Building Your Own Lifeboat

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Building Your Own Lifeboat
Research Administration at Smaller Institutions
Kate Felzien, Research Sponsored Programs,
NSU Susan Foster, Research Administration,
NSU Melanie Buchleiter, Research Sponsored
Programs, NSU Nora Finnegan, Research
Administration, NSU Kelly Bailey, Sponsored
Programs, ORU
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Building a Sound Boat
Setting up your office
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Pre-Award the Pirate Way

• Identify or choose reporting structure
• At NSU, Pre-Award Academic Affairs
• Post-Award Administration
• Identify or develop policies and procedures
• Timelines, routing procedures, electronic
  submission procedures
• Establish contacts with key people
• Post-Award, Deans, Administrators,
  Administrative Assistants
• Establish communication mechanisms
• Website, COS, global email, listserv, newsletter

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Post-Award the Starboard Way

• Understand department requirements
• Set department goals
• Understand policies and procedures of your
  University
• Hire knowledgeable and qualified staff
• Research grant accounting software and establish
  a solid database

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ORU the Private Way

• Office Creation in May 2006
• Staff Additions
• The integrated approach.
• Pre-Award Post-Award report to one director
• Located in same office area
• Cross-training
• Developing All Policies Procedures
• timelines, routing procedures, electronic
  submission procedures, accountability measures,
  etc.
• Set up training, relationship building, networking

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Stocking the Boat
Identifying grant resources and training faculty
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Pre-Award

• COS
• AASCU Grants Resource Center
• Guide Books
• Grants.gov setup
• Future Grant writing center for faculty
• Training Grant Safari

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Post-Award

• Gather pertinent university information such as
• DUNS - Data Universal Numbering System
• MPIN - Marketing Personal Identification Number
• TPIN - Tax Payer Identification Number
• FEI - Federal Employer Identification
• CAGE - Commercial and Government Entity
• Purchase fundamental guide books
• - NCURA-Regulations Compliance
• - NCURA-Guide to Managing Federal Grants for
  Colleges Universities
• - Circulars-A21, A-110, A-133
• Establish accounts
• Central Contractor Registration (CCR)
• Grants.gov-submission of grant proposals/Point of
  Contact/AOR
• eRA Commons-establish an (SO) signing official
  for university which controls abilities of others
  in the submission stages
• National Science Foundation (NSF)-establish
  submission control
• Department of Health Human Services-establish
  certifying officer
• Obtain database and software system to support
  work flow
• Support training for faculty on award
  requirements

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ORU Pre-Award

• The fishing lesson
• BigDataBase
• Foundation Search
• COS
• Grants.gov
• NCURA SRA
• Listserv awareness
• Oklahoma State Regents for Higher Ed
• Collaborate, Collaborate, Collaborate!

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ORU Post-Award

• Creation of routing system
• Collaboration with existing system
• Establish flow system with comprehensive
  government standards
• Establish faculty orientation
• Know the circulars
• Work with peer universities

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Catching the Wave
Obtaining the grant and setting up the grant
accounting system
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Pre-Award Obtaining the Grant

• How to know when a proposal is being
  prepared
• Be willing to provide assistance with every facet
  of the proposal
• Be flexible!
• Be friendly!
• Dont take it personally, the PI already does!

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Pre-Award Routing Process

• Familiarize yourself with the details
  of the RFP
• Begin working with post-award
• Begin compiling all components needed for
  submission
• Make sure all electronic submission issues are
  addressed
• Our routing forms and process

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ORU Pre-Award

• Gain buy-in from key players
• Celebrate victories!
• Hail to your champions!
• Know your customer
• Needs assessment
• Make it real
• Exceptional customer service!
• Hold hands when necessary

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Post-Award Setting Up the Grant
Accounting System
Budget Account Set-up Form

• Grant Name
• Funding Agency
• Award Number
• Start and End Dates

• CFDA
• Purpose of the Grant
• Project Investigator
• University Coding Information

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Setting up your folders each file folder has
separate document standard areas

• Contract
• RA Invoicing
• Memos
• Invoices

• Travel
• Program Reports
• Financial Reports

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Now that weve been awarded, how do I get the
funds?

