Post-Award Guide Table of Contents PART I FORWARD PART II POST-AWARD ACTIVITIES A. Types of Funding B. Project Implementation C. Project Closing D. Problems PART III PRINCIPAL INVESTIGATOR INCENTIVES PART IV COMMITTEE ON RESEARCH & CREATIVE ACTIVITIES PART V COPYRIGHTS & PATENTS ------------------------------------------------------------------------ PART I - FORWARD This Office of Research Procedures Manual for post-award administration summarizes the services provided by the Office of Research. It is designed to assist members of the Univeristy Community in: 1. Tracking proposals through the agency. 2. Understanding the administrative and fiscal responsibilities of the principal investigator and the University in carrying out the obilgations of a grand, cooperative agreement, or contract. PART II - POST-AWARD ACTIVITIES A. Types of Funding Once a proposal is funded, a legal agreement between the sponsor and the University will be developed. There are two types of contracts that require a specific product to be developed, i.e. fixed price and cost reimbursable. A fixed price agreement guarantees that the University will deliver a specific item or perform particular work within a designated period of time at a price agreed upon in advance, irrespective of the actual costs. Residual funds remaining in a fixed price contract of less than $5,000, and over $5,000 where the indirect cost recovery is at least 8% or greater will be transferred to a seed account for the principal investigator. Where a fixed price contract over $5,000 has no indirect cost associated with it or less than 8% indirect costs, 50% of the residue will be transferred to the Sponsored Research Trust and 50% will be transferred to the principal investigator. A cost reimbursable agreement is issued on the basis of an estimated budget agreed upon by the funding agency and the University and will provide for payment at designated intervals upon documentation of incurred costs. A maximum amount is stipulated, and, unless there is a contract amendment increasing the funding, payment will not be made above the indicated maximum. If all the funds are not spent on the project, they revert back to the granting agency. A grant is an award of money based on an application for research for the "good of humanity." Usually no deliverables are stipulated other than a sound research effort and published results, if appropriate. A contract requires the delivery of a product at the end of the project, but the agency requests specific actions only if the delivery of the product is not made on time. A cooperative agreement allows the agency to work with the principal investigator during the study, possibly modifying the project if added costs are not required. If additional costs are anticipated, the cooperative agreement should be modified appropriately. B. Project Implementation 1. Award Notice a. If the "award document," which could be in the form of a letter, official contract, or purchase order, is received directly by the principal investigator, the original copy should be delivered, as soon as possible, to the Office of Research for processing. b. If the Office of Research receives documentation from the agency, either approval or denial, a copy will immediately be sent to the principal investigator. c. The budget in the award document will be reviewed to determine if the amount funded is the amount which was requested. If not, the principal investigator should work with Research personnel to prepare a revised budget to match the award figure. d. The award document will be reviewed by the Associate Vice Provost for Research for special conditions, restrictions, responsibilities and acceptance requirements. The award will require University acceptance, either by approval from the Vice President for Administrative Affairs or by an acceptance letter from the Associate Vice Provost for Research to the agency accepting the award on behalf of the University. 2. Project Beginning a. The Office of Research will review and verify the project proposal and the budget with the award notification, type of award, amount awarded, beginning and ending dates, and similar matters, and send copies to the Comptroller's Office authorizing the establishment of a University account in the name of the principal investigator. b. The Comptroller's Office will assign an account number to the project and will send this number along with the Comptroller's version of the budget to the principal investigator and the Office of Research and Graduate Studies. c. The Office of Research will send a memorandum to Information Services advising them of the award in the name of the principal investigator and request they interview the principal investigator and initiate appropriate publicity. Copies of the memorandum will be sent to the principal investigator, department head, dean and President as a means of notification. 