When a Principal Investigator/Project Director (PI/PD) receives a new award from a federal or private sponsor, it enters the non-financial post-award stage. There is still some work to be done before PI/PDs can begin to spend down their funds. The award must pass all compliance checks, be processed in our systems internally, and be set up by Grant Accounting in order for the PI/PD to begin their spending. Because every award is different, the amount of time between receipt of award documents and award set-up may vary.
1. Review of Award Documents
The first and most critical step in processing an award is reviewing the award documents. Typically, OSP will receive the award documents. If a signature is required, an Authorized Organizational Representative (as specified in Montclair’s “Policy for Review, Submission, Signature and Management of Grants, Contracts and Cooperative Agreements” on our Compliance web page.) will serve as the authorized signatory.
If a PI/PD or other staff member receives award documents, they should not independently sign them. PI/PDs do not have legal authority to bind the institution to a grant award. Any and all award documents should be forwarded to OSP as soon as they’re received. This will expedite the award set-up process.
Depending on the sponsor, award documents can look very different. For a federal grant award, award documents are likely to arrive as a Notice of Award (NOA) or Notice of Grant Award (NOGA). Typically, a federal NOGA will detail the period of performance, award amount, and contact information for sponsor grants personnel, such as a program officer or grants management specialist. The award documents will also outline terms and conditions for the award. Some federal sponsors engage in “incorporation by reference,” where they list their terms and conditions in a separate document, typically on their website.
Non-federal awards can arrive as letters of award, grant agreements, contracts, or other documents. The terms and conditions for these awards can vary widely, so it is important to read them thoroughly. PI/PDs should make sure they understand the award terms and conditions and that they take note of reporting deadlines and requirements.
Some award instruments require negotiation, such as federal or non-federal contracts, subaward agreements, or Memorandums of Understanding. These negotiations need to be handled by a post-award administrator in OSP.
2. Compliance Check
As part of the award review, a post-award administrator in OSP will perform an internal compliance check to ensure that the PI/PD has addressed all internal requirements to start their project, especially if there are human subjects involved. This includes, but is not limited to, the following:
- Human Subjects Involvement (IRB Review and Approval)
- Animal Testing Involvement (IACUC Review and Approval)
- Presence of Hazardous Materials (IBC Review and Approval)
- Presence of International Travel (Export Controls Training)
- Financial Conflict of Interest
- HIPAA and Healthcare Compliance
- Responsible Conduct of Research (RCR) Training
If necessary, OSP will contact PI/PDs and connect them with the Office of Research Compliance to ensure that all compliance standards are met. The time it takes to address these matters may vary. For more information on compliance policies, please see our Compliance web page.
Additionally, if cost-share is committed on the award, it will have to be verified and approved by the appropriate parties before award-set up. Committed cost-share is a legally binding obligation of the University. Please visit our Cost-Sharing web page for more detail.
3. Financial Account Set-Up
Once all compliance requirements have been addressed, OSP will proceed with internal set-up. OSP will then notify Grant Accounting that the award is ready to be processed in Workday, the institutional financial system.
The Grant Accountant will assign worktags (a GR# and an AWD#) over the next several days. Once the budget is live, the assigned Grant Accountant will reach out to the PI/PD with that information, allowing them to begin spending.