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Post-Award Process

Award Management
  VCR OSP PI Dept Dean'sOffice Finance UTRF Other
Overall stewardship and programmatic responsibility     1          
Review terms and conditions of the award for conformity with UT policies, ensure that UT can agree with the award terms and conditions, review notice of award for accuracy   1            
Negotiate any changes to the notice of award on behalf of UT   1            
Monitor award expenditures for allowability, allocability, and reasonableness throughout Period of Performance     1 2        
Review and approve expenditures for allowability and allocability   1            
Ensure proper documentation exists and is retained to support appropriateness of expenditures   1 1 1        
Provide advice on: allowability, allocability and reasonableness of expenditures     1 1        
Monitor and reconcile balances to ensure spending within budget and to prevent over expenditure on a monthly basis     1 1        
Initiate and substantiate request for equipment   1            
Request prior approval for equipment purchase     1 1        
Review, approve, and co-sign prior approval requests                
Monitor project spend rate and review deviations in expenditures     1 2        
Receipt of subaward and review terms and conditions                
Receive, review, and approve Subaward's Invoice and authorize payment     1 1        
Coordinate issue resolution with subawards (invoicing schedule, billing questions, deliverable scheduling, financial issues, No-Cost Extension requests, etc.)     1 2        
Confirm completion of subrecipient's work and receipt of final invoice   1            
Request amendments  and budget revision on subaward                
Draft, negotiate and finalize subaward's amendments                
Confirm award receipt for continuations                
Verify continuation award dates/dollars, etc.                
Update/Activate continuing account after acceptance of award       1 1        
Coordinate issue resolution with sponsors                 
Initiate award changes (Change of scope, additional Subaward, et cetera)     1 2        
Track cost sharing   1   2        
Ensure complete and accurate documentation for any key personnel changes that arise (including new/old PI signature, Dean’s Approval Form, sponsor approval)     1 2        
Approve/deny PI and/or key personnel changes       1        
Take responsibility for sub-recipient monitoring      1          
Prepare trainee appointment documents                

Review and submit trainee appointment documents   

                
Ensure that faculty and staff time is correctly entered into IRIS                
Identify, report program income and post to appropriate account                 
Manage reporting on and billing of program income                 
Prior Approval Requests
  VCR OSP PI Dept Dean's Office Finance UTRF Other
Initiate prior approvals request for changes to project   1            
Review terms and conditions of award to determine if prior approval is required     1 2        
Provide guidance on terms and conditions (primary on industry sponsored clinical trials only)     2 1        
Initiate prior approvals request for adding/removing subrecipients (if applicable)   1            
Review and submit prior approval request to OSP   1            
Approve prior approval request   1            
Forward prior approval requests to sponsor if required   1            
Obtain sponsor's decision regarding change(s) to the project and update  University systems (Cayuse and IRIS)   1            
Ensure regulatory compliance offices are notified of changes to project   1            
Cost Transfers
  VCR OSP PI Dept Dean's Office  Finance UTRF Other
Initiate request for cost transfers in accordance with University and federal policy and procedures       1        
Complete the cost transfer explanation form and obtain appropriate signatures      2 1        
Submit  cost transfers explanation forms "less than 90 days" past the original expenditures, to remove unallowable costs and over expenditures     2 1        
Submit cost transfers explanation forms "within 91-120 days" past the original expenditures, to remove unallowable costs and over expenditures   1            
Submit cost transfers explanation forms "over 120 days" past the original expenditures, to remove unallowable costs and over expenditures   1            
Review and approve cost transfers explanation forms "less than 90 days" past the original expenditures, to remove unallowable costs and over expenditures   1            
Review and approve cost transfers explanation forms "within 91-120 days" past the original expenditures, to remove unallowable costs and over expenditures   1            
Review and approve cost transfers explanation forms "over 120 days" past the original expenditures, to remove unallowable costs and over expenditures   1            
Initiate the cost transfer transaction within IRIS                
Carry Forward and Budget Reallocation