3. Principal Investigator's Responsibilities a. When a copy of the "award document" is received by the principal investigator, the approved budget and beginning and ending dates of the contract should be carefully reviewed and verified for proper implementation of the project. If the amount awarded is different from the amount requested, a revised budget should be submitted to the Office of Research and Graduate Studies. b. Soon after an official award notice, the University account number, assigned by the Comptroller's Office, and a budget summary form will be provided to a PI giving the categorical breakdown of the project budget. If there are any questions or problems with the budget or contract dates, the Office of Research should be notified immediately. c. If there is cost sharing or matching in the budget, the principal investigator should reconfirm his/her commitment at this time and make arrangements for implementation of proper forms (see Part II B. 4. c. Budget Spending). d. The principal investigator will receive a copy of the memorandum advising Information Services of the funding. If the principal investigator is not contacted by Information Services within a reasonable time, he/she may contact them with any pertinent information about the project that he/she would like to have put into a press release. e. The principal investigator, who is the only one authorized to initiate a request to spend funds, should prepare position descriptions for any new positions required for the project. Positions funded from contracts and grants are classified at the same level as comparable Educational and General funded positions with rates of pay being equal. Refer to UWF Personnel Policy No. 2.60, subject, Positions Funded by Contracts or Grants. The Personnel Office will provide assistance in classifying and advertising positions and all other aspects of hiring individuals for the project. In addition, the 1984 Legislature provided an exception, i.e. "Notwithstanding the provisions of F.S. 216.262 (1)(a), each division of sponsored research is authorized, upon approval of the Board of Regents, to establish additional positions as needed to implement new contracts and grants, but in no instance shall such positions become permanently established without legislative approval" (Chancellor's Memorandum CM-82-02.2 dated May 10, 1985). f. It is the responsibility of the principal investigator to see that the project objectives and requirements are met and that the required project reports are submitted on time. The Office of Research will assist as appropriate. g. It is suggested that the principal investigator establish individual ledger sheets for each category in the budget. As requisitions, TARs, and action sheets are released, the amounts encumbered and spent should be deducted from the budget category on the ledger sheets so that your remaining balance, by categories, will always be known at a glance. Each month when the computer printouts are received, the amounts spent from the printouts can be verified with your ledger sheets. This will be very helpful for the principal investigator, since the maintenance of accurate current accounts is virtually impossible because of lags in printout data. The Office of Research and the Comptroller have developed a special account report format specifically for PI's and this report, in addition to the standard SAMAS report will come monthly. h. Annual leave balances of all employees working on the grant, with the exception of OPS employees who do not accrue annual or sick leave, should be monitored to ensure that all leave is taken before the end of the project period. i. Please keep in mind that the Office of Research is available to provide assistance. Ask for it. 4. Budget Spending a. There can generally be no expenditures before the starting date or after the ending date of the contract (special exceptions can be made if the award falls under the Florida Demonstration Project). b. Action sheets, TARs, reimbursements, requisitions, professional services contracts, and all other grant spending requires the signature of the principal investigator and should be initiated by the principal investigator. To expedite the principal investigator's request and to support his/her project, all requests to spend from a "22" account (a grant and contract account) will be sent directly to the Office of Research to determine if the request is appropriate for the award. c. The principal investigator will initiate action sheets for all individuals, both University personnel and new personnel, to be paid from the project. In preparing action sheets, refer to the project budget verifying all positions, amount of funds needed and amount available, and if there is sufficient fringe benefits in the budget. The ending date on each action sheet can be no later than the ending date of the project. If there are any questions regarding preparation of action sheets, they should be directed to the Office of Research and Graduate Studies. Action sheets are required on University personnel paid from the project to provide change in account number, and to alert the appropriate Dean of any salary savings. All action sheets must be signed/approved by the principal investigator and the Associate Vice Provost for Research before it is forwarded to the Personnel Office for action. If there is significant deviation from the proposal approved by the chairman and dean, the Office of Research will redirect the "new" request for appropriate approval. d. Consultants If consultants were approved for the project, a Professional Services Contract must be prepared and approved in advance of work to be performed. Professional services are services rendered by professional persons who are not performing the duties of an authorized position. If the consultant is a person otherwise employed by another Florida state agency, Department of Administration approval for Dual Compensation form must be completed and approved prior to the commencement of services to be provided as noted in the Professional Services Contract. Professional Services Contracts must be signed by the