Post-Award Procedures

Your grant has been funded! Now what?

There are detailed post-award procedures for Banner, Charging Expenses, Purchasing, Monitoring Expenses, Hiring students and employees, and Time and Effort certification. Below is a summary that highlights key roles and responsibilities.

Role of the Principal Investigator/Project Director

As Principal Investigator or Project Director (PI/PD), you are responsible for all aspects of conducting the project.

Before spending any money on the project, the PI/PD is responsible for:

  • Notifying appropriate OGSP personnel about any grant award documents received.
  • Forwarding all original award documents to appropriate OGSP personnel.
  • Submitting any funds received to Grants Accounting.
  • Obtaining a Banner FOAP and Fund/Index number; OGSP staff will facilitate the process of requesting a FOAP.
  • Notifying appropriate OGSP personnel if the project involves a family relationship that was not disclosed to the sponsor at the time the grant was submitted.

During project implementation, the PI/PD is responsible for:

  • Carrying out the work as stated in the original proposal and ensuring that the project stays within the scope and objectives of the original proposal.
  • Reviewing and complying with the terms and conditions of the sponsor and the specific grant, including, but not limited to, reporting requirements and effort commitments.
  • Complying with all applicable federal and sponsor regulations, including but not limited to, export controls, regulations regarding animals and human subjects, and responsible conduct of research.
  • Reviewing and following Middlebury’s policies, including, but not limited to, procurement and travel policies related to grants.
  • Following Middlebury’s procedures for hiring students and employees and for charging faculty salary, including time and effort certification procedures.
  • Ensuring that all items charged to the grant are allowable, allocable to the grant, reasonable, and consistent.
  • Managing all paperwork associated with purchases (orders, forms, invoices, quotes, P-card receipts etc.); including the grant Fund number on all paperwork.
  • Monitoring expenses using Banner or Hyperion and limiting expenditures to the total dollar amount awarded.
  • Discussing any prospective expenses that are not in the awarded budget with appropriate OGSP personnel and requesting approval for any changes to approved budgets using the OPAS form.
  • Notifying appropriate OGSP personnel about any proposed changes to other terms of the grant, such as a change in key personnel; OGSP staff will facilitate getting any approvals that are required, either internally or from the sponsor.
  • Submitting all required narrative and technical reports to the sponsor on time and forwarding copies (plus any grant-related correspondence) to appropriate OGSP personnel.
  • Obtaining approval from Grants Accounting before including any financial information in a report.
  • Requesting no-cost extensions, if necessary and allowed, well in advance of the approved grant termination date.

Role of the Office of Grants and Contract Administration

The Office of Grants and Contract Administration is responsible for the overall financial administration of all grants to Middlebury. The office follows standard accounting practices and adheres strictly to all Middlebury policies, federal regulations, and other sponsor regulations. Specific responsibilities include:

  • Setting up all grants in the accounting system and assigning Banner FOAPs and Fund/Index numbers. This includes entering grant budgets in Banner.
  • Preparing all financial grant reports.
  • Requesting reimbursement from sponsors for grant-funded expenses.
  • Authorizing changes to approved budgets or other grant terms (as allowed by sponsor policy). This includes updating grant budgets in Banner and updating termination dates upon approval of no-cost extensions.
  • Making adjustments to the general ledger when the PI/PD and/or other project personnel identify items charged incorrectly (e.g. to the wrong fund or to the wrong account code).
  • Certifying compliance with all grant-related federal regulations and other sponsor regulations.
  • Administering Middlebury’s time and effort certification process.
  • Signing documents, such as no-cost extension requests, on behalf of Middlebury.
  • Officially closing out grants at termination.

Role of Office of Grants & Sponsored Programs (OGSP) staff

  • Negotiating terms and conditions of the final award with the sponsor.
  • Negotiating terms and conditions of any subaward agreements that must be issued by Middlebury.
  • Notifying Grants Accounting about the award.
  • Submitting “Request FOAP” form to Grants Accounting along with the required documentation.
  • Notifying compliance committees that must oversee the research.
  • Managing data and coordinating publicity for grants.
  • Advising the PI/PD and other project personnel about the terms and conditions of the grant.
  • Advising the PI/PD and other project personnel about grant management.
  • Facilitating requests for approval of any changes to approved budgets using the OPAS form.
  • Facilitating no-cost extension requests.
  • Communicating with the sponsor on behalf of the PI/PD about changes to the terms of the grant and other issues.
  • Creating and managing accounts in federal and other sponsors’ electronic research administration systems.
  • Coordinating requests for supplemental funding.
  • Notifying sponsors of unusual situations, such as absence of the PI/PD.
  • Monitoring reporting requirements as follows:
    • For Faculty Grants: Monitoring non-financial reporting requirements and ensuring that all required technical and narrative reports are filed.
    • For Institutional Grants: Monitoring financial and non-financial reporting requirements and ensuring that all required reports are filed (which often includes preparing the reports for institutional signature).