Post-Award, Reporting & Closeout

Managing Your Award

The receipt of funding from outside sources requires the principal investigator to take on a series of administrative duties and responsibilities related to project coordination, accounting, purchasing, personnel, etc. The following guidelines provide general information regarding the performance of these duties. It is important to note, however, that individual funding agencies have specific administrative requirements that must be followed. Check with a representative of the funding agency for information on agency-specific requirements.

Budget Negotiations

After a proposal has been approved for support and an award has been granted, official notification is sent to the UW-Green Bay Controller's Office and the PI. In all cases, official acceptance of funds on behalf of the Board of Regents, of the Universities of Wisconsin is required. The UW-Green Bay Controller sends the approval notice to UW-Madison Research Administration where an official signature of acceptance is provided, an account is established, and a "Notice of Gift, Grant or Contract" is prepared for the Board of Regents.

Administrative Responsibilities

The principal investigator, operating within the policies of the University and assisted by appropriate University administrative offices and officials, is responsible for the day-to-day administration and direction of an approved project. In order to discharge these primary responsibilities effectively, you should be cognizant of all contract or grant provisions and give special attention to those pertaining to patents, inventions and copyrights; safety and security; budget limitations; and required reports and recordkeeping. It is expected that you will inform the department Chairperson, the Dean, Office of Business and Finance and the Office of Grants and Research (OGR) of any developments which necessitate deviation from the original terms and conditions of the approved grant or contract. Correspondence with the funding agency regarding such deviations should be submitted to these individuals for review prior to mailing.

Financial Records

A separate accounting control ledger is established for each UW fund account number. All the financial transactions involving an account (e.g., budget receipts, encumbrances, payments and balances) are recorded on this ledger. A copy of the ledger is sent to the PI at the end of each month. You are expected to keep sufficient records in your own department to provide an itemized listing of all expenditures, especially those in budget categories which may not be exceeded without agency approval (e.g., travel). Some grants require supplementary records. These are usually defined in the grant or contract document or in published agency regulations.

Changes in Research Plan

Major changes in the research plan which constitute a redirection of the statement of purpose or work included in the original proposal should be discussed in advance with a program representative of the funding agency. A letter should then be sent to the agency detailing the proposed changes. Once the proposed changes are approved by the funding agency, a copy of the correspondence confirming approval should be sent to the appropriate Dean and the OGR.

Request to Change a PI

Occasionally, a PI is unable to fulfill their responsibilities or leave the university. As the grantee institution, UW-Green Bay is obligated to comply with sponsor regulations. Not informing the sponsor of a PI change may compromise the university’s relationship with the sponsor and may have costly consequences to the department and university. All notifications to sponsors must be in writing. The PI should follow this general process, which may vary by sponsor, to request to change:

1. Consult with Grant Accountant in the Controller's Office.
2. Request a change in PI by drafting and sending a letter or email to the authorized organizational official of the funding organization (e.g. program officer), copying the Grant Accountant, your supervisor, the dean/division and the associate VC of Academic Affairs. Include the following information: 
   • Reason for the requested change 
   • Changes in the level of effort (current and/or proposed PI)
   • Budget changes resulting from the requested changes in PI 
   • Biographical sketch of the proposed new PI (level of detail will vary by funder)
   • Status of required certifications for new PI (if project requires IRB, IACUC, IBC, etc. review)
3. Provide “signed” approval of request from the authorized organizational official (funder) to the Grant Accountant, your supervisor, the dean/division and the associate VC of Academic Affairs.

Transfer of Grant or Contract

If a PI terminates his/her association with the University and requests that the extramural project and funds be transferred to another institution, formal approval must be obtained from both the funding agency and the University.

Program Income

Federal regulations require that any income generated by activities related to projects funded in whole or part by federal agencies be accounted for in great detail. These regulations also require prior agency approval before expending any income acquired from grant activities. The rules, regulations, and laws which govern sales of goods and services and the handling of resulting income are quite complex. If income is expected from any activities supported by extramural funds, you should meet with the Controller and the University legal counsel to discuss proper procedures for handling such income.

Final Reports

Most funding agencies require submission of a final report at the conclusion of a grant project. Generally, agencies ask for a summary of the work completed, a description of the primary findings of the project, an evaluation of the extent to which the original goals and objectives of the project were achieved, and a final financial accounting of grant funds. It is your responsibility to submit the final report by the agency deadline (e.g., 90 days after the end of the grant period for the Department of Education). A copy of the final report must also be sent to the Office of Grants and Research. You should consult the Controller's Office to make sure that all financial reporting requirements are met.

Publications

Most funding agencies require that any publications, reports, or presented papers resulting from sponsored research activities acknowledge the funding source. It is recommended that acknowledgement of UW-Green Bay also be included whenever matching funds or support services have been provided by the University.

Budget Modification

Supporting agencies have specific guidelines and restrictions regarding any deviation from an approved budget. The principal investigator is responsible for complying with such regulations. When prior approval for budget modifications is required, a written request should be sent to the supporting agency with copies to the appropriate Dean, the Controller and the OGR.

