Procedures
The Office of Research and Sponsored Programs provides a guide to procedures for research administration. This area is currently under construction.
| Creation and Approval of Research Administration Procedures | ||
| A | Identification of Funding Opportunities | |
| A01 | How to Use PIVOT | |
| A02 | Internal Funding | |
| A03 | Distribute Funding Opportunity Information | |
| A04 | Sponsored Project Activity Types | |
| A05 | Eligibility - Institutional and Principal Investigator | |
| A06 | Gift vs. Sponsored Award | |
| A07 | 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 | |
| B02 | Pre-proposals | |
| B03 | Guideline Interpretation | |
| B04 | Technology Transfer | |
| B05 | Budget Preparation | |
| B05.01 | Budget - Salaries and Wages | |
| B05.02 | Budget - Compensation - Fringe Benefits | |
| B05.03 |
Budget - Equipment and Other Capital Expenditures |
|
| B05.04 | Budget - Indirect Costs | |
| B05.05 | Budget - Maintenance and Repair Costs | |
| 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 - Subrecipient Costs | |
| B05.11 | Budget - Professional Service Costs | |
| 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 | |
| B05.17 | Budget - Direct Charge Administrative and Clerical Costs | |
| B05.18 | Budget - Human Subjects Payments | |
| B05.19 | Budget - Student Compensation | |
| B06 | Cost Sharing or Matching | |
| B07 | Research Incentive (RI) Distribution | |
| B08 | Space - Coordinate, assign and approve requests | |
| B09 | Identify Research Compliance Issues (IRB, IACUC, COI, etc.) | |
| B10 | Verify Research Compliance adherence | |
| B11 | Fixed Price Agreements | |
| B12 | Reserved | |
| B13 | Reserved | |
| B14 | Proposal Preparation | |
| 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 - Proposal Submission Deadlines | |
| B14.04 | Proposal - Technology Transfer | |
| B14.05 | Proposal - Review proposal packet for completeness and accuracy prior to routing for internal approvals | |
| B14.06 | Proposal - Proposal Review and Approval Routing | |
| B14.07 | Proposal - Signature Authority | |
| B15 | Reporting Other Support | |
| C | Pre-Award/Post-Submission | |
| C01 | Review and Negotiate Sponsored Agreements | |
| C02 | Maintain proposal pending files and database | |
| C03 | Departmental Guarantee Memorandum (DGM) | |
| C04 | Prepare sponsor required just-in-time documents | |
| D | Regulatory Environment | |
| 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 | Conflict of Interest (COI) | |
| D04 | Representations and Certifications | |
| D05 | Biannual Compliance Notifications | |
| D06 | Responsible Conduct of Research Training (CITI) | |
| D08 | Facility Security | |
| D09 | ClinicalTrials.gov | |
| D10 | Research Data Management, Security, and Storage | |
| D10.01 | Export Control | |
| D10.02 | Controlled Unclassified Information (CUI) | |
| D10.03 | Research Data Management Plan | |
| D10.04 | Research Data Use and Sharing Agreements | |
| D11 | Subaward Monitoring and Management | |
| D12 | Suspension and Debarment | |
| E | Award Negotiation, Acceptance, and Account Establishment | |
| E01 | Award - Acceptance and Negotiation | |
| E02 | Award - Special Terms and Conditions | |
| E03 | Award - Agree to terms and conditions regarding performance clauses | |
| E04 | Request PTA Account Setup | |
| 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 | Sponsored Project Agreement Types | |
| E10 | Reserved | |
| 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 | Services agreements | |
| G06 | Research human subject payments | |
| G07 | Cost share documentation | |
| G08 | Cost share review and reporting to sponsor | |
| G09 | Expenditures - Review expenditures in restricted budget categories | |
| G10 | Indirect costs rate negotiation | |
| G11 | Research Incentive (RI) distribution - actual receipt distribution | |
| G12 | Reserved | |
| 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 | |
| H06 | Material Transfer Agreements (MTA) | |
| H07 | Provide oversight on the implementation of University, state and federal policies and regulations | |
| H08 | Project changes requiring prior approval and expanded authority from the sponsor | |
| 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 | |
| J03 | Equipment disposition and/or transfer | |
| J04 | Transfer residuals from fixed-price agreements | |
| J05 | Closeout Checklist | |
| 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 | |
| K02 | Key Personnel Changes | |
| K03 | Research Incentive (RI) Distribution - Distribution Change | |
| K04 | Organizational Code Change | |
| K05 | No Cost Extension | |
| K06 | Stop Work Order | |