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Module 4: Post-Award Administration of Sponsored Projects (Part 1)Office of Research and Sponsored Programs

The University of Mississippi100 Barr Hall ~ 662-915-7482

www.research.olemiss.edu/

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This module will explain what happens after a proposal is funded. Part 1 covers: Award receipt Award review Award negotiation Award acceptance (or not) Account set-up Award management (just the basics)

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Award receipt

The university is the legal recipient of all awards The Vice Chancellor for Research and Spon-

sored Programs is the only person authorized to accept (sign) externally-sponsored awards on behalf of the University of Mississippi

All externally-sponsored awards should be sent to the ORSP (this does not include gifts, which are coordinated through University Development and/or The UM Foundation and/or The UM Research Foundation)

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Award review

Award review is a collaborative process: The investigator reviews (with assistance from the

department administrator, if appropriate) The ORSP reviews The ORSP retains the original award and

forwards a copy and a Notice of Award memo to the investigator

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What should the investigator look for when reviewing an award? Everything! Read the entire award, including

terms and conditions. Pay close attention to: Project/budget period Budget, including cost sharing requirements Scope of work Restrictions (especially restrictions on

publications and/or foreign nationals) Reporting requirements

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What does the ORSP look for when reviewing an award?

Everything! All of it The whole thing The whole kit and caboodle The whole enchilada Etc., etc., etc.

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What are some red flags in award review? Restrictions on publications* Restrictions on foreign nationals* Indemnification (State of Mississippi law does not

give UM the authority to indemnify) Restrictions on the university’s intellectual property

rights Excessive reporting or invoicing

*These restrictions conflict with UM’s mission. If UM accepts restrictions on publications and/or foreign nationals, our Fundamental Research Exemption may be invalidated.

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Why do we pay so much attention to those red flags? As a public, comprehensive, research

institution whose primary functions are the creation, dissemination, and application of knowledge, the university must: protect the right to disseminate research results in

publications; protect intellectual property and data rights; protect itself and the investigator from liability; and generate revenue without burdensome systems

requirements

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Award negotiation If there is language in the award that

precludes any of the items mentioned on the “red flags” slides, or other items that may be unacceptable to the investigator or to the university, then the ORSP will try to negotiate with the sponsor to have the language removed from the award. This could take days, weeks, or even months (for industry-sponsored awards).

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Award acceptance

After the award has been reviewed by the investigator and the ORSPand

After any negotiations have been completed by the ORSP

THEN The award can be accepted by the

university

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What are the roles of the investigator and the ORSP in award acceptance? Investigator

The investigator indicates acceptance of an award by signing the Notice of Award memo and returning it to the ORSP

Office of Research and Sponsored Programs The Vice Chancellor for Research and Sponsored

Programs is the only person authorized to accept (sign) externally-sponsored awards on behalf of the University of Mississippi

By accepting an award, the university is legally bound to the budget, the scope of work, the project period, and all terms and conditions pertaining to the award

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What does the investigator’s signature on the Notice of Award indicate? I have reviewed the terms and conditions and

agree to comply with sponsor and university requirements

I accept responsibility for the technical aspects of the project, including timely submission of technical reports

I agree to submit activity reports and cost sharing details as required

AND …

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What does the investigator’s signature on the Notice of Award indicate? More … I will notify ORSP Sponsored Programs

Administration to initiate any required subcontracts or subcontract modifications

I will notify Accounting to initiate invoicing (when invoicing is based upon completion of tasks)

AND …

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What does the investigator’s signature on the Notice of Award indicate? More … I accept responsibility for fiscal management of the

award which includes: Reviewing monthly budget statements* and/or appropriate

SAP Budget Control System reports* to determine that all charges and credits are appropriate; and

Spending funds within the approved project period, in accordance with the approved budget, and in accordance with OMB Circulars A-21, A-110, and any relevant agency guidelines

*Note: Someone in every department has access to SAP. Also, investiga-tors can obtain access to grant account data using the SAP to Excel Project (STEP), which accesses data in SAP and displays it in an Excel spreadsheet.

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Does the university ever refuse to accept an award? It is not likely that the university would refuse

to accept an award, but it is possible The university reserves the right to refuse an

award if the terms and conditions are unacceptable and cannot be negotiated to meet the needs of both the university and the sponsor

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Account set-up

Account set-up is handled by Accounting The process goes like this:

The ORSP sends a Notice of Funding memo, a Transmittal Sheet, a budget, and a copy of the award to Accounting

The investigator receives a copy of the Notice of Funding memo

Accounting sets up the account and sends a memo to the investigator (and a copy to the ORSP) indicating the account number, funding agency and amount

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Award management: Investigator responsibilities Investigator responsibilities:

1. Conducting the project as described in the award

2. Providing technical liaison with the sponsor

3. Assembling and providing guidance to program personnel

AND …

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Award management: More investigator responsibilities Investigator responsibilities:

4. Expending funds in accordance with university and sponsor regulations

5. Providing Accounting with Activity Reports documenting the personnel time devoted to the project

6. Working with Accounting to document any cost sharing committed in the award

AND …

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Award management: More investigator responsibilities Investigator responsibilities:

7. Keeping a current equipment inventory list and preparing and submitting annual equipment reports if required

8. Tagging equipment to which title vests with the federal government

9. Preparing and submitting technical reports and invention reports and cooperating in the completion of other reports as required

10. Maintaining records in accordance with university and sponsor regulations

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Award management: ORSP responsibilities ORSP responsibilities:

1. Ensuring university concurrence with federal regulations regarding non-fiscal compliance issues

2. Coordinating overall non-fiscal sponsored projects management

3. Serving as liaison between the university community and the external sponsor regarding non-fiscal grants management issues

AND …

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Award management: More ORSP responsibilities ORSP responsibilities:

4. Preparing subawards related to sponsored programs

5. Securing audit certifications from intended subrecipients

6. Processing actions that require sponsor prior approval or those that are allowed by expanded authorities

7. Monitoring report submission

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Award management:Accounting responsibilities Accounting responsibilities:

1. Establishing accounts for programs after fiscal review of award documentation

2. Assisting the investigator in fiscal post-award administration

3. Serving as the contact point with agencies for fiscal matters

4. Ensuring consistent application of federal policies related to fiscal matters

AND …

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Award management:More Accounting responsibilities Accounting responsibilities:

5. Submitting fiscal reports

6. Ensuring that all documented cost sharing is reported to the sponsor

7. Calculating and recovering all legitimate F&A costs

8. Closing out accounts