Post-Award Administration

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Reporting obligations, other items to be delivered, and the delivery schedule will be listed in Exhibit A1 Schedule of Deliverables.

Note: The date of delivery of any item listed on Exhibit A1 Deliverables should be at least 120 days in advance of the reversion date of the funds and during the term of the contract.

Invoicing and Payment

Invoices shall be submitted in arrears not more frequently than monthly and not less frequently than quarterly to the State Financial Contact, identified in Exhibit A3 Authorized Representatives and Notices. Invoices may be submitted electronically by email, subject to the State Agency requirements. Frequency and submission format can be specified on Exhibit B3.

Invoices shall:

  1. Bear the University’s name as shown on the Agreement
  2. Include the Agreement number and University fund/reference number
  3. Identify the billing and/or performance period covered by the invoice and provide a detailed transaction ledger, including payroll detail, for the same period
  4. Provide University invoice contact, telephone number and/or email address
  5. Be prepared in accordance with the approved cost categories identified in Exhibit B and the elements contained in Exhibit B3 Invoice Elements
  6. Be certified as true and correct in ink or by electronically scanned copy of a signature by the University’s Authorized Financial Contact (or their designee) identified in Exhibit A3 Authorized Representatives and Notices.

Invoices will be submitted based upon the approved budget categories in Exhibit B. In addition, a copy of the Standard Detail Ledger Report and a detailed payroll expense report must be included with the invoice. This latter report should include the personnel paid and the time worked as percent effort (or hours, but only if applicable to the position) on the agreement during the invoicing period.

The Principal Investigator or their designee (as identified on Exhibit A3) is required to endorse the invoice, Standard Detail Ledger Report and a detailed payroll expense report (Invoice Package) with the following statement:

“I have reviewed the expenditure detail for these accounts to determine that the charges to this project are reasonable and accurate and certify that the salaries and wages included on these reports are an accurate representation of the actual time worked.”

The endorsed Invoice Package must be transmitted to the State Financial Contact (or Contract Manager) for approval. State agencies will accept the PI/PI-designee-endorsed Invoice Package sent via hard copy or by email. However, the certification language and PI/designee signature must be on the Invoice Package itself and not in the body of the email message. A digital signature (such as one that can be generated in Adobe Acrobat) may be used with electronic submissions.

(Please see section 14.C of the UTC.)

Prior Approval Requirements (Section 15 of the UTC)

This section describes the activities and/or expenditures that require State prior approval even if the change has no budgetary impact.

  1. Change in Scope of Work
  2. Change in Key Personnel
  3. Inclusion of restricted use data or copyrighted works in Deliverables
  4. Travel not included in the approved Budget
  5. Equipment not included in the approved Budget
  6. Computer (or theft sensitive equipment) not included in the approved Budget
  7. Substitution or addition of Subawardees

As it is impossible to anticipate whether any of these changes will or will not alter the agreement significantly, any of these changes may require a formal amendment to the Agreement, depending on the requirements and at the sole discretion of the particular State agency.

Budget Flexibility

The threshold for annual budget flexibility is noted at the bottom of Exhibit B and parameters for budget flexibility are found in the UTC at Section 15. The parties to an agreement can mutually agree to different thresholds and/or approval requirements.

Please note that any change made under Budget Flexibility cannot increase the total costs of the project. If changes to the budget are anticipated to increase the total cost then the funding State Agency will need to approve the changes in advance and issue a formal amendment.

Equipment Management

Title to equipment vests with the State and the disposition of the equipment at the termination or expiration of an agreement is limited to either (i) the return of the equipment to the State, or (ii) State authorization to use the equipment in the performance of another agreement or contract. In accordance with SCM 7.29, the State agency will notify the University of the equipment disposition at the close out of the agreement.

An equipment inventory record will be submitted by the University upon request by the State agency.

The University may be required to repair or replace damaged or stolen equipment. In the case of damage, the parties have agreed to the following definition:

For the purposes of this Agreement, “damage” as used in paragraph B of SCM Section 7.29 Equipment Purchases is defined as physical harm that is sustained by the equipment that prevents its functioning as designed or manufactured.

Program Income

  1. The University shall account for Program Income related to projects funded by this Agreement, as identified in Exhibit B, page 2.
  2. At the discretion of the State agency and as identified in Exhibit B, page 2, Program Income may be used to support total project costs, to further eligible project or research program objectives, or to finance the non-state funded portion of the project or program.
  3. Within 60 days of the program event, the University will provide the State with a preliminary accounting of program event revenues and expenditures. If the funding State agency has elected to use Program Income to support total project costs as identified in Exhibit B, page 2, then when the contract is completed the University will reduce the total amount of the final invoice to the State by any Program Income exceeding total project expenditures. Net revenue from this project shall be remitted by the University to the State with the final invoice and/or accounting of project expenditures in accordance with Section E.4.

(Please see section 14.D of the UTC.)

Amendments to the Agreement

Any changes to the Scope of Work, Deliverables, delivery schedule or the Budget will result in a formal amendment to the agreement. The funding State agency would determine whether any change approved under the Prior Approval Requirements (item c above) would need to be formalized in a written amendment to the agreement. Different State agencies following varying procedures, especially with respect to grant funding, that drive when a formal amendment is, or is not, required. Changes made as a result of a Budget Flexibility request may or may not result in an amendment to the agreement at the discretion of the funding State agency.

Project Close-out

At the expiration of the agreement (the end date of the project period as listed on the STD 213), or upon termination of the agreement, the following shall be provided to the funding State agency.

  1. Final Invoice: The University shall submit the final invoice to the State, no later than 90 calendar days after the agreement completion date. All expenditures in the final invoice must be for activities occurring during the project period.
  2. Final Report/Deliverables: Any undelivered item listed on Exhibit A1 Deliverables, will be submitted to the funding State agency at the termination of the agreement.
  3. Final Equipment Inventory (Upon Request from the State agency): In accordance with State Contracting Manual Section 7.29, the University will provide a final equipment inventory report of non-expendable equipment (greater than or equal to $5,000) and theft-sensitive expendable equipment (under $5,000), upon request.
  4. In the event that a given agreement terminates early, the procedures outlined in section 7 of the UTC will be followed.