Post-Award: Non-Financial Management

Effort is the amount of time devoted to a specific activity including, but not limited to, sponsored projects, clinical care, and teaching/administrative duties [see “Building A Budget” in the Pre-Award section].  Once an award is made, the Research Administrator is responsible for ensuring personnel Costing Allocations in Workday align with budgeted effort in the grant proposal and/or award.

Important Effort Considerations:

• Budgeted effort percentages do not always equal Costing Allocation percentages in certain circumstances, such as:
  • Cost share/Unfunded Effort
  • Clinical Faculty with UVA/UPG salary splits
  • Salary Over the Cap
  • [resource/examples]
• Prior Approval from the sponsor may be required for changes (especially reductions) in effort by the PI and/or other Key Personnel
• Payroll Allocation Certification occurs twice a year and is an internal method for confirming personnel effort on sponsored awards.  This certification must align with progress reports to the sponsor.

Management of Outgoing Subawards/Subcontracts is a collaborative effort between the department/unit level Research Administrator and OSP’s Outgoing Subaward Team.

Process Outline:

1. Unit/Department RA reviews subcontract budget with PI
2. RA initiates Outgoing Subaward Agreement request in Huron [resource] and gathers necessary approvals from department/school
3. OSP Outgoing Sub team reviews request and submits draft subcontract to subrecipient
4. Once subcontract is fully executed, OSP establishes an Award Line (GR) on the Sponsored Award (AWD) in Workday to allocate Subaward funds and UVA F&A (if applicable)
5. RA & PI manage mid-project actions, such as reviewing and approving invoices, gathering progress reporting information, and technical oversight of the subawardee’s Statement of Work (SOW)
6. RA initiates Outgoing Subaward Amendment requests in Huron as needed [resource]

Many sponsors require Prior Approval for any major changes to an awarded grant/contract.  Examples can include changes in key personnel, changes in project scope or duration, changes to awarded budget categories, or necessary contract amendments.  The format and process for a prior approval request is determined by the sponsor, but typically involves submitting a letter and/or supporting documents to the sponsor’s administrative official.  Submission may be completed by email or within an electronic portal and usually requires concurrence from a UVA Authorized Official.  Most prior approval requests are initiated internally as an Award Modification Request in Huron.  [link to AMR guides]

• No Cost Extension
• Change of PI/Key Personnel
• Change of Scope
• Carryover/Rebudget
• Other

FDP Prior Approval Matrix (for Federally funded awards)

Any change to an awarded grant or contract can be requested through the Award Modification Request activity in Huron.

[screenshot of Award Workspace]

AMRs can be requested for:

• No Cost Extension
• Advance Account Extension (At-Risk)
• Internal Budget Transfer
• Internal Budget Transfer – RG Request
• Other Modification – CTA Amendments
• Change Of PI
• Change Of Sponsor
• Change Of Scope
• Spend Restrictions
• End Grant Or Contract Early
• End Grant Or Contract Early – NIH Relinquishment
• Carryover
• Rebudget
• Pre-Award Costs

Progress Reports

Most sponsors require annual technical and/or financial progress reports to assess the completion of a research project’s specific aims/goals.  The PI/study team is responsible for reporting technical progress through the sponsor’s designated process and OSP’s Post Award team is responsible for official financial reporting.

NIH RPPRs (Research Performance Progress Report)

NIH evaluates research progress through the RPPR module in eRA Commons.  The RPPR must be initiated by the PI and then routed to the Research Administrator or Authorized Institutional Official for submisson to NIH. Please check the roles and responsibilities matrix or unit-specific guidelines for details on the submission processes in your area.

Progress Report Tips/Tricks

• Include current IRB and/or IACUC approval, if applicable
• Include current financial balance report (from Workday or RAD) to verify current budget, expenses, and balance information
• Provide an internal budget for the upcoming year that matches the amount expected for the next budget period
• Work with study team and subcontractors to collect effort commmitted in the reportable budget period
• Gather budget, technical progress, effort, regulatory approvals, etc from subcontractors
• Work with PI to identify reportable publications or other research products, including patents/inventions
• supplements
• Gather updated Current/Pending Support as needed from key personnel
• Work with PI and study team to collect human subject enrollment information

Resource: Unobligated Balance Calculator

When an investigator transfers to or from UVA, the process to move their sponsored awards should be initiated early to allow sufficient time for processing of financial reports, transfer applications, and other required documentation.  The Investigator and/or the Research Administrator should work with the submitting unit and the sponsor to determine eligibility and/or the process to transfer an award.

Outgoing Transfers

As soon as the PI has determined their last day of employment with UVA, the process to transfer their sponsored awards can begin.  The following steps provide an overview of the transfer process, but specific guidance should be requested from each sponsor.

1. The PI and Research Administrator should work together to determine final expenses and/or the estimated unobligated balance at the time of the PI’s departure.
2. Submit an AMR in Huron to request the retraction of the award end date and/or submission of any relinquishing documents to the sponsor in advance of the award closeout.
3. Once the Award is completed, OSP will submit final financial reports per the tems of the award agreement and any balance of funding will be returned to the sponsor for distribution to the PI’s new institution.

Departmental Research Administrators often serve as the liaison with the PI’s new institution and can provide status updates for closeout processes in order to faciliate award transfer actions that may be needed from the new institution.

Resource: NIH relinquishing statement QRG

Resource: Offboarding checklist

Incoming Transfers

As soon as a new PI has accepted an offer of employment from UVA, the Research Administrator should contact them to discuss any possible incoming award transfers.  The following steps provide an overview of the transfer process, but specific guidance should be requested from each sponsor.

1. Up to 90 days before the PI’s start date, their UVA computing ID will load into the Huron system, which enables the creation of new Funding Prooposal or Agreement records.  Research Administrators should work with HR to ensure the new faculty’s computing ID is created as soon as possible to facilitate access to UVA systems.
2. Not all sponsors require submission of a transfer application, however, each incoming award will be initiated internally with a new Funding Proposal in the Huron system.  The Funding Proposal is the building block for any subsquent Award, Advance Account, or other system transaction.
3. Once sponsor requirements are completed, an Advance Account can be requested to facilitiate award spending prior to receipt of the official transfer notice (as sponsor guidelines allow).  To ensure research continuity, most sponsors allow consecutive spending between the old and new institutions, based on the PI’s start/end dates.

Resource: NIH transfer application

The award closeout process is a combination of financial and non-financial activities to be completed after the end of an award project period.  Non-financial activities include final technical progress reporting and other ancillary closeout reports, such as equipment, property, and invention reports.  The PI/study team is responsible for submitting the required reports through the sponsor’s designated process.  Please work with the submitting unit to determine specific closeout requirements and processes.