1. Congratulations!

    You have been awarded a sponsored program award. Award management is vital to the students you serve and the UVU community. Awards create new and exciting programs and services for UVU students, faculty, and staff. 

    The primary purpose of award management is to oversee the funding that is awarded in a sponsored program. It begins at the signing of an agreement or accepting funds for a program. Award management is ensuring that activities are carried out within the scope outlined, on time, and within budget.  As a Principal Investigator/Program Director (PI/PD) you are responsible for the following activities throughout the course of the award:
    • Submit all required reports completely and on time
    • Maintain compliance with all award terms and conditions and applicable federal, state, and UVU policies and regulations
    • Account for all expenses and purchases made on a sponsored program account
    • Accomplish the goals and objectives of the program as stated in the approved application and amendments.
    • Maintain documentation of all sponsored program activities
    • Closeout and complete the sponsored program process

      All award notices must be reviewed by OSP. Any award notice sent directly to the PI should be forwarded immediately to Alex Hartvigsen ([email protected]) OSP Director of Post-Award Services to ensure that the award is appropriately handled. Once a notice of award (NOA) is issued, OSP will review it and work with the principal investigator (PI) and his/her department to set up a project. 

      Principal Investigators, Department Chairs, Deans, or other University employees should never sign or submit a sponsored program agreement or award. If a sponsored program proposal or award is NOT signed by the Senior Director of OSP or an authorized individual designated by Policy 247, the contract or grant is void and unenforceable against the University.

      Any Principal Investigator/Project Director(PI/PD) or other unauthorized University employee who signs a grant proposal, contract or agreement that s/he is not authorized to sign is acting outside the scope of his/her employment and may be personally liable for any resulting liability or obligation, and may be subject to disciplinary action, including termination of employment.


  2. New Award Orientation

    All PI/PDs must contact OSP([email protected]) when they receive notification that an award has been approved for funding by the sponsor. All PI/PDs and Co-PI/PDs (as appropriate) involved with newly awarded projects or sponsors are required to attend a new award orientation and complete all required documents with the OSP Director of Post-Award Services (or designee) and other OSP staff as necessary before a funding index will be created and awarded funds may be made available to spend.

  3. OSP Conflict of Interest Form

    Any who is working on the sponsored project , regardless of the person's employment status or title, who is responsible for the design, conduct, or reporting of the project must have a current OSP Conflict of interest form on file with OSP and the UVU Compliance Team.

  4. Complete Required Training

    Effective January 1, 2021, all faculty involved in sponsored research must complete the following: Conflict of Interest (COI) Responsible Conduct of Research (RCR) online training which will require an additional online refresher course to be completed every 4 years.

    In addition, those faculty and students involved in sponsored research funded by the National Institutes of Health (NIH) with the following programs: D43, D71, F05, F30, F31, F32, F33, F34, F37, F38, K01, K02, K05, K07, K08, K12, K18, K22, K23, K24, K25, K26, K30, K99/R00, KL1, KL2, R25, R36, T15, T32, T34, T35, T36, T37, T90/R90, TL1, TU2, and U2R must complete both the online RCR training AND an in-class course. Please contact OSP for instructions on how to register for the in-class portion of this course.  Completing a refresher course will be required at each stage of training (e.g., graduate, postdoc, etc.) or every 4 years, whichever comes sooner.

    The online COI and RCR courses are offered through CITI which can be accessed by faculty and students  at the following URL:Citiprogram.org. Please see the attached page for registration instructions.

     The online training is now available. Faculty and students are encouraged to complete their applicable training prior to January 2021 to ensure sponsored research funding will not be withheld.

  5. Communicating with the Sponsoring Entity

    At times, it will be necessary to contact the funding source regarding questions about your sponsored program. Contact the Director of Post-Award Services ([email protected]) before contacting the funding entity, as we may already have the answer for you. When needed, the Director of Post-Award Services can help you respond to inquiries. All correspondence with the sponsoring entity must be documented and copied to OSP for filing and auditing purposes.

  6. Read & Understand Sponsor Guidelines 

    Your sponsored program has specific rules and regulations that must be followed. Your sponsored program must follow all applicable laws, regulations, contracts, policies, and procedures. The presence of grant funds does not preclude you or your staff from following UVU policies. There may be times when the sponsor's rules are more flexible than UVU policy. The most restrictive rule always applies.

    The notice of award (NOA) is a legally binding document that contains or references all terms and conditions of the award, and documents the obligation of funds. PI’s and his/her administering departments should understand and comply with all award terms and conditions.

