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Post-Award Issues for the Pre-Award Administrator


Post-Award Issues for the Pre-Award Administrator Panelists: Tim Leung Senior Research Accountant Stanford University Craig Johnson Compliance Analyst – PowerPoint PPT presentation

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Title: Post-Award Issues for the Pre-Award Administrator

Post-Award Issues for the Pre-Award Administrator
  • Panelists
  • Tim Leung
  • Senior Research Accountant
  • Stanford University
  • Craig Johnson
  • Compliance Analyst
  • University of Washington
  • Csilla M. Csaplár
  • Contract Grant Officer
  • Stanford University

  • Discussion of common issues (and solutions) that
    arise during proposal development and award stage
    that impact post-award
  • Terms and conditions to avoid
  • Ways to be proactive!
  • Building the bridge between pre-award and
    post-award to facilitate effective
    project management

  • Identify Cost Categories
  • Unidentified costs
  • May require sponsor approval for rebudgeting
  • Bottom line Not in the budget? Ask.
  • Personnel Costs Proposal vs. Expenditures
  • Materials/Supplies vs. Equipment
  • Subawards vs. subcontracts
  • Correct rates applied

Budgets, continued
  • Budget projections
  • Impacts of poor planning
  • Loss of direct cost funding available to the
  • Loss of FA/indirect cost recovery
  • Disallowances
  • Open communication reduces potential for
  • Excessive, inappropriate, or late cost transfers
  • Manual adjustments
  • Disallowances
  • Revised invoices/financial reports
  • Audit findings
  • Loss of expanded authorities or letter of credit
    drawdown eligibility

  • Award classification award type, award
    instrument, sponsor type
  • Single PI vs. Multiple PIs
  • One shared account or separate accounts for each?
  • PIs from different departments/divisions
  • Access? Controls?
  • Budget years vs. cumulative project period
  • Separate accounts?
  • Is carryforward automatic or is prior approval

Award Notices
  • Identify important information that post-award
    will need
  • Payment terms or schedule
  • Financial reporting requirements and timelines
  • PO or award number to be included on invoice
  • Restrictions
  • Milestones

Award Set-up
  • Interest earned
  • Return to sponsor?
  • Use toward the project?
  • For use at institutions discretion?
  • Tracking
  • Reporting
  • Interest Income
  • Tracked separately from revenue
  • Recorded as income, not expense
  • Cost sharing

Award Set-up, continued
  • Period of Performance dates
  • Effective date vs. execution date
  • Funding authorizations
  • Budget periods
  • Incremental funding
  • Supplemental funding
  • Impacts allowability of expenditures
  • Rebudgeting
  • Institutional policy
  • Sponsor policy/prior approval requirements
  • Impacts ability to get reimbursed and project

  • Invoicing
  • Format and documentation
  • Standard or Sponsor-specific?
  • Back up documentation required (negotiate!)
  • Tied to award type - Cost reimbursement or fixed
  • Frequency
  • CR in arrears monthly, quarterly, semi-annually,
  • FP up-front, per milestones reached, at
  • Combination tied to progress or deliverables?

Payment Terms
  • Upon execution/initiation
  • Fixed schedule of installments
  • Milestone payments
  • Upon completion/termination
  • Withholding of percentage or amount
  • Net 30 standard
  • Non-standard can impact institutions cash flow
  • Advances/refunds

Reporting Requirements
  • Technical
  • Progress/interim
  • Final
  • Financial
  • SF 269 and SF 270 for federal awards
  • Sponsor-specific forms for others
  • Timeframe for submission at least 60 days
  • Who is responsible department? Central
  • Be timely!
  • Timely report submission impacts A/R,
    relationship between central offices
  • with responsibility/oversight, and
    PI/institutions reputation with sponsor
  • Delinquent reports may cause sponsors to withhold
    funding on all awards
  • Your institution may be identified as not
    responsible can impact future competitions

Sponsor Approvals
  • Rebudgeting
  • Carryforward
  • Change of PI or level of effort
  • Pre-award spending
  • Flowdowns additional oversight

Compliance Requirements
  • Waivers (PI effort, indirect costs)
  • Human/animals subjects approvals
  • Cost-sharing
  • Conflict of Interest
  • Impacts level of risk to PI, department, and

Sticky Award Terms
  • Publication
  • Restrictions
  • Impacts restriction on ability to disseminate
    research results
  • Export controls
  • Acceptance of controlled or proprietary
    technology, items covered by EAR/ITAR
  • Impact loss of fundamental research exclusion
  • Intellectual property
  • Disclosure internally and to sponsor
  • Ownership
  • Impacts loss of ability to file provisional
    patents, legal battles over inventorship if
    proper disclosures not made
  • Legal terms (indemnification, venue, governing
    law, etc.)

  • Meet with PIs before the grant period is over
  • Develop a process
  • Use checklists to track items of special concern
  • (i.e. cost-sharing, unliquidated
  • final invention statements, etc.)
  • Contact your grant accounting team in advance
  • Avoid first among equals thinking

Terms to Avoid
  • Detailed financial reporting and back-up
  • Payments or reporting in non-U.S. dollars
  • Reporting deadlines on end date of award (60 days
    after end date preferred)
  • Final invoicing deadline less than 45 days after
    end date
  • Monthly interim financial reporting
  • Return of all award funds if project is
    terminated early
  • Any restrictions on publication
  • Others?

Be Proactive!
  • Training
  • PIs Explain the process and your expectations,
    answer questions
  • Department administrators Understand their role
    and the relationship with the PI, help facilitate
    the process with both
  • Encourage them to take advantage of training
  • Acting on behalf of the Institution
  • Explain the impacts of a poorly planned budget or
    a rushed proposal
  • Remind your team and your departments that you
    have their interests and those of the institution
    in mind
  • Get to know your neighborhood
  • Meet your customers!
  • Know who does what and who can help during a
  • Be patient and be a resource!

Collaborative Solutions
  • What Pre-award can do
  • Serve as the primary point of contact for the PI,
    department, and sponsor
  • Learn about and anticipate the needs of your
    post-award counterparts
  • Understand impacts of award terms and conditions
    so you can negotiate the best deal for all the
  • Educate your post-award counterpart on project
  • Communicate often, and keep people apprised of
    your expectations
  • Recognize sponsor restrictions and special
    requirements, negotiate to standardize when it
    makes sense and is possible
  • Realize restrictions of institutions systems,
    work to accommodate whenever possible

Collaborative Solutions
  • What Post-award can do
  • Understand award terms and conditions, and how to
    adhere to them
  • Interact regularly, not just when there are fires
    to be put out
  • Ask questions communication is key
  • Be flexible! Not all sponsors and awards are
    created equal.

  • Tim Leung
  • Senior Research Accountant, Stanford University
  • Craig Johnson
  • Compliance Analyst, University of Washington
  • Csilla M. Csaplár
  • Contract Grant Officer, Stanford University

With thanks to Marti Dunne, New York University,
and Diane Barrett, University of Wisconsin.