Sense and Sensibility A Review of Two Post Award Office Structures

1
Sense and Sensibility A Review of Two Post
Award Office Structures

• Presenters
• Rochelle Athey Executive Director Sponsored
  Programs
• University of Nevada Las Vegas
• Kim Calvery Assistant Director Office of Post
  Award Administration
• Oregon State University

2
UNLV

• The experience of a combined post-award office in
  a growing, medium-sized research university

3
Background Information

• One does not love a place the less for having
  suffered in it, unless it has been all suffering,
  nothing but suffering.

4
UNLV Post-Award Statistics

• 106M in awards in FY07
• 104M in expenditures in FY07
• Experienced expenditure growth of 16.5 annually
  over the past five years
• Staff has not increased significantly during that
  time frame
• 1 Assoc Dir 4 Sr. Research Administrators 2
  Grant Coordinators

5
UNLV Post-Award History

• Co-located with the pre-award office in November
  2005
• Combined with pre-award in May 2006 as Sponsored
  Programs
• Oversight under Vice President for Research
• Many adjustment issues after combination

6
Advantages of a Combined Office

• One Vice President to provide vision and
  leadership
• One Director to manage office
• Unification of policy, procedure and process
• Better staff understanding of cradle to grave
  business processes
• Team work is easier

7
Disadvantages to a Combined Office

• Potential audit issues no separation of duties
• Potential for weak or disfunctional relationship
  with other divisions at university
• if under Research, then potential relationship
  issues with Finance or vice versa
• Sometimes there is little understanding by your
  division leadership for aspects of your workload
  that may be more familiar to another division
  (try explaining FA proposal development to a
  sociologist)

8
OSU

• The experience of a separate post-award office in
  a growing, large - sized research university

9
Background Information

• Be so good they cant ignore you.

10
OSU FY07 Statistics

• Carnegie Foundation designation
• Very High Research Activity
• 145 million in Awards
• 149 million in Expenditures
• 2,800 Active Awards
• Cognizant Agency is DHHS
• Major Sponsors are NSF, USDA, HHS
• No Audit Findings for Last 12 Years
• A-133 Audits OIG Investigations OIG Close-out
  Audits

11
Staff Post Award Admin

• Twelve Total Staff
• 1 - Assistant Director
• 1 - Assistant Manager
• 5 - Grant Accountants
• 1 - High Risk Monitoring Accountant
• 1- Accountant 2 Award set-up
• 1- Fiscal Coordinator Cash Mgmt, Cost Share
• 1- Lead Fiscal Coordinator Subcontracts
• 1- Admin Program Specialist PAR, Electronic
  Files

12
Duties of Post Award Admin

• Award Set-up in FIS Banner
• Invoicing Agencies
• Accounting/Monitoring
• Budget Changes
• No Cost Extensions
• Reporting/Closeout
• High Risk Expenditure Approvals

• Audit Coordination
• Cost Share
• Subcontract Admin
• Electronic Filing System
• Effort Reporting
• Fellowship Admin
• Training Campus Department Staff

13
OSU Pre and Post Award Structure

• OSU has separate Pre and Post Award Offices
• Pre-Award and Contracts combined Report to VP
  for Research
• Post Award Report to VP for Finance
• July 2006 Contracts Combined with Pre-Award
• Previously co-located with Post Award

14
Advantages of Separate Offices

• Commended by Internal Audit
• Allows for Separation of Duties
• Maintain Focused Missions
• Post Award Reports to Finance VP
• Understanding of Financial Issues

15
Disadvantages of Separate Offices

• No Flexibility for Exceptions
• Unique Circumstances
• Post-Award very focused on Regulations
• Pre-Award Doesnt Understand Post-Award Issues
  with Invoicing and Budgets
• Communication Breaks Down or non-Existent
• Conflicting Policies and Procedures
• Hard to Establish Seamless Operation with
  Faculty

16
Culture- UNLV

• One mans ways may be as good as anothers, but
  we all like our own best.

17
Culture and Transition at UNLV

• New mission and focus for institution
• Workload changes
• Technology
• External and internal environmental awareness

18
Culture Age of UNLV

• Experience with non-standard research issues
• Reputation of university

19
Culture Centralization v. Decentralization

• University Systems
• Use to your advantage
• Risk management and Office Role
• Distribution of Activities
• Time/effort monitoring
• Expenditure monitoring
• Other post award activities

20
Culture at OSU

• As long as youre going to think anyway you
  might as well think BIG!

