INITIATING NEW AWARDS AND ACTIVATING OR REVISING GRANT ACCOUNTS

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 award made to Xavier University.

Award Letter and Documentation: When a Principal Investigator (P.I.) receives an award letter, the original and an approved budget should be sent to the Office of Sponsored Programs (OSP), with supporting documentation such as grant guidelines and terms and conditions. If the award is received via electronic communication (e-mail), forward it to Ann Smith in the OSP and/or provide the web address of the appropriate office within the sponsoring agency. If the award letter is received by the President’s Office, which will forward it to OSP, or comes directly to the OSP, the PI will be notified via e-mail and be sent a copy of the documents.

Award Documentation Package: Copies of the Proposal Clearance Form, the original proposal and budget, and authorizing/certifying documents should already be in the OSP files. If any documents are missing, the PI will be so informed and asked to provide them. The OSP will then complete the project information and budget portions of the Routing Form for New Awards and Activating/Revising Grants Accounts, which includes the project budget using Xavier budget codes, and put together an “Award Documentation Package.” This package will contain all the requisite items on the Checklist for Establishing Externally Funded Projects (available on the OSP website).

Routing of Award Documentation Package: After OSP staff have completed the Award Documentation package, they will ask the PI to review it. If all the information is correct, the PI should sign the Routing Form. The PI should also request from the Office of Human Resources the PAFs of all individuals who will be paid on the grant and revise the PAFs as appropriate. The Award Package, including the revised PAFs, should then be routed for signature to the PI’s chair and, where appropriate, to other individuals needed to authorize cost sharing. The names and signatures of persons authorized to sign expenditure documents should also be included on the routing form. This package should be returned to the OSP. The OSP will forward the package to the Office of Grants and Contracts Accounting (OGCA). This package will become the official award file and will be maintained in the OGCA. The above described process typically will be completed within 5 working days.

Activating the Account: The OGCA will review the information in the Award Documentation Package and, in the absence of any inconsistencies with University fiscal policies, assign a grant account(s) number and notify the OSP of the new number(s). This will typically take 3 days. The OSP then will notify the PI. In the case of large, multi-component projects, it will be the PIs responsibility to notify each co-investigator of the assigned account number for his/her component.

The OSP will distribute copies of the completed Routing Form for New Awards and Establishing/Revising Grants Accounts, with the assigned grant number(s), to the PI, the Department Chair(s), and the Dean.

CHECKLIST FOR INITIATING NEW AWARDS AND ACTIVATING OR REVISING GRANT ACCOUNTS

(To Be Completed by the Office of Sponsored Programs)

Title of Project:

Principal Investigator:

Funding Agency:

Proposal Number:

_____ Award Letter

_____ Grant Guidelines

_____ Terms and Conditions

_____ Complete Proposal as approved by funding agency

_____ Budget as approved by the funding agency

_____ Personnel Action Forms

_____ Documentation of Approval from appropriate University Review Committees

_____ Institutional Review Board

_____ Institutional Biohazard Committee

_____ Institutional Animal Care and Use Committee

_____ Authorization for Cost Share

_____ Routing Form for New Awards and Establishing/Revising Grant Accounts