Awards Management Hub

The Office of Sponsored Programs provides assistance to faculty and staff in reviewing award agreements, negotiating terms acceptable to the investigator and satisfying university policy concerns. Sponsored Programs staff assist with award management and clarifying regulations, advise on allowable costs, subcontracts or revisions; and help resolve administrative problems that arise during the course of the project. Upon accepting the agreement, sponsored programs staff:

Assist the principal investigator in managing the award and help to clarify agency regulations and policies;
Advise on such matters as allowable costs, subcontracts, or revisions; and
Help resolve administrative problems that arise during the course of the project.

To ensure that they understand their responsibilities in managing their project, first-time investigators should meet with OSP staff as early as possible.

Video Tutorials

See below for some quick video tutorials about the grant management process. Each video is less than 15 minutes.

Basics

Effort

Roles

Costs

Grants Manual, Documents and forms

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Grants manual and compilation of forms relevant to navigating awards.

Grants Management Manual

Award Initiation

Compliance

Fly America Act (PDF)

Cost Sharing

Direct Costs

Direct vs. Indirect Costs Matrix

Monitoring Expenditures

Roles & Responsibilities

R & R Post-Award Matrix (PDF)

Staffing the Project

Subawards

Documents and Forms

Cost Transfer Guidance (PDF)

Fixed Price Award Procedures (PDF)

Fly America Act Exception Form (PDF)

Other Grants Accounting Forms

Project Administration

Project Administration

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Principal Investigators are responsible for the day-to-day direction and administration of their project and must comply with all university and agency policies and regulations. OSP staff members are available to advise and assist. The OSP staff has expertise in the areas of cost principles, agency regulations and compliance issues.

Principal Investigators are also responsible for monitoring all expenditures charged to the grant account and ensuring that charged expenditures are allowable. To ensure the effective allocation of resources, the OSP staff can assist in interpreting month-end financial reports and in projecting expenditures to the end of the grant period.

Reporting Requirements

Requirements for project technical and financial reports are set by the funding agency. These types of reports are typically required.

Technical reports – Most agencies require an annual progress report and a final technical report. Principal Investigators are responsible for preparing these reports. OSP staff will transmit them to the funding agency on the investigator’s behalf. As part of the requisite official grant record, the Principal Investigator must file a copy of all reports with OSP. These records are reviewed as part of our annual audit.
Financial reports - The grant accountant assigned to the project prepares the financial report based on the expenditures recorded in the account. Principal Investigators have the opportunity to review the financial report prior to submission to the funding agency.
Project closeout – After the project’s termination date, no additional expenditures may be incurred. Funding agencies normally require the final technical and financial report 90 days after the project ends. The 90-day period permits sufficient time for expenditures incurred before the end of the project to be liquidated and gives the principal investigator time to prepare the technical report. Patent disclosure, equipment disposition, and other required reports may be submitted after the termination date or with the final report. Grant/contract records are subject to annual audit; they must be retained for a minimum of six years from the date the final reports are filed.

Changes to Funded Sponsored Projects

Certain changes to a funded sponsored project must receive prior approval from the sponsoring agency, while other revisions may be approved institutionally through ‘expanded authorities’ granted to 51��. Any desired changes to an existing sponsored project should be requested by submitting a completed Institutional Prior Approval Form to OSP. . The requested modifications will be reviewed and any necessary agency approval received. Completing this process before implementing changes will ensure that incurred costs are allowable.

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On-Demand Training Videos

Basics
	Overview of typical activities that take place at each stage from pre to post award, highlighting how decisions and actions at each phase can culminate into a successfully managed sponsored project.
	How to read and use - summarizes award notice, official budget in KSU accounting codes, and fund request info.
	FlashLine report for grant expenditures full project period and extraction into excel.
	How to pull a FlashLine report into an excel file.

Effort
	FlashLine report for personnel charges by KSU fiscal year.
	Ways to use the labor distribution information to actively manage personnel costs on a sponsored project.
	Step by step example of simple academic year effort allocation to a grant.
	Summer Salary basics for tenure track faculty and grants

Roles
	Review of key units involved in grant management processes, their divisional organization and their primary grant related functions.
	Roles and Responsibilities series focusing on Sponsored Programs.
	Roles and Responsibilities series focusing on the principal investigator (PI) and their home organization.
	Roles and Responsibilities series focusing on Grants Accounting and The Office of Internal Audit.

Costs
	An overview of direct costs.
	This presentation is an overview of the Facilities and Administration rate. It will discuss what it is, how it is determined, applied, and distributed at 51��.

