Research Administration Procedures

This is a first draft of the research administration procedures. Your comments are necessary and welcome. Please let us know where the procedures are hard to follow or unclear by leaving a comment on the procedure itself.

Use the Categories to the right to find a sets of related procedures. The first post in each category lists all the procedures available. The blog format is used to capture comments and encourage discussion. However, the procedures were not written from the first to the last. Trying to navigate the Beta Manual chronologically will be confusing. Ignore most dates.

Be sure to have a copy of the research administration process flow charts handy. While most of the procedures can be presented “in order” the flow chart will indicate which procedures are dependent and which can be undertaken in parallel.

This site is still under construction and is not the permanent location of the final manual. Please bear with us while adjustments are made. The permanent location will be announced in due course and this manual will be replaced.

The Beta Manual was written by many people (spending many long hours locked in a conference room in an undisclosed location). Special thanks go to Faye Farmer and Tracey Sotelo for their limitless patience.

• Use tools/contacts/other to forecast RFPs
• Screen released RFPs for relevant opportunities (OVPREA)
• Provide tools and training for individual users/units to find opportunities
• Screen release RFPs for relevant opportunities (Units)
• Review eligibility
• Follow limited submissions process if necessary
• Obtain institutional endorsement

• Initiate sponsor forms
• Draft budget
• Prepare budget justification
• Review budget with ORSPA
• Develop outline for technical/project narrative
• Distribute writing assignments
• Identify existing template writeups (boiler plate)
• Identify internal and external team members
• Create or obtain required supplemental materials
• Update requirements document
• Define proposal editing team
• Compile draft
• Review draft
• Prepare final draft of proposal materials
• Submit proposal package to ORSPA

• Define Approval Requirements
• Determine Intellectual Property considerations (AzTE representative)
• Sign F and A Waiver (AVP Research)
• Complete Form 310 - Supplemental Pay (Various)
• Complete Form 300E - Responsible Conduct Special Review Form
• Complete form 305 - Cost Share (Various)
• Complete form 315 - CAS exception (Various)
• Space Form
• Complete Proposal Routing and Approval Form
• Attach project documents
• Sign Proposal Routing and Approval Form (All co-principal investigators)
• Sign Proposal Routing and Approval Form (Chair(s) or Director(s))
• Sign Proposal Routing and Approval Form (Dean(s))

• Log the proposal
• Submit proposal to funding agency
• Notify proposal team of submission status
• Create proposal file and complete data entry
• Monitor proposal status
• Review award document and negotiate changes
• Negotiations handled by contracts office
• Finalize and execute agreements

• Fund Proposal in Coeus
• Prepare Package for GCA
• Approve 301B/VPR Guaranteed Accounts
• Activate Accounts
• Send Account Notifications
• GCA Review and Final Setup
• Approve CAS Exceptions
• File Documentation
• Distribute Press Release
• Notify Non-Cost Share Contributors
• Resolve Space Issues

• Finalize Project Scope
• Create Project Plan
• Reanalyze Resource Requirements
• Initiate Change Requests
• Track and Compare Performance to Plan
• Monitor and Oversee Expenditures
• Initiate and Complete Necessary Cost Transfers
• Ensure Accuracy of Completed Effort Certification Reports
• Complete Necessary Adjustments to Award Charges and/or Payroll Distributions
• Notify