Carryover of Funding

Individual sponsoring agencies have varying policies regarding funds that are unspent at the end of a budget period within a multi-year grant. You should find out what your granting agency requires so as not to jeopardize the use of these funds. (For example, NIH requires that unobligated funds be returned or subtracted from the next year's award unless the principal investigator submits an official request for carryover which is then approved by NIH.) A request for carryover funds is usually submitted with the renewal proposal for a subsequent year in a multi-year grant. However, some agencies require that requests for carryover funds be submitted prior to the due date for a renewal proposal. Either way, the request should include the amount to be carried over and an explanation of why the residual exists and how it will be used during the next budget period.

No-Cost Extensions

Occasionally, you may want to request a no-cost time extension to complete unfinished work on a grant project or to conduct follow-up or evaluation activities. This situation will generally occur at the end of a single-year project or at the end of the last year in a multi-year project. Requests to extend the project termination date without the allocation of additional funds should be sent to the sponsoring agency, with copies going to the appropriate Dean, the Controller and the OGR. The request should include an explanation of the need for a time extension and a statement of how any remaining funds will be used during the requested period of extension. At the minimum, the request must be received by the sponsor prior to the termination date; however, substantially longer lead time (45 days or more) may be required by some agencies.

Supplemental Funds 

A request to supplement awarded funds should be treated as a "mini-proposal". The request should include an explanation of why the extra funds are necessary, precisely how the funds will be used, and how these activities are directly related to achieving the goals and objectives of the original proposal. A detailed budget must also accompany the request. The appropriate Dean and the Controller must review and approve supplemental budget requests before they are sent to the sponsoring agency. A copy of the request should be filed with the OGR.

Effort Reporting

Effort must be estimated, reported and certified for all individuals who receive salary support from a sponsored project, or who expend committed effort on a sponsored project regardless of receiving salary support from the sponsor. Effort Reporting is our means of providing assurance to sponsors that:

1. Salaries charged to sponsored projects are reasonable in relation to the work performed, and
2. Faculty and staff have met their commitments to sponsored projects

See Effort Guidelines

Expenditures

Project Charges

The project should be charged for all expenses incurred for activities, services or materials that were included in the approved budget. The fact that this may require additional paperwork (e.g., a separate order to University Stores or a vendor) is not reason enough to charge University budgets for items provided for in the grant award or to make use of existing department supplies. Also, remember that all regular University purchasing policies must be followed when making purchases with grant monies. If you are unfamiliar with purchasing procedures, check with the Purchasing Department or your department administrative assistant.

Reports

The PI is responsible for complying with all technical and scholarly report requirements and filing deadlines as specified by the supporting agency. Formal financial reports required by some federal agencies will be prepared by the Controller's Office. A copy will be sent to the PI.

Salaries & Hiring

Salaries, wages and hiring must conform with State and University policies governing personnel and compensation matters. You should be familiar with the faculty, academic staff, classified staff, LTE and student hourly help hiring and compensation regulations. Contact Human Resources and the Affirmative Action Officer for information on compensation minimums and maximums, recruiting procedures, appointment and payroll requirements and annual performance evaluations. Federal agencies require grantees to provide after-the-fact time and effort certification reports. Forms for this purpose are provided to PIs by the UW-Green Bay Controller's Office. You are responsible for having the forms signed and returned to the Controller's Office within 30 days of receipt. The signed forms verify that all grant personnel have spent the amount of time and effort specified in the grant proposal working on grant activities. If there is a variance of more than 5% in the amount of time and effort listed in the proposal and recorded in the payroll records and the actual amount of time and effort verified on a time and effort certification form, a salary cash transfer will be necessary to correct accounting and payroll records. Contact the Controller's Office for complete information on time and effort certification requirements.

Travel

The State and University Travel Regulations govern reimbursement for all travel, including travel funded through extramural sources. Some funding agencies specify a maximum daily allowance for subsistence (room and board). If such a limit is in effect for a project, care must be taken not to charge grant accounts for amounts beyond the designated limit. International travel and subsistence costs will be reimbursed in accordance with the specific terms of the grant or contract.

Equipment & Materials

Equipment and materials paid for by project funds must be acquired through normal University purchasing procedures. Ownership of permanent equipment is generally held by either the University or the sponsoring agency, depending upon the terms of the grant or contract. In either case, you are responsible for such equipment and must be able to account for all items at the end of the grant period.

Institutional & Cost-of-Education Allowances

Certain grants for fellowship, traineeship or similar programs include an institutional or cost-of-education allowance in lieu of tuition, fees and other costs incurred by an institution in conducting courses or programs in which the fellowship recipients or trainees are enrolled. The PI is responsible for ensuring that direct costs of instruction are charged against the grant account.

Account Close-Out

Once your research project ends, you can close out your account with the Controller's Office.

Contact Controller's Office

Awards Close-Out

Most funding agencies require submission of a final report at the conclusion of a grant project. Generally, agencies ask for a summary of the work completed, a description of the primary findings of the project, an evaluation of the extent to which the original goals and objectives of the project were achieved and a final financial accounting of grant funds. It is your responsibility to submit the final report by the agency deadline (e.g., 90 days after the end of the grant period for the Department of Education). A copy of the final report must also be sent to the OGR. You should consult the Controller's Office to make sure that all financial reporting requirements are met.