Grants Management Manual

Section	Description
Award Initiation	Overview of award processes at 51��, from award notification to generation of an account index to budget revision requests.
Compliance	Overview of compliance and management issues relevant to sponsored projects.
Compliance - Fly America Act (PDF)	Regulations for international travel on federal funds. Includes copy of Fly America Act Exception Form.
Cost Sharing	Overview of Cost-Sharing: categories, types and processes at 51�� for documenting these expenses.
Direct Costs	Overview of Direct Costs: definition, determining allowability, and examples of allowable and non-allowable costs.
Direct vs. Indirect Costs Matrix	Examples of costs that may generally be charged as direct costs vs. those covered by Facilities & Administrative Costs and not generally charged to the Sponsored Agreement.
Monitoring Expenditures	An overview of how to monitor grant expenditures and account index balance using Banner reports.
Roles & Responsibilities	Defines roles and responsibilities of Grants Accounting, Sponsored Programs, the department, the PI, and the Office of Internal Audit in award administration.
Roles & Responsibilities Post-Award Matrix (PDF)	A list of grant-related post-award activities and who is responsible for them.
Staffing the Project	Principles governing payment of project personnel and procedures for charging personnel time to a sponsored project.
Subawards	Overview of procedures involving subaward agreements including initiation, monitoring, modifications and closeout.

Award Documents and Forms

Form	Description
Cost Transfer Guidance (PDF)	Reference document to ensure cost transfers on sponsored projects are requested in a timely manner, adequately documented, sufficiently reviewed and approved, and in compliance with federal, agency, and university regulations.
Fixed Price Award Procedures (PDF)	This document explains special guidelines that pertain to the financial management and close out of Fixed Price Agreements.
Fly America Act Exception Form (PDF)	Form to request that international airfare on a non-US flag air carrier be charged to a federally sponsored program.
	Form to request changes to an award such as no-cost extension, budget revisions, personnel time. Clicking the link on the left will initiate a request in Dynamic Forms. .
Other Grants Accounting Forms	Link to the Grants Accounting site where other forms and workflows needed for Sponsored Projects may be located (e.g. Cost Transfer Request, Salary Distribution Revision)

Project Administration

Reporting Requirements

Requirements for project technical and financial reports are set by the funding agency. These types of reports are typically required.

Technical reports – Most agencies require an annual progress report and a final technical report. Principal Investigators are responsible for preparing these reports. OSP staff will transmit them to the funding agency on the investigator’s behalf. As part of the requisite official grant record, the Principal Investigator must file a copy of all reports with OSP. These records are reviewed as part of our annual audit.
Financial reports - The grant accountant assigned to the project prepares the financial report based on the expenditures recorded in the account. Principal Investigators have the opportunity to review the financial report prior to submission to the funding agency.
Project closeout – After the project’s termination date, no additional expenditures may be incurred. Funding agencies normally require the final technical and financial report 90 days after the project ends. The 90-day period permits sufficient time for expenditures incurred before the end of the project to be liquidated and gives the principal investigator time to prepare the technical report. Patent disclosure, equipment disposition, and other required reports may be submitted after the termination date or with the final report. Grant/contract records are subject to annual audit; they must be retained for a minimum of six years from the date the final reports are filed.

Changes to Funded Sponsored Programs

Compliance Requirements for Sponsored Projects

The issue of compliance for sponsored projects encompasses several areas - financial requirements, regulations that govern the use of human or animal subjects, as well as requirements for hiring personnel. The Principal Investigator, with guidance by the Sponsored Programs office, is the primary individual in charge of overseeing execution of the project objectives. As such, the PI is responsible for the following:

Confirms that the entire proposal meets the requirements outlined in the ‘Request for Proposals; (RFP) / program solicitation;
Oversees preparation of the technical proposal;
Identifies budgetary requirements for the project;
Identifies match or cost-sharing sources as required by funding agency / program;
Initiates the appropriate applications for human subject, animal subject, Hazardous Materials Biosafety use, or other compliance requirements as necessary.

What follows is a basic framework for compliance oversight.

1. Compliance

‌The institution has a comprehensive system in place that provides for written policies and practices covering the scientific conduct and the administrative and financial management of sponsored programs.

2. Fiscal Administration

The institution’s cost estimating, recording, accumulating, and reporting, along with its financial system, Banner, are designed in accordance with generally accepted accounting principles, and the costing provisions of federal regulations known as Uniform Guidance,. The financial and technical terms and conditions of the funding agency for each award are incorporated as well. They are designed to assure that the federal government and other sponsors bear their fair share of total project costs.

