PI Responsibilities

Post-award Activities and Responsibilities
Checklist sheet for Principle Investigators

 1.  Receiving an Award
2.  Pre-award Spending Requests 
3.  Active Account Administration
4.  Account Close-out


 
Announcement (Receiving) of the Award

What happens when an award is received?

UWGB receives a Notice of Award (NOA) from the sponsor via e-mail, fax or mail. If the awarded amount differs from the requested amount, the IFR requests a revised budget from the PI. Once received, the IFR forwards the award letter and revised budget to the Controller's Office and they set up the account typically within 5 business days.

To avoid delays in receiving an account:

  • Be sure you've submitted an application for funds with the assistance of the IFR.
  • If you receive the award notice from the sponsor, forward it to the IFR for processing.
  • Be sure to submit revised budgets in a timely fashion.

Where do I go for help?

It depends on the activity. The IFR handles all pre-award and non-financial post-award activities while the Controller's Office handles all financial post-award activities. While the two offices work closely together to ensure that appropriate and accurate fiscal information is provided on agency requests, use the table below as a guide.

Institute for Research (IFR)
Controller's Office
  • Proposal and budget review
  • Online submission of proposals
  • IDC waivers and cost sharing approvals
  • Requests from sponsors regarding pending and awarded projects
  • Negotiation, execution, and modification of contracts
  • Receipt and processing of the Notice of Award
  • Sign-off for relinquishing documents, grant transfers, and Patent/Invention Statements
  • Set up of anticipation accounts
  • Set up of traditional accounts
  • Day-to-day monitoring of expenditure activity on sponsored programs
  • Financial Status Reports
  • No-cost extensions on grants and contracts
  • Prior approval requests/notifications, i.e. permission to carry forward funds, change of PI, change of scope, and major re-budgeting

 
Documentation associated with an Extramural Award must be received by the University (faculty member, Provost, Institute for Research or Business and Finance) before the research may begin or costs incurred. An extramural account is not established until Business and Finance and/or administration receives written authorization from the grantor/ contractor.

  • Special Terms and Conditions
    If an award carries special terms and conditions imposed by the grantor/contractor, the information is sent to the Principle Investigator (PI) from Business and Finance Services or directly from the funding agency. It is the responsibility of the PI to be familiar with these special conditions.

  • Matching/Cost Sharing
    The verification of institutional matching and cost sharing funds included within the grant as a portion of the award must be documented by, and is the responsibility of, the Principle Investigator.

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Pre-award Spending Requests
Requests to establish an extramural account in anticipation of funding should be in the form of a memo from the appropriate Department Chair's office, with approval of the corresponding Dean, to Assistant Dean Michael Marinetti.  In order to establish an extramural account, the Institute for Research and Business and Finance must have on file a completed Transmittal Form including all necessary approving signatures, a copy of the proposal, a complete and approved budget with verification* from the funding agency that funding is forthcoming. Some funding sources do not accept pre-award expenditures.

*For federally funded grants and contracts verify with Jeff Selner (465-2001). 
*For non-federal sources including contracts verify with Lidia Nonn (465-2565).

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Active Account Administration
Items sent to the PI:

  • Monthly Accounting Control Statements (ledgers) distributed by Business and Financial Services (465-2001)

  • Professional Activity Reports (PAR) distributed by Business and Financial Services [time and effort certification affirming salaries charged to an extramural account reflect actual work performed on the grant or contract].

  • Notice of submission of interim financial reports from Business and Financial Services.
     

Items initiated by the PI:

      Personnel Services:

Personnel Action (PA) forms for PI, faculty, academic staff, LTEs

New Student Payroll Requests for students or work study students

Time cards for hourly employees

Payment to Individual Report Forms

Signed Professional Activities Report (PAR)

Supplies and Expenses:

Travel Expense Reports

Payment to Individual (PIR) forms to pay research subjects

Direct billings of airfare(s)
 

Interim Programmatic Reports Initiated by PI :

If the PI wants to re-budget money between budget categories (e.g.from salaries to equipment), contact the Grants Accountant (Jeff Selner @ 465.2001) for federal grants and for non-federally funded accounts.

If the PI includes human subjects as part of their research and the research continues beyond one year, then the PI must resubmit an application to the Institutional Review Board (IRB) for review and approval to continue conducting human subjects-related research.

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Account Close-Out
Items sent to the PI from Business and Finance Services include:

  • deadline reminders

  • notice of problems with payments from funding source

  • notice of submission of final financial report, and

  • reminder of audit requirements

The PI should notify the Grants Accountant (Controllers Office), and Institute for Research Director (Office of Professional, Research and Graduate Studies): 

  • of any problems in relations with the funding agency, and/or

  • when the final program report is submitted.

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