Pre/Post Award Grant Management

Any funds coming into the University of Arizona is handled based on a combination of factors.   A UAccess Research proposal document (UAR) must be routed whenever certain external funds are coming to the University/Department.  Please refer to the table below to determine when a UAR (routing through SPS) is needed. 

UAHS Pre-Award Services 

Budget Development - Department Specific Information 

Developing a project budget involves estimating all costs necessary to complete the proposed work, based directly on the project description or statement of work. Budgets are typically prepared for a 12-month period and must include both Direct Costs and Facilities & Administrative (F&A or Indirect) Costs. It is essential to request enough funds to cover all anticipated expenses, including annual increases (typically 3–5%) for multi-year projects.
All costs must be allowable, reasonable, and allocable, following federal regulations under 2 CFR 200 Subpart E and University of Arizona financial policies. Proposals to non-federal sponsors may include certain costs not allowed under federal rules, but these must be clearly justified.

Budgets are divided into two main categories:

1.Direct Costs: Expenses directly attributed to the project, such as:

• Salaries and Wages (faculty, staff, students, technical personnel).
• Fringe Benefits (ERE) – applied as a percentage of salaries.
• Consultants/Independent Contractors – external expertise or services.
• Equipment – items costing $5,000 or more with a useful life over one year.
• Travel, Participant Support, Subawards, Supplies, and Other Costs.
• Patient Care Costs and Tuition Remission for graduate assistants.

2.Facilities & Administrative (F&A) Costs: Overhead expenses that support multiple projects, such as utilities, administration, and shared facilities. These are applied as a percentage of Total Direct Costs (TDC) or Modified Total Direct Costs (MTDC), based on the University’s federally negotiated rate unless the sponsor specifies otherwise.

For more information, visit: https://research.arizona.edu/administration/build-budget

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s the sponsor specifies otherwise.

https://research.arizona.edu/OROI/coi-requirements-proposal-submission

All Investigators participating in federally funded research activities, including sub-federal awards, must have submitted a disclosure within the past 364 days prior to the submission of any federal or sub-federal proposal, even if they have yet to participate in research activities.  (A disclosure can be any of the following:  Annual Disclosure Certification, Research Certification or an Update.) OROI will verify that all PIs, Co-PIs, Senior/Key Personnel and COI Disclosers (“Investigators”) have an up-to-date disclosure at the time of proposal submission to a federal funding agency.

While this has been both a federal and UArizona requirement since 2012, the purpose of this process change is to ensure UArizona has appropriate documentation confirming compliance with this federal regulation.  This process change will not create a new COI requirement for Investigators.

For questions about COI at Proposal Submission, please contact Ismael Jaimez at coi@arizona.edu

Who can serve as a PI/Co-Investigator on a grant proposal?

Serving in the role of Principal Investigator/Project Director/Co-Investigator on an activity is a privilege granted to certain people associated with the University of Arizona. With the oversight responsibility implicit in the University's engagement in the activity, including acceptance of outside funds for a project, the University must be in a position of authority over the PI/PD/Co-I’s actions. Therefore, an individual's participation in University of Arizona research is dependent upon that individual's relationship with the institution. The Office of Research & Partnerships (ORP) has set out guidelines that must be met for the consideration of granting status as a PI/PD/Co-I’s to any individual. Participation as a Principal Investigator/Project Director/Co-Investigator for the University of Arizona must have a minimum employment requirement of 0.50 FTE and belong to an eligible employment category.

For more information, visit: https://research.arizona.edu/administration/getting-started/principal-investigator-project-director-co-investigator
 

https://research.arizona.edu/development 

Research Development Services (RDS) partners with UA faculty, their departmental/unit business office, and Sponsored Projects & Contracting Services (SP&CS) on the stages of the proposal lifecycle: from Opportunity Identification and Assessment to Revision and Resubmission. Research Development Services at UArizona is the nation’s most robust of its kind. The RDS team of more than two dozen brings expertise from multiple disciplines in academia, industry, and government. Most RDS staff members have advanced degrees.   Visit the RDS website for more detailed information.  

Physiology Grant/Contract Administrator Role: 

• Provide PI with monthly account balances, provide projections, etc
• Assist with financial compliance (allowability of costs) 
  • Ensure costs are authorized in accordance with University policies, state and federal laws and regulations, sponsor terms and conditions
  • Charged to the appropriate object code
  • Allowable per the terms of the award
  • Fall within the available balance of the account
  • Fall within the period of performance of the account
  • Documented and approved according to UA business practice: https://www.fso.arizona.edu/financial-management/business-purpose
• Assist with large purchases/Expense reimbursements/financial questions
• Ensure copies of supporting documentation for all activity processed on the account are maintained according to UA record retention guidelines.
• Process Cost transfers as needed

Sponsored Project’s Role:

• Prepares a financial status report for the sponsor, according to the terms of the award. Before sending the financial status report to the sponsor, the project accountant will obtain written concurrence from the principal investigator. The principal investigator should review the financial report to ensure that the costs are allowable and accurately reported. Any unobligated balance is usually returned to the sponsor.

