GRANTs DOS AND DON’TS

CHARISSE WEST – KANSAS STATE UNIVERSITY RESEARCH AND EXTENSION

BRUCE MERTZ – USDA-NIFA , AWARDS MANAGMENT DIVISION

May 25, 2011

TOPICS TO BE COVERED• Grant’s Dos and Don’ts from a State

and Federal PerspectivePreawardAwardPost Award

PREAWARD

Do thoroughly read RFAsLook for:• Program specific criteria, areas of research,

scientific merit, matching requirements, etc. • Total amount of funds available, eligibility,

award size and project duration• Understand what the sponsor is looking for in

the proposal

Don’t assume Investigators have read the RFA

• Scientists tend to focus on science• Stay within RFA range limits….Page length not

too short or long. Budgets not too big or small• Extra documents may be required• Clarity on Submission Policy is also extremely

important (# of props/institution)

When submitting proposals DO the following:

• Check margins, layout, formatting, and grammar

• Make sure all forms are completed by your institution or grants administrator

• Check DUNS numbers, FEIN Numbers• If possible, ensure all compliance issues are

met prior to submission

When preparing budgets DO the following:

• Have clear and concise budget justifications• Make sure all numbers add up and you

have budgets for each period of performance requested (no combining)

• Provide sufficient detail• Justify administrative support

Do justify administrative salaries:• Specifically describe the roles and responsibilities of

administrative personnel who will provide support services to the project.

• Justify how the effort needed for Program Assistants exceeds that which can be provided by the department for support of this project

• Assure that the individual’s activities will be confined to the needs of the project and will not include support for the general clerical duties

Do know a Consultant when you see one…..• Renders expert advice in his/her field• Should not be affiliated with the performing

organization.• Budget details should include: name,

organization, CV, SOW, LOI with AR signature and a breakdown of the amount being charged to the project

• More than $590/8 hour-day requires justification

AWARD

Once the award is made, do check the following….

• CRIS Accession Number• Compare ASAP account number and award

number• Project duration• Award Type and Amount• Awardee Organization

Provisions1. Funds in the amount of $62,563 are WITHHELD pending NIFA-ADO

receipt and approval of a revised fiv-year budget for the XXXXXX.2. The referenced proposal and any revision thereto - incorporated

by reference3. Research Terms and Conditions (07/01/08) and NIFA Agency

Specific Terms and Conditions (10/10) athttp://www.nifa.usda.gov/business/awards/awardterms.html

4. This institution is a signatory to the Federal Demonstration Partnership (FDP) Phase V Agreement which requires active institutional participation in new or ongoing FDP demonstrations and pilots.

Provisions cont.5. 7 CFR Part 3015, 7 CFR Part 3017, 7 CFR Part 3018, and 7 CFR Part

3019, 7 CFR 3430 - incorporated by reference (http://www.nifa.usda.gov/business/awards/fedregulations.html)

6. The Approved Award Budget7. CRIS Forms AD-416 and AD-417 - incorporated by reference8. The obligation of funds may be terminated without further cause

unless the recipient commences the timely drawdown of funds; initial drawdown must be made within the first year of the project.

9. Form AD-1048 or other NIFA approved format must be completed by the approved subawardee(s) and returned to the recipient for retention in the official award file. It is not necessary to send a copy to NIFA.

Do Understand Award Terms & Conditions

• Research Terms & Conditions • Government-wide terms and conditions• http://www.nsf.gov/bfa/dias/policy/rtc/terms.pdf

• NIFA Agency Specific Terms and Conditions• http://www.nifa.usda.gov/business/managing_grant.html

DO KNOW AWARD STATUTORY TIME LIMITATIONS

• Program authorizing language limits grant period:• Special research grants and others are limited

to three (3) years from the award start date• Most Projects are limited to five (5) years

from the start date of the award• Award cannot be extended beyond statutory

time limitation

DO Understand ASAP Time Limitations

• ASAP payment account becomes inaccessible 90-days after award expiration date

• ASAP Account is suspended if you do not access your account at a minimum of 30 days

• ASAP enrollment must be completed in 45 days or grantee must start over

Don’t Assume the Investigator Knows Award Rules and Regs

• Ensure Compliance with Grantmaker Administrative requirements at all times A-102 - State , Local , and Tribal Governments 2 CFR Part 215 – Higher Ed, Nonprofits,

Commercial

• Agencies apply Provisions to Primary Recipients• Primary Recipients apply Provisions to subrecipients• Compliance is a condition of receiving Federal grant

funds

Do consult Circulars for allowable costs• Costs directly associated with the conduct

of the project• Office of Management and Budget (OMB)

Circulars provide guidance on Cost Principles 2 CFR Part 220 (A-21) Educational Institutions2 CFR Part 225 (A-87) State, Local, Tribal

Governments2 CFR Part 230 (A-122) Non-profit Organizations Federal Acquisition Regulation (FAR) - Comm.

DO LOOK FOR UNALLOWABLE COSTS• Promotional give-away items

• T-shirts, hats, tote bags, mugs, etc.• Incentives to entice participation

• Gift cards or certificates, coupons, etc.• Construction of a building or facility• Breakfast before or dinner after a meeting • Lunch during a meeting without justification • Alcoholic beverages and/or Entertainment • Any costs expended after expiration date

POST AWARD

Do know when NIFA Approvals are Required!

• Pre-Award Costs more than 90 days preceding the start date of the award

• Changes in the scope or objectives of project • Change in key people (Project Directors) • Subcontracts over 50% of the award or to a

Federal Agency (unless previously approved by NIFA at time of award)

• Second or Subsequent No Cost Extension

DON’T FORGET YOUR FINANCIAL REPORTING REQUIREMENTS

Annual Financial Report SF-425• Due dates based on the anniversary date of the award• Includes report on matching funds• No reminders sent• No continuation awards w/out annual 425 report

Final Financial Report SF-425• Due within 90-days after expiration of grant• Notification of Final Financial Report sent electronically

45-days prior to expiration and again at 90-days after if not received.

DON’T FORGET YOUR TECHNICAL REPORTING REQUIREMENTS

Annual Technical Report • Due dates based on the anniversary date of the award• Reminder sent by CRIS• Very important for Continuation awards

Final Technical Report • Due within 90-days after expiration of grant• Reminder sent by CRIS• Failure to comply will impact future funding

DON’T FORGET ABOUT RECORD KEEPING

• OMB Circular A-110 retention of financial records, supporting documentation, and all records pertinent to the award:• for a period of three years from the date the Final

Financial Report (SF-425) was submitted; or,• for a period of three years after any audit issues

were resolved• Retention of records pertains to Federal and

matching funds

PLEASE DON’T HESITATE TO SEEK HELP

• Contact the administrative Point of contact on the award Face Sheet (Block 14) or the Awards Management Division at 202-401-4986 or awards@nifa.usda.gov.

• Visit Our Website www.nifa.usda.gov • Consult Agency Terms and Conditions

DO GIVE YOURSELF AT PAT ON THE BACK

• For doing important work in the grants assistance process

• Keeping your Sanity

QUESTIONS?