    If the PI wants to change or revise the terms of the award, he/she must contact OSP for guidance and approval. In some cases, prior approval of the sponsor is required and in other cases it can be done without explicit approval by "expanded authority". For information on common post-award actions and revisions such asre-budgetingand no-cost extensions, please contact Alex Hartvigsen ( [email protected])

    If the University is issued a subcontract under a federal award, any changes (such as project period, re-budgeting, adding funds, or other changes) must be agreed to in writing between the University and the collaborating institution acting as our sponsor.

    International Travel Foreign travel requires post-award review by OSP even when the travel has been included in the initially approved budget. Foreign travel must be consistent with the provisions of the Fly America Act and federalexport control regulations.PI/PDs shall consult with OSP for guidance on foreign travel prior to incurring any travel expenses.

  7. Manage

    The PI is the primary individual in charge of a research grant, cooperative agreement, training or public service project, contract or other sponsored project for which the university is the grantee or the contractor.

    The University is, ultimately, legally and financially responsible and accountable to the sponsor for the performance of the project and the proper use of funds but without the full cooperation and vigilance of the PI, the university would fail in its stewardship role.

    If your project involves multiple PI's or Co-PI's, each PI is responsible and accountable to the grantee organization, or, as appropriate, to a collaborating organization, for the proper conduct of the project or program, including the preparation and submission of required reports and ensuring that expenditures are made consistent with the planned budget. All PI's should be fully engaged in any decisions to change budget priorities and personnel.

    Good grants management has many elements, including:

    • Ensuring that charges areallowable, allocable, and reasonable;
    • Spending funds in accordance with the budget;
    • Paying researchers and staff correctly and on time;
    • Effort Certification of faculty and researchers on federally-funded projects;
    • Adhering to University procurement and travel policies;
    • Keeping track of equipment bought with grant funds;
    • Monitoring sub-recipients;
    • Tracking cost sharing, if any;
    • Filing interim and final progress reports; and
    • Closing out awards in a timely fashion.

    Prior Approvals

    Sponsors often require PI's to request prior approval for significant changes.

    Although many sponsors allow flexibility in areas such as re-budgeting, carry-forward of unobligated balances from year to year, and pre-award costs, sponsors expect expenditures to be reasonably consistent with the proposed scope of work and budget.

    Under expanded authorities, many federal agencies have chosen to waive the normally-required sponsor prior approval for specific actions. The PI should refer to the sponsored award terms to determine the authorizations that apply to each award.

  8. Monitoring Expenditures

    Reconciling accounts on a regular basis will help you to manage your sponsored funds to ensure that expenditures and revenues are within appropriate limits and guidelines.


  9. Re-budgeting

    After a grant or contract has been awarded, the PI may determine that the approved budget allocations are not consistent with actual project needs. S/he may request the formal reallocation of funds from one spending category to another category that better reflects the project requirements. This process is called re-budgeting or budget revision.

    All re-budgeting should be reviewed by OSP and under expanded authorities re-budgeting may or may not require formal approval from the sponsor. To initiate a re-budget, please complete a Budget Revision Request Form  and forward it to The Director of Post Award Services ([email protected]) for review. 


  10. Carryover Process

    In many instances, an unobligated balance on a grant may be carried over into the next budget period without sponsor approval. If this is permitted, it will be indicated as such in the notice of award (NOA).

    • NIH prior approval is required for carryover of unobligated balances on the following awards:
    • All P mechanisms except P01's
    • Cooperative agreements (U mechanism)
    • National Research Service Awards (T and F mechanisms)
    • Phase I SBIR and SSTR (R43 and R41 mechanisms)
    • Clinical trials (regardless of mechanism)
    • Awards to individuals

    Where carryover requires sponsor approval and/or when it exceeds 25% of the award, or when it exceeds $250,000, the request should be mentioned by the PI in the progress report. In the justification section, and in the progress report itself, the PI should mention that a formal request will be submitted under separate cover.

  11. Report

    The PI is responsible for submitting programmatic reports by the deadlines established in the award agreement or contract, providing an explanation of the research progress, a summary of results, any publications stemming from the research, and other pertinent information, including analysis and explanation of cost overruns or high unit costs.

    PIs and departmental administrators must establish reliable departmental accounting practices for day-to-day financial monitoring of sponsored research projects in compliance to federal regulations established in OMB Uniform Guidance  The award document terms and conditions detail the financial data that must be reported.

