Roles and Responsibilities

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
Notification Tasks

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
Award Folder Structure and Naming Conventions Workday	Account Setup Anatomy of An Award Notice Review Award with PI Salary and Wages

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
Manage Subawards Subawards Sitelet Workday	Post-Award Management - Manage Expenses Request New Subaward Subawards Sitelet Subrecipients vs Vendor / Contractor vs Consultant Workday

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
Account Monitoring Unbilled Accounts Review Job Aid	Post-Award Management Sitelet - Reconciliation iPAR Sponsored Financial – F&A Calculations

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
Account Monitoring Sponsored Projects Allowability Job Aid	Post-Award Management Sitelet - Monitoring ORPSA Action Forms (OAF) Video

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
Pre-Final Closeout Submit Final Invoice and Reports Fiscal Reconciliation Job Aid Workday	Post-Award Management Sitelet – Closeout Workday

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
	Financial Accountability > Audit Readiness

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
Assessing At-Risk Requests Job Aid	Input from Units Post-Award Management Sitelet - Reconciliation

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
Account Monitoring Document Cost Sharing Job Aid	Cost Sharing Sitelet – Manage Commitments

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
Cost Transfers Sitelet Reviewing and Approving Non-Payroll Cost Transfer Requests Job Aid Reviewing and Approving Sponsored Projects Payroll Redistributions Job Aid Workday	Cost Transfers Sitelet Cost Transfer Video Workday

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
	Financial Services Training Workday

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
Submit Invoice Invoice Submission and Saving Procedures Job Aid

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
	Post-Award Management Sitelet – Salary and Wages PeopleSoft Online Training Create a Courtesy Affiliate Hiring and Recruitment Promote, Transfer, Retire and Terminate Employees Processing Payroll Redistributions Review and Approve Time Reported by Employees Review, Edit, and Create Position Numbers

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
Workday   Sponsored Projects Allowability Job Aid	Post-Award Management Sitelet – Goods and Services Purchasing Website Procurement Rule Book Order Type and Transaction Forms (e.g... PO, RX, PV, PCard, etc.) P-Card Terms/Conditions and Reconciliation workshee Departmental Grant P-Cards and GRT Dummy Grant Accounts Capital Equipment Consultant and Independent Services Export Controls Subrecipient vs Vendor/Contractor vs Consultant Workday

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
Submit Invoice Financial Report Submission and Saving Procedures Job Aid Submitting Intellectual Property Reports Job Aid	After-The-Fact Review Report Post-Award Management Sitelet – Closeout-Retention

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
	Post-Award Management Sitelet -Travel Export Controls Foreign Travel Topical Guide  (Explains special regulations, such as the Fly America Act) Conducting Business Internationally Financial Services Travel Guide Travel Training  Travel Website