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Ohio Research and Sponsored Programs
Athens, Ohio 45701

Creation and Approval of Research Administration Procedures

Purpose

The purpose of this document is to set forth the process for the development, review, approval, dissemination, and revision of Research Administration (RA) Procedures.  RA Procedures are the primary method by which ORSP and Grants Accounting informs the OHIO research community of research-related changes and of adjustments to research operations and requirements across the university. 

Scope

This procedure applies to all sponsored projects subject to OU Policy 19.045(opens in a new window) Administering External Grants and Contracts set up as separate accounts in the OHIO Financial Management System (FMS) and funded via a fixed price agreement.

Definitions

Procedure

Research personnel must review RA Procedures as they are released and should refer to them when needed. All investigators, administrators, research teams, and related personnel must be familiar with and comply with RA Procedures. 

RA Procedures do not take the place of policies; instead, they may provide a basis for the development of standard operating procedures or working guidelines.

 

1. Development 

  • The development, review, and approval process for RA Procedures is overseen by ORSP. 
  • The development of new RA Procedures is typically initiated by the need to convey a specific operational requirement to the broader research community. 
  • Research personnel who wish to propose a new RA Procedure may do so by contacting ORSP or the Post Award and Grants Partner Group* (PAGPG).
  • RA Procedures are drafted by ORSP in coordination with appropriate subject-matter experts.

2. Review and Approval

  • Once drafted, RA Procedures will be submitted to the PAGPG and CRSCA for review and comment.  Each group will be asked to share the information widely with co-workers and solicit input.   The PAGPG and CRSCA will discuss and approve a finalized RA Procedure at their monthly meeting. 
  • The RA Procedure will then be submitted to the Associate Deans for Research for review and approval. 
  • At the discretion of the Assistant Vice President for Research and Sponsored Programs, the review and comment periods may be shortened or eliminated in the following circumstances:
    • In the event a RA Procedure addresses an imminent issue, or
    • When revisions to an existing RA Procedure are only for clarity or consistency (e.g., title changes, format changes, etc.) and do not change any requirements. 

3. Posting and Dissemination

  • Finalized RA Procedures are submitted to the ORSP webmaster for posting to the ORSP RA Procedures web page.
  • The ORSP RA Procedures web page displays the Procedures in a work-flow/subject-matter format.
  • The OHIO research community is notified of the posting of the finalized Procedure via email to the ORSPINFO@ohio.edu Mail List.

4. Continuing Review

  • All Procedures will be reviewed every four years. Review may be conducted earlier if warranted or if requested based on operational changes.
  • A record of review will be maintained in the ORSP.
  • The review, approval, posting, and dissemination processes for updated Procedures will be the same as the process for new Procedures.
  • Revised or updated Procedures will use the document standards outlined below.

5. Archiving

  • Upon review and determination that the Procedure is no longer useful or accurate, obsolete Procedures will be archived. 
  • The entry for the archived Procedure will continue to appear on the ORSP Procedures web page; however, the document will no longer be posted. The entry will show that the status of the Procedure is “Inactive.”
  • Archived Procedures will be kept on the ORSP internal shared drive for a minimum of one year, at which time the documents may be purged completely.

      Document Standards

      1. The Procedure document includes: 

  • A header with the following information that is updated by the ORSP to match font and style standards before posting:  Title and Letter/Number Assignment (see #2 below).
  • Two sections at the end of the document: “Roles and Responsibilities,” and “Review/Revision History.” The Procedure need not follow a specific organizational format but should be drafted in a way that presents the necessary information in the most concise manner possible. 

      2.  The identification convention for Procedures is as follows:

  • The letter identifying where in the Sponsored Project Lifecycle the procedure most often occurs: 
    • Identification of Funding Opportunities
    • Proposal Preparation and Submission
    • Pre-Award/Post Submission
    • Regulatory Environment
    • Award Negotiation, Acceptance, and Account Establishment
    • Audits
    • Managing the Award – Financial
    • Managing the Award – Nonfinancial
    • Financial Reporting
    • Closing Out the Award
    • Administrative Transactions
  • A two-digit identifier (with a second two-digit identifier if needed for categorization)
  • Title

QUESTIONS

Questions about this procedure can be sent to orsp@ohio.edu.

FORMS/TEMPLATES

There are no forms or templates for this procedure

ROLES AND RESPONSIBILITIES

OWNER: ORSP

CONTRIBUTOR: ORSP, CFAO/Budget Unit Manager

REVIEW/REVISION HISTORY

7/27/22 – Creation