Roles and Responsibilities

Last updated: 04/15/2019 - 2:01pm
General

Overarching responsibilities for Research Operations (ResOps) and units, regardless of process.

RESEARCH OPERATIONS

UNIT

  • Serve as liaison to sponsor
  • Serve as liaison for audits
  • Monitor mailboxes:
  • Notifications@asu.edu
  • ASU.Awards@asu.edu
  • Awards.Management@asu.edu
  • Provide notifications to unit
  • Approve requests for sponsored project requests from unit
  • Serve as liaison to ResOps for PI
  • Monitor unit awards mailbox
  • Respond to request from ResOps
  • Request sponsored project approvals from ResOps

RESOURCES

 
Set Up Award

Review of the award notice, establishment a project plan, and activation of the award.

 

RESEARCH OPERATIONS

UNIT

  • Award verification
  • Create account in financial system
  • Enter award in ERA
  • Establish storage folder structure in SharePoint
  • Establish required billing and hierarchy information in Workday
  • Work with PI on award setup actions
  • Review award notice
  • Create project plan
  • Personnel position mapping
  • Review terms and conditions

RESOURCES

Manage Subawards

Establishment of subawards, review and processing of invoices, monitoring of the award/account for needed modifications as well as for uniform guidance and FFATA compliance.

 

RESEARCH OPERATIONS

UNIT

  • Monitor for Uniform Guidance and FFATA compliance
  • Review and route invoices to Accounts Payable
  • Review and execute modifications
  • Manage closeout
  • Request new subawards
  • Verify subaward accounts have been set up correctly
  • Forward any subawardee invoices to AMT
  • Prepare OAF for subaward extensions or rebudgets

RESOURCES

Monitor Account

Review of award/account to ensure that expenditures are allowable under the terms and conditions of the award and are within the period of performance.

 

RESEARCH OPERATIONS

UNIT

  • Review unbilled accounts
  • Perform F&A adjustments
  • Review budget variances
  • Perform deficit reviews
  • Review monthly financials
  • Perform project reconciliations
  • F&A reconciliation
  • Payroll
  • P-card
  • Forecast

RESOURCES

Manage Change

Preparation and submission of ORSPA Action Forms (OAFs) for review, sponsor approval where necessary and implementation of modifications.

 

RESEARCH OPERATIONS

UNIT

  • Review OAF requests
  • Take appropriate action based on type of request
  • Assist with determining allowability;
  • Submit change request to sponsor, where required
  • Process change request in ERA/Workday
  • Prepare, submit, and track OAFs for needed award management actions including:
  • Rebudget
  • Foreign travel
  • Carry forward approval
  • No-cost extension
  • Review award modification notices

RESOURCES

Close Out Award

The final steps taken by units and Research Ops to ensure responsibilities to the sponsor a given award are met.

 

RESEARCH OPERATIONS

UNIT

  • Prepare final F&A adjustments
  • Remove F&A encumbrances
  • Confirm final expenses
  • Prepare final invoice/report
  • Manage revenue shortfall
  • Archive project documents
  • Process final expenses
  • Close open POs
  • Update personnel position mapping
  • Inform internal vendors
  • Close p-cards
  • Facilitate submission of final reports

RESOURCES

Audits

Verification of programmatic or financial compliance with applicable terms and conditions which may occur at any stage from proposal to post-closeout.

 

RESEARCH OPERATIONS

UNIT

  • Serve as liaison to auditor
  • Gather documentation for audit requests
  • CAS exceptions
  • Expense monitoring
  • P-card reconciliations
  • Payroll
     

RESOURCES

 

At-Risk Request

A request for time and/or funding submitted prior to the award acceptance of during the project period while awaiting the next award amendment.

 

RESEARCH OPERATIONS

UNIT

  • Assess need and level of risk to institution
  • Process approved award action
  • Prepare, submit, and track requests
  • Work with sponsor to obtain award modification documents, as needed

RESOURCES

Cost Sharing

Funding and tracking of the portion of the total project costs not being paid for by the sponsor but rather by ASU and/or third parties.

 

RESEARCH OPERATIONS

UNIT

  • Prepare reconciliation of cost sharing expenses
  • Prepare internal report  
  • Provide copy of report to unit for tracking
  • Create non-state cost share accounts
  • Provide cost sharing reports to sponsor
  • Assist PI in meeting cost sharing obligations
  • Create state cost share accounts

 

RESOURCES

Cost Transfers

After the fact reallocations of a cost (expenditure) from one ASU account to another.

 

RESEARCH OPERATIONS

UNIT

  • Approve expense transfer requests
  • Non-payroll cost transfers
  • Payroll redistributions
  • Create Accounting Adjustment/Journal Entries for financial expenses transfers
  • Prepare, process, and track expense transfer requests
  • Non-payroll cost transfers
  • Payroll redistributions

RESOURCES

Expense Advances

Cash advanced to a project for approved project expenses when after-the fact reimbursement is not possible.

 

RESEARCH OPERATIONS

UNIT

 
  • Request review for allowability
  • Manage all expense processing of Workday Expense Reports
  • Prepare and process expense advance closeout; gather required documentation

RESOURCES

 
Invoices

A bill received from a subrecipient, vendor or consultant requesting payment or a statement sent to a sponsor by ASU requesting reimbursement of expenses incurred for the award.

 

RESEARCH OPERATIONS

UNIT

  • Generate and submit invoices to sponsoring agencies based on T&C
  • Serve as liaison to Research Operations

RESOURCES

 

Personnel

Actions taken in PeopleSoft to recruit, hire, create courtesy affiliates, etc.

 

RESEARCH OPERATIONS

UNIT

 

  • Hire and track project personnel:
  • Manage position
  • Mapping updates
  • PRDs
     

RESOURCES

 

Purchases

The review and implementation of allowable purchases to the award.

 

RESEARCH OPERATIONS

UNIT

  • Approve:
  • Questionable Workday Expense Reports
  • Vendor invoices and wire transfers that Accounts Payable sends
 
  • Dollar amount > $5,000
  • Questionable documentation/transactions
  • Gift cards
  • Unallowable/CAS exception object codes
     
  • Obtain needed documentation, approve, and track SunRISE orders
  • Prepare and approve Workday documents
  • Review for allowability and manage purchase of capital/non-capital equipment
  • Document CAS exceptions
  • Process Workday receivers

 

RESOURCES

 

 

Reports

Completion of sponsor reporting requirements, including financial, effort, and technical reports.

 

RESEARCH OPERATIONS

UNIT

  • After-The-Fact Review Report:
  • Release reports to unit
  • Monitor errors
  • Troubleshoot errors with unit
  • Training, as needed
  • Financial Reporting:
  • Generate and submit to sponsoring agencies based on T&C
  • Non-Fiscal/Non-Technical Reporting
  • IP
  • Equipment
     
  • After-The-Fact Review Report:
  • Review, correct, and certify employees' sponsored project effort
  • Technical Report Monitoring:
  • Work with PI to prepare and submit technical progress reports (periodic and final)

RESOURCES

Travel

The review, approval and processing of allowable travel, both domestic and foreign.

 

RESEARCH OPERATIONS

UNIT

 

  • Review and approve:
  • Travel authorizations and expense reports
  • Review for allowability and compliance with ASU policy and sponsor guidelines
  • Ensure required documentation is included
     

RESOURCES

 

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