Areas of responsibility include:

1. Allowable Costs. The institution has in place a financial control system that limits costs charged to accounts funded by a sponsor to costs allowable by that sponsor, in amounts that are properly allocable. The Direct Costs section and Direct Costs versus Indirect Costs Matrix of the Grants Management Manual can be used to determine allowability.

2. Proposal Costing. The institution has a proposal costing and financial system, which provides for consistency in preparation of proposal budgets to satisfy both internal procedures and external regulations.

3. Financial Accounting and Reporting. The institution has an established financial system that complies with federal, state, and institutional regulations and/or policies.

4. Cash Management. The institution has a cash management system that complies with federal, internal, and, as necessary, state regulations and which provides adequate control and necessary flexibility to make timely deposits and disbursements of sponsored project funds.

5. Compensation. The institution has compensation policies that are consistently applied to all employees and a system for documenting compensation, including supplemental payments, into the financial system of the institution. These systems comply with federal requirements of . The section on Staffing the Project provides details on hiring and charging personnel to grants.

6. Cost Sharing The institution has procedures for properly documenting cost sharing in the same manner as costs funded by the sponsor. These policies and procedures comply with federal requirements of . Details on cost sharing are in this section of the grants management manual.

7. Cost Accounting Standards. The institution has appropriate systems to ensure compliance with the cost accounting standards mandated by the federal government in and has a system to update cost accounting practices as appropriate.

‌3. Procurement

The institution has a procurement system in compliance with state requirements and the federal requirements of 2 CFR 200 for acquiring goods and services in a competitive, fair, and timely manner.

‌4. Management of Permanent Equipment

The institution has a management system governing permanent equipment acquired from both federal and non-federal sources.

5. Human Resources

The institution has a human resources management program including written personnel policies and procedures available to all employees that provides safeguards to assure that the institution complies with laws and regulations regarding recruitment, hiring, terms, conditions and termination of employment. The section on Staffing the Project provides details on hiring and charging personnel to grants.

6. Compliance Assessments and Audits

The institution has a formal system for compliance assessment and audit that demonstrates that the institution complies with both internal policies and federal regulations.

7. Compliance with Protection Regulations

The institution has systems that comply with federal and, where necessary, state and local government regulations and with requirements of non-federal sponsors in the areas of protection of human subjects and of animals, the environment, and in the operation of its facilities. The University’s Office of Research Compliance and Compliance and Risk Management’s Laboratory Safety Office oversee these functions and work with PIs and Sponsored Programs to make certain externally funded projects are compliant. The PI is primarily responsible for complying with these regulations.

8. Proposal and Award Management.

The institution provides information on prospective sponsors and processes proposals in compliance with sponsor guidelines and has a system to manage externally funded programs in accordance with the requirements of each sponsoring agency. The institution has a system to assure adequate reporting of performance of sponsored programs as well as for the management of records and other technical data.

9. Intellectual Property

The institution has an intellectual property management system adequate to comply with terms and conditions of its agreements with external sponsors and institutional policies, as well as with pertinent laws and regulations including those of the federal government. The University’s Office of Technology Commercialization oversees this process and works with Sponsored Programs to make certain externally funded projects are compliant.

10. Research Integrity

The institution has a formal system, embodied in written policies and guidance, that commits the institution and its faculty, students and research staff to design, conduct and report their scholarly activities in accordance with accepted standards of integrity and ethical behavior.

11. Electronic Research Administration

The institution has appropriate procedures in place to allow it to access and utilize the electronic proposal, award, administrative and financial management systems of the federal government or other sponsors.

12. General Research Management

The institution has a clearly defined process for the review of research management policies and for decision making on implementation of such policies (and) has trained personnel who are knowledgeable of sponsor regulations, requirements and procedures.

Federal Regulations, Guidelines, and Information

Below are links for many federal regulations as well as specific agency guidelines and other useful information for sponsored projects administration.

Federal Grant Regulations

(Uniform Guidance)

Other Federal Information

Assistance Listing Number (ALN)

Government Printing Office (GPO) AccessInteragency Edison (Invention Reporting)

U.S. General Services Agency (GSA)

U.S. Patent and Trademark Office

51�� Links

Division of Research and Economic Development

Grants Accounting - Controllers Office

Policy Register

Office of Research Compliance

Business Administrator Services (BAS) Forum

Business Administrator Services (BAS) Forms Library