RESEARCH ADMINISTRATION PROCESS 

SPA/RES. ADMIN.

COST ANALYSIS

OSP

PI/ DEPT

OTD

ORC

Identification of Funding Opportunities

Assist PI in interpreting eligibility for funding (including risk assessment)

S

R

R

Assist PI in obtaining and interpreting guidelines

S

R

R

Proposal Preparation

Obtain and understand sponsor instructions for proposal preparation

S

R

R

Identify and indicate Cost Sharing in proposal

S

S

R

S

Identify and indicate approvals needed for proposal

S

R

Provide guidance to PI on proposal preparation

S

R

R

Develop and revise technical narrative

R

R

Develop administrative pages of proposal

S

R

R

Identify presence of provost criteria

S

R

R

Ensure Faculty is not over maximum allowed effort

S

S

R

S

Identify subcontractors/collaborators and collect necessary paperwork

S

R

R

Develop and revise budget in partnership with PI; ensure budget accuracy

S

R

S

Proposal Review and Approval

Review and approve before sending proposal to SPA/Res. Admin.

R

S

Provide institutional review & approval of proposal and budget

R

Send to Provost Office for review and approval when required

R

R

S

Review proposed Cost Sharing commitment for compliance with University policy and sponsor terms.

R

S

R

S

Review non-standard F&A (indirect cost) rate

R

Approve non-standard F&A (indirect cost) rate. (Dental School Financial Dean Approves)

R

Review proposal to ensure approvals are properly identified for approval follow-up

R

S

S

Review subcontractors’ proposals and check for their institutional approval

R

Make revisions and corrections to proposal after institutional review

S

R

R

Proposal Submission

Submit proposals to sponsors

R

S

R

Record proposal submission for tracking

R

Pre-award Activities

Prepare/collect additional paperwork for sponsor (JIT)

R

R

R

Review, approve and submit additional paperwork to sponsor (JIT)

R

R

R

Request advance account if needed

S

R

Approve and set up advance accounts

R

S

RESEARCH ADMINISTRATION PROCESS

SPA/RES. ADMIN.

COST ANALYSIS

OSP

PI/ DEPT

OTD

ORC

Notice of Award, Review, and Acceptance

Record award information in GMAS and upload document

R

Review award notice for correctness

R

S

S

Review and negotiate administrative terms and conditions in award notice

R

S

R

S

Review and negotiate on IP issues

R

S

R

Review and negotiate financial (including reporting and invoicing) terms and conditions in award notice

R

S

R

Review and negotiate Service, Consultant, Data Use, and Lease Agreements

S

R

If awarded budget is different from that proposed, determine if change of scope, rebudgeting, or cost sharing is required

S

S

R

Approve proposed Cost Sharing

R

Accept terms and conditions of the award on behalf of the University

R

R

Review the approved budget, terms and conditions of the award

R

R

S

Upload final award document into GMAS

R

Send award notice to PI/department

R

R

Award Set-Up

Obtain needed internal approvals (e.g., Human subjects) (Dept). Verify internal approvals on proposal are received (SPA).

R

R

Request specific sub-activity allocation amounts

S

R

Identify amounts to be issued to subcontractors for GMAS setup

S

R

Prepare and submit cost sharing form

S

R

Review and approve cost sharing form

R

Prepare segment revision to set up award and accounts, issue action memo

R

Schedule financial reports and receivables in GMAS

R

Schedule non-financial reports in GMAS

R

Upload budget to general ledger

R

Subcontracting out

Create amendment record in GMAS

R

S

Draft agreement and send to subrecipient

R

S

Negotiate terms with subrecipient

R

S

S

Review and approve final subcontract document, upload to GMAS

R

Issue action memo setting up account for subcontractor

R

Award Management

Coordinate administrative issue resolution with sponsors

R

S

R

Coordinate financial issue resolution with sponsors

S

R

S

R

S

Coordinate administrative issue resolution with subcontractors

R

S

S

Coordinate financial issue resolution with subcontractors

S

R

R

S

UPAS or Re-budgeting: Initiate request (for change of scope, additional Subcontracts, F&A affected)

