CONTRACT AND GRANT ADMINISTRATION

 

Acceptance of Award
        An award to the University from a sponsoring agency obligates the University to a contractual commitment.  An award may simply be in the form of a letter issued by an authorized agent of the sponsor, or it may consist of a detailed contract.

 
        The Office of Sponsored Programs (OSP) normally receives notification of sponsor acceptance or rejection of proposals.  If award notices or letters of rejection come directly to the applicant, original copies should be forwarded to OSP.

       
        Upon receipt of an award, the assigned OSP staff member informs the principal investigator and submits the appropriate acceptance documents to the sponsor.  When appropriate, the OSP staff member meets with the principal investigator to review the contract, ensuring that it conforms to the proposal and that timetables, work statements, and deliverables are acceptable.  The OSP staff member will assist the principal investigator in managing a contract or grant within University and sponsor guidelines.  If a faculty member receives documentation regarding an awarding of a project, please contact your OSP staff member as soon as possible.

 

        Awards for proposals not authorized by the University and not having a completed Sponsored Programs Approval Form may be declined by the University.  In all cases, the University reserves the right to reject an award.

 

The University does not permit work to be performed on any proposed project until the sponsor has granted the award.  No charges may be incurred against a sponsored project until OSP has received and processed the formal award notification from the sponsor and an account number has been issued.  No commitments to personnel or subcontractors should be made prior to receipt of an official award document.  On occasion, the actual sponsor document authorizing project expenditures may be delayed.  If a short delay will impede the progress of the project, the principal investigator may request approval for limited early expenditures.  Such requests are channeled through OSP.  These and other exceptions to this policy are based on the written request of the principal investigator and the approval of the Dean of the School/College or the Unit Executive Head, and Dean of Academic Affairs.

 

 

 

 

 

 
        If negotiations result in major contractual or technical changes to the original proposal, the revised proposal must be resubmitted through the established process for approval.

 
        The University reserves the right to determine the extent to which it will continue or terminate negotiations with any sponsor.

        After a proposal becomes a contract or grant, the principal investigator, the assigned OSP staff member, and the Dean of the School/College work together to manage the award.  In general, the faculty member performs the technical and administrative aspects of the award, while the OSP staff member, in partnership with the Dean’s office, handles the contractual and financial aspects.

 

The Principal Investigator:

• Ensures that the program is carried out in a timely fashion.

• Ensures the appropriate level of effort by designated faculty or staff members according to grant or contract provisions.

• Consults with teaching unit heads and the School/College Dean, as appropriate.

• Manages the budget.

• Recruits and hires the appropriate personnel in accordance with University policies, including affirmative action.

• Ensures adherence to University policies and procedures.

• Supervises project personnel according to the criteria established by the contract or grant.

• Prepares and submits interim and final project reports to the sponsor with copies to the dean of the School or College and to OSP.

 

 

The Assigned OSP Staff Member:

• Informs principal investigator, teaching unit head and School/College Dean of award.

• Reviews aspects of contract with principal investigator when appropriate.

• Negotiates contract and financial arrangements with sponsor.

• Prepares and distributes the project brief and authorized budget.

• Assists in funding changes.

• Serves as a resource to the Dean’s office regarding whether school/college approved project expenditures adhere to sponsor and university guidelines.

• Approves project expenditures at a pre-determined level and ensures that project expenditures adhere to university and sponsor guidelines.  With the exception of CAS, which has its own contract administrator, OSP staff approve personnel, consultant and unbudgeted equipment expenditures, as well as expenditures when the total amount is $5,000 or more.

• Provides information on copyright and patent procedures.

• Liaison with sponsor as the primary point of contact.

• Coordinates contractual matters with Controller’s Office and other departments.

• If need arises, coordinates with other departments to resolve internal or external issues.

• Ensures that project expenditures adhere to University and sponsor guidelines.

• Prepares consulting agreements and subcontracts.

• Handles negotiations in areas of property disposal or transfer at conclusion of project.

• Advises on project closeout.

 

 

The Office of Grants Accounting:

• Prepares and submits billings to sponsor.

• Prepares financial reports to sponsors.

• Monitors expenditures for allocability and allowability.

• Coordinates financial audits by sponsors.

• Directs compliance with OMB Circular A-133 Audit and Reporting Requirements.

• Prepares OMB Circular A-21 Cost Rate Studies (F&A Rate)

 

The School/College Dean:

• Develops sponsored program and research action plan.

• Achieves revenue goals.

• Allocates college and teaching unit resources involved in implementing research proposals and resulting from research awards.

• Advises OSP negotiators concerning negotiating strategies and options preferred.

• Reviews and revises college proposal commitments based on negotiations.

• Ensures that all principal investigators follow University policies and assume project administrative responsibilities.

• Reviews and authorizes appropriate forms initiated by the principal investigator for payroll authorizations, new hires, purchases, and other project related expenses.

• Provides cost-sharing data to OSP staff member for submission to the sponsor. Note that it is the responsibility of the principal investigator/department/school/college to keep accurate information on cost sharing as these costs will appear on the projects’ ledgers.

 

The Office of the Provost assisted by the Director of the Office of Sponsored Programs:

• Approves exceptions to policy.

• Serves as final arbitrator of University's negotiating position.

• Determines all legal actions relative to sponsored projects and coordinates resolution of financial issues through OSP in consultation with the Office of General Counsel and the Vice President for Finance and Treasurer.
   

PROJECT ADMINISTRATION

 

        Once a contract or grant has been awarded it is assigned a restricted project account number, obtained by OSP from the Office of Accounting in the Controller’s Office.  No University funds should be expended for the project until this number has been assigned.  Each project is fiscally accounted for by a separate restricted account.  When necessary to differentiate between various aspects of a single project, two or more account (or subaccount) numbers may be assigned.