PI’s Role:

• Complete required Compliance programs (e.g., Conflict of interest; Research laboratory Safety Services; Responsible and Ethical Conduct of Research)
• Ensure funds are spent and managed according to the goals, objectives and mission of the organization, to ensure that the funds are being spent according to a budgeted plan and that the allocation of expenditures is appropriate to the function identified for the account.
• Communicate budget changes to grant administrator prior to changes
• Review monthly financial reports and report errors as soon as possible
• Approve Effort Reports every 6 months
• Submit technical reports to sponsor by the deadline
• Familiarize yourself with Research, Innovation and Impact website for managing grants: https://research.arizona.edu/administration/managing-projects or  https://research.arizona.edu/
• When in doubt, ask first!

No cost extensions to projects do not increase the amount of the University's original cost sharing obligation. The no cost extension does, however, extend the time period during which the University may perform the cost sharing. Extending the termination date of the project or the due date for deliverables or technical reports generally requires sponsor approval.

Contracts (Bilateral agreements):

• Contracts usually require a contract modification signed by both parties agreeing to the change. The PI/unit can correspond with the sponsor and appropriate UArizona contracting office to draft the modification.

Grants (Unilateral agreements):

• For many unilateral grants awarded under the Research Terms and Conditions/Federal Demonstration Partnership (FDP), the University has the authority to extend the termination date one time for a period up to one year beyond the original termination date. The principal investigator requests a no-cost extension  by emailing their post award team. The email should contain:
  • The new termination date
  • Provide justification for requesting the extension
  • Extending the termination date in order to spend remaining funds is not an acceptable justification
  • The post award team will notify the sponsor of the new termination date and repeat the supporting justification provided in the request letter.
• If sponsor approval is required for the no cost extension, postaward will transmit the request to the sponsor. 

For more detailed information, visit:

NIH:  https://www.era.nih.gov/recipients/submit-no-cost-ext.htm

NSF:  https://seedfund.nsf.gov/resources/awardees/phase-1/no-cost-extension/

Progress Reports

The principal investigator is responsible for tracking and submitting required progress reports to the sponsor. Please reference the 1/4/21 Progress Report Memo from the Senior Vice President for Research Office regarding tracking and follow up requirements. Departments/Colleges may also consider withholding proposal approvals for PIs with overdue reports as an corrective action measure.

The sponsor may specific a format in the award notice or incorporated terms and conditions. If no format is indicated, the principal investigator is advised to use a format that addresses the following program management concerns:

• A review of accomplishments to-date as compared with schedule and objectives as outlined in the original proposal or as modified when the contract was awarded.
• A review of the challenges faced by the project in attempting to meet the schedule and objectives laid out in the original proposal or the most recent modification.  If the project is either behind schedule or significantly off budget (high or low) it is not enough to say so - include a mitigation plan.
• Supporting statistical data or documentation on overall project health.

• Management activities, such as documentation or materials produced, personnel issues, etc.

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National Institutes of Health (NIH) 

Research Performance Progress Report (RPPR)

The Physiology Department Grant and Contract team will assist Principal investigators in preparing the financial and personnel sections of the NIH RPPR.

The Research Progress Performance Report is the standard format for progress reporting used by all federal agencies that provide sponsored funding. The report is prepared by the PI or PI assistant within NIH eRACommons and routed to a Sponsored Projects postaward signing official for review and submission.

• Three-Day Deadline policy:
  • RPPRs should be submitted in accordance with the Three-Day Deadline Policy.
• RPPR Cover Page:
  • Please set the administrative official to Marcel Villalobos, and the signing official to the postaward team manager that partners with your unit (Our Contact = Carmen Raffensparger). You can locate the postaward team manager by college from our directory.
  • Please route the RPPR in eRA Commons to Carmen Raffensparger – signing official.
• Notify SPS the report is ready for review:
  • The PI or research administrator should send an email to sponsor@arizona.edu(link sends e-mail) to request submission after the RPPR is routed to the signing official. This is necessary in case the signing official is out of office. Please reference the UA account number and/or grant number.
    • If the RPPR has warnings, your email should indicate SPS may submit despite them.
    • If the RPPR has a significant unobligated balance, include the internal UA unobligated balance worksheet, as NIH will ask about the balances.
    • If you need a corresponding ASSIST record updated to “work in progress” for updates, or returned to “submitted” status, please include that information.

Other Guidance:

• UAccess Analytics RPPR support dashboard: This is a tool for guidance, but requires careful review, particularly the effort calculations. Access requires provisioning for UAccess Research.
• NIH RPPR Website

How to: Requesting a budget change/change of scope/reduction of effort

Procedure for Requesting Sponsor Approval of Project Changes

Requests to modify an existing sponsored project must be prepared by the investigator and business office, then reviewed and authorized by Sponsored Projects Services (SPS) through email or digital signature. In some cases, an administrative change proposal must be routed in UAccess Research to formally document institutional approval before submission to the sponsor.

