HBCU-UP PI/PD CONFERENCE Bowie State University How many here today are New Awardees (first time receiving NSF Funding) or PIs? Do we have anyone from the Office of Sponsored Research in the audience today? HBCU-UP PI/PD CONFERENCE Bowie State University March 30, 2015

Point of Contact Rashawn Farrior – Grant and Agreement Specialist – 703.292.2187 – lfarrior@nsf.gov Currently work with IUSE Grantees, but quite soon will be working with the ATE program as well hence why I am here today

Discussion Topics Award Administration Roles Award Notifications and Requirements Proposal Review & Award Management Advanced Monitoring and Business Assistance Program (AMBAP) Resources and Pathways to Success AAR – Brief overview of DGA, follwed by roles of you all as the Grantees, working relationships

Award Administration Roles Division of Grants & Agreements (DGA) Handled over 42,000 active awards in Fiscal Year 2014 Reviews, negotiates and obligates funding for approximately 11,300 new awards each year Responsible for monitoring the business practices of all our grantees Division responsible for the award of NSF grants and agreements recommended for support by NSF program offices. Ensure funds are awarded to organizations that meet all applicable Federal rules and regulations. Provide business assistance to NSF funded organizations through site visits, presentations, outreach, etc.

Award Administration Roles Grantees Full responsibility for the conduct of project activity and for adhering to the award conditions. Compliance to all applicable Federal requirements and to manage all expenditures and actions prudently Ensures that expenditures are allowable, allocable, and reasonable. Responsible for reading and following terms and conditions

Award Administration Roles Working Relationships Principal Investigator Program Officer Sponsored Research Officer Grant and Agreement Officer -Award belongs to the institution -Primary responsibility for administration of award is with the institution’s SRO (SPO) -The technical aspects of the award is with the PI The institutional rep /SRO – communicates with the NSF Grant Official The PI – communicates with the Program Managers All on the same team to provide support.

Award Administration Roles Annual Project Reports (APR) Program’s responsibility to review and approve APR is due every 12 months of the project (90 days prior to the end of the project budget period) Last annual report is deemed the Final Project Report Look around the room, there are quite a few folks in here! It is imperative that APR’s get turned in on time and are accurately completed for Dave’s sake… Reports contents include: Participants Activities & Findings Publications & Products Contributions Special Requirements Carryover of funds (provide circumstance to NSF Program Officer Annual project reports are required to be submitted via Fastlane, to the Program Officer at least 90-days (3-months before the end of the current budget period. Consequences of overdue annual/final reports – no future funding (CGIs); no PI changes or no-cost extensions no New Projects. Also, the same applies if you are a Co-PI. Everything gets held up.

Award Administration Roles Annual Project Reports Continued Reports must be reviewed and submitted through Research.gov not Fastlane DGA cannot process actions with overdue annual or final reports linked to the PI/Co-PIs of current awards I cannot stress enough how vital it is to submit APR’s on time. The train stops if they are not. Actions cannot be processed.

Proposal Review & Award Management Institutional Review Board (IRB) Approval Documentation Necessary documentation NEEDS to be submitted before the Proposal can receive funding. SOME of the things we look for when reviewing proposals

Award Administration Roles Notification of Award Award Letter Solicitation NSF 15-552 Research Terms and Conditions (RTCs), occasional special conditions, and other documents incorporated by reference Read your award letter. Please make sure the PI, Sponsored Research have a copy of the award letter. Your award letter and any actions submitted through Fastlane can be viewed in Fastlane.

Award Management Participant Support Participants or Trainees (not employees – exception school districts – teacher training) Stipends, subsistence allowance, travel, registration fees, tuition Funds may not be re-budgeted to other expense categories with out prior written approval of the NSF program officer May not move money out of budget category.

Proposal Review & Award Management Participant Support Awardee organizations must be able to identify participant support costs. Participant Support is not a normal account classification Highly recommended that separate accounts, sub-accounts sub-task or sub-ledgers be established to account for these costs. Written policies & procedures Indirect cost cannot be charged You need to have written policies and procedures

Proposal Review & Award Management Program Income Gross income earned by the grantee that is directly generated by a supported activity or earned as a result of the grant. Received or accruing to the grantee during the period of the grant is to be retained by the grantee, added to the funds of the project and thus used to further project objectives. Any program income generated must be expended prior to drawing down additional funds from the Award. E.g. Textbooks produced and sold, proceeds should be reinvested into the project and spent on allowable costs accordingly

Proposal Review & Award Management Sub-Award Monitoring Ability to perform (technically, financially and administratively) Check for debarment or suspension of the organization, PI/Co-PIs through the use of Sam.gov Indirect cost rate & base Financially – Adequate Accounting system Make sure all sub-recipients are following flow down provisions (prime to subprime) Fly America Act, Drug Free Workplace Act

Proposal Review & Award Management Award Changes with Awardee-Authorized Approvals Notification to NSF is NOT required for: Virtually all budget changes Budget changes are the PI’s prerogative and are subject to organizational approval 90 Day Pre-Award Costs Awardees have re-budgeting authority for most budget related issues Exception: when budget changes alter the objective or scope Exception: when budget changes alter the participant support costs

Proposal Review & Award Management Award Changes Requiring NSF Notification Notification to NSF is required for but not limited to: Grantee Approved No-Cost Extension Short term absences of PI/Co-PIs (less than 90 days) You can go into Fastlane and extend the award, and receive a Grantee No-Cost Extension. This have to be your first No-Cost Extension.

Proposal Review & Award Management Award Changes Requiring NSF Prior Approval Prior Approval is required for: Changes in objective or scope Change in expiration date (no-cost extension) PI/Co-PI changes: -Withdrawal or change of PI/Co-PI -Long-term absence: 90 days or more -Reduction of PI level of effort of 25% or more time devoted to the project

Proposal Review & Award Management Prior Approval Request Policies

Here we can see where these requests can be submitted via Fastlane

Advanced Monitoring & Business Assistance Program (AMBAP) Over 30 visits each year One week at site (or virtual) Grantees selected by Risk Assessment Algorithm Program insight is necessary for a successful site visit Cost Analyst and Grants Specialist work as a team to conduct the site visit Risk Assessment Algorithm based primarily on Award Amount and Prior funding level

AMBAP Visit Preparation Begin prep using Site Visit confirmation letter as a guide Pull samples and documentation of all award modules identified in the letter (e.g. Travel, Time & Effort, Forms, etc.) Be prepared. Organize documentation accordingly.

AMBAP Visit Preparation Issues Identified in Past Lack of written Policies and Procedures “You didn’t specifically ask for that document.” – Awardee responsibility to demonstrate and document source material Time & effort reporting system and procedures not followed Concerning all different modules, some examples include, Fly America Act, Premium Travel, Entertainment/Alcoholic beverages, etc

Pathways to Success! Focus on the objectives of the project/program Effective communication Approvals & requirements Good accounting practices Official records Communicating with your SRO, program officer, the grants office Reviewing your award letters, know the terms and conditions of your award, where to find them, etc. Accounting practices – check with your SPO making sure cost

Resources NSF Home Page The Proposal and Award Policies and Procedures Guide (PAPPG)

“Ask Early, Ask Often!”