Guidelines for Successful Post-Award Management: An Institution/Academic Perspective

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Guidelines for Successful Post-Award Management
An Institution/Academic Perspective

• Presented by
• Dr. McArthur Floyd
• School of Agricultural Environmental Sciences
• Alabama AM University
• At the
• CSREES/SERD Project Directors Conference
• March 30-April1, 2005
• New Orleans, LA

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Vision Statement

• To provide strategies and mechanisms for
  effective post award management based upon
  observations and policy developed during tenure
  as Research Director at Alabama AM University
  (AAMU).

3
Objectives

• To provide research scientists with strategies
  for managing grants after funding.
• To discuss mechanisms to assist scientists in
  obtaining post management expectations of their
  University and the federal government.

4
Summary of Presentation

• Submission of Grant Proposal University Level
• Notice of Grant Award
• Implementation of Actual Experiment
• Closure of Research Grant

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Submission of Grant Proposal University Level

• No faculty member should submit any proposals
  directly to a funding agency without appropriate
  prior University approvals.
• Proposals should be submitted and endorsed
  through normal supervisory channels
• Thus proposals should be submitted in a timely
  manner (i.e., a minimum of five (5) working days)

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Submission of Grant Proposal University Level
continued

• School level review is important in terms of the
  impact the research program/project will have on
  the School.
• For example
• Does the proposed research agree with the
  long-term goals of the school department of
  origin, and University?
• What effects will the project have on class
  schedules, teaching assignments, and learning
  experiences, as well as laboratory, classroom and
  office space within the school?
• What will be the support staff requirements,
  including secretarial, technical or student?
• Also of a major concern is related financial
  considerations to include both indirect costs and
  matching funds.

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Submission of Grant Proposal University Level
continued

• Special Conditions
• Proposals requesting the hiring of new faculty or
  staff members or extended release time for
  existing personnel require administrative
  approval.
• Proposals requiring the use of human subjects,
  biohazardous materials, or greater than ordinary
  space utilization, construction/renovations,
  equipment additions will not only require the
  Deans signature but also specific appointed
  University Committees and/or task forces. This
  usually requires extra lead time beyond the five
  day minimum (i.e., one day minimum for each
  special requirement)

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Steps in AAMU Proposal Flow

1. Proposal is developed by Principal Investigator
   (PI).
2. Preliminary draft reviewed by Department Head and
   returned to PI with any comments, corrections,
   etc.
3. Corrected proposal submitted with Proposal Review
   and Certification Form to Department Head for
   signature.
4. Upon approval, proposal is then submitted by PI
   to the School Dean for review (impact on school
   policies, programs, and long-term goals) and
   signature of approval.

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Steps in AAMU Proposal Flow

1. Proposal submitted to Office of Grants and
   Contracts in Research and Development for final
   review (completeness, adherence to policies,
   agency and AAMU regulations) and processing,
   allowing a minimum of five (5) working days for
   University administrative approvals.
2. Special Circumstances. Proposal review by
   Financial Services and/or by select appointed
   University committees and task forces, as needed.
3. Final processing by Office of Grants Contracts
   in Research and Development (copying, packaging,
   letter of transmittal).
4. Proposal is mailed to agency.
5. Wait for Good News.

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Notice of Grant Award

• Consultation and Decision Making
• Review Agreement Face Sheet (Form CSREES-2009)
  -with special attention to the Provisions Section
  (example below)
• PROVISIONS
• This Agreement includes the following
• The referenced proposal and any revision thereto
  incorporated by reference
• CSREES General Terms and Conditions A dates
  4/01
• 7 CFR Part 315, 7 CFT Part 3017, 7 CFT Part3018,
  7 CFT Part 3019 incorporated by reference
• The Approved Award Budget

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Notice of Grant Awardcontinued

• CRIS Forms AD-416 and AD417 incorporated by
  reference
• Method of Payment DHHS Payment Management
  System
• Other The enclosed Form AD-1048 must be
  completed by the approved subcontractor(s) and
  returned to the recipient for retention in the
  official award file. It is not necessary to send
  a copy to CSREES. Please be advised that when
  this grant expires on August 14, 2004, it will
  have run for a full three-year period, the
  maximum length of time currently permitted under
  Federal statue. Thus, no further extension of
  time will be possible.

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Notice of Grant Award continued

• Identification of and review of Specific Needs
• Personnel (Post-Docs, Research Assistants, Grad
  Students, and Undergraduates)
• Matching Requirements Meet with Middle Managers
  to discuss Specific research space,
  laboratories, greenhouse, field plots and other
  special needs

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Notice of Grant Award continued

• Collaborators
• Review necessary research tools and methods
• Review outcomes oriented evaluations
• Impacts and accomplishment reporting
• Discuss potential benefits of effective
  coordinated efforts of systematic distribution of
  knowledge in relevant and accessible formats
• Discuss utility of findings to consumers
• New technologies discussions regarding
  ownership of knowledge and intellectual property
  rights
• (Re)allocation of resources (No significant
  change to budget or scope of work without agency
  approval)

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Implementation of Actual Experiments

• PIs responsibilities move into high gear
• Viability and quality of data
• Fulfilling the research reporting, and
  publications standards
• Formally orienting junior faculty, staff and
  students to expected standards
• Overseeing the work done
• Submit annual progress and impact reports
• Keep in mind the high standards of performance
  and accountability for outcomes

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Implementation of Actual Experiments continued

• During the last calendar year
• Implement plans for continuing the project beyond
  funding period
• Consider request for extension period for use of
  funds beyond grant limitation
• Work closely with collaborators/sub-contractors
  regarding timely submission of invoices for
  payment
• Consider final reallocation of resources

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Closure of Research Grant

• Preparing final project report due 60-90 days
• Significant findings
• Unique contributions of project to body of
  scientific knowledge
• Publications and other products
• Participants in project, including students
• A final budget report, identifying any funds
  remaining unspent

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• Thank you
• For
• Your Attention.