  VCR OSP PI Dept Dean's Office Finance UTRF Other
Initiate carryover request and/or budget reallocation to OSP     2 1        
Review carryover request and/or budget reallocation under expanded authority   1            
Approve carryover request and/or budget reallocation under expanded authority   1            
Review and submit  carryover and/or budget reallocation to sponsor (if required)    1 2 2        
No Cost Extension
  VCR OSP PI Dept Dean's Office Finance UTRF Other

Initiate the first one-time no-cost extension up to 12 months (30 days prior to end date)

     1 2        
Submit the first one-time no-cost extension request to OSP     1 2        
Review and approval of the first one-time no-cost extension   1            
Initiate the second or third no-cost extension request (45 days prior to end date)     1 2        
Submit the second or third no-cost extension request with supporting documentation to OSP     1 2        
Review and submit the second or third no-cost extension request to sponsored agency   1            
Update Cayuse and IRIS with no-cost extension   1            
Certification of Time and Effort
  VCR OSP PI Dept Dean's Office Finance UTRF Other
Review staff salary and efforts on award for accuracy and document any discrepancies or special situations     1 1        
Manage annual faculty effort reporting and annual and summer faculty salary certification process in timely manner     1            
Track current and pending effort commitments on a monthly basis     1 2        
Ensure compliance with effort reporting policy and provide oversight   1   2        
Ensure appropriate delegation of effort certification is on file for faculty/staff who are absent or on leave     1 2        
Complete time and effort reports including approving certification of other personnel     1 1        
Complete monthly effort reporting via the electronic system     1 2        
Understand and comply with sponsor requirements for notifications regarding changes in personnel activities   2 1 1        
Notify OSP of changes in effort requiring sponsor approval     1          
Request sponsor approval for effort change   2   1        
Communicate with other institutions to ensure effort commitment of activity has been met   1            
Retain/Store effort certifications, quarterly summaries, certified paper copies and backup documentation   1   1        
Financial Reporting/Billing for Sponsors
  VCR OSP PI Dept Dean's Office Finance UTRF Other
OSP ensures contract includes billing terms and conditions, and payment method   1            
Review monthly ledgers on charges, available balances, and personnel; initiate any corrections in a timely manner     1 2        
Monitor charges for accuracy, allocability, and allowability   1            
Obtain Department/PI approval and signoff on research related clinical invoices and supporting documentation       1            
Preparation/submission of approved invoices or periodic billing to sponsor   1            
Preparation/submission of approved federal financial reports to sponsors   1            
Received payments; monitor accounts receivable aging report and follow up as needed   1 2 2        
Manage funds (check deposits, drawdowns etc.)   1            
Monitor and pursue the collections of overdue payments from sponsors (pursue bad debt collection)   1            
Produce and record a letter of credit for a specific funding agency   1 1          
Provide institutional approval on deobligations/relinquishments   1            
Initiate request(s) for financial modifications, or budgetary changes to grant/contract   1            
Preparation and Submission of Progress/Technical Reports
  VCR OSP PI Dept Dean's Office Finance UTRF Other
Identify the need for submission of annual progress reports/technical reports     1          
Prepare annual progress reports/technical reports     1 2        
Submit annual progress/technical reports to sponsors   1 1          
Maintain official copies of technical reports       1        
Preparation and Submission of Inventions Disclosures/Patents
  VCR OSP PI Dept Dean's Office Finance UTRF Other
Promptly submit invention disclosure to UTRF in IDEA system     1          
Review invention disclosure information to ensure complete and accurate data   1         1 UTRF
Complete assessment of new invention/disclosure. Notify the PI, Dept. Chair and Dean of outcome of UTRF assessment.   1         2  
Complete iEdison reporting and Bayh-Dole compliance requirements for all federally supported discoveries   1            
Complete initial invention reporting, and patent reporting as necessary, pursuant to the terms of any non-federal funding agreement(s).             1  
Provide interim and final invention & patent progress reports to sponsor (pursuant to requirements under the applicable funding agreements).             1  
Prepare patent applications and file with United States Patent Office (and/or foreign patent offices)               UTRF
Initiate and approve licensing agreements.  Notify the PI, Dept. Chair and Dean.               UTRF
