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 Award Change Request in ERA 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 Award Change Requests in ERA for review, sponsor approval where necessary and implementation of modifications.
RESEARCH OPERATIONS
UNIT
- Review Award Change Requests in ERA
- 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 Award Change Requests 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
- 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
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