Dean of the Faculty

Post-Award Announcements

I invite faculty with active grants to check back here for updates on the post-award process.

In early 2023 we had our first “Single Audit” of our Research & Development (R&D) spending in about 10 years. The threshold for federal spending on R&D had increased to $750,000 in 2014, and we crossed that spending threshold in FY2022. 

I am pleased to report that we had only two “findings.”

The first was related to our Effort Certification Procedures. We implemented a corrective action plan requiring department heads to sign off on faculty salary earlier this summer.   

The second finding was related to ensuring that we are obtaining reasonable prices and rates when spending federal funding on vendors. 

Moving Forward: New Procedures for Ensuring Reasonable Prices and Rates 

  • Grant Development Phase
    • During the grant development phase, I will create a Prices and Rates document as I prepare our budget that captures screenshots of at least two pricing options for vendor costs that we are putting in the budget. We don’t have to choose the least expensive option, but we must document our rationale for choosing a given option. That rationale should be added to our document. 
  • Award Launch
    • Once funded, I will add this topic to the agenda for our award launch, the Post-Award Meeting (PAM). We will discuss the items that were captured on the Prices and Rates document during the grant development phase, and any others that we know at the time of the PAM should be added. Before providing the Prices and Rates document to you, I will update it with any new possible purchases. 
  • Grant Period
    • During the grant period, please add prices and rates information to the Prices and Rates document as needed. This additional step will ensure that we comply with federal government spending guidelines. If you should need assistance with this process, please reach out.  
    • If you have an active grant, please incorporate this Price and Rate check with any materials and supplies purchases moving forward as well as any work with consultants and other vendors. Please keep documentation of these reviews and your rationale for your decision.

After the grant period, please send me a copy for my files and retain this document as you would all grant documentation. It could be requested in an audit. 

In recent years, I have emailed faculty individually in late spring to touch base on when you would like to be paid from your active grant(s) – and to discuss other compliance matters. As the number of faculty with grants (and the number of grants) have almost doubled in the last five years, it is time to improve the process so that we are consistent in how we support each grant and each faculty member – and so that we meet compliance expectations. I have prepared the Check-up Form in order to:
  1. collect information needed to pay faculty from grants for the upcoming summer and/or academic year
  2. collect information related to student researchers for compliance-related training (eg, Responsible and Ethical Conduct of Research training)
  3. collect names of anticipated vendors on federal grants so that we can conduct the “excluded party list” review in a timely way to ensure the vendor is eligible for federal money
  4. collect names of all vendors on federal grants so that we don’t exceed $10,000 in spending – across all active federal grants in one fiscal year – without appropriate processes, like soliciting bids

Please complete one form for each active grant. Please complete the form by May 15th if you wish to be paid from a grant in the June 15th payroll. Please complete the form by May 31st if you plan on having support from a grant in the upcoming academic year.

If you would like to discuss potential changes from your approved budget, or other individual grant matters, please email or call (x6318) with any questions prior to completing the form.

As this will be the pilot year, suggestions for improving the form are welcome – the last question seeks your feedback.

Per the new January 2023 Proposal and Award Policies and Procedures Guide (PAPPG), the National Science Foundation is requiring institutions to establish an RECR training program for proposals due on or after July 31, 2023.

Key changes include:

  1. Change in Training Content: This training needs to “effective and appropriately tailored to the specific needs and circumstances of each institution,” and must include “mentor training and mentorship.” However, “it is the responsibility of each institution to determine the content, focus and the delivery method for the RECR training.”
  2. Change in Scope: We must be able to verify training of faculty and other senior personnel in addition to undergraduates.

While this training needs to be in place for NSF proposals due on or after July 31, 2023, NSF “encourages the community to establish such training and oversight for faculty and other senior personnel prior to the July 31, 2023, implementation.” I would like to use Summer 2023 to have a “soft launch” on these elements so that we can benefit from your feedback as we make improvements for future proposals. I would greatly appreciate hearing from a few faculty who would like to contribute to this discussion, so that we create a plan that works for you.

As a result of a recent, largely successful audit of our federal Research & Development expenditures in FY22, we will be adding a layer of review to the Effort Certification process (aka “Time and Effort” or T&E). Starting May 1, 2023 all Effort Certification forms must be signed by the PI and their chair or director. If the faculty PI is the chair or director, it will go to the Dean of Faculty for signature. We will be implementing a cycle in June for faculty receiving grant salary the previous spring, followed by a cycle in February for faculty receiving grant salary the previous summer and fall. I will send Effort Certification forms out for your review in Adobe Sign in advance of the deadline.  Once signed by you the form will automatically go to your chair/director/dean for a second review & signature.

Senior personnel on NSF proposals are required to certify that the information on their Biosketch and Current and Pending Support is current, accurate, and complete. This table identifies where these disclosures must be provided in proposals as well as in project reports.  This includes, but is not limited to, information related to domestic and foreign appointments and positions. The certification language is included on both the NSF fillable PDF and SciENcv template.

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Report an issue - Last updated: 10/05/2023