Notice of Award &
New Award Checklist
Congratulations! The Office of Research and Sponsored Programs has received notice that your
proposal has been awarded.
Sponsoring Agency: _____________________________________________________________
Award Title: ___________________________________________________________________
DU Grant #: _______ DU Fund #: ________ ORG Code: _________ Cost Share Code: _______
PI Name: _____________________________________________________________________
Project Administrator: ____________________________________________________________
Project Accountant: ______________________________________________________________
Amount Awarded: __________ Project Begin Date: __________ Project End Date: ___________
IRB Protocol #: ____________ IACUC Protocol #: __________ IBC Protocol #: ____________
Please review the “New Award Checklist” below, regarding the responsibilities related to
this project. The checklist is a tool to assist you in managing this project.
Please be sure to read the award documents to learn the details of the terms and conditions that
apply to you as the Principal Investigator. Details you should pay special attention to within the
award document may include the following: interim and final reporting requirements, scheduled deliverables,
prior approval requirements, export control regulations, as well as invention reporting requirements.
Attached is the “Signature Authorization Form.” This form must be signed and returned to ORSP
for any individual other than the PI and department Budget Officer needing signature authorization.
New Award Briefing
Please select one of the following dates/times:
I will contact ORSP to schedule a more convenient time.
I have reviewed the “New Award Checklist” and understand the policies, procedures, and
my responsibilities and am opting out of the briefing.
Please be sure the PI, Departmental Administrator, and any others regarding this award are in
Please email the above selection to ORSP within 5 business days.
Again, congratulations on your award! We wish you continued success with your research
New Award Checklist
The following checklist should be used as a monitoring tool for the management of the award.
General Award Management
1. Read the award document and make note of special terms and conditions, including:
Interim and Final Reporting Requirements
Scheduled Deliverables
Prior Approval Requirements
Intellectual Property Provisions
2. Plan ahead if a budget revision or no-cost extension will be needed.
Sponsor approval required for budget revision: ________________________________
Deadline for no-cost extension: ____________________________________________
3. Award Period
Award is for the full project period.
Award is for the current year of a multiple year award. Spending is limited year by year.
This may require initiating a pre-award each year. Please contact your Project Administrator for more
Automatic carryforward
Carryforward must be requested
Post-Award Administration
1. Review post award policies and procedures.
2. Subcontracts and Consultants
This award contacts subcontracts.
a. Review subcontracting procedures and forms.
b. Complete and submit to ORSP the “Request for Subagreement” and “Competitive
Bid Disclosure.”
c. Monitor subcontractor performance. A monitoring package will be provided to you for each
subcontract. Refer to the subcontractor monitoring policy for more information.
This award contains consultants.
a. Review consulting procedures and forms.
b. Complete and submit to ORSP the “Request for Consulting Agreement.”
For both subcontracts and consulting agreements:
a. Verify the invoices reflect work conducted for the period within the scope of work.
b. Initiate new contract each year if a year by year agreement. ORSP will not initiate
without approval.
c. Verify that scope of work has been completed and all deliverables met
approving final invoice. Ensure invoices are received before the final closeout.
3. Cost-Sharing
This award contains cost-sharing
a. Review cost-sharing commitments in award/proposal.
b. Review cost-sharing policy/procedures.
c. Maintain documentation for cost-sharing by the department or third party.
d. Cost-share agreement is with the Dean and/or Associate Provost.
Research Compliance Requirements
1. IRB/IACUC/IBC Requirements
This project contains human subject research. Institutional Research Board (IRB
IRB Protocol: __________________ Status: ___________________ Date: __________________
This project
contains animal research. Institutional Animal Care & Use Committee
IACUC Protocol: _________________ Status: __________________ Date: _________________
This project contains biohazard research. Institutional Biosafety Committee required.
IBC Protocol: __________________ Status: __________________ Date: ___________________
Submit and renew your protocols as required. No funds will be released if the protocol is not current. Information
regarding Research Compliance policies can be found here.
2. Export Control/OFAC Considerations
Contains publication restrictions
Export controlled activities
Project restricts foreign nations
Export Control Office Determination: _____________________________
Technology Control Plan: _______________________________________
Foreign Sponsor: _______________________________________________________
Foreign subcontractors or consultants: ______________________________________
Foreign nationals on project
OFAC Determination: _________________________________________
Review export control policies here.
3. Conflict of Interest Disclosures
Initial disclosure required/COI Training required
Submit annual COI Disclosures – will be requested by Research Compliance
Key Personnel disclosures required
Conflict of Interest disclosed and exists for this project
Approved Management Plan exists: ________________________________
Management plan required. Complete by: ___________________________
Review Conflict of Interest policy here.
4. Other Research Compliance Considerations
NIH – The NIH Public Access Policy requires PI’s to submit final peer-reviewed journal
manuscripts that arise from NIH funds immediately upon acceptance for publication.
NSF – NSF awards require Responsible Conduct of Research (RCR) training. All
personnel on NSF awards are required to complete CITI training.
Post-Award Accounting
1. Review Grants Accounting policies and procedures.
2. Inception-to-Date financial reports
a. Request Banner and Banner Finance Access for all personnel that will review
financial reports.
b. Review reports monthly at a minimum.
c. Contact your Budget Officer for training and using reports. Contact ORSP if you
need access to a grant.
3. Personnel
a. Hire personnel according to Human Resources and Departmental policies
b. Process payroll and time according to Payroll and Departmental policies.
4. Effort Certifications
a. Ensure that all faculty and monthly staff charging to the grant have completed Effort
Certification training.
b. Review effort certification requirements with all faculty and monthly staff.
c. Maintain appropriate documentation to support effort.
d. Certify effort in Banner system within 30 days as required under policy.
5. Expenditures
a. Expenditures must be allowable under grant.
b. Provide appropriate documentation and obtain required approvals.
1. ORSP will send a Project Expiration Notice 60 days prior to the end date of the award.
Please complete and return to ORSP within 10 days of receipt.
2. Review the Project Management Closeout Checklist and initiate required actions for