Award Management
Award Management, (often referred to as post-award), includes University, campus, and sponsor policies and procedures pertinent to the project. Sound management of sponsored funds is critical in maintaining public trust in research results and outcomes, research participants, and how public and private funds are spent.
Managing a grant award may require collaboration from staff members in several offices and units. The Award Responsibility Matrix is a quick guide to who is responsible for what tasks. If you are unsure who to contact, you can always contact [email protected] or [email protected].
To help you manage your award, ORSP has compiled the following resources:
- Agency Prior Approval
Some changes made during your project may require prior approval from the sponsoring agency. Regulations vary by sponsor, but you should always consider whether agency prior approval is needed if there are changes to personnel named in the proposal, changes or additions of sub-awardees, budgetary changes over a certain threshold, and changes to participant support costs. ORSP is happy to help you determine if you need approval and to help you secure approvals from the sponsor. There is also a helpful chart that can be found here that outlines specific requirements of several federal agencies.
- Award Documents / Contract
Please be sure to keep a copy of your award document / contract. Please carefully review this document and keep a copy for reference throughout the project period.
- Award Period
Please adhere to the timeline of deliverables as detailed in your proposal. In some cases, sponsors will allow for a “no cost extension” of your project end date. Please contact ORSP immediately if you anticipate the need for a no-cost extension. We need AT LEAST a 60-day notice before the end of your award.
- Budgets/Budget Revisions
Please spend funds as closely as you can to the awarded budget. If you have questions about your account or expenditures, please contact one of the following staff members in Accounting Services: [email protected], [email protected], or [email protected]. If you find that expenditures will differ from the awarded budget, please contact ORSP as early as possible so that we can help you determine if prior approval is needed from the sponsor and advise you about regulations and policies.
- Conflict of Interest
Each year UTC faculty and staff must complete an Outside Interest Disclosure form (see Policy FI0125). If you are unsure about a potential conflict, let us know and we can help you determine what steps need to be taken. More details can be found on the HR website.
- Cost Sharing
If your approved budget contains required cost sharing (or match). For the cost-sharing unit(s), work with departmental administrators and department heads to ensure matching funds are secured and expended at the rate specified in your award agreement. For more information, see UT Policy FI0210. Contact [email protected] if you have questions about cost sharing.
- Course Releases and Effort Reassignment
If your approved budget includes funds for a course release and/or effort reassignment (for 12-month faculty and staff). You [and you Co-PIs/collaborators] should notify your departmental administrator and department head immediately so that they may plan ahead and make the necessary changes in DASH.
- Effort Certification
All employees who receive additional pay from sponsored projects must certify their effort, including summer months.
Information for completing this area is currently under construction as we move to DASH. Please submit a DASH inquiry here with questions regarding our new processes. To visit the new Employee Self-Service in DASH, please go here.
For other questions about effort certification, please contact [email protected].
- Extra Service Pay
UT Fiscal Policy FI0207 specifies certain conditions that must be met in order for extra service pay to be allowable for exempt staff, 12-month faculty, and/or 9-month faculty during the academic year from federal or federal flow-through funds. For non-federal sponsors, the institution has more discretion in considering special circumstances under which extra services pay may be approved. See the Extra Service Pay Procedure Statement for guidance on when and how to submit the Extra Service Pay Preapproval Form.
- Graduate Assistantships
Your approved budget includes funds for a graduate assistantship. You must pay both the tuition and stipend/fringes for the GA. Please notify your departmental administrator and department head immediately so that they may make the necessary changes. Please consider the approved period of performance and any other special circumstances that would require prorating the amount of tuition/stipend.
- Minors
If your project involves minors in a program or study, please review UTC’s policy for minors at Programs for Minors here.
- Reporting
As the PI, you are responsible for meeting all reporting deadlines. Failure to submit the report on time will impact your ability (and that of the institution) to secure future awards. Please send ORSP a copy of all reports for our files at the time you submit your report to the sponsoring agency.
NOTE: Your reporting dates may be subject to change throughout the life of the award, so make sure to carefully review any communications from the sponsor for changes.
