General
Overarching responsibilities for Research Operations and units, regardless of process.
Research Operations
- Serve as liaison to sponsor
- Serve as liaison for audits
- Monitor mailboxes:
- Provide notifications to unit
- Approve requests for sponsored project requests from unit
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
- 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
Unit
- 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
- Understanding your notice of award
- 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
- Monitor for Uniform Guidance and FFATA compliance
- Review and route invoices to Accounts Payable
- Review and execute modifications
- Manage closeout
Unit
- 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
- Manage subawards
- Subawards
- Workday
- Post-award management – manage expenses
- Request new subaward
- Subrecipients vs vendor/contractor vs consultant
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
- Review unbilled accounts
- Perform F&A adjustments
- Review budget variances
- Perform deficit reviews
Unit
- Review monthly financials
- Perform project reconciliations
- F&A reconciliation
- Payroll
- P-card
- Forecast
Resources
- Account monitoring
- Unbilled accounts review job aid
- Post-award manageme – reconciliation
- Sponsored financial – F&A calculations
Manage change
Preparation and submission of Award Change Requests in ERA for review, sponsor approval where necessary and implementation of modifications.
Research Operations
- 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
Unit
- 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 of a given award are met.
Research Operations
- Prepare final F&A adjustments
- Remove F&A encumbrances
- Confirm final expenses
- Prepare final invoice/report
- Manage revenue shortfall
- Archive project documents
Unit
- Process final expenses
- Close open POs
- Update personnel position mapping
- Inform internal vendors
- Close p-cards
- Facilitate submission of final reports
Resources
- Closeout project
- Submit final invoice and reports
- Fiscal reconciliation job aid
- Workday
- Post-award management – closeout
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
- Serve as liaison to auditor
Unit
- 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
- Assess need and level of risk to institution
- Process approved award action
Unit
- 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
- 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
Unit
- 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
- Approve expense transfer requests
- Non-payroll cost transfers
- Payroll redistributions
- Create accounting adjustment/journal entries for financial expenses transfers
Unit
- Prepare, process, and track expense transfer requests
- Non-payroll cost transfers
- Payroll redistributions
Resources
- Cost transfers
- Reviewing and approving non-payroll cost transfer requests job aid
- Reviewing and approving sponsored projects payroll redistributions job aid
- Workday
- Cost transfer video
Expense advances
Cash advanced to a project for approved project expenses when after-the fact reimbursement is not possible.
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
Generate and submit invoices to sponsoring agencies based on T&C
Unit
Serve as liaison to Research Operations
Resources
Personnel
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.
Unit
Hire and track project personnel:
- Manage position
- Mapping updates
- PRDs
Resources
- Post-award management – salary and wages
- PeopleSoft online training – intranet
- 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
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
Unit
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 – goods and services
- Purchasing website
- P-Card terms/conditions and reconciliation worksheet
- 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
- 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
Unit
- 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 – closeout-retention
Travel
The review, approval and processing of allowable travel, both domestic and foreign.
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 – 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