principal investigator, the Associate Vice Provost for Research and Graduate Studies, the University Business Manager and then by the professional to be paid. As stated above, these approvals are required before services are performed and signatures are to be secured in the order listed above. e. Cost Sharing/Matching Requirements The time you spend on the project under cost sharing (matching) requirements must be carefully contributed and documented. You or other faculty will be required to verify quarterly on the Personnel Activity Report System (PARS) report the percentage of effort actually spent on the project and the time period during which this effort occurred. This is the individual's responsibility and must not be taken lightly. f. Travel All requests for travel expenditures must be initiated prior to the date of travel in accordance with the State of Florida travel policy. Before any travel is requested from the project funds, the principal investigator verifies that the purpose of this trip is in support of the project. The TAR must be signed/approved by the principal investigator and the Associate Vice Provost for Research and Graduate Studies. The Office of Research will then transmit the request to the Vice President for Academic Affairs. The request for reimbursement must be signed by the traveler and the principal investigator. In the case of the principal investigator traveling, the principal investigator's supervisor must also sign. University travel regulations may be consulted in the Travel Department if any questions arise. g. Supplies, Publication Costs, Computer Costs Grant or contract awards may support publication or computer costs and usually provide some funds for supplies. Publication and computer costs may be "direct billed" to an account and are thus not subject to the normal purchasing approval system. This may lead to inaccurate monthly account statements for a short period of time, but these charges will ultimately appear on your account. The principal investigator should ensure that all costs charged to the account do not exceed the amount budgeted in the project. To avoid overspending, it would be advisable to encumber many anticipated costs in the first quarter of the project. h. Equipment Equipment approved in the project must be purchased in accordance with University purchasing procedures. The purchasing process is necessarily cautious and sufficient lead time should be assumed on most purchases. This is especially true in the event the bid process is necessary. The Associate Vice Provost for Research may be able to expedite matters in an emergency. Some granting agencies impose special conditions or restrictions on equipment and/or special purchase items. The principal investigator should make special note of such conditions if they exist. The University will maintain a complete inventory of all equipment during the life of the project. Contact Property Control for identification decals and inventory information if needed. 5. Checkpoints for Project Implementation a. Check award document periodically for deadlines of any quarterly activity reports, and ensure that deadlines are met. b. Review monthly printouts to determine accuracy of budget and expenditures, and if modification in your budget is necessary. c. Review personnel expenditures in printouts to ensure that salaries and fringe benefits are correct. d. Check for outstanding purchase requisitions. e. Ninety days before the project ends, the principal investigator should: 1. Review and check with Comptroller's Office to determine the accuracy and status of the budget to ensure that budget categories are appropriately expended. 2. Purchase permanent equipment in a timely fashion, as last minute equipment purchases can be disallowed (unless a renewal grant is awarded). 3. Determine if a budget amendment is necessary. If so, the amendment should be prepared and submitted to the Office of Research as soon as possible. The Office of Research can, in some instances, authorize amendments, but in others permission must be sought from the grantor. 4. Planning for preparation of the final report should begin at this time. 5. Verify that all matching requirements have been met and are fully documented. 6. Review annual leave balances of all full-time personnel. Notify each individual that all leave hours must be used prior to project termination. 7. Review the project proposal to ensure that all project objectives will be performed and conducted as specified in the grant document. 8. Determine, at this time, if a renewal/continuation or no cost extension of the project is needed. If a no cost extension is needed, a request should be submitted through the Office of Research and Graduate Studies. 6. Budget Amendments a. When a major budget change is necessary, a letter from the Associate Vice Provost for Research should go to the agency requesting necessary changes in the form of a contract amendment. The contract will reflect the necessity of contract amendments or internal budget changes (projects under the Florida Demonstration Project need only the approval of the Associate Vice Provost for Research and Graduate Studies). b. When a contract allows for internal budget changes, a memo should be written to Comptroller's Office requesting the necessary budget adjustments. After approval, the Comptroller's Office will prepare a Sponsored Research Division Budget Transfer Request Form (Appendix J). The principal investigator's request memo signifying approval will be attached to this form and routed to the Associate Vice Provost for Research and Graduate Studies, Vice Provost/Associate Vice President for Academic Affairs and the Vice President for Administrative Affairs for their signatures before the budget changes are implemented. 