Ohio University

Procedures

The Office of Research and Sponsored Programs provides a guide to procedures for research administration. This area is currently under construction.

    Reference
A Identification of Funding Opportunities  
A01 How to use PIVOT https://www.ohio.edu/research/orsp/procedures/A01
A02 Internal Funding https://www.ohio.edu/research/orsp/procedures/A02
A03 Distribute funding opportunity information  
A04 Types of Sponsored Projects  
A05 Eligibility - Institutional and Principal Investigator https://www.ohio.edu/research/orsp/procedures/A05
A06 Gift vs. Sponsored Award  
A07 Limited Submissions https://www.ohio.edu/research/orsp/grant-development/limited-submissions
A08 Confirm that proposal is in-line with departmental and Institutional mission  
A09 Proposal writing schedule checklist  
A10 Reserved  
A11 Departmental Research  
     
B Proposal Preparation and Submission  
B01 Intent to Submit https://www.ohio.edu/research/orsp/procedures/B01
B02 Pre-proposals and Letters of Commitment  
B03 Guideline Interpretation - technical and regulatory requirements https://www.ohio.edu/research/orsp/grant-development/funding/B03
B04 Technology Transfer  
B05 Budget - General Provisions for Selected Items of Cost https://www.ohio.edu/research/orsp/proposals-submissions/budget-preparation
B05.01 Salaries and Wages https://www.ohio.edu/research/orsp/procedures/B05-01
B05.02 Budget - Compensation - Fringe Benefits  
B05.03 Equipment and Other Capital Expenditures

https://www.ohio.edu/research/orsp/procedures/B05-03

B05.04 Indirect cost https://www.ohio.edu/research/orsp/proposals-submissions/indirect-cost
B05.05 Maintenance and repair costs https://www.ohio.edu/research/orsp/procedures/B05-05
B05.06 Budget - Materials and supplies costs, including costs of computing devices  
B05.07 Budget - Memberships, subscriptions, and professional activity costs  
B05.08 Budget - Participant Support Costs  
B05.09 Budget - Pre-award costs  
B05.10 Budget - Subawards  
B05.11 Budget - Professional Service Costs https://www.ohio.edu/research/orsp/procedures/B05-11
B05.12 Budget - Scholarships and student aid costs  
B05.13 Budget - Specialized service facilities  
B05.14 Budget - Training and education costs  
B05.15 Budget - Transportation costs  
B05.16 Budget - Travel costs https://www.ohio.edu/research/orsp/procedures/b05-16
B05.17 Budget - Direct Charge Administrative and Clerical Costs https://www.ohio.edu/research/orsp/procedures/B05-17
B06 Cost Sharing or Matching  
B07 Research Incentive (RI) Distribution https://www.ohio.edu/research/orsp/resources/ri-distribution
B08 Space - Coordinate, assign and approve requests  
B09 Identify Research Compliance Issues (IRB, IACUC, COI, etc.)  
B10 Verify Research Compliance adherence  
B11 Subaward - Subrecipient and Contractor Determinations  
B12 Subaward - Requirements for pass-thorugh entities  
B13 Authorized Organization Representative (AOR)  
B14 Proposal Preparation https://www.ohio.edu/research/orsp/proposals-submissions/proposals
B14.01 Proposal - Prepare technical proposal  
B14.02 Proposal - Secure Provost and/or VPFA signature on other attachments as specified in the proposal guidelines  
B14.03 Proposal - Provide final proposal adhering to sponsor guidelines to ORSP in advance of sponsor deadline  
B14.04 Proposal - Technology Transfer  
B14.05 Proposal - Review proposal packet for completeness and accuracy prior to routing for internal approvals  
B14.06 Proposal - Electronic Transmittal Form (ETF) Routing for Approval https://www.ohio.edu/research/orsp/procedures/B14-06
B14.07 Proposal - Provide Authorized Organizational Representative (AOR) signature and submit proposal as dictated by sponsor instructions  
     
C Pre-Award/Post-Submission  
C01 Negotiate sponsored research agreements  
C02 Maintain proposal pending files and database  
C03 Departmental Guarantee Memorandum (DGM) https://www.ohio.edu/research/orsp/award-administration/departmental-guarantee-memorandum
C04 Prepare sponsor required just-in-time documents  
     
