Award Management

9.1 Post-Award Administration

The process of managing sponsored projects is a shared responsibility between the PI, the department, OSP, and Grants & Contracts Accounting, and each has unique areas of primary responsibility.

9.1.1 Role of PI in Post-Award Administration

The PI has primary responsibility for accomplishing the technical goals of the project, while also complying with the financial and administrative policies and regulations associated with the award. Although PI’s may have administrative staff to assist them with the management of project funds, the ultimate responsibility for the management of the sponsored project work and funds rests with the PI.

In order to carry out their responsibilities effectively, PI’s should meet with their department administrative and/or accounting staff to review charges in a timely manner. The fundamental responsibilities of the PI during the post-award phase include:

• Executing the project as outlined in the funded proposal, using sound management techniques
• Authorizing only those expenditures that are reasonable and necessary to accomplish the project goals and are consistent with the sponsor’s terms and conditions
• Spending no more than the amount authorized by the sponsor for the budget period
• Carrying out the project’s financial plan as presented in the funded proposal, or make changes to the plan following a prescribed set of policies and procedures
• Reporting project progress to the sponsor as outlined in the terms of the award
• Reviewing expenditures in a timely fashion to assure their appropriateness and correctness
• Complying with all University policies and procedures related to project management and personnel practices
• Complying with all applicable sponsor rules, regulations and/or terms and conditions of the award

Go to Section 9.2 >>

1. Post-Award Administration
   1. Role of PI in Post-Award Administration
2. Financial Management
   1. Financial Management Reports
3. Summary of Revenue & Expenses
4. Detail Transactions Report
   1. Open Encumbrances Report
   2. Balance Sheet
5. Post-Award Changes & Approvals
   1. Changes Requiring Prior Approval
      1. Re-budgeting
      2. Additional Compensation
      3. Changes in Objectives or Scope
      4. Absence or Change of Key Personnel
      5. Foreign Travel
      6. New-Subcontracts/Sub-Agreements
      7. No-Cost Extensions
      8. Carry Forward
      9. Relocation or Transfer
6. Effort Reporting
7. Other Financial Management Issues
   1. Overspent Projects
   2. Underspent Projects
8. Reporting Responsibility
   1. Interim Progress Reports
   2. Project Close-Out
      1. Final Technical Report and Other Deliverables
      2. Final Financial Report
      3. Final Inventory Report and Title to Property
      4. Patent and Invention Report
   3. Late Reports or Non-Reporting
      1. Government Agency Policies
      2. University Policies
9. Records Retention
   1. University Ownership and Responsibilities
   2. Principal Investigators Responsibilities
   3. Duration of Retention of Data
   4. Access to Records
   5. Transfer of Data or Records When a Researcher Leaves the University