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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) 292-4801tjohnson@nsf.gov

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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