For unilateral grants, approvals are processed directly through post-award offices, while bilateral contracts may require a formal contract modification managed by the contracting office.

Budget Changes:
Project budgets represent spending plans and may vary by category. Under the Federal Demonstration Partnership (FDP), institutions have flexibility to rebudget as long as the project’s scope is unchanged. However, changes such as major scope alterations, subcontracting a significant portion of work, or budget deviations exceeding 25% of the total award typically require prior sponsor approval. Equipment purchases may also need approval depending on sponsor terms.

Key Personnel Changes:
Sponsor notification is required when key personnel significantly reduce effort or leave the project. Examples include:

Replacement or departure of the Principal Investigator (PI).

Absence from the project for more than three months.

A 25% or greater reduction in effort from the original commitment.

Scope or Objective Changes:
Any alteration to the project’s statement of work or research objectives requires sponsor approval. Common examples include changing the disease focus, substituting animal models, or modifying the approved use of animals or human subjects.

Account Closeouts

At the conclusion of a sponsored project, specific award closeout requirements must be followed to ensure accurate and official completion. This includes final reconciliation of expenses, submission of required reports, and confirmation that all financial and performance obligations have been met.

For cost reimbursement awards, actual project expenses are reconciled and reported to the sponsor for final payment. For fixed-price awards, the project closes once all deliverables have been accepted, all expenses are recorded, and the full payment has been received. The Principal Investigator (PI) is responsible for completing all final reporting requirements, and any early termination of an award must be reported immediately to Sponsored Projects & Contracting Services.

Federal Award Closeout:
Most federal awards require submission of all final financial, performance, and other reports within 90 days of the project’s end date (per 2 CFR 200.343). Non-federal sponsors, such as state or private entities, may have shorter deadlines—typically between 15 and 60 days.

Fixed-Price Closeout and Residual Balances:
In fixed-price agreements, the sponsor pays a set amount for a deliverable regardless of actual costs incurred. These projects become “fixed-price complete” when all deliverables are accepted, expenses are posted, and payment is received. If a residual balance remains, it is transferred—after the required Facilities & Administrative (F&A) assessment—to a departmental residual account managed by the PI but overseen by department and college leadership. Residual funds must remain at the University and be used only for business purposes.

Expense Posting and F&A Adjustments:
All project-related expenses must be posted before calculating residual balances to ensure compliance and accurate reporting. If F&A was budgeted, it will be applied to expend the remaining F&A line before transferring residual funds. No deficits will be created, and fully expended accounts will simply be closed. For projects with internal F&A waivers or rate reductions, F&A is recalculated based on the actual award amount and activity type before final transfer of residual funds.

For more information, visit: https://research.arizona.edu/administration/project-closeout

COMING SOON

Requesting a Grant Transfer to a New Institution

The requirements for transferring a grant to a new institution vary by sponsor. The PI should consult with the Business office well in advance of the anticipated transfer date to ensure a smooth transaction. Please check the individual sponsor’s policy manual for specific instructions.

All grant transfer requests must have the written approval of the Director or Department Head and then forwarded to Sponsored Project Services for institutional countersignature.

The written requests should include the name of the new institution and the effective date of the transfer, an estimate of the unexpended balance that will be relinquished as of the transfer date.

When leaving the University of Arizona, a PI may have pending proposals that have a chance of being funded. Some sponsors require that the UA relinquish their interest in the proposal, so that if it is funded, the new institution will receive the award. Contact Sponsored Projects Pre-Award if your sponsor requests a letter relinquishing your proposal to the new institution.

Sponsored Project Equipment Transfer

Please follow the procedure: 6.20 Sponsored Project Equipment | Financial Policies

Roles and Responsibilities for Grant Transfers at the University of Arizona

P = Primary  responsibility

S = Secondary responsibility

Sponsored Projects Services is responsible for assisting faculty and staff with proposals and guidance on the financial and administrative management of grants and contracts and training on research administration topics. SPS is an experienced resource for faculty and staff who engage in research and scholarly activities, and who work to advance the University’s strategic goals through externally supported projects and programs. 

Post award 

• Establish sponsored awards and accounts in UAccess Research and UAccess Financials

• Complete invoicing and financial reporting requirements

• Cash management

• Guidance on expenditure allowability

• Prior approvals, project changes, and sponsor notifications

• Award closeout

• Effort reporting and documenting cost sharing/matching funds

• Sponsored equipment compliance and reporting

• Coordinate external audits and internal reviews

Contact: sponsor@email.arizona.edu

For more information, visit: https://research.arizona.edu/administration/sponsored-projects-services