• Reimbursement for actual costs
• One time disbursement of total award amount at
  beginning of program
• Award amount disbursed in percent increments
  within the time period
• A fixed amount for each service provided during
  an award time period

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Okay, so now the program has incurred some
expenseswhat are the ways we get reimbursed?

• A hard copy invoice
• Draw down from the agency website
• U.S. Dept. of Education G5.govNational
  Science Foundation FastLaneU.S. Dept. of
  Health Human Services Payment
  Management SystemU.S. Dept. of Defense Wide
  Area Workflow (WAWF)
• Standard Form 270 Request for Advance or
  Reimbursement

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How do I know how much to invoice?
Run a specific account general ledger report that
shows the expenses for the time period that needs
to be invoiced.
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Invoice Log for Numbered and Unnumbered Invoices

• Office Invoice Number
• Account Name
• Acct. Number
• Inv. Amount
• Date Mailed
• Date Paid
• The Un-numbered log is set up the same, of
  course, without the Office number.

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Check Payments

• A copy is made of the check
• Its deposited into the University grant account
• The deposit slip is attached to the invoice copy
  in the program file
• The deposit date is recorded in the invoice log

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Agency Website Payment Request for Funds

• Done on a monthly basis for all grant programs
  funded by agencies that offer this form of
  reimbursement payment.
• A copy of each screen is made for reference.
• The contact in the Business Affairs office, who
  handles wire transfers to the University, is
  notified.
• All documents, for each agency draw down, is kept
  in a folder for that particular agency.
• A draw down log is kept. This is broken down by
  the date, grant account number, and the amount.
• There is a specific file cabinet where draw down
  reimbursement and financial reporting files are
  kept.

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How do I handle financial reporting?

• Standard Form 269a Short Form
• Standard Form 272
• Federal Financial Report

These and other reporting forms can be found on
the Office of Management and Budget website
at http//www.whitehouse.gov/omb/grants
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Financial Reporting Forms on Agency Websites

• NSF Fastlane
• U.S. Dept. of Health Human Services Division
  of Payment Management
• U.S. Dept. of Justice Office of Justice Programs
• ERA Commons Sponsored by NIH

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How do I close out a grant?
Prior to Grant Closing ? 60 days prior to a
grant closing the PI is notified by email and
reminded of the program ending date ? 45 days
prior to a final grant year closing, check with
the PI regarding a No Cost Extension if there are
sufficient funds left to continue with the scope
of the program and it is allowable with the
funding agency ? 30 days prior to a grant
closing, I run an Account Sponsor detail Report.
disencumber any encumbrances that have been fully
paid. check with companies to get any invoices
that still need to be received and paid. ?
Review the grant award contract to find out when
financial expenditure reports are due. This could
be anywhere from 15 to 90 days after the program
ending date.
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After Grant Closes
Review the Program file to make sure all backup
paper documentation is in file
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Areas of Concern

• Contract/Agreement and any Amendments
• Award Letters
• Memos/Letters
• Budget Change/Transfer Requests
• All RA generated invoices with backup documents
• Personnel Forms
• Vendor Invoices
• Travel Forms
• Financial and Program Reports
• Match/Inkind Documentation
• Time and Effort Documentation

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Close Out Checks

• Run account reports to check if all expenditures
  have been posted
• Check with the PI or support person to make sure
  there are no outstanding expenses
• Review the contract for their requirement on
  final invoicing

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Final Expenses

• Agency website draw down
• SF 270 Request for Advance or Reimbursement Form
• RA generated invoice
• Submit final expenditure reports

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Navigating the Waters
Surviving day to day operations
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Pre-Award Day-to-Day Overview
Proposal Development Specialist

• Working with Faculty
• Build relationships
• Actively utilize formal and informal processes to
  discover the research activities on your campus
• Try to get monthly meetings with department
  chairs and deans

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Pre-Award Day-to-Day Overview
Proposal Development Specialist

• Tools to Use
• Department website
• Newsletters
• Online courses through website
• Brown bag lunches
• Workshops
• One-on-one training
• Presentations

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Pre-Award Day-to-Day Overview
Coordinator

• Manage overall flow of office
• Work on and approve proposals
• Administer Research Sponsored programs account
• Manage and administer Faculty Research account
• Coordinate training activities
• Strategic planning

