialist
Controller’s Office- NSF Grant Accountants in DFM
Accounting and Financial-Cost Analysis & Audit Resolution Branch (CAARB)
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Grants and Cooperative Agreements
Awards belong to the Institution
Primary Responsibility - PI & Institution
Annual reporting tied to proposal activities, grant conditions and/or milestones
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Grants versus Cooperative Agreements
Grants - NSF Role
Hands Off Project Minimal Monitoring
Cooperative Agreements - NSF Role
Substantial Monitoring & Some Degree of Shared Responsibility
NSF Technical & Managerial Responsibilities Specified in the Agreement
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Relevant Roles of Awardee Awardee Role
Awardee has full responsibility for the conduct of Project or Activity and for adherence to the award conditions
Awardee agrees to comply with the applicable Federal requirements and for the prudent management of all expenditures and actions Consistent with award terms and conditions;
Expenditures must be allowable, allocable, and reasonable, and all actions must be: Consistent with NSF and awardee policies; Represent effective utilization of resources; and Do not constitute a significant project change.
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Fastlane Post-Award Notifications and Requests
Exhibit III-1 highlights the most frequent areas where specific notifications and requests for approval are required. http://www.nsf.gov/pubs/manuals/gpm05_131/ex3_1.pdf
Type of Grantee Notification Grantee Approved No-Cost Extension Significant Changes in Methods/Procedures Short-Term Absence of the PI/PD
Type of Grantee Request NSF Approved No-Cost Extension Request for Supplemental Support PI/PD Transfer from One Organization to Another
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Grantee-Authorized Approvals Virtually All Budget Changes are PI’s
Choice –Subject to Organizational Approval
90 Day Pre-Award Costs
First No-Cost Extension for Grants
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ReportingAnnual Reports Due 90-days prior to Expiration Date Required for ALL Standard & Continuing Grants and
Cooperative Agreements
Final Reports Due Within 90-days after the Expiration of an Award Required for ALL Standard & Continuing Grants and
Cooperative Agreements Required for Individual Research Fellowships per
Program Solicitation
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Post-Award Monitoring
The purpose of the review is to evaluate the effectiveness and efficiency of the policies and procedures that your organization has in place to manage federal funds, and to provide an opportunity for NSF to offer business assistance.
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The Division of Institution and Award Support (DIAS)
Cost Analysis and Audit Resolution
(CAAR Branch)
Policy
Systems Office
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CAAR Branch Responsibilities
Award Monitoring
Accounting Systems Reviews including Pre-award and Indirect Rate negotiations
Audit Resolution
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Award Monitoring Areas Federal Accounting Systems Sub-awards Monitoring Allowable Costs
Time and Effort Reporting Participant Support Consultants Equipment Indirect Costs
Cost Sharing
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Keys to SuccessKeys to Success Know Requirements (award conditions, NSF
requirements, use GPM and Exhibit III, GC-1, OMB Circulars)
Good Accounting Practices
Meeting Research Objectives
Document Approvals by/communication with NSF Program and Grant Officials
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Accessing Documents on the Accessing Documents on the NSF Web SiteNSF Web Site
Web Address: http://www.nsf.gov Click Grants & Awards Click Proposal Preparation
Grant Proposal Guide (GPG) FastLane info
Click Award Administration to locate DGA home page http://www.nsf.gov/bfa/dga/
CAAR home page: http://www.nsf.gov/bfa/dias/caar/start.htm
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Accessing Documents on the Accessing Documents on the NSF Web Site (cont’d)NSF Web Site (cont’d)
Under DGA home page Policies & Procedures NSF Specific (GPM, GC-1, FDP) OMB Circulars Prospective New Awardee Guide