Guidelines for RRF Grants - Awarded January 2009 and later (Post-Award)

The following information includes the steps that must be taken before funds will be released, rules regarding budgets and expenditures, instructions for preparing the final grant report, and closing procedures. Please note, these guidelines only apply to those who received RRF awards in January 2009 and later. If you received an RRF award prior to 2009, please see Guidelines for RRF Grants - Awarded June 2008 and Earlier.

Upon Receipt of the Award

The following items must be completed and submitted before funds may be released:

1. Prepare a revised budget following the Budget and Expenditures guidelines provided below. (RRF Scholars should NOT include replacement salary costs.) Follow the format used for the original proposal budget (meaning the detail of each budget category is listed). If your revised budget is identical to the budget you originally submitted with your proposal, please attach a memo stating so.
2. Complete sections A, B, and C on the TRANPASU form; LEAVE ALL OTHER AREAS BLANK. This form must be typed. Be sure to include a sub-budget title and the organization code for the department which will administer the account. Provide a current budget period of 12 months. (Budgets must begin on either the 1st or the 16th of the month.) Complete the budget section to reflect the revised budget. Make a copy for your records if you wish; RETURN THE ORIGINAL WITH SIGNATURES to the Office of Research.
3. If the proposal involves the use of human and/or animal subjects, submit documentation showing that your RRF proposal has been reviewed and approved by the Human Subjects Division and/or the Animal Care Committee. If the RRF project is to be appended to a previously approved protocol, documentation must indicate that the RRF project has been so approved; this normally requires submitting a modification form.
4. Attach a signed statement verifying that the RRF award does not directly overlap funding from other sources.

Return items 1 through 4 to Barbara Thompson, Office of Research, Box 351202.

Budget and Expenditures

1. The following budget items are NOT ALLOWED:
   • More than two months of summer salary for the PI and Co-PI(s). Summer salary for faculty with 9-month appointments is not allowed if the faculty member accepts summer salary from any other source for more than 0.5 (one-half) of an additional month.
   • Faculty salary for anyone other than the PI and/or Co-PI(s), including visiting faculty.
   • Facilities renovation, routine secretarial charges, membership fees, subscriptions, journal page charges, publication subsidies.
   • Travel not directly related to the project. A travel allotment may be approved only when necessary to conduct research. Conference travel is not allowed.
2. The following require the prior written approval of the Office of Research:
   • Any rebudgeting of the faculty salary category.
   • Equipment (both capitalized and non-capitalized), if not in the approved budget.
   • Travel, if not in the approved budget.
   • Any additional item not listed in the approved budget.
   • Budget shifts between approved items that exceed 25% of the total award amount. (See number 3 below).
3. With the exception of the categories listed above, the RRF program allows the PI to rebudget up to 25% of the total award amount between items listed in the approved budget. For example, if a PI has a $20,000 approved budget for graduate student salary/benefits/tuition, chemicals/glassware, and animal expenses, he/she may rebudget $5,000 between these approved items. The PI may NOT purchase/hire/expense any additional item without first obtaining approval from the Office of Research.
4. The RRF award period is normally one year. Requests for extension of the award period beyond twelve months may be granted if adequately justified and in no event may exceed an additional twelve months. Requests for rebudgeting and extensions, with appropriate justification, must be submitted in writing to Barbara Thompson, Office of Research, Box 351202. (E-mail is acceptable - bthompso@u.washington.edu.)
5. RRF awards may not be used to supplement other funding. The Vice Provost for Research must be notified if other funding is received for the same project during the award period and may cancel the RRF award if the overlap is significant.
6. RRF funds must be used solely to support the project approved by RRF peer review and may not be used to support any other research project.

Upon Completion of the Award Period

1. At the end of the award period, a final report is required. This summary should be confined to two (2) pages and should include the following:
   • The work accomplished;
   • The impact of the award;
   • Further funding or proposals that have resulted from this work;
   • Any publications that have resulted or are expected. Funding from the RRF should be acknowledged in publications, and reprints should be submitted to the Office of Research.

   In addition, please provide a final summary of expenditures, grouped by object code, on a separate page. Justify or explain:

   • Any rebudgeting of the faculty salary category;
   • Equipment purchases (both capitalized and non-capitalized), if not in the approved budget;
   • Any travel, if not in the approved budget;
   • Any additional item not listed in the approved budget.
   • Budget shifts between approved items that exceed 25% of the total award amount.

   Include a copy of the final Budget Status Report (BSR) for the award budget, or print the budget summary report (with account codes) from My Financial Desktop.

   Submit an original AND one copy of all materials.

2. When the Office of Research has reviewed and approved your final report and summary of expenditures, you will receive an approval email. After verifying that all expenses have cleared the budget, either the PI or the department administrator should forward the approval email to Grant and Contract Accounting (gcasix@u.washington.edu) to request that the award budget be closed. GCA will want verification that both the PI and the Office of Research have approved closing. Please note: You SHOULD NOT request closing until you receive an approval email from the Office of Research. Any funds not spent or unencumbered at the end of the award period shall be automatically returned to the RRF. All overexpenditures shall be the responsibility of the PI and the PI's department; please provide GCA with a departmental budget number to which the overexpenditures may be transferred.
3. A faculty member who has been funded by the RRF will not be eligible to compete again until two years after the previous RRF award has expired and the final report has been submitted.
4. The final report is a requirement of the RRF program. If we do not receive the report, the grant funding may be subject to recall.
5. The Office of Research is interested in any comments on the program or ways in which it could be improved.