Account Closeout and Audit
  VCR OSP PI Dept Dean's Office Finance UTRF Other
IRIS Close-out notice sent   2   1        
Identify unresolved close-out-related items and communicate to affected parties   3 1 2        
Ensure expenditures/cost transfers have been posted to accounts    1   1        
Confirm completion of subaward's work and receipt of final invoice     1 2        
Review budget deviations at closeout; all expenses must be final within period required for timely closeout   1            
Encumbrances are reviewed/removed       1        
Prepare consolidated report  for all periods to include all child accounts     2   1        
Oversee the resolution of issues related to accounts that are past the end date for close-out and make necessary adjustments   2 1          
Ensure that all financial reports have been submitted to sponsor        1            
Ensure that all technical reports have been submitted to sponsor   1            
Prepare and ensure all inventions/patent s have been identified, included on signed forms and verified in iEdison   2   1        
Identify and request disposition of government titled equipment (if applicable)   1            
Verify residual supplies over $5,000 and complete supply form     1 2        
Transfer residual funds on fixed price agreements - to PI Support account   1            
Refund excess cash back to the sponsor and provide proper documentation   1   1        
Closeout award account(s) in financial accounting system    1            
Prepare, review, and approve Relinquishing Statements   2            
Maintain official award documents for sponsored projects per Records Retention requirements   1            
Coordinate the audit for UTHSC    1            
Comply with circulars and sponsor conditions for compliance at the transaction level   1   2        
Complete the A-133 Subrecipient Monitoring Questionnaires   1            
Serve as a liaison to sponsors on audit requests and visits   1 1 2        
Training
  VCR OSP PI Dept Dean's Office Finance UTRF Other
Keep current with Federal and Non-Federal regulations regarding grants and contracts   1            
Interpret and provide guidance on regulations as they relate to sponsored research and related research policies   1            
Provide education and training in the responsible conduct of research   1           RA
Cayuse training   1            
Policies
  VCR OSP PI Dept Dean's Office Finance UTRF Other
Develop policies, SOPs and Sponsored Programs policies   1            
Disseminate University policies related to sponsored programs   1            
Grant Project/Transfer Out
  VCR OSP PI Dept Dean's Office Finance UTRF Other
PI notifies department, dean's office , the VCR and OSP of decision to transfer to another institution (PIs are advised to do this several months in advance so that their grants and materials will not be delayed     1          
PI requests the ability to transfer his/her grants to another institution     1          
VCR Approves or denies request 1              
OSP sends PI and department an offboarding check list   1            
PI completes offboarding check list and routes (Includes initial request for grant, materials, equipment, and data)     1 2        
PI makes formal request to the VCR for the transfer of equipment     1          
OSP determines vacation payout and how much will be charged to grants and contracts using a 21 month look back   1            
PI requests that potentially fundable proposals be released to the new institution      1 2        
OSP writes letters to agencies to relinquish potentially fundable proposals   1            
OSP prepares and submits final FFR to sponsor   1            
OSP prepares relinquishing statements in consultation with department, grants are not relinquished until all pending transactions are accounted for)   1   2        
OSP coordinates with new PI institution as necessary to facilitate transfer   1            
Compliance
  VCR OSP PI Dept Dean's Office Finance UTRF Other
Be cognizant of applicable regulations and identify need for compliance    1 1          
Provide protocol approval letters to OSP     1 2        
Monitor expiring protocols and update as needed thru completion date of project     1 2       RA Offices
Identify and disclose potential conflicts of interest     1          
Review and submit information on intellectual properties and patents     1          
Complete compliance forms: Institutional Review Board, Animal Care and Use, Institutional Bio Safety Department     1 2        
Review and complete conflict of interest disclosure form and facilitate institutional oversight 1             SAVCR
Verifies investigators are submitting protocols to appropriate compliance committees   1            
Maintains export control documentation and clearances for faculty and staff               Export Control Officer
Request disposition of government titled equipment at closeout   1 1 2        
Request disposition of University titled equipment     1 2        
Prepare and submit property reports to sponsor   1 1          
May 26, 2022