Jump to:
- Proposal Preparation
- Preaward
- Conducting the Project—Financial
- Conducting the Project
- Project End & Closeout
Proposal Preparation
Identification of Funding Opportunities: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Search for opportunities | X | ||||||||
Provide guidance on funding opportunities | X | X | VP |
Proposal Preparation: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Write technical narrative | X | ||||||||
Identify subcontractors and request budget and workscope materials | X | ||||||||
Develop budget | X | X | |||||||
Identify need for cost sharing funds | X | ||||||||
Evaluate requests for F&A waivers or reductions | X | X | VP | ||||||
Coordinate space arrangements | X | ||||||||
Provide expert guidance on proposal preparation | X | ||||||||
Complete the Proposal Routing Form | X | X |
Regulatory Requirements: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Complete compliance forms: Institutional Review Board, Animal Care and Use, Dept of Health and Safety | X | X | |||||||
Complete conflict of interest disclosure form | X | ||||||||
Review conflict of interest disclosure form and facilitate institutional oversight | X | X |
Proposal Review and Approval: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Confirm that proposal meets sponsor requirements | X | ||||||||
Review proposal before sending proposal to SPA | X | ||||||||
Verify that cost sharing in proposal is listed on PRF | X | ||||||||
Review proposed cost sharing for appropriateness | X | X | |||||||
Programmatic review of proposal and sign Proposal Routing Form—cannot be delegated | X | X | |||||||
Provide institutional review and approval of proposal | X |
Proposal Submission: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Send proposal to sponsors after institutional approval | X |
Preaward
General Tasks: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Request preaward or advance account | X | ||||||||
Consider appropriateness of request and if approved, provide nonsponsored account number | X | X | |||||||
Establish preaward or advance account | X | ||||||||
Monitor preaward or advance account | X | X |
Award Acceptance: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Accept sponsor notification of grant or contract award | X | ||||||||
Review terms and conditions | X | X | |||||||
Negotiate terms and conditions with sponsor | X | ||||||||
Approve award terms and conditions | X |
Award Setup: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Confirm that regulatory compliance requirements have been met | X | ||||||||
Modify proposed budget | X | X | |||||||
Prepare award summary documents (NOGA) | X | ||||||||
Approve NOGA | X | ||||||||
Establish account number in general ledger | X |
Conducting the Project—Financial
General Tasks: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Prepare financial transactions | X | ||||||||
Initiate rebudgeting requests | X | X | |||||||
Approve rebudgeting requests | X | X | |||||||
Initiate no cost extensions | X | ||||||||
Approve no cost extensions (or forward to sponsor) | X | X | |||||||
Ensure that cost sharing is documented | X | X | |||||||
Initiate purchases | X | ||||||||
Review and approve financial transactions | X | X | |||||||
Use financial reports to monitor and oversee expenditures | X | X | X | X | X | ||||
Reconcile accounts on a monthly basis | X | ||||||||
Coordinate resolution of issues on oversight reports | X | ||||||||
Audit expenditures | X | Audits |
Program Income: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Identify program income | X | ||||||||
Invoice program income | X | ||||||||
Receive and deposit program income | X | ||||||||
Identify use and reportability of program income | X | ||||||||
Monitor program income levels | X | X | X | X | X |
Invoicing and Financial Reporting: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Prepare and submit the invoice or financial report | X |
Accounts Receivable Management: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Receive and deposit payments from sponsors | X | ||||||||
Produce and record a letter of credit draw request (federal awards) |
X |
||||||||
Monitor and pursue the collections of overdue payments from sponsors | X |
Conducting the Project
General Tasks: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Review and approve incoming MTAs | X | X | Tech. Comm. | ||||||
Complete invention disclosure form | X | ||||||||
Ensure integrity of notebooks and data | X |
Prior Approvals: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Initiate prior approvals for changes to project | X | ||||||||
Approve or forward to sponsor prior approvals for changes to project | X | X | |||||||
Ensure regulatory compliance offices are notified of changes to project | X |
Subcontracts and Subawards: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Oversee programmatic aspects of subcontract/subaward | X | ||||||||
Prepare, negotiate, and sign subcontracts/subawards | X | ||||||||
Review and approve subcontract invoices | X | X | |||||||
Subrecipient monitoring | X |
Technical Reports: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Prepare and submit technical reports to sponsor | X | ||||||||
Maintain the official copy of the technical report | X |
Personnel and Effort Certification: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Initiate hiring and appointment process | X | ||||||||
Maintain the effort certification database and reporting system | X | ||||||||
Complete necessary adjustments to award charges and/or payroll distribution | X | ||||||||
Obtain necessary supervisory reviews and approvals | X | ||||||||
Ensure accuracy of completed effort certification reports | X | ||||||||
Resolve problems or follow up on certifications not submitted | X |
Project End & Closeout
General Tasks: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Identify early close-out situations | X | X | X | ||||||
Ensure all appropriate expenditures have been posted to accounts | X | ||||||||
Prepare final financial invoice/report | X | ||||||||
Approve final financial invoice/report | X | X | |||||||
Resolve issues related to unreconciled accounts | X | ||||||||
Ensure that all financial reports have been submitted to sponsor | X | ||||||||
Ensure that all technical reports have been submitted to sponsor | X | X | X | ||||||
Ensure that all final invention reports have been submitted to sponsor | X | Tech. Comm. | |||||||
Ensure that all patent reports have been submitted to sponsor | Tech. Comm. | ||||||||
Inactivate award account(s) in financial accounting system | X | ||||||||
Maintain official project documents for sponsored projects | X | X | X |
A-133 Audit: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Coordinate the A-133 audit for the entire University. | X |
Ongoing Training: | PI | DEPT ADM | DEPT HEAD | DEAN | CA | SPA | SFR | RIC | OTHER |
---|---|---|---|---|---|---|---|---|---|
Provide training to the research community regarding changes to policies and regulations | VP |