2. 1 QEM/BIO Workshop October 21, 2005 Award Administration

3. 2 Ask Early, Ask Often!! Tarsha Johnson Grant and Agreement Specialist Division of Grants and Agreements (703) 292-4801 tjohnson@nsf.gov

4. 3 National 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 Management Biological Sciences

5. 4 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

6. 5 Considerations 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

7. 6 Players & 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)

8. 7 Grants and Cooperative Agreements Awards belong to the Institution Primary Responsibility - PI & Institution Annual reporting tied to proposal activities, grant conditions and/or milestones

9. 8 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

10. 9 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.

11. 10 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 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

12. 11 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

13. 12 Reporting Annual 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

14. 13 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.

15. 14 The Division of Institution and Award Support (DIAS) Cost Analysis and Audit Resolution (CAAR Branch) Policy Systems Office

16. 15 CAAR Branch Responsibilities Award Monitoring Accounting Systems Reviews including Pre- award and Indirect Rate negotiations Audit Resolution

17. 16 Award Monitoring Areas Federal Accounting Systems Sub-awards Monitoring Allowable Costs Time and Effort Reporting Participant Support Consultants Equipment Indirect Costs Cost Sharing

18. 17 Keys 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

19. 18 Accessing Documents on the NSF Web Site Web Address: http://www.nsf.gov 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

20. 19 Accessing Documents on the NSF Web Site (cont’d) Under DGA home page  Policies & Procedures  NSF Specific (GPM, GC-1, FDP)  OMB Circulars  Prospective New Awardee Guide