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Department of Medicine

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URMC / Medicine / Research / Medicine Shared Resources / Post-Award Policy

Post-Award Policy

Quarterly Research Account Review Policy

Policy Statement: The Department of Medicine is committed to establishing an appropriate research post-award grants management process with quarterly review of the budget, expenditures, and remaining commitments within the budget provided by the sponsor.

Applies to: University of Rochester, School of Medicine and Dentistry, Department of Medicine Divisions faculty and research administrative staff who are receiving and managing federal, foundational, industry, pilot, or institutional funds to conduct sponsored research studies in the various divisions during a predetermined period of time, assisted by divisional administrators or research grant administrators at each division

Procedures for PI/Administrator Quarterly Meetings

Key Items for Review

  1. Review of all active accounts 
  2. Review any spending issues (especially overspend)
  3. Review recruitment and enrollment for clinical trials
  4. Review reports that are coming due, either financial or technical
  5. Review of effort reporting for PI and staff charged to award(s)

PIs and administrators are expected to schedule these meeting quarterly, come prepared, and address follow-up emails to ensure efficient and timely post-award management.

Additional topics for discussion, if time permits:

  1. Review of pending support
  2. Hiring plans
  3. New grant submissions planned
  4. Long-term plans when funding would run out/need for new or resubmissions to support current lab staff and costs

Benefits of PI/Administrator Quarterly Meetings

  • Budget and expenditure monitoring of sponsored programs, including identification of circumstances that require prior approval from the sponsor
  • Ensuring adherence to rules and regulations of funding agencies, preparation and submission of financial reports and invoices
  • Identify grant out of award (GOOA) costs that need to be addressed
  • Identify deficits or predicted deficits for future planning
  • Improve the ability of PIs and Administrative team to budget accurately
  • Enhance timely correspondence with ORPA, ORACS and the sponsors when “no cost extensions”, award modifications or other changes are needed
  • Improve communication between PIs and Administrative team

See Full Policy Details

Download PI/Admin Tracking Sheet Template