7. Emergency Purchases For emergency and out-of-the-ordinary purchases, please contact the Office of Research for assistance. C. Project Closing 1. Ending Date and Purchases As the ending date approaches, the PI should consider the following: a. Requisitions for items requiring a written quotation (cost of $500 or more) should be in the Purchasing Department at least 30 days prior to the ending date. b. Equipment requisitions should be in the Purchasing Department at least 60 days prior to the ending date of the contract. c. Purchasing supplies or equipment at the end of a contract will usually not be allowed. Plan such purchases about 90 days before the end of the contract. Auditors are suspect when purchases are made too close to the ending date since they assume it's too late in the life of the project to use the equipment in support of this project. d. After assuring that all annual leave has been taken, or that there are sufficient funds to cover termination, termination action sheets should be initiated for all personnel paid from the grant 30 days prior to the termination date. e. The final programmatic report should be mailed to the funding agency to reach them by the deadline date. f. Verify budget status to ensure that budget categories are not over/under expended. g. MAKE CERTAIN THAT ALL SPENDING IS DONE BEFORE THE ENDING DATE OF THE CONTRACT. Again, purchase of equipment and most supplies should be done months before the ending date of the contract to avoid a disallowance a year or two hence. 2. Close Out and Final Reports Review the project proposal to ensure that all project objectives have been performed and conducted as specified in the award document. Prepare final reports for forwarding to the funding agency. Contact the Office of Research for needed assistance. The Comptroller's Office will prepare the final fiscal reports, and copies will be sent to the principal investigator for review and concurrence. 3. Return of Equipment Agencies require that all equipment purchased with their funds be recorded by description, manufacturer's model number, serial number, date of acquisition and cost, and that equipment inventory reports be submitted as property is purchased. Equipment should not be disposed of without permission of the University and possibly the grantor. Upon termination of the contract, the disposition of equipment that has been purchased with project funds should be handled in conformance with applicable federal and state regulations. Please check with the Office of Research as the contract nears to a close to ascertain appropriate disposition of equipment acquired under the contract. 4. Over Expenditures Payback Extreme caution should be taken not to overspend the amount funded in the project budget. However, if over expenditure does occur, the amount will be recovered through deduction of seed funds that would normally have gone to the principal investigator. D. Problems If you have, or anticipate, any problems of any kind with a University office, your funding agency, consultants, or others, check with the Office of Research and the office staff will lend assistance. PART III - PRINCIPAL INVESTIGATOR INCENTIVES At the beginning of each fiscal year (July 1), the indirect costs received and accumulated during the previous year are calculated for each individual project, and 10% is transferred to the principal investigator and another 10% to the principal investigator's department chairperson. These funds are placed in "seed" accounts and are to be "controlled" by the principal investigator or, for that portion going to the department, by the chair or a committee. Seed funds may be carried over from one year to the next. They can be used to purchase equipment needed for research, expense dollars for a research project, travel to a professional meeting to present research findings or learn more about your research area, to pay for research activities, and similar research support. Hopefully the expenditure of such funds will result in the submission of a proposal to a funding agency and this will bring in added indirect dollars. Seed dollars are state funds and, as such, carry with them the same restrictions which apply to all state funds. PART IV - COMMITTEE ON RESEARCH AND CREATIVE ACTIVITIES The Committee on Research and Creative Activities is made up of eight elected faculty members. The Associate Vice Provost for Research is the permanent vice chairman of the committee, ex-officio, non-voting PART V - COPYRIGHTS AND PATENTS The Office of Research is responsible for the administration of the patent and copyright process within the University. This office has the necessary forms to apply for patents and copyrights and will pay the application fee(s). The Office of Research will complete the proper forms, request payment, and mail the application. If you believe the material is proprietary, check with the Office of Research immediately to ensure that the principal investigator and the Office of Research have submitted a disclosure statement. University policy allows a 50-50 sharing of royalties with the faculty member in most situations; this relationship may vary depending upon the amount of support the University has provided in the research/creative process.