Award Monitoring and Oversight


OverviewBack to Top

Sponsored projects are awarded to the University and assigned to a principal investigator (PI). The investigator is responsible and accountable to the sponsor for the proper conduct of the project or activity.

This requires day-to-day activities to monitor spending. Good stewardship of award funds helps maintain a relationship of trust between sponsors, the University and the public. Future awards, the reputation of the university and the investigator and avoidance of penalties may depend on the quality of management.

Roles & ResponsibilitiesBack to Top


An award is an agreement between the sponsor and the University. The investigator, department/center, college and RSP all have responsibility for ensuring that the terms of the agreement are met.

Principal Investigator(s)

The Principal Investigator is responsible for:

  • Knowledge of the terms/conditions of the award and applicable University/State policies and assuring compliance with these terms and conditions
  • Conduct of Research
  • Budget management (including cost sharing, sub-recipient monitoring and program income)
  • Effort reporting
  • Regulatory compliance
  • Invention disclosures
  • Technical reporting
  • Project closure

Departments/Centers

The department or center is responsible for:

  • Knowledge of the terms/conditions of the award and applicable University/State policies and assuring compliance with these terms and conditions
  • Assisting the PI with overall award management
  • Reviewing/reconciling momthly and making necessary corrections of needed expenditures
  • Preparing paperwork and processing transactions in a timely and correct manner
  • Submitting paperwork/transactions to CALS Business ServicesĀ for review, approval and action
  • Verifying fund availablity and conducting monthly financial reconciliations
    Initiating closeout
  • Tracking mandatory cost share expenditures
  • Processing Effort Cards by set deadlines

College (CALS Business Services)

The CALS Business ServicesĀ is responsible for:

  • Knowledge of the terms/conditions of the award and applicable University/State policies and assuring compliance with these terms and conditions
  • Providing reviews and approvals on behalf of the college
  • Providing oversight of award management
  • Assuring timely resolution of award management issues
  • Providing final accounting of cost sharing/matching to RSP
  • Participating in negotiations when technical reports are incomplete and deliverables are lacking or unacceptable to the sponsor

Research & Sponsored Programs (RSP)

RSP is responsible for:

  • Award Management
    • Review/Approve transactions/expenditures
    • Establish/administer sub-recipient agreements
    • Establish/administer sub-accounts
    • Coordinate award/agreement modifications
    • Review/approve/submit no cost extension requests
    • Review/approve cost transfers
    • Manage effort reports (ECRT)
    • Prepare financial reports
    • Initiate cash requests through payment management systems (PMS)
    • Manage cash advance accounts
    • Administer grant, contract and other agreements
    • Administer revenue/post cash receipts
  • Financial Compliance/award reconciliation (award closeout)
    • Monitor/verify expenditures to ensure compliance with all applicable regulations
    • Determine current (final balance) – Budget = Receipts = Disbursements
    • Review for unallowable expenditures
    • Prepare final invoices or financial reports
    • Document cost share
    • Submit patents and invention statements
    • Prepare closout documents
    • Deactivate and purge account


ResourcesBack to Top

Online Resources

Training Opportunities

  • Office of Human Resource Development (OHRD) Classes: View the OHRD course catalog on the OHRD website. Choose “Research Administration” or “Office of Vice Chancellor for Research and Graduate Education” from the initial course catalog menu to see a list of relevant classes.
  • RSP Training Materials: View available training materials on RSP’s Workshops, Training and Educational Resources page.

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