21
Culture Centralization v. Decentralization at
OSU

• Business Centers

22
Business Centers at OSU

• Combine College Thematic Areas
• Central Accounting Office
• Pay Bills up to 500,000 Reimbursements
• Process HR Actions
• Review Proposal Budgets
• Effort Report Monitoring
• Reports to Finance and Administration
• Ensures compliance
• Provides separation of duties for Colleges

23
Business Centers at OSU

• Train Staff
• Grant Accountants come to OPAA for Training
• Immersion in OPAA (Central Admin functions)
• Train for 4-6 months
• Include in staff meetings/social functions when
  return to Business Center
• Grant Accountant from OPAA will Rotate to
  Business Center to Establish Compliance Culture

24
Growth at OSU

• Surprises are foolish things. The pleasure is
  not enhanced, and the inconvenience is often
  considerable.

25
Plan for Growth at OSU

• 50 Increase in Awards
• Occurred over 3 years
• No New Staff
• Reclassed only Admin Support position to Grant
  Accountant
• Little or no Overtime Allowed
• Budget Constraints
• Leadership Change in Post Award
• New Ideas

26
Plan for Growth at OSU

• Review Processes
• Can you stop doing non-essential functions?
• Double reviews Shadow Accounting Systems
• Automate Invoicing
• Hand typing invoices and forms
• Decentralize Functions
• Bill payment non-standard invoicing
• Student Labor vs Classified Staff

27
Plan for Growth at OSU

• Automate Processes
• Keep VPs Informed of Growth
• Let them know your struggles
• Staff Very Team Oriented
• Suggestions taken from Staff
• Nothing implemented w/o staff buy-in
• Celebrate Your Successes!!
• Make them Public

28
Growth at UNLV

• Surprises are foolish things. The pleasure is
  not enhanced, and the inconvenience is often
  considerable.

29
Growth Complexity at UNLV

• Contract requirements
• Export control
• Cash
• Interest
• Program Income
• Cost Sharing

30
Growth Efficiency at UNLV

• Consolidation of activities in post award
• Business processes
• Benchmarking
• Keep statistics of process functions
• Time tracking

31
Growth Audit and Compliance

• Increased funding
• Contracts
• International awards
• Small business relationships

32
Communication

• Seldom, very seldom, does complete truth belong
  to any human disclosure seldom can it happen
  that something is not a little disguised, or a
  little mistaken.

33
Communication Between Separate Pre-Award and
Post-Award Offices

• Close Proximity of Offices
• Co-locate if you can
• Meet Weekly to Discuss Issues
• Develop Joint Policies and Procedures
• Develop Joint Communications to Campus
• Develop and Present Training Jointly
• Review Websites for Conflicting Information

34
Communication Between Separate Pre-Award and
Post-Award Offices

• Release Data Jointly
• OSU offices work together for award and
  expenditure data releases
• Host Joint Meet and Greets for Campus
• Create Opportunities for Staff
• Get to know each other
• Mentor each other in procedures
• Encourage team building

35
Communication in a Combined Office

• Weekly meetings between Associate Vice President
  for Research and Executive Director
• Weekly individual meetings with Executive
  Director and Associate Directors of pre and post
  award to discuss issues
• Monthly combined meetings of Executive Director
  and both Associate Directors
• Monthly staff meetings
• Regular meetings with Finance Division staff

36
Communication in General

• Ad hoc work or issue groups
• OSU utilizes for policy implementation
• Formal university committees
• Informal networking within university
• OSU meets monthly with campus University Research
  Administrators
• External networks and groups

37
Lessons Learned at UNLV

• We have all a better guide in ourselves, if we
  would attend to it, than any other person can be.

38
Lessons Learned

• Quantify
• Create policies and procedures
• Write it down and document
• Business process redesign
• Quality
• Network
• Communicate

39
Lessons Learned

• Working together works.

40
The EndAny Questions?

• Contact Information Rochelle AtheyOffice of
  Sponsored ProgramsUniversity of Nevada Las Vegas
• 702-895-1357rochelle.athey_at_unlv.edu
• http//research.unlv.edu/osp.html

• Contact Information
• Kim Calvery
• Office of Post Award Administration
• Oregon State University
• 541 737-2198
• kim.calvery_at_oregonstate.edu
• http//oregonstate.edu/fa/businessaffairs/postawar
  ds/