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

1. Guidelines for Successful Post-Award Management: An Institution/Academic Perspective Presented by Dr. McArthur Floyd School of Agricultural & Environmental Sciences Alabama A&M University At the CSREES/SERD Project Director’s Conference March 30-April1, 2005 New Orleans, LA

2. 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 A&M University (AAMU). Guidelines for Successful Post-Award Management: An Institution/Academic Perspective

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

4. Summary of Presentation • Submission of Grant Proposal – University Level • Notice of Grant Award • Implementation of Actual Experiment • Closure of Research Grant Guidelines for Successful Post-Award Management: An Institution/Academic Perspective

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

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

7. 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 Dean’s 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) Guidelines for Successful Post-Award Management: An Institution/Academic Perspective

8. Steps in AAMU Proposal Flow • Proposal is developed by Principal Investigator (PI). • Preliminary draft reviewed by Department Head and returned to PI with any comments, corrections, etc. • Corrected proposal submitted with Proposal Review and Certification Form to Department Head for signature. • 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. Guidelines for Successful Post-Award Management: An Institution/Academic Perspective

9. Steps in AAMU Proposal Flow • 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. • Special Circumstances. Proposal review by Financial Services and/or by select appointed University committees and task forces, as needed. • Final processing by Office of Grants & Contracts in Research and Development (copying, packaging, letter of transmittal). • Proposal is mailed to agency. • Wait for Good News. Guidelines for Successful Post-Award Management: An Institution/Academic Perspective

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

11. Notice of Grant Award…continued • 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. Guidelines for Successful Post-Award Management: An Institution/Academic Perspective

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

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

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

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

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

17. Thank you For Your Attention. Guidelines for Successful Post-Award Management: An Institution/Academic Perspective