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 jfeldman@nsf.gov (703) 292-8243

Karen Tiplady Chief, Cost Analysis

& Audit Resolution Branch

Division of Institution & Award Support

ktiplady@nsf.gov (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