Office of Research and Sponsored Programs

Post-Award Account Setup

Post-Award Activities

**The following procedures should be used to activate, or revise the budget of an account for a new or a continuing grant, contract, or cooperative agreement made to Xavier University.**

  1. Award Letters
    1. When a proposal is funded, the Agency issues a Notice of Award (NoA). The original NoA may be sent to the Principal Investigator (P.I.), the Office of the President, or another office other than the Office of Research and Sponsored Programs (ORSP).  In all cases, please forward the Original letter (with grant guidelines and terms & conditions), the approved budget and budget justification to ORSP ( [Attention: Ann Smith, Asst. Vice-President of ORSP].

  2. Preparation of an Award Documentation Package (ADP)
    1. ORSP will prepare an Award Documentation Package (ADP) which contains all documentation needed to setup a post-award account.
    2. The ORSP will assemble and provide the Award Package, which includes
      1. Original Proposal Clearance Form (
      2. Approved Budget from the NoA. If the budget differs from what was submitted in the proposal, the P.I. needs to send a revised budget and budget justification to ORSP.
      3. Project information & budget portion of Routing Form
      4. Checklist for Initiating New Awards and Activating or Revising Grant Accounts
      5. Initiating New Awards and Activating or Revising Grant Accounts Form
      6. Project Budget using Xavier budget codes
      7. Updated Conflict of Interest form, if needed.
    3. The package will contain all requisite items on the Checklist for establishing external funding projects.
    4. Each ADP will be assigned an ORSP number for reference.

  3. Routing of Award Documentation Package
    1. The P.I. signs the completed Award Package
    2. The P.I. will request from Xavier’s Office of Human Resources the Electronic Personnel Action Forms (EPAFs) for all Xavier Faculty/Staff who are to be paid from grant.
    3. The P.I. will revise the EPAFs as appropriate. Routing and approvals of revised EPAF’s occur electronically
    4. The ADP will contain instructions regarding any additional signatures the P.I. must obtain and the forms within the ADP that must be signed.
    5. The completed ADP should be returned to ORSP for subsequent forwarding to the Office of Grants and Contracts Accounting (OGCA).
      1. The ADP will then become the official award file.
      2. Routing generally takes five (5) business days.
    NOTE: Subcontracts from external institutions, such as other universities, are received and processed in the same manner as a prime award from a federal or state funding agency.

  4. Activating the Account
    1. ORSP negotiates and prepares subcontracts from Xavier Awards to other institutions and organizations, where applicable.
    2. OGCA reviews ADP for consistencies with Xavier’s fiscal policies. If approved, OGCA assigns grant fund account number(s)
    3. OGCA will notify ORSP and the P.I. of the new fund account number(s). ORSP will additionally notify the P.I.
      1. If the project is a multi-component project, the P.I. will be responsible for notifying each co-investigator of his/her assigned account number.
    4. This process generally takes three (3) business days to complete.
    For any questions regarding the Post-Award Process, please contact the ORSP offices at (504) 520-5444 and ask for the Post Award Assistant Vice President or the Post Award Program Coordinator.

Other Post-Award Activities

  1. Subcontract/Subaward Process where Xavier is the Prime Award Recipient and is issuing subaward(s) to external institution(s).
    1. Once NoA is received, ORSP will prepare the ADP. See Preparation of an Award Documentation Package under Post-Award Activities.
    2. Once the fund code is received from OGCA, the P.I. will complete a Subcontract Request Form (located on ORSP’s website,
    3. The Subcontractor’s budget, justification and scope of work is attached to the completed Subcontract Request Form by the P.I. and then provided to ORSP to complete a Subcontract.
    4. Once the draft is complete, ORSP sends it to the P.I. for review. Once approved, it is signed by the Associate V.P. for Research and Sponsored Programs and sent to the subcontractor for signature.
    5. ORSP also sends to the subcontract P.I. of the other institution and cc’s our P.I.
    6. Once signed by both parties, ORSP sends the fully executed subcontract to OGCA with a copy to the P.I.

  2. Subcontract/Subaward Process where Xavier is not the Prime Award Recipient
    1. If Xavier receives a subcontract from an institution that is the recipient of the prime award, the subcontract is treated like a new award.
    2.  ORSP is responsible for reviewing the terms and conditions of the subcontract and negotiating any changes directly with the issuing institution, if necessary, prior to signing the subcontract.
    3. ORSP will send the subcontract to the P.I. at Xavier for review and concurrence on the scope of the work and budget prior to ORSP signing the subcontract and returning it to the issuing institution. NOTE: The P.I. is not authorized to sign agreements on behalf of the University. Subcontracts must be signed by an Authorized Official of the University.
    4. Once ORSP receives the fully executed subcontract (both institutions have signed), an ADP is prepared and that process begins in Sections I through IV.

  3. Amendments to Subawards/Subcontracts
    1. Amendments are normally issued for the continuation of a subaward/subcontract for another year. An amendment may add time, funding or both. Amendments may also provide notification of changes in administrative or financial contact persons or office address changes.
    2. The P.I. is responsible for submitting Amendments to the ORSP for processing.

  4. Principal Investigator (P.I.) Change Process
    1. 1CFR200 requires that if the PI, or other key personnel on a government funded award reduces his/her effort by 25% or more for a period of 90 days or more; or if the PI or other key personnel will no longer be working on the project, the funding agency must be notified.  A replacement must be submitted to the funding agency for their review and approval. This must occur within 90 days of notification that the person will no longer be working on the project. 
    2. No changes to key personnel can occur without written permission from the funding agency.  All requests for changes to key personnel must be processed through ORSP.


Office of Research & Sponsored Programs