Postaward considerations

Equally important to submitting a crisp, high-quality submission is the execution and administration of the award. Here are some considerations that we recommend:

 

Read and make sure you understand the award terms and conditions in the Notice of Grant Award: usually these contain standard language, but be sure that the budget, start/end dates, number of slots, and other relevant information is correct; if not, now is the time to contact your grants specialist at Rutgers or the program grants management specialist. Terms and conditions are not necessarily the same from award to award, so do not assume – and there are sometimes simple errors that can be easily addressed, but best to do so at the outset. Be sure you understand all the language, policies cited, and terminology to avoid misunderstandings and misinterpretations.

For general information for post award administration of NIH grants see Section 11 of the NIH Grants Policy at https://grants.nih.gov/grants/policy/nihgps/HTML5/introduction.htm

The Rutgers Office of Research has guidance for ensuring roles and responsibilities between the PD/PI and financial staff are clearly delineated; this is handy to use as a checklist to review at the outset with central, local, and program staff and the PD/PI as each department/center/institute/school may have its own approach to dividing these:  https://research.rutgers.edu/faculty-staff/post-award/grant-management/award-management.

Calendar the award: the outset of the award is the best time to establish a dedicated program calendar or use your own to mark all required internal and external deadlines (with plenty of advance auto-reminders) related to the application cycle, appointment/termination in xTRAIN, FFR (financial), RPPR (annual and final progress report), internal/external advisory committee meetings, and other requirements.  Also include programmatic activities (e.g. annual required conferences, seminars that the trainees must attend), and any events that require significant planning (e.g. an annual trainee retreat).

Re-engage stakeholders: we suggest reaching out and thanking them for the successful award and to let them know it’s been initiated. This is also a good time to remind them of their role (mentor, IAB member, program evaluator, e.g.) and the frequency of their expected participation in this/these roles – annually, semi-annually, during the application cycle.  For example, you can let an internal advisory board (IAB) member know that the IAB will likely be meeting twice per year (perhaps May and October) and that you’ll be scheduling these, but want to give them a heads up.  This is also a good opportunity to provide a heads up to administrative and finance colleagues who will be supporting any aspect of the the award; also providing or including them on the calendar schedules for their respective responsibilities.

Familiarize yourself with the required reports and related materials: if you are not already familiar with these, give yourself time to learn from colleagues or program administrative personnel.  Resources and examples can also be found online, though be sure the information is current. Feel free to contact us!

Utilize best practices for trainee recruitment: We do not recommend simply appointing trainees to the training program; instead: (1)  Establish an open and inclusive application process that follows what you outlined in your proposal and document your process, ideally digitizing the applications and identify statistics that will be useful to you for subsequent reporting; (2) Establish your Internal Advisory Committee as your applicant review committee unless otherwise specified in the recruitment plan for year-over-year consistent review; (3) Establish clear applicant review criteria, taking into account predoc versus postdoc. (For example: Predoc review criteria might be based on UG and/or current graduate GPA, # of months prior research experience and letters of recommendation as opposed to Postdoc review criteria that might be based on publication record, prior research experience and letters of recommendation.).  Creating a rubric that can be shared with applicants as well as application reviewers demonstrates transparency.

Determine trainee tracking for outcomes at the outset: (we recommend RedCap Flight Tracker, developed as an add-on to the RedCap platform created and supported by Vanderbilt University) See https://edgeforscholars.vumc.org/information/flight-tracker/ for more information about Flight Tracker and available training and monthly consortium calls. Flight Tracker can be setup for you on the Rutgers OARC RedCap server at https://redcap.rutgers.edu

Several administrators already utilize Flight Tracker at Rutgers and we can put you in touch as requested.

Monitor budget: Prioritizing budget establishment and engaging business and fiscal colleagues responsively throughout each award cycle helps ensure that stipends, tuition, health insurance, childcare costs, and related expenses are allocated smoothly and promptly; the budget may look easy to administer, but requires vigilance and regular reconciliation as these expenses typically cross academic units and their respective business offices.

