grant policy breakout session
DESCRIPTION
Grant Policy Breakout Session. NSF Regional Grants Conference October 4 - 5, 2004 St. Louis, MO. Hosted by: Washington University. Jean Feldman Head, Policy Office Division of Institution & Award Support [email protected] (703) 292-8243. Karen Tiplady - PowerPoint PPT PresentationTRANSCRIPT
Grant Policy Breakout Grant Policy Breakout SessionSession
NSF Regional Grants NSF Regional Grants ConferenceConference
October 4 - 5, 2004October 4 - 5, 2004
St. Louis, MOSt. Louis, MO
Hosted by: Washington University
Ask Us Early, Ask Us Ask Us Early, Ask Us Often!!Often!!
Jean Feldman Head, Policy Office Division of Institution
& Award Support [email protected] (703) 292-8243
Karen Tiplady Chief, Cost Analysis
& Audit Resolution Branch
Division of Institution & Award Support
[email protected] (703) 292-5016
CoverageCoverage
Grant Proposal Guide: Highlights and Recent Changes
SF 424 (R&R) – What is it?
Award Monitoring
Grant Proposal GuideGrant Proposal GuideDescribes content and formatting requirements for all parts of an NSF proposalIdentifies overall Foundation eligibility categories and guidelinesDescribes types of NSF due dates: Target dates; Deadline dates; and Submission Windows (MPS, ENG)
Specifies process for deviations including: individual program solicitations; by written approval of cognizant Assistant Director or designee; or procedure to follow for those proposers unable to submit
electronically.
Grant Proposal GuideGrant Proposal GuideDetails process for submission of collaborative proposals
Provides policy requirements for specific FastLane capabilities
Describes process -- and criteria -- by which proposals will be reviewed
Includes highlights of NSF award and administration processes
Contains information on potentially disqualifying conflicts of interest for use in the proposal process
GPG (04-23) - Significant GPG (04-23) - Significant ChangesChanges
Provides a description of the various categories of funding opportunities to generate proposals, as well as the appropriate scenarios in which each are used: Program Descriptions; Program Announcements; and Program Solicitations.
Incorporates new descriptive information on the types of submissions that may be required under NSF program solicitations: Letters of Intent; Preliminary Proposals; and Full Proposals
GPG (04-23) Significant GPG (04-23) Significant Changes (cont’d)Changes (cont’d)Implements enhanced capabilities in FastLane for submission of proposal file updates. Requests for proposal file update are automatically accepted if submitted prior to: The deadline date in a program solicitation; Initiation of external peer review in cases when a
target date is used; and Initiation of external peer review for an
unsolicited proposal.
Detailed instructions can be found at: https://www.fastlane.nsf.gov/documents/pfu/pfu.jsp
GPG (04-23) Significant GPG (04-23) Significant Changes (cont’d)Changes (cont’d)
With declinations, once a proposal has received the concurrence of the cognizant NSF Division Director and all review information released, PIs and co-PIs may access reviews via FastLane.
GPG (04-23) Significant GPG (04-23) Significant Changes (cont’d)Changes (cont’d)
“Grantee Responsibilities & Federal Requirements”
New section to remind grantees that they have
full responsibility for the conduct of the project or activity supported under an NSF award
Submission of annual and final reports via FastLane constitutes certification by the PI that the contents of the report are accurate and complete
GPG ImplementationGPG Implementation
Effective for proposals submitted on or after September 1, 2004
GPG http://www.nsf.gov/pubsys/ods/getpub.cfm?
gpg
FAQs http://www.nsf.gov/pubs/gpg/faqs.pdf
R&R Application – R&R Application – Background InformationBackground Information
There was early recognition that the SF 424, as a standalone package, will not work for research and related applications;
The effort started with the data elements contained in the 194 TS, Since that time just about all of the data
elements have been tweaked, enhanced, etc.
