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Award Administration

Award Administration. QEM/BIO Workshop October 21, 2005. Tarsha Johnson Grant and Agreement Specialist Division of Grants and Agreements (703) 292-4801 tjohnson@nsf.gov. Ask Early, Ask Often!!. National Science Foundation. Director Deputy Director. National Science

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Award Administration

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

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

  3. National Science Foundation Director Deputy Director National Science Board Inspector General Staff Offices Computer & Information Science & Engineering Mathematical & Physical Sciences Biological Sciences Engineering Geosciences Social, Behavioral & Economic Sciences Budget, Finance & Award Management Information Resource Management Education & Human Resources

  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

  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

  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)

  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

  8. 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 Grants versus Cooperative Agreements

  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.

  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 • 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

  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

  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

  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.

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

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

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

  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

  18. Accessing Documents on the NSF 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

  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

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