Award Administration

Introduction

Sponsored & Academic Programs Support (SP) in collaboration with the Principal Investigator (PI) is responsible for administering all sponsored projects awarded to the University. This includes monitoring budget transactions, verifying and enforcing sponsor terms and conditions, processing administrative reports, preparing and overseeing subcontracts, and implementing changes mandated by both Federal and private agencies. The Controller’s office is responsible for monitoring expenditures to ensure compliance with University Policies and Procedures and sponsor requirements. The Controller’s office is also responsible for the distribution and interpretation of financial accounting information such as monthly budget reports.

When a PI agrees to implement a sponsored award or contract, he/she assumes legal, managerial, and ethical obligations. Not only must a PI have the technical expertise to produce and deliver the products or services outlined in the grant, he/she must also possess managerial skills to ensure the program’s objectives are achieved in an efficient and cost-effective manner. Even a well-executed project that meets its objectives will not be considered favorably by the sponsor if there are reporting and budget problems. Therefore, it is highly recommended that a PI become familiar with fundamental managerial concepts, since this can be a deciding factor in a program’s failure or success.

SP has developed workshops especially for PIs offered in the Fall and Winter.  Current or prospective PIs or project managers are encouraged to either attend a workshop or receive the training one-on-one with a SP officer.

Establishing an Account

Once an award has been accepted by the University, it is the responsibility of the PI and the Controller’s office to establish an account for the award. To establish an account, SP will provide the Controller’s office with the award letter from the sponsor, a copy of the proposal transmittal, and the approved proposal budget (revised if necessary). The account is set-up in accordance with the approved budget and the sponsor’s specified terms and conditions. The Controller’s office then sends an Account Number Request/Authorization form to the PI for signatures. This form provides the PI with an account number; the pink copy is returned to the Controller’s office. SP then meets with the PI to review the specified terms, conditions, and reporting requirements, and provides the PI with a fully-executed copy of the award agreement.

SP will facilitate quarterly meetings to offer just in time training for the PI to fully understand the administrative requirements for executing the funded program. PIs who receive Federal funds are required to attend quarterly meetings to complete the “Uniform Administrative Requirement for Grants and Agreements Check List.” It is the responsibility of the PI to ensure that grant funds are expended in accordance with the award agreement.

The PI is required to submit to the Controller’s office documentation supporting any deviations from the approved budget and/or exceptions/changes to the terms and conditions. It is the responsibility of SP to contact the funding agency relative to the PI’s request and clarify any questions raised. The PI should not spend based on the revised budget until written approval is received from the sponsor (if required by the grant).

Subcontracting

SP, in coordination with the PI, is responsible for preparing and overseeing subcontracts as approved in the sponsored project award and issued by the University to other organizations. In general, the subcontractor is subject to the same terms and conditions of the award, as is the University. Therefore, the subcontract agreement prepared by SP contains specific terms and conditions, an approved budget, and a statement of work. The subcontract is reviewed and approved by the PI. To be binding, the subcontract must be signed by the authorized official of the University and the subcontractor. When the agreement is fully-executed, payment is made to the subcontractor per submission of an invoice, signed by the PI, to the Controller’s office. Extensions and changes to the subcontracts are made by SP and the Controller’s office based on the approval of the primary sponsor.