SECTION VIII. FUNDED PROJECTS – RESPONSIBILITIES and REPORTING

The principal investigator of a Sea Grant project is responsible for all technical reporting and, in conjunction with the institutional business office, all fiscal reporting to the Consortium. In turn, the Consortium is responsible for technical and fiscal reporting to the NSGCP. Consortium professional staff frequently visit with investigators on campus to discuss project progress and needs. Investigators are notified in advance of these trips. Questions regarding budgetary matters should be directed to the Consortium Assistant Director. Formal requests for budget changes, time extensions, and changes in project scope must be submitted to the Consortium Director, through the institution’s Office of Sponsored Programs (or related office), at least 60 days prior to the end of the grant period.

The Sea Grant fiscal year begins March 1 with the formal award announcements mailed to the investigators. Under separate notification, the respective institution’s business office is provided with two copies of the Consortium Award Agreement signed by the Consortium Director, which must be read, agreed to, and endorsed by the appropriate signatory authority and the P.I. The institution must then forward one copy of the signed original back to the Consortium for its records, and the project can formally begin.

Changes in Project Direction, Duration or Budget

Among the provisions of the Agreement is a set of special conditions of which the investigator should be aware. Changes in projects subsequent to the formal awards, whether budgetary or programmatic, may require prior formal approval by the Consortium Director and/or NSGCP. The recipient will be required to obtain approval before making any substantive changes in the project objectives, methods, budget, or schedule. Requests for changes shall be submitted in writing to the Consortium. Recipients are not authorized to proceed with any changes until final written approval is received from Sea Grant. Also, any budget changes affecting the following categories require prior approval:

1. Any item of equipment not specifically identified and justified in the proposal and approved budget.

2. Change in the principal investigator.

3. Any change in the scope of objectives of the approved project.

4. Any request to increase by more than $500.00 per trip or 25% (whichever is greater) the amount allotted for domestic travel.

5. In addition to the changes described above that require approval, key personnel changes in PIs or co-PIs must be approved. Significant changes in time devoted to a project by a PI must likewise be approved.

6. Request for no-cost extensions must be submitted at least 60 days prior to the end of the grant year, along with a budget for all remaining funds to be expended. Such extensions may be made when any one of the following applies:

Approval of extensions by the Consortium Director or NSGCP is based on an adequate reason for not meeting the project deadline. Unexpended funds are not by themselves justification for an extension.

In addition, all projects supported with federal funds must comply with the following:

All formal requests for budgeting actions and subsequent approval must be in writing. A REQUEST FOR TRANSFER form is available for this purpose.

Disposition of Permanent Equipment

Permanent equipment purchased under a Consortium project is and remains the property of the Consortium, but can remain with the investigator’s institution. The Consortium does reserve the right to transfer use of this equipment upon completion of the project. However, if the investigator and/or institution desire to obtain title to equipment purchased under an existing agreement, a formal written request must be made to the Consortium Director. Final disposition of the equipment will then be determined under existing statutes.

Patent Policy

The policy and procedures set forth in the DOC regulations (37 CFR 401), “Rights to Inventions made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts, and Cooperative Agreements,” published in the Federal Register on March 18, 1987, shall apply to all grants and cooperative agreements made for which the purpose is experimental, developmental, or research work. The Consortium’s Assistant Director should also receive with the final expenditure report a completed FINAL INVENTION STATEMENT if anything patentable was developed during the course of the project. Three copies of the statement should be submitted within six months after conception or first actual reduction to practice during the course of work. These forms are available from your institutional research/business office.

Prior approval of the use of survey instruments and brochures to be used as part of any research effort must be received from the Consortium Director. Suggestions and assistance can be provided, if requested, by the Consortium staff at that time.

Fiscal Reporting

In addition to the Agreement, fiscal reporting forms that reflect the approved budgets are mailed to investigators and their respective institutional fiscal officers. The FEDERAL AND MATCH EXPENDITURE REPORT should accurately reflect expenditures and must be sent quarterly to the Consortium’s Assistant Director by the institutional business office, with the appropriate endorsement. The table below illustrates the quarterly deadlines for the receipt of these reports. All payments by the Consortium are handled on a reimbursement basis. Future funding to the institution and/or investigator may be withheld if annual or final project reports are not received on a timely basis. If any problems concerning expenditure reporting arise, call the Consortium’s Assistant Director as soon as possible.

Table 1. Quarterly Deadlines - Submission of Expenditure Reports

QUARTER	REPORTING PERIOD	REPORT DUE DATE
1	March 1 - May 31	June 30
2	June 1 - Aug. 31	Sept. 30
3	Sept. 1 - Nov. 30	Dec. 31
4	Dec. 1 - Feb. 2	April 30

Final Fiscal Reports are due 60 days after the close of the project.

Project Reporting

There are two categories of project reports that are required by the Consortium:

1. Annual Report, prepared by the principal investigator, summarizing annual progress of a project which is proposed for continuation; and

2. Final Report, prepared by the principal investigator at the end of a project, providing a concise summary of results of the entire project.

The PROJECT REPORTING FORM (and accompanying instructions), available on the Consortium’s Web site, is used by PIs for completing Annual and Final Reports. A project report “reminder” is sent to all PIs 30 days prior to the due date of the report, as follows:

• Annual Reports are due 30 days prior to the end of the current grant year.

• Final Project Reports are due 60 days after the close of the project grant period.

Reimbursement Conditions

Final reimbursement to the institutions for expenses incurred under a Sea Grant project award may not be made until the requisite Project Report is received from the PI and accepted by the Consortium office. Ten (10) percent of the funds of any project will be held until the Annual or Final Report (whichever applies) is received and deemed complete.

 

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