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Warrensburg, MO 64093
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Post AwardPost Award

After a grant/contract agreement has been fully signed (fully executed) by Authorized Organizational Officials (AOR) from both sides, then the life cycle transitions to the post-award phase.  Post Award management of a grant and/or contract must conform the funder’s policies and procedures unless UCM’s internal policies and procedures are stricter, in which case, the stricter policies will be adhered to.

Principal Investigator Checklist

As general guidance, the principal investigator checklist is primarily done for first time PIs or for PIs who have not had a grant within the past five years. This is done to familiarize or remind PIs of the post-award grant management process.

Deliverables System

The OSP utilizes an automated email notification system for PIs, Co-PIs, OSPRI staff, and Accounting personnel to send deadline notifications, reminders, and track deliverables. Examples of deliverables include:

  • Annual Progress Reports
  • Final Reports
  • Quarterly Invoices
  • Financial Reports

These notifications are input into the system after the fully executed agreement is received.  This service is a courtesy, it is still the PI’s responsibility to now when deliverables are due and ensure that all reporting is being sent to the appropriate parties as specified in the grant agreement.

Once a deliverable is received by OSPRI staff, it is marked as received in the Access system to stop any additional notifications for this deliverable, logged in the hardcopy deliverables log as received, and uploaded into OSPRI’s electronic files for auditing purposes.

When completing a deliverable, the PI needs to make sure that their report conforms to the expectations of the funder based on the scope of work. It is the PIs responsibility to ensure that all required deliverables are submitted to the funder on time and that OSPRI is provided a copy of the deliverable.


The UCM ancillary accountant is responsible for invoicing funding agencies for expenditures charged to the grant account.  This is typically done on a quarterly basis.  PI’s or department staff should not initiate invoices to external funding agencies.

Accounts Created in Banner

The full budget numbering is call a FOAPAL:

UCM’s official financial system of record is the Banner system.  OSP is responsible for inputting the official grant award into the Banner system, including the following information:

After inputting the above information into the system, OSPRI requests the creation of each grant, match, and/or program income FOAPAL (project budget) from Accounting Services.  Once Accounting Services has created the FOAPAL, OSP staff input the funder approved budget into Banner, which will allow the PI to begin spending funds. If a contingency account was created, then the same FOAPAL will be used for the active grant account and the awarded budget will be added to the account. Accounts that are created in the Banner system have a fund number that demonstrates the source of funds.

  • 20#### - Federal Grants, Loans, and Contracts
  • 21#### - Other Federal (Federal Pass-Through)
  • 22#### - State Grants and Contracts
  • 23#### - Local, Private, Small, Other Grants and Contract
  • 24#### - Other Grants and Contracts
  • 180### - Federal Grant Match account
  • 184### - State Grant Match account
  • 188### - Other Grant Match account

Additionally, the grant code that was assigned at the pre-award process is used as a link throughout the Banner system.  The grant code will also serve as the index for the grant FOAPAL. Program income is placed in a separate fund from the grant and match and typically starts with the range of 2497## or 2498##.

OSPRI also assigns the program code for each grant according to the type of activities being completed in the scope of work.  Examples include:

  • 1100 – On campus instruction for credit
  • 1300 – Community education
  • 1400 – Off campus instruction for credit
  • 2100 – Institutes and research centers
  • 2200 – Individual or project research
  • 3200 – Community Service
  • 4500 – Ancillary Support


Expenditures for grants utilize existing university systems and structures. Meaning, personnel are hired through HR, expenditures are processed through Accounts Payable, and bids are done through Procurement. UCM's existing policies are used, unless, the funder requires a stricter structure, and, in the case of federal grants, Uniform Guidance (2 CFR 200) needs to be used.


Personnel charges will go on either the grant budget or, if applicable, the match budget.  All personnel must be hired through UCM’s Human Resources Office, following all of the UCM hiring policies and procedures which comply with federal regulations, including e-Verify. For personnel who have time and effort being used as matching funds, their pay will in no way be affected by being on the match account.  Match utilizing personnel and other forms or cash match are documented within Banner following federal grant account practices.

