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The Big Handshake: The Pre-Award to Award Management Hand-Off

By SRAI News posted 07-09-2024 04:08 PM

  

The Big Handshake: The Pre-Award to Award Management Hand-Off

In the research administration profession, the location of roles and responsibilities vary from institution to institution. There are positions in departments, service centers, central offices – jobs at sponsoring agencies, non-profits, and industry.  Each area is unique, utilizing the best formats and layouts of responsibilities for that specific entity.

In the area of pre-award (proposal generation) and post-award (award management) there can be several variations for distribution of workload. The two largest models that one might typically see is the “cradle-to-grave” model, where each research administrator receives a portfolio of specific principal investigators (PIs), departments, etc., and works on all aspects of the sponsored award, from proposal generation to close-out of the award; and “pre- and post-” where there are separate teams that manage pre-award and award management duties.  One group handles only proposals, the other group supports award management through close-out. 

The second model requires a “hand off” from the pre- to the post-award teams. There is a world of knowledge to be transferred from the proposal specialist to the award manager.  A great format to formally hand over is the “Big Handshake” meeting between the proposal specialist and the award manager.  The invitee list to that meeting might include the PI, any research staff that may be involved in the day-to-day management of the award, the assigned representative from pertinent central offices (such as OSP/OSR), and any other applicable member of the team.  This kick-off meeting could happen with every award, or just larger, more complex, and/or unique awards that indicate special circumstances, deliverables, etc.  Such awards can require more extensive monitoring, planning, and tracking during its period of performance.

From just the aspect of pre-award to award management, here are some areas to review:

Funding Opportunity Announcement (RFA, RFP, solicitation, etc.):

·        Terms and Conditions:  are there any special terms and/or conditions that were established at the time of submission?  FAR clauses?

·        What are the deliverables noted?

·        Are there any budgetary mandates or constraints?  Travel requirements to sponsor meetings?  No foreign travel or components?

·        Who can be PI? Who can be key personnel?  Is this defined? 

·        IDC restrictions? 

·        Cost share mandates?

·        Any other pertinent information that may be present.

Review of the proposal:

·        What is the scope of work?

·        Who will be the personnel and their proposed effort?

·        Close review of the entire budget.

·        Any subawards, consultants, vendors?

·        Are there timelines or deliverables?

Notice of Award:

·        Compare to the proposal for accuracy, period of performance, award amount, key personnel, subawards, etc.

·        Review all terms and conditions, stipulations.

·        Review all deliverables for product, financial and technical reporting.

·        Who are the key points of contact at the agency for the PI, financial questions, reporting, etc.?

·        Is there expanded authority? Automatic carryforward?  Automatic NCE?

·        Any other pertinent information that may be present.

Things to highlight in this meeting include reviewing and tracking the sponsors and institutions timelines for deliverables and invoicing, including internal deadlines for financial reports and closeout documents. It is also a great time to review compliance areas, such as foreign components, IRB, IACUC, Export Controls, etc.

Over the years, I’ve worked at various universities, that utilized both the life-cycle method and the separate pre-award and post-award functions for their sponsored research management.  In the separate team approach, it has always been my experience that the “Big Handshake” at the time of award was vital to the successful governing of sponsored research awards.  Research administration is a team profession!


Authored by

Betty Morgan, Assistant Director of Post-Award Administration
North Carolina State University
SRAI Catalyst Committee Member


#Catalyst
#July2024
#ProfessionalDevelopment
#ManagementandOperations
#pre-award
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