Combining the Cover SF 424 with research specific elements made the most sense;
R&R Application – R&R Application – Background Information Background Information (Cont’d)(Cont’d)
Application consists of: the data elements, forms, and associated instructions for completion of each
data element;
Was designed with the concept of auto-populating and auto-calculating in mind; this has turned out to be a significant challenge for the Grants.gov PMO;
R&R Application – R&R Application – Background Information Background Information (Cont’d)(Cont’d)
Rule imposed was two or more agencies required element for inclusion in the dataset; and
Issuance of the package does not negate an agency’s obligation to put out agency specific guidance to applicants. Utilizes announcement or agency
specific instructions in several areas to guide or instruct applicant.
Issues to AddressIssues to AddressConversion of files to PDF
When is a proposal really considered submitted? And, what does that mean for compliance checking?? Data quality is of extreme importance Want to avoid excessive numbers of return without
review
Submission of collaborative proposals
NSF supplementation of proposals
Issues to Address (Cont’d)Issues to Address (Cont’d)
Submit versus “sign on behalf of”
Subaward proposals
How to handle Directorate specific forms, i.e., BIO classification form
CCR – Institutions should register now, if they have not already
Agency specific instructions are in progress
NSF Award Monitoring -- NSF Award Monitoring -- Our VisionOur Vision
Institutions Common Approach Develop a host mentoring Program --
institution to institution Tailor outreach to address specific concerns
NSF IBM Business Consultant Services study and
recommendations Expanded and enhanced partnership with
Programs
Award Monitoring – Award Monitoring – Background and ContextBackground and Context
Government Wide Focus on Increased Accountability
Impact on Government: CFO Act, GPRA, FMFIA, IG Act, Improper Payment
Act
Impact on Awardees: A-133 Reviews, GPRA Reporting Requirements Increased Organizational Scrutiny Multi-level Government Reviews
Recent Emphasis on Post Recent Emphasis on Post Award ManagementAward Management
Growth of Agency, $, and Responsibility
Changing Nature of Awards
Assistance to Non-traditional Awardees
Changing Nature and Complexity of Core Business Processes
Stewardship in Stewardship in Practice/ImplementationPractice/Implementation
IG – Agency Audit Responsibility Oversight of A-133 Audits
NSF Agency Audit Resolution Business Assistance
Risk Based System Focus
Listing of Significant Listing of Significant FindingsFindings
Cost sharing documentation, cost accounting documentation (time and effort certification)
Low dollar of questioned cost suggests appropriate systems and reviews in place in end to end award management
BFA Conclusions Based on BFA Conclusions Based on Audit Finding ResultsAudit Finding Results
Activities require appropriate systems in place at awardee institutions
High risk, non-traditional awardees most vulnerable
Questioned and sustained costs suggest appropriate systems are in place
Clearer policies will make things better
NSF Award Monitoring – NSF Award Monitoring – Our VisionOur Vision
Other Agencies
Partnering with other agencies to reduce burden on community
Research Business Models (3 working groups)
Aim to reduce burden on experienced, well managed organizations
Goal - to institute a certificate program that other agencies buy into
Cost sharingCost sharing
AuditsAudits NotificatioNotifications ns & Requests& Requests
Budget changesBudget changes
Allowability of CostsAllowability of Costs
Proposal File UpdatesProposal File Updates
SubawardsSubawards
Human Human subjectssubjects
What Else Would You Like To Know…What Else Would You Like To Know…
EquipmentEquipment
project reportstravetravell
Academic year salaryAcademic year salary
No-cost extensionsNo-cost extensionsForeign flag air carrierForeign flag air carrier
Indirect costsIndirect costs
Proposal preparationProposal preparation
program income
participant support costsparticipant support costs
rebudgetingrebudgeting
PI Transfers
New granteesNew granteesPreaward CostsPreaward Costs
NSF FastLaneNSF FastLane
withdrawalswithdrawals
Proposal resubmissionProposal resubmission
Return without reviewReturn without review
Change in objective or scopeChange in objective or scope
reconsideratioreconsiderationn
subawardssubawards
Collaborative proposalsCollaborative proposals
Award MonitoringAward Monitoring
Grants.govGrants.gov
www.nsf.gov/bfa/dias/policy/start.htm