1. 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

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

3. 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

4. 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.

5. 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

6. 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.

7. 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.

8. 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.

9. 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

10. Award Administration Roles
Notification of Award
Award Letter
Solicitation NSF
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.

11. 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.

12. 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

13. 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

14. 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

15. 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

16. 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.

17. 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

18. Proposal Review & Award Management
Prior Approval Request Policies

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

20. 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

21. 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.

22. 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

23. 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

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

25. “Ask Early, Ask Often!”