D Regulatory Compliance  
D01 Prepare and submit protocol for research involving human subjects, animal use, and bio-safety hazards  
D02 Verify investigators are submitting protocols to appropriate compliance committee(s) according to transmittal  
D03 Approve compliance protocol  
D04 Provide documentation of representations and certifications to sponsor  
D06 Responsible Conduct of Research Training (CITI)  
D08 Facility security requirements - Maintain  
D09 ClinicalTrials.gov  
     
E Award Negotiation, Acceptance, and Account Establishment  
E01 Award - Accept and execute award on behalf of University  
E02 Award - Negotiate, approve, and notify the PI of project terms and conditions  
E03 Award - Agree to terms and conditions regarding performance clauses  
E04 Submit request for PTA account setup from Leo  
E05 Establish PTA account in oracle  
E06 Award - Send copy of Award Letter (i.e. Notice of Award) to PI and appropriate unit support (e.g. Business Unit Manager or CFAO) from Leo  
E07 Research Incentive (RI) Distribution - New Account  
E08 Provide documentation of certifications of approvals to sponsors  
E09 Subaward - Initiate request  
E10 Subaward - Develop, draft, and negotiate  
E11 Approve and or negotiate exceptional contract terms and conditions outside of standard practice  
E12 Award - Budget revision and change of scope due to funding reduction from proposal to Award (document for cost share implications)  
     
F Audits  
F01 Internal Audit  
F02 External Audit  
     
G Managing the Award - Financial  
G01 Expenditures - Verify the allowability, reasonableness, allocability, and consistency  
G02 Provide oversight of sponsored project administration  
G03 Cost Transfers - Review and approve  
G04 Personnel - Initiate and encumber personnel transactions  
G05 Reserved  
G06 Research Subject Payments  
G07 Cost Share - Certify cost sharing and provide documentation to Grants & Contracts Accounting.  Ensure Change of scope is documented for reductions in funding from proposal to award.  
G08 Cost Share - Review and report cost sharing efforts to sponsor  
G09 Expenditures - Review expenditures in restricted budget categories  
G10 Indirect Costs Rate Negotiation  
G11 Research Incentive (RI) Distribution - Actual Receipt Distribution  
G12 Subaward - Approve payment of subrecipient invoices (including certification on final invoice for agreement with completion)  
G13 Cash Management - Submit all invoices (including sub-award invoices) to sponsor  
G14 Cash Management - Perform drawdown of funds (i.e. letters of credit)  
G15 Cash Management - Monitor invoices and aging of receivables  
G16 Cash Management - Perform follow-up on outstanding receivables and determines need for write-off  
G17 Cash Management - Revenue collection  
G18 Cash Management - Apply payment to proper fund  
G19 Recharge/Service Centers  
     
H Managing the Award - Non-Financial  
H01 Conduct the sponsored project and provide overall oversight on all research activities  
H02 Reconcile expenditures to budget/revenue monthly  
H03 Personnel - Assign research personnel for the project  
H04 Personnel - Hire research personnel  
H05 Progress/Technical Reports https://www.ohio.edu/research/orsp/procedures/H05
H06 Material transfer agreements - Initiate  
H07 Provide oversight on the implementation of University, state and federal policies and regulations  
H08 Change of Scope - Review programmatic changes to the project  
H09 Material Transfer Agreement (MTA) - Review and approve incoming MTA  
     
I Financial Reporting  
I01 Provide information for and prepare financial reports  
I02 Review and analyze financial reports to external sponsors  
I03 Provide interim financial reports to the sponsor  
     
J Closing Out the Award  
J01 Cost Share - Document costs sharing funds as required  
J02 Investigator Separation https://www.ohio.edu/research/orsp/procedures/j02
J03 Equipment disposition and/or transfer  
J04 Transfer residuals from fixed-price agreements  
J05 Respond to closeout checklist and confirm award termination  
J06 Reports - Notify PI of the need for completion of final technical report  
J07 Reports - Prepare and submit final technical report to sponsor   
J08 Reports - Prepare and submit financial report and final invoice as required to sponsor  
J09 Inactivate grant account  
J10 File appropriate closeout documentation  
     
K Administrative Transactions  
K01 Budget Revision https://www.ohio.edu/research/orsp/procedures/K01
K02 Key Personnel Changes  
K03 Research Incentive (RI) Distribution - Distribution Change  
K04 Organizational Code Change https://www.ohio.edu/research/orsp/procedures/k04
K05 No Cost Extension https://www.ohio.edu/research/orsp/award-administration/extensions
K06 Stop Work Order https://www.ohio.edu/research/orsp/procedures/k06