R

UPAS or Re-budgeting: Approval request

R

No-Cost Extensions: Initiate request

S

R

R

No-Cost Extensions: Approve request

R

Process award changes

R

R

Identifies subcontract amendments and follow-up on status

R

R

Cost Sharing: Post and Track on GL

S

R

Ensure complete and accurate documentation for any key personnel changes that arise (including new/old PI signature, sponsor approval)

S

S

R

S

S

Trainee Appointments: Prepare and submit via XTRAIN

S

R

Trainee Terminations: Prepare in XTRAIN

R

Trainee Terminations: Submit via XTRAIN

R

Review award expenditures for allowability & allocability

S

S

S

R

Retain documentation to support allocation of expenditures

R

S

Audit the allowability and allocability of expenditures

R

Reconcile accounts on a monthly basis

R

Cost transfers: Initiate journal and approval paperwork if needed

R

Cost transfers: Approve under 90 days

R

Cost transfers: Approve over 90 days

R

R

Carry Forward - Automatic: process in GMAS

R

S

Carry Forward - Sponsor approved: process in GMAS

R

S

S

Invalid Code Combination Report: monthly review and resolution

S

S

R

Program Income: Identify, report, and ensure posting to appropriate account codes

S

R

Program Income: Manage reporting and billing

S

R

Financial Reporting for all Sponsors

Identify the need to bill & create invoice

R

S

S

Identify the need for submission of a financial status report

R

S

Notify departments of upcoming final financial reports

R

Prepare invoices, cost sharing, and financial status reports

R

S

Oversight by primary managing org to coordinate with Part-of Accounts and Subcontract contacts for compliance, billing, and reporting

R

Obtain Department/PI approval and signoff on final figures and supporting documentation for cost sharing reporting

R

Provide institutional approval on financial reports (OSP) including Relinquishing Statements (SPA)

S

R

S

Submit invoices and financial status reports to sponsors

R

S

Track submission of invoices and financial status reports

R

Upload financial reports submitted to sponsor and supporting documentation to GMAS for audit purposes.

R

Cash Management

Accounts Receivable Management

R

S

S

Manage cash (handling of checks, etc.) and deposits of checks

R

S

Produce and record a letter of credit draw request for a specific funding agency

R

Monitor and pursue the collections of overdue payments from sponsors

S

R

S

Allocate income to accounts at closeout process

R

Preparation and Submission of Technical Reports

Identify the need for submission of technical reports

R

S

Prepare technical reports

R

S

Submit technical reports to sponsors

R

R

Maintain official copies of technical reports in GMAS

S

R

S

Certification of Time and Effort

Create and distribute certifications to faculty (monthly)

R

Review, correct, and provide back-up to support monthly and annual certifications and review to faculty members

R

Verify accuracy of and sign salary certification reports

R

Retain copies of certifications and backup documentation

R

R

Complete necessary adjustments to award charges and/or payroll distribution

R

Print and distribute annual effort certification reports

R

Reviews effort certifications for accuracy, adds notes to clarify, distributes to faculty and collects signed forms & return to Cost Analysis

R

Review for appropriate signatures, log, file and maintain original forms

R

Maintain control log to ensure that all certifications are received and follow-up on overdue certifications.

R

Close-Out Process

Identify close-out accounts/situations & GMAS Account Disabling

R

S

Identify unresolved close-out-related items and communicate to affected parties

R

S

Reconcile account to ensure Cost Sharing commitment has been fulfilled

S

S

R

Ensure expenditures/cost transfers have been posted to accounts

S

R

Unreconciled Accounts: Prepare report and resolve account issues

S

R

R

Interest Income Transfer: OSP will notify Tub of interest income to be transferred.

S

R

S

Ensure that all Financial Reports have been submitted to sponsor and available on GMAS Document Repository

R

Ensure that all Final Invention Reports have been submitted to sponsor

R

R

R

Ensure that all Patent Reports have been submitted to sponsor

R

R

R

Account Disabling: Inactivate award account(s)

R

S

Maintain official award documents for sponsored projects (see Record Retention Policy)

R

A-133, A-110, A-21

Comply with circulars and sponsor conditions for compliance

R

R

R

R

Coordinate the A-133 audit for the entire University

R

When selected, responsible for responding to A-133 auditors transactional requests, completing the audit questionnaire, and participating in the audit interview with the PI

R

R

R

Serve as liaison to OSP on coordination of SPH and HMS A-133 Audit

R

S