Grant Management & Financial Oversight
Empowering Research Teams: A Guide to Effective Post-Award Management Training for Principal Investigators and Research Staff
Spotlight Story - Catalyst Quarterly
A strategic approach to post-award management training: Learn how tailored guidance on budget management, compliance, and reporting can enhance project success while avoiding common pitfalls that jeopardize funding and research continuity. (Based on a concurrent session led by the author at an SRAI Annual Meeting, November 2022.)
The excitement of securing funding can often shift to overwhelming feelings once a Principal Investigator (PI) dives headfirst into the complexities of budget management, reporting requirements, and compliance. Yet, all too often, training in post-award management is geared only towards fund managers and research administrators, leaving PIs and their research staff feeling underprepared. While fund managers and research administrators require in-depth knowledge of financial regulations and reporting procedures, PIs and research staff need a different skillset.
This article outlines a strategy for developing effective post-award management training that empowers research teams, fosters compliance, and ultimately contributes to the success of research endeavors. By providing the right tools and knowledge, we can create a smoother and more efficient research process.
Building a Foundation for Success
Effective post-award training for research teams should include several key components:
- Understanding the WHY: Training should clearly explain the purpose and importance of various post-award documents, such as financial ledgers, purchase request forms, and reporting templates. By understanding why these tools are necessary, research teams are more likely to use them correctly and consistently.
- Skill Building: Post-award management involves a range of practical skills, including basic accounting principles, budget reconciliation, and interpreting financial reports. Training should provide hands-on skill-building exercises to equip research teams with these essential abilities.
- Create Documents to Provide Reference Materials: As a research administrator, you should create comprehensive written guidelines, "how-to" documents, and fillable forms to assist your PI’s. These serve as invaluable resources that research teams can refer to whenever questions arise. These materials should be clear, concise, easily accessible, user-friendly and designed to capture or convey all necessary information.
- Navigating Resources: Provide contact information for key persons and departments involved in post-award management.
The "Carrot and Stick" Approach
To motivate PIs and research staff to actively engage in post-award management, it's helpful to emphasize both the benefits and the consequences:
- The "Carrot":
- Research runs more smoothly when post-award processes are well-managed.
- Effective financial management ensures that funds are spent fully and appropriately, increasing the likelihood of securing future funding.
- Training empowers research teams with greater control over their projects.
- The "Stick":
- Failure to comply with institutional, sponsor, or governmental policies can lead to serious consequences.
- Poor post-award management can result in the loss of funding.
- The dreaded "A-word" (audit) highlights the importance of accurate record-keeping and compliance.
Tailoring Training to Your Institution
The format and content of post-award training should be tailored to the specific needs and context of your institution. Key considerations include:
- Integration: Should the training be a completely new program, or can it be integrated into existing infrastructure?
- Mandatory vs. Optional: Should the training be mandatory for all research personnel, or required only for new or junior staff? Should it be a one-time training or an annual requirement?
- Accessibility: How will training materials be made available to research teams (e.g., website, shared folder, learning management system)?
- Audience Differentiation: Should there be different training programs for PIs versus that for other research staff?
- Collaboration: Can the training be coordinated with similar departments or divisions to maximize resources and ensure consistency?
- Communication: How will personnel be kept updated on changes to policies, revised guidance, and important reminders?
Content is King
The content of post-award training should be relevant, practical, and address the specific challenges faced by research teams. Key areas to cover include:
- Roles and Responsibilities: Clearly define the roles and responsibilities of all key players in the post-award process, providing contact information and a concise summary of each person's or department's function.
- The Life of an Award: Provide a high-level overview of the entire award lifecycle, from the notice of award to closeout, emphasizing where the research team fits into the overall process.
- Expectations: Clearly outline the responsibilities of PIs and their teams, including obtaining necessary approvals, conducting research ethically, and managing project funds responsibly.
- Understanding Documents: Familiarize research teams with common post-award documents, such as award notices, financial ledgers, and purchase request forms, providing step-by-step guidance on how to interpret and use them.
- Finance Team Collaboration: Emphasize the importance of regular communication and meetings with fund managers to ensure accurate financial management.
- Common Scenarios: Address common post-award scenarios, such as delayed funding, budget reallocations, subaward management, and award extensions, providing clear guidance on how to handle these situations.
- Resources: Provide a comprehensive list of resources and contacts for further information and assistance.
Creating Effective Training Materials
The design and delivery of training materials are crucial for maximizing their impact. Key principles include:
- Simplicity: Keep the materials clear, concise, and easy to understand. Avoid jargon and technical language whenever possible.
- Relevance: Tailor the materials to the specific needs and challenges of the target audience.
- Accessibility: Ensure that materials are easily accessible
Three types of materials are particularly effective:
- Detailed Guidelines: Comprehensive documents that provide in-depth information on post-award policies and procedures.
- Decision Tree Checklists: Visual aids that guide users through more complicated post-award scenarios, where the correct steps may vary based on the answer to specific questions.
- Fillable Forms: Standardized forms that simplify common post-award transactions and data collection.
Tips for Success
- Don't Reinvent the Wheel: Leverage existing resources and materials whenever possible.
- Know Your Audience: Tailor the training to the specific needs and experience levels of your target audience.
- Ensure Compliance: Align all materials with institutional and sponsor policies.
- Beta Test: Pilot test materials with a small group of users to identify any areas for improvement.
- Regularly Update: Review and update materials regularly to ensure they remain current and accurate.
Investing in effective post-award management training for PIs and research staff is an investment in the success of research itself. By providing the right tools, knowledge, and support, we can empower research teams to navigate the complexities of post-award management with confidence, ensuring compliance, maximizing resources, and ultimately advancing scientific discovery.
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