- Research Compliance
If your award is from NSF, NIH, or USDA, and contains students or subawards, then RCR Training may be required. Responsible Conduct of Research (RCR) is training for students and/or postdocs supported by grant funds. Please contact a representative from the Office of Research Integrity to discuss details.
It is the PI’s responsibility to ensure compliance with research protections and regulations including such topics as human subjects’ protections, animal subjects’ protections, responsible conduct of research training (if needed), export control regulations, etc. If you need assistance with any compliance-related items, please contact [email protected] or [email protected].
- REU or Trainee Stipends
If your approved budget includes funds to be paid as trainee stipends, the stipends must be paid to UTC students through the Financial Aid office. These funds cannot be paid as wages through payroll. Please contact Ken Scannapiego ([email protected]) in The Office of Financial Aid and/or Virginia Moore ([email protected]) in Accounting Services for assistance.
- Subcontracts/Consultants/Vendors
If the approved budget includes funding for outside individual(s) and/or organization(s) who will provide supporting goods and/or services in the amount of $10,000 or more for the project, a formal contract is required. If you have questions about developing or processing a contract, check with your department’s support staff or contact Kristen Johnson ([email protected]) in Procurement and Contract Services.
If you find you need to contract for additional goods or services that are not in your approved budget, please get in touch with ORSP immediately. ORSP will determine if sponsor prior approval is needed and assist you in maintaining compliance with the sponsor’s requirements.
If the approved budget includes a subaward to collaborate directly with UTC in carrying out the specific aims of the project, please reach out to [email protected]. Subawards are formal, institutional agreements and are processed by ORSP. ORSP will initiate the subaward with input from you and negotiate terms with the subawardee(s).
PLEASE NOTE: The subaward origination process can be complex and time-consuming, so it’s important to START EARLY! Monitoring subawardees is a critical PI responsibility. A subaward monitoring guide can be found here.
If you find you need to contract for additional subawards that are not in your approved budget, please get in touch with ORSP immediately. ORSP will determine if sponsor prior approval is needed and assist you in maintaining compliance with the sponsor’s requirements.
- “To Be Hired” Personnel
If your approved budget includes personnel to be hired for the project, please contact HR and your departmental admin to complete the hiring process. Note that full time employees (75% or more effort) will accrue annual leave as a result of their employment and those accruals will have to be paid out when the position is terminated or the grant ends. See the Annual Leave sheet for more information.
- Whistleblower Protections
The requirements of 48 CFR section 3.908 (found at http://www.ecfr.gov) implementing section 828 of the National Defense Authorization Act (NDAA) for Fiscal Year 2013 (Pub.L. 112-239, enacted January 2, 2013) entitled “Pilot Program for Enhancement of Contractor Employee Whistleblower Protections” apply to this award. This notice requires that grantees inform their employees in writing of employee whistleblower rights and protections under 41 U.S.C. 4712 in the predominant native language of the workforce. The details of 41 U.S.C. 4712 can be found at: http://uscode.house.gov/browse.xhtml. (regarding 48 CFR section 3.908, note that use of the term “contract,” “contractor,” “subcontract,” or “subcontractor” for the purpose of this term, should read as “grant,” “grantee,” “subgrant,” or “subgrantee”).
- Other Resources
These policies and offices will support and guide you as you implement your project. If you are ever unsure who to contact or how to handle a situation, you can always contact Meredith or Angie and we will be glad to help you or to connect with information, resources, or colleagues who can best be of assistance.
- UT Conflict of Interest Policy
- UT Employee Code of Conduct Policy
- UT Fiscal Policies related to Sponsored Programs:- Code of Business Ethics
- Cost Sharing
- Cost Transfers
- Distinguishing Direct vs Indirect Costs
- Effort Certification
- Salary Policy
- Federal Salary Rate Limitation
- Subaward Origination and Subrecipient Monitoring
- UT Travel Policy
- UTC Accounting Services
- UTC Office of Research Integrity
- UTC Safety & Risk Management