Sponsored Research Post-Award Monitoring
Every funding agency has its own requirements regarding the procedures that have to be followed for changes/modifications that result in program activities. Typically the award documents provide instructions on what you need to do for personnel changes, budget revisions, changes to program activities, no-cost extension, and other similar issues. However, sometimes this language can be unclear or confusing. If you have questions or need assistance with any post award activities, please call the Compliance Division of the Grants & Research office.
Some modifications require approval by the funding agency. Some modifications can be approved internally (by a UTC authorized official only). However, any change/modification that is required during post-award activities must be reviewed and approved by the Director of Research Compliance before documents can be submitted to the funding agency.
Please contact Lindsay Pardue, Director of Research Integrity, at (423) 425-4443 for assistance.
Federal Post-Award Compliance Regulations
Post-Award Grant/Contract Activities handled through the Compliance Division
Performance Reporting
Typically if there are performance/technical reports required on your project, the terms and conditions of the award/contract will detail the requirements and due date. At the time of your award, the Director of Research Compliance will review the terms and conditions of your award/contract and provide you a document detailing the requirements since often this language is unclear or confusing. If performance/technical reports are required, the Compliance Division will send you a reminder 30 days prior to the due date of the report.
Once you have completed the report, you will need to send a copy to Lindsay Pardue for review and approval prior to sending the report to the funding agency.
Should you have any questions please feel free to contact Lindsay Pardue via email at: Lindsay-pardue@utc.edu or by phone at extension 4443.
Changes to Key Personnel
Anytime there is a change in key personnel that results in a change of effort of 25% or more, approval is required by the funding agency. You will need to prepare a letter stating the reason for the change; describe how you can continue to effectively implement the program in the interim; and, if the change results in the employment of new personnel (not just a reduction in effort), you will need to provide information on the qualifications of the person who will fill the position, including their vitae. If the change is a reduction in effort only, which is not advised unless unforeseen problems in the program have resulted in the need for the change (e.g., a position is going down from 100% to 75%) you will need to fully explain why the change is required, how you will continue to provide the services detailed within the program narrative (how you will meet the goals and objective), and how the funding will be reallocated.
If your program should require a change in key personnel please contact Lindsay Pardue to discuss the change. If a change is required the letter prepared for the funding agency will need to be reviewed by the Compliance Division prior to submission.
Should you have any questions please feel free to contact Lindsay Pardue via email at: Lindsay-pardue@utc.edu or by phone at extension 4443.
Budget Revision
As a general rule, a change in the budget of 10% or less (of the total budget amount) does not have to be approved by the funding agency. Please check the terms and conditions of your award/contract to be sure and if you are unclear, please contact the Compliance Division for assistance.
You will need to prepare the budget revision and send it to the Grants & Research Office for review. The Grants Office will submit the revision to the Business & Financial Affairs office (Harriet Neely).
A budget revision of 10% or greater will have to be approved by the funding agency. You will need to prepare a revised budget and a letter of explanation detailing why the changes are required. Both documents will need to be submitted to the Grants & Research office for review and approval prior to submission to the funding agency.
Once the change has been approved by the funding agency and official approval of the change received, the Grants & Research Office will submit the budget revision and approval to the Business & Financial Affairs office on your behalf.
Should you have any questions please feel free to contact Lindsay Pardue via email at: Lindsay-pardue@utc.edu or by phone at extension 4443.
No-Cost Extension
If you find that you will not be able to complete your project within the project period you will need to request a no cost extension. Each program has a specified time line for no cost extensions will be stated in the terms and conditions of the award/contract. I would advise you to do an analysis of your program at least 90 days prior to the end date to make this determination.
The approval process varies between the funding agencies. Most federal agencies allow the institution (Diane Miller, Director of Grants & Research) to approve a one-time no cost extension for a period up to 12 months. However, some agencies require that you submit the no-cost extension request to them for approval.
If a no-cost extension is required you will need to prepare a letter detailing the reason the extension is required and articulate the activities that will performed during the extension period. You should ask for the full 12 months even if you think your project can be completed earlier since only ONE extension is allowed.
Should you have any questions please feel free to contact Lindsay Pardue via email at: Lindsay-pardue@utc.edu or by phone at extension 4443.
If there are other issues that arise that are unique to your program that are not detailed in the award/contact, please contact the Compliance Division for assistance.