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Post Award Day-to-day Overview
Financial Planner

• Run Account Sponsor Reports as needed
• Assist PI with budget of compliance questions
• Assist PI with any financial documentation
• Assist PI with grant award notifications and
  requests/revisions that need to be sent to the
  funding agency
• Train support personnel
• Assist grant personnel with questions or
  documentation required
• Work with other financial departments on grant
  ledger account maintenance

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Post Award Day-to-day Overview
Financial Planner

• Keep track of grant full-time employee leave
  hours
• Assist with pre-award proposal questions
• Assist the Director with year-end budget
  financials and budget FY roll-over accounting
• Assist the Director with any reporting, memos,
  letters, faxes, phone calls, and emails
• Co-assist with the Coordinator in managing the
  office in the Directors absence

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Post-Award Day-to-Day Overview
Director

• Look and read before you sign
• Run ledger reports on your grant accounts to head
  off any potential problems
• Review closing dates and roll-over dates for
  continuing year programs
• Send email reminders of time left on grants to
  faculty
• During down time, review grant awards
• Meet with employees to review status on assigned
  grants
• Meet with Pre-award on any potential proposals
• Avoid biting when a simple growl with do!

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ORU Day to Day Activities
Pre-Award

• Working with Academics
• Cater to their needs
• Doing whatever it takes
• Present at academic functions
• Be present at meetings events
• Locate funding sources keep open communication
  lines
• Develop boiler-plate language
• Maintain a demographic info bank

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ORU Day to Day Activities
Post-Award

• Work with restricted accounts
• Write and Edit the handbook
• Read and re-read the Circulars
• Develop PI orientation
• Review current proposals for potential compliance
  issues
• Establish reporting and compliance structure for
  University

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Staying Afloat
Keeping up with regulations and financial
compliance issues
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Tips

• Visit websites of OMB, Grants.gov, NSF, etc. and
  look for updates
• Get on mailing/email list for newsletters
• Attend state/national conferences
• Maintain open communication with funding agencies
• Notify your employees of compliance or regulation
  changes

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ORU Tips

• Watch out for what you dont know
• Get to know your peers
• Dont be afraid to ask for help
• Dont reinvent the wheel
• Invest in the right tools

• Pay attention to audit hot topics
• Purchase the right materials
• Do learn from others mistakes

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Identifying Your Lifelines
Knowing who to call for help
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Tips

• Utilize the skills and knowledge within your
  university and department
• Utilize your State Department of Education and
  Regents for Higher Education resources
• When attending conferences such as NCURA, meet
  people and create building blocks for information
• Dont forget the books on the shelf
• Remember the Wise Old Owl
• Create a support structure CGR Example
• Private Resources

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Websites Resources and Professional

• Community of Science http//www.cos.com
• Grants.gov http//www.grants.gov
• NCURA http//www.ncura.edu/content/
• SRA http//srainternational.org
• Oklahoma State Regents http//www/okhighered.org
  /grant-opps/
• NSU Research Sponsored Programs
  http//arapaho.nsuok.edu/research/

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Websites Financial

• NIH Award Conditions and Information
  http//grants.nih.gov/grants/policy/awardcondition
  s.htm
• NSF Publications Award Administration Guide
  http//www.nsf.gov/publications/
• Office of Management Budget Forms and
  Circulars http//www.whitehouse.gov/omb/grants/g
  rants_forms.html
• ERA Commons Financial Status Report
  https//commons.era.nih.gov/commons/
• Division of Payment Management Grant Info
  http//www.dpm.psc.gov/

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Contact Information
Kate FelzienCoordinatorResearch Sponsored
ProgramsNortheastern State University918-458-966
3felzien_at_nsuok.edu
Susan FosterDirectorResearch AdministrationNort
heastern State University918-444-2256fostersu_at_ns
uok.edu
Melanie BuchleiterProposal Development
SpecialistResearch Sponsored
ProgramsNortheastern State University918-444-203
4buchleit_at_nsuok.edu
Nora FinneganFinancial AccountingResearch
AdministrationNortheastern State
University918-444-2246
Kelly Bauman-BaileyDirectorSponsored
ProgramsOral Roberts University918-495-7225kbai
ley_at_oru.edu
Thank you!