Post-Award Administration

Most funding agencies require progress reports at least annually. Note that some federal funders, such as NSF, require that the reports be filed 90 days in advance of the anniversary date. Final reports must be filed within 90 days after the conclusion of the grant period.

All faculty members must comply with grant rules and conditions, and ensure that all disbursements are made for the purposes of the award. The College signs proposal applications as well as annual statements verifying the accuracy of grant compliance.

Funding agencies have been conducting an increasing number of desk audits in order to diminish grant fraud cases. It is essential that faculty members document all expenses.

Faculty members must comply with the College’s Policy and Procedures for Review of Alleged Unethical Research Practices; and the College’s Financial Conflict of Interest policy. In addition, faculty PI/PDs are responsible for ensuring that all faculty, staff and students engaged in their funded research are educated in the responsible conduct of research per the funder’s requirements. Please see Research Policy for more information.

The associate comptroller provides regular financial reports to the PI/PD, files regular reports with federal agencies and requests grant payments when appropriate.

All federally and privately funded projects are subject to an annual audit by the College. In addition, grantmaking agencies may conduct their own audit of any project they fund.

The associate comptroller keeps records on all equipment purchased with grant funds for inclusion in a required annual inventory.

Negotiating the facilities & administration (F&A) rate with federal agency representatives.

If a grant is approved with the full amount of F&A (indirect costs) requested, 20 percent of the recovered indirect cost will be placed in a separate, restricted fund for the PI/PD to use for their own research, travel, equipment, etc., but not for their salary. There are cases where the use of these indirect funds may be re-directed in negotiating awards. The associate comptroller will assign the account number and inform the PI/PD.

Hiring personnel for grant-funded positions must follow college procedures with respect to advertising, recruiting, offers of employment, rate of pay, etc. and may be further directed by federal hiring guidelines. Refer to Trinity’s Human Resources Policy and Procedure Manual (4.02) for more information. The appointment letter for administrative staff hired for grant-funded positions may not be issued by a faculty member. Letters of appointment can only be issued by the director of human resources, the president, or the dean of the faculty, depending upon the nature of the assignment.

Most funding agencies will permit some budget adjustments among approved categories if approval is requested in advance. Certain federal agencies (NSF and NIH) have guidelines in place that permit a grantee institution to transfer grant funds from one category to another within limits without prior agency approval. The PI/PD should discuss any anticipated budget changes with the associate comptroller as soon as possible.

Extensions in the project period that do not involve additional funds are called no-cost extensions. They are usually necessary when work on the project takes longer than anticipated—not simply because grant funds remain at the end of the original project period. Most federal funding agencies provide up to a year’s extension as a routine matter but require review and approval of subsequent extensions. Contact the director of faculty grants and the associate comptroller as soon as possible, as extension requests are subject to deadlines.

A change of either the PI/PD’s level of effort or the objectives/scope of the project will require the advance approval of the funding agency. The PI/PD should discuss plans with the director of faculty grants and associate comptroller to assist in re-budgeting and accurate effort reporting.

When a PI/PD leaves Trinity with substantial time and money remaining in a funded research project, transferring the grant to the new institution is usually the appropriate course. Contact the director of faculty grants and the associate comptroller as soon as possible; transfers may take some time to complete.