Pre- and Post-Award Working Together to Promote the ARTs: Accountability, Responsibility, and Transparency at PUIs

1. � National Council of University Research Administrators FRA IX Conference 2008 Pre- and Post-Award Working Together to Promote the ARTs: Accountability, Responsibility, and Transparency at PUIs Jo Barnes, Southern Illinois University Edwardsville Beth Seaton, Western Illinois University Shannon Sutton, Western Illinois University FRA IX NCURA February 26, 2008

2. � National Council of University Research Administrators FRA IX Conference 2008 Pre- and Post-Award Working Together to Promote the ARTs: Accountability, Responsibility, and Transparency at PUIs Understand how to effectively communicate and work collaboratively with their colleagues in the pre- and post-award offices Learn how to present a unified message when working with departmental staff and with investigators Discussion of effective methods for training departmental staff and investigators at PUIs. Learn about the challenges and the benefits associated with the both the combined and separated pre- and post-award office.

3. � National Council of University Research Administrators FRA IX Conference 2008 Pre- and Post-Award Working Together to Promote the ARTs: Accountability, Responsibility, and Transparency at PUIs Jo Barnes Director, Office of Research and Projects Southern Illinois University Edwardsville

4. � National Council of University Research Administrators FRA IX Conference 2008 Pre- and Post-Award Working Together to Promote the ARTs: Accountability, Responsibility, and Transparency at PUIs Beth Seaton Director, Sponsored Projects Western Illinois University

5. � National Council of University Research Administrators FRA IX Conference 2008 Pre- and Post-Award Working Together to Promote the ARTs: Accountability, Responsibility, and Transparency at PUIs Shannon Sutton Director, Grants and Contracts Administration Western Illinois University

6. � National Council of University Research Administrators FRA IX Conference 2008 Institutional Profile Western Illinois University Comprehensive regional university � west central Illinois 13,000 undergraduate students 3,000 graduate students Rural residential campus Branch campus in the Quad Cities No centers; one institute - IIRA

7. � National Council of University Research Administrators FRA IX Conference 2008 Institutional Profile Western Illinois University Grants and Contracts Office of Sponsored Projects reports to the Provost�s Office - 5 staff members including clerical and compliance Grants and Contract Administration reports to the VP for Administration � 2 staff members 150 awards totaling $13 Million in FY 07 Most projects are outreach and public service

8. � National Council of University Research Administrators FRA IX Conference 2008 Institutional Profile Southern Illinois University Edwardsville Comprehensive regional university � eastern metropolitan St. Louis area 10,960 undergraduate students 2,489 graduate students Residential and commuter campus Branches/centers in Alton, Il and East St. Louis Centers: Illinois Educational Research Center Institute for Urban Research National Corn to Ethanol Research Center

9. � National Council of University Research Administrators FRA IX Conference 2008 Institutional Profile Southern Illinois University Edwardsville Grants and Contracts ORP Pre- and post-award report to the Associate Provost for Research/Graduate Dean Housed in the same office Pre-award - 5-includes research administrators and ethical compliance Post-award - 4-includes fiscal management, regulatory compliance, contract preparation and negotiation 210 awards totaling $27 million in FY 07 30% research; 60% public service; 5% instruction; 5% institutional

10. � National Council of University Research Administrators FRA IX Conference 2008 Collaborative Working Remember it is never about pre-vs post-award or research administrator vs. PI. It never matters �if it is in your job description.� It is about the BIG picture�facilitating the research and public service agendas for your campus.

11. � National Council of University Research Administrators FRA IX Conference 2008 Collaborative Working WIU fringe benefit policy seems to penalize grant accounts and charge them more that their fair share Directors of both offices work together and make a joint presentation advocating change to both VPs. End result?

12. � National Council of University Research Administrators FRA IX Conference 2008 Collaborative Working Departmental staff calls the manager of P-Card to secure approval on the purchase of an unallowable transaction instead of ORP fiscal mgmt because they know the transaction is unallowable and know that the manager of P-card is not able to determine whether the transaction meets the A-21, CAS and/or criteria applicable to the grant. How do you handle? 

13. � National Council of University Research Administrators FRA IX Conference 2008 Unified Messages You are in the pre-award office. A PI wants to make a cost transfer and calls the you to complain that the post award people won�t let her make the cost transfer. The cost transfer seems reasonable, is within 30 days, is allowable and has a legitimate justification.

14. � National Council of University Research Administrators FRA IX Conference 2008 Unified Message Post-award person has discovered an international air-fare charge to a p-card on a non-US flag carrier. She calls the PI and tells him the charge is unallowable. PI calls you (pre-award) and asks what can he do?

15. � National Council of University Research Administrators FRA IX Conference 2008 Effective Training - Types Post award workshops for faculty and departmental staff Presentations at new faculty orientation Summer programs for faculty Proposal development workshops COS/IRIS workshops One-on-one with PI and grant accountants Department workshops Compliance training Budgeting workshops Agency-specific workshops

16. � National Council of University Research Administrators FRA IX Conference 2008 Effective Training - Planning Joint planning of presentations Work on participant list together Echo on another's statements Serve food Introduce them to faces, not just names Repeat as necessary How do participants feel?

17. � National Council of University Research Administrators FRA IX Conference 2008 Combined Office Challenges Gray Areas�where does pre-award stop and post-award begin? Limited support from the financial area Implementing change in financial operations is difficult Processing can become a bit skewed PIs communicate with the person they think will give the answer they want

18. � National Council of University Research Administrators FRA IX Conference 2008 Combined Office Benefits Paperwork/staff easily accessible Easy to communicate on problem PIs Post award review prior to submission Staff has increased knowledge of the whole process Combined staff meetings Combined workshops One stop shopping for the PI

19. � National Council of University Research Administrators FRA IX Conference 2008 Separated Offices Challenges Communication between offices can be difficult Different chain of command Territorial issues may arise Us vs. them mentality may arise PIs communicate with the person they think will give the answer they want

20. � National Council of University Research Administrators FRA IX Conference 2008 Separated Offices Benefits Clear separation of duties Chain of command � choice of which VP area to pursue Both VP areas represented (academic and financial) Internal controls

21. � National Council of University Research Administrators FRA IX Conference 2008 ARTs - Accountability Responsibly and Transparency It is really all about communication and focusing on the big picture And remember, sometimes a meeting or a phone call is infinitely better than an e-mail!