For personnel who have a percentage of their time serving as match, a redistribution will be done in the Banner system to show the percentage of their time that is served on the grant project.  The value of that percentage for effort is shown in the match account.  Time and Effort (T&E) Reporting is done quarters on all personnel charged to a grant account or used as match.  The principal investigator is sent a T&E Report via email through an automated system and must certify that it is accurate or notify OSP personnel if any changes need to be made.  Time and Effort Reporting is federally required.


Domestic Travel: The University of Central Missouri’s travel reimbursement levels are based on the rates.  The GSA determines reasonable rates for travel through the US.  UCM reimburses for travel costs, so it is stricter that the federal government’s per diem basis.  Since UCM has a stricter travel policy, UCM’s policy must be followed.  Many federal grants have a “Fly America Act” clause which requires all airfare charge to the grant to be with a US based carrier, unless one is not available.

International Travel: Travel rates for international trips are based on the US Department of State’s reasonable costs determination.  Since UCM’s travel policy is on a reimbursable basis, it is stricter than the federal government’s per diem rate, so UCM’s policy must be followed.  Additional consideration needs to be made for international travel, depending on location, which could increase travel costs or other line items:

Supplies and Materials: Under this category, any items that are less than $5,000 and are considered to be consumable within a year of purchase.

Equipment: For federal grants, this line item includes all items that on their own cost $5,000 and up or collectively cost $5,000 or more when purchased together to make a functional unit.  This line item is exempt from having indirect costs charged to it. For state and non-federal, UCM utilizes the State of Missouri's equipment threshold of $3,000 and up per item.

Participant Support Costs: Employees are not considered participants.  Allowable expenditures include training costs, conference registration, supplies for activities to be completed, stipends, subsistence, etc.  This line item is exempt from having indirect costs being charged to it.

Other Expenditures: Any other expenditure that does not fit into the above categories falls into this line item.  This can include contracted services, external evaluators, honoraria, postage, marketing, etc.

Insurance: Some funding agencies require proof of insurance to cover any additional costs or liabilities that may result from a sponsored project.  UCM is covered under State of Missouri liability law to the extent defined by the State Legal Expense Fund, Chapter 105.711 RSMO.  OSPRI will provide, when necessary proof of this coverage to funding agencies.

Indirect Costs (IDC): Indirect costs are only charged based on expenditures.  While it is factored as a separate line item within the proposed budget, indirect costs can only be charged as expenditures are incurred and at the rate that is approved within the grant agreement.

Indirect Costs Recovery (ICR)

When UCM charges a grant account for indirect costs, this is known as indirect costs recovery (ICR).  The ICR is automatically distributed between the various ICR accounts, according to UCM policy.  The current distribution structure is:

Departments/Offices and Colleges/VP Offices will have a set ICR account for all grants that are under them.  The PI ICR account will be tied to the position, not the individual, so if there is a transfer of PI over a grant, the new PI assumes control of the ICR account.


Subawards are the grant agreements issued by UCM to another entity who is assisting UCM with completing a grant’s scope of work.  This can also work in reverse with UCM receiving a subaward from another university or non-profit, to assist them with their grant’s scope of work.  The entity that receives the subaward is the subrecipient.

All subawards/subrecipients for a grant agreement issued by UCM are reimbursable.  No fixed amount awards will be issued by UCM to a Subrecipient.

Subrecipients must undergo the following review criteria in the post award phase before they will be issued a subaward agreement:

While some of this may have been done in the pre-award, it can often take up to a year or more from the submission of a proposal to the awarding of a grant agreement. Therefore, the process must be repeated, at minimum on an annual basis to ensure compliance and appropriate assessment.  Once the proposed subrecipient has passed the determination and risk assessment, a subaward agreement or amendment will be issued.

As part of the annual monitoring, subrecipients will be required to provide their annual audits and complete a Subrecipient Information Form.  OSPRI will use these two documents, the Federal Clearinghouse, as well as the overall compliance of the subrecipient during the past year to update their risk assessment.

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