Contract Intellectual Property

							South Dakota Community Foundation
                Convened Meeting
                         July 2009
You have just been awarded the grant.

- You can hire the much needed staff
  position.
- You can call your contractors to start the
  project…now!
- You can kick-off your brilliant project.


Be careful for what you wish for… it just
 might come true.
Today we will discuss:

   Grant Management Preparation
   Contract Negotiation
   Compliance
   Reporting
   Future Grants
   Peer Advice
When writing the proposal, keep your grant
 reporting in forefront:

   Scope of work
    ◦ Be very clear on the scope of work. Draw a “fire wall”
      around the grant project and the rest of your work.
    ◦ Keep your objectives SMART. Try not to have too much
      duplication in your objectives.
    ◦ Define tangible deliverables for each objective. Know
      when they start and end.
    ◦ If asked to define milestones in proposal, be aware your
      funding may be tied to milestone completion. Keep
      milestones realistically aligned within budget periods.
   Budget
    ◦ Budget items that can be measured.
    ◦ Understand budget periods…periodic or tied to project
      phases/stages.
    ◦ Understand cost sharing implications.

   Timeline
    ◦ Define a reasonable timeline.
    ◦ Allow flexibility and contingency.

   Team
    ◦ Devote project team members’ time. Be realistic.
    ◦ Ensure they have the appropriate skill set and tools to complete
      objectives.
   Identify your grant administrator.
   Ensure your financial systems are compliant
    to grant reporting.
   Identify a project manager if not the same
    person as the project director.
   Establish contractual arrangements or MOUs
    with collaborators.
Grants are forms of investments for funders.
 Government
    ◦ Deploy research, service and resources
    ◦ Disperse geographically
    ◦ Disperse to target populations
   Corporations
    ◦ Market to target audience
    ◦ Enhance corporate mission
   Foundations
    ◦ Empower others to employ their core mission and
      focus areas
   Final grant submission
   Grant contract
   Correspondence
   Budget
    ◦ Original
    ◦ Each reporting period
   Periodic Reports
   Final Report
If you only get one message from this
  presentation:

The manner in which you manage your
 grant will determine if you will receive
 future grant funding.

…independent of whether the project itself was
 successful or unsuccessful.
   Do you understand all terms and conditions?
   Have you taken the time to check/review
    references?
   Do you understand reporting requirements?
   Is there a pre-award clause?
   Has your project changed substantially? Now
    is the time to negotiate changes.
   Do not be surprised if the funder requests
    changes to your proposed project plan.
Compliance Issue        Action Plan

Employees

Contractors

Safety

Environmental
Procurement

Property Management

Intellectual Property
   If you have already received a federal grant, your
    government project manager is your best source
    of advice. Ask him/her for webinar links or
    guidelines.

   If you have not received a federal grant but are
    curious of reporting requirements, the OMB
    webinars held the week of July 20 (they will be
    archived) for potential Recovery Act awardees
    may be beneficial. Please refer to the following
    website: http://www.recovery.gov/?q=node/658.
Prior to contract execution, ensure your financial
  management system is in compliance:

   Generally allowable accounting practice (GAAP) is typically
    a required standard.
   Allowable indirect costs may be negotiated during
    contracting phase if not already established.
   Unallowable indirect costs such as marketing and lobbying
    are not allowed.
   Total costs as well as cost share of each funding source
    shall be carefully documented as well as summarized in
    reports generated by applicant or provided by the funding
    agency.
   Time tracking may be required. If so, establish a time
    tracking policy (minimum) and invest in time tracking
    software.
  Cost Item        Your    Loan   USDA   Fdn A   Fdn B
                  Agency


Construction               $$$$   $$$$


Equipment                                 $$      $$


Personnel          $$$$


Fringe Benefits    $$$
   Scope of Work
    ◦ Actual work completed versus proposed
    ◦ Results and deliverables
    ◦ Anticipated progress between current and next
      report
   Timeline
    ◦ Actual progress versus proposed progress
    ◦ Interventions to get back on track
   Budget
    ◦ Actual versus proposed budget
   Turn your reports in on time. Create an electronic or hard
    copy file to compile documentation.
   Give them what they ask for – do not second guess. If it
    doesn’t make sense, ask.
   Stuff happens. Do not hide problems. For example, if
    your timeline shifts, be clear why it did. Create a risk
    mitigation plan and share it with your project manager.
   If your scope of work changes, call your program manager
    and discuss. They will likely want you to submit a letter of
    request with a new written scope of work, budget and
    timeline. In turn, they will send you a formal letter
    approving or denying this request. Save this letter!
   Sometimes program managers will not know what they
    want to see until they see it. Thus causing iterative work.
    Be patient!!
Most grant proposals require an evaluation plan. Your
 evaluation plan should be implemented concurrent to the
 project itself.

   How will you measure each objective? How will you know
    if you accomplished what you set out to do?
   How will you obtain feedback from the target audience?
    Surveys, interviews?
   How will you evaluate the project implementation?
    Timelines, tasks?
   Did you need to make interventions? If so, were they
    effective?
   Will you use quantitative or qualitative methods or a
    combination?
   Will you use an internal or external evaluator? Typically ~5
    – 10% of your budget can be allowed for evaluation.
Establish a good working relationship with your
 project manager (government) or foundation
 representative and implement the following:

   Live the Golden Rule.
   Establish sound procurement procedures.
   Don’t even think about it…construction kick-
    backs, conflict of interest.
   Cultivate research integrity.
   Set high expectations for reporting integrity.
   Accounting
    ◦ Financial System
    ◦ Reporting
    ◦ Independent Auditing

   Legal
    ◦ Contract
    ◦ Intellectual Property

   Independent Contractor (university, service firm)
    ◦ Evaluation
    ◦ Grant reporting or editing
Now that you have attained the grant,
 implemented a successful project and managed
 the grant with integrity, you are ready for next
 phase.

   Outline the next project phase (e.g., expansion of
    service area or provided services, development of
    a pilot scale to a demonstration scale) using
    compelling data from current phase.
   Engage and market to current funding sources.
   Research new funding sources.
If the clock were turned back, I would do the
  following when managing my grant:

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Sharon L. Chontos
Chontos Consulting, LLC

sharonchontos@ yahoo.com