Compile the annual progress report throughout the cycle (RPPR) – See https://grants.nih.gov/grants/rppr/index.htm

Keep notes and materials in a separate draft folder as the award year progresses for easier compilation of the annual progress report to sponsor.

Do not underestimate the time it takes to prepare and submit the progress report. Budgeting time for this at least 90 days before report submission date is recommended to gather materials, prepare budget, draft then finalize the progress report, upload attachments, and submit.

Be sure to use the most current RPPR guide when preparing and checking the requirements; in some cases, your award may have additional RPPR instructions as well.

Disseminate to trainees how to cite the training grant award:

Be sure that the award is cited and described accurately and consistently by all trainees in their biosketches and publications. 

Provided here are samples that can be modified and shared with trainees, training grant participating faculty when they are housing trainees and for publication citation:

Trainee biosketch sample

Award number (training grant PD name)                                                                      Date**

NIH institute                                                                                                                  $**

Title of NIH NRSA training award

The xxxxx program provides xxxx (brief description from lay abstract or other)

Role: Trainee

Be sure the trainees contact you/program staff for dates and funding months specific to their participation and which year of the award as well as specific stipend.

 

To conform with NIH guidance in reporting Other Support, we recommend this suggested language for faculty mentors as in-kind support when they house a training grant-supported trainee:

*Summary of In-Kind Contribution: (indicate which: Pre or post)-doctoral trainee, (insert name of trainee), who conducts research activities in the (name of PI) lab. Partial support from AWARD NUMBER and partial support by institution*.

*Status of Support: Active

*Primary Place of Performance: (indicate institutional name, city, state – likely same as reporting faculty)

Project/Proposal Start and End Date (MM/YYYY) (if available): 07/2023 – 06/2024

*Person Months (Calendar/Academic/Summer) per budget period: N/A

*Estimated Dollar Value of In-Kind Information:

For predoctoral trainee: award number: $**/(name of institution): $x (if applicable)

For postdoctoral trainee: award number: $ ** (stipend + institutional allowance) (name of institution): $x

*includes any institutional support, including department, academic unit, or graduate school.

**trainee-specific: please contact program staff for information

Citing the award in trainee publications: Be sure that each trainee has the correct citation information so that the training grant’s bibliography is linked correctly. Often the exact wording to be used in conjunction with the award number is included in the award’s Notice of Award.

Consider creating a program guidebook: consolidating information for trainees and their mentors to maintain consistent knowledge across trainees, mentors, and the program – as well as to serve as a handy reference – can ensure compliance with program and sponsor requirements. This does not need to be lengthy but reduces administrative burden in the long run by reducing the need to repeat information verbally or in emails in piecemeal or could be misinterpreted.

Ensure synchrony: as the award progresses through its lifecycle, be sure to refer back to the original proposal and submitted progress reports to ensure that all planned activities, assessments, etc are being conducted. Sometimes deviations from the original plan are necessary or better alternatives are found during the course of the award; be sure that these have been described and addressed in the annual progress reports.

Sometime past the midpoint but well in advance of the end of the award period is ideal for a planning meeting/review by program leadership to ensure that the plans and changes are well documented and to assess in the time remaining what still needs to be accomplished. This is especially true in advance of a renewal submission and the latter part of the current award cycle can often be used to pilot or explore future directions that can provide data to bolster these in a renewal application.

Know your support system: Your local department/business office can help and advise on a host of post-award issues that dovetail with appointments, HR, and fiscal matters; The Office of Research professional staff have extensive experience with pre- and post-award issues on a university-wide scale – contact them if your local department/business area cannot readily assist. They can also advise on how best to approach the program officer and staff should the need arise regarding a technical or program issue.

Finally, maintaining a high level of communication with the program officer throughout the award cycle is mutually beneficial. Remember, the sponsor program officer and grants management specialist are advocates and want the program to succeed as part of their funding portfolio – and have relevant experience in helping to navigate unanticipated situations and provide guidance. Keeping the program officer apprised, e.g. forwarding new trainee publications and remaining responsive to inquiries is an important, relationship-building differentiator.