    The departmental administrator is usually responsible for performing comparisons of the department's records to the University's financial records and monitoring items that are not reflected in Management Reports. Learn more in Manage Your Budget.

    Because the data in Management Reports serves as the basis for financial reporting to the sponsor, it is critical that the department maintain current and accurate records. As a general rule, expenses should be incurred immediately and on a regular basis once an account number is assigned to a project. This practice helps to ensure that expenses align with the progress of the project, therefore providing an accurate report to the sponsor.

    PIs and departmental administrators are also responsible for tracking cost sharing commitments as well as effort reporting. They also oversee sub-recipient accounts and activities to ensure compliance and timely reporting as established in the award terms and conditions.

    Information on final reports can be found in Close-out. For NIH reporting, review theRPPR preparation instructions.

  12. Closeout

    The closeout is a critical piece in the life cycle of a grant. Preparation for closeout should begin six months prior to the end date of the grant in order to accurately forecast expenses and any adjusting financial entries that need to be made. It is also a point where many PI’s realize the need to apply for no-cost extensions from the sponsor.


    No Cost Extensions ( NCE) The PI/PD shall complete all work under sponsored agreements within the period specified in the award contract. However, if the PI/PD requires additional time to complete the approved scope of work using existing funds, the sponsor may consider a request to extend the expiration date of the award at no additional cost or with additional funding subject to re-negotiation of the existing contract. THe PI/PD must initiate all NCE notifications and requests at least three months before the end of the performance period. NCE must be reviewed and approved by OSP prior to submission. The PI/PD's annual conflict of interest disclosure must also be up to date for OSP to process the NCE.

    If your grant is from the NIH, your grant may be subject to Streamlined Noncompeting Award Procedures (SNAP). Grants that are subject to SNAP can be identified by looking at the grant notice of award (NOA). See specific details about closing a grant from the NIH.

    OSP shall close sponsored projects within 30 days at the end of the performance period unless otherwise designated by the awarding sponsor. Closeout requires that all reports and drawdown requests ave been satisfactorily complied as determined by the sponsor and the OSP.  


    The PI/PDs shall ensure that all expenditures for a sponsored project are incurred prior to the end date of the award performance period. Multi-year awards may be divided by the sponsor into multiple periods with specific start and end dates or budget periods. The sponsor may restrict the spending of funds to a specific budget period.

    The terms and conditions should specify if automatic carry-forward is allowed for muti0year awards or if prior approval is necessary. The PI/PD shall obtain prior approval from  the sponsor to retain the unspent funds from one funding period and use them in a subsequent budget period. OSP must be consulted for all prior- approval requests for unspent funding. Awards that do not allow fund carry-forward will require unspent funding to be returned to the sponsor at the end of a budget period. 

    Post-Performance Period Expenditures All expenditures shall be incurred prior to the end date of the award performance period. The only exceptions are federal grants that use publication and printing costs for professional journal publications, and only if the cost is approved in the award budget and the funds are set aside in an account for this purpose prior to the closeout of the award. Any funds set aside for publication and printing costs that are not expended for this purpose must be returned to the sponsor after one year from grant closeout if the PI is ready to close the award, the PI will need to ensure that all costs are appropriate and all transactions have been properly recorded. This includes:

    • Verifying that restricted categories are spent according to the award notice;
    • Verifying that F&A charges are correctly posted;
    • Verifying that cost sharing requirements are identified and recorded, if applicable; and
    • Verifying that all program income is properly recorded, if applicable.


    Closing documents may include the:

    • Final Financial Status Report (FSR)
      The final financial status report is prepared and submitted to the sponsor by GCA within 90 days of the end of the award, or as required by the award terms and conditions. In a few instances it may be difficult for GCA to meet this deadline due to the processing of Personnel Activity Reports (PAR’s), unpaid obligations and pending recipient of the sub-awardee’s final financial status report. If GCA is unable to submit the final financial report on time, GCA will send a letter to the sponsor explaining why.
    • Patent/Invention Report
      With the help of an OSP Contract Administrator and the PI, the  Office of Technology Commercialization prepares and signs the patent/invention report. 
    • Property Report
      Property Accounting completes and submits any required property reports. 
    • Final Technical Report
      The PI prepares and, in most cases, also submits the final technical report and any other technical/progress reports as required by the sponsor. When final reports requires the signature of an authorized official or if the report needs to be submitted by an authorized official, please contact the Sponsored Projects Officer who administered the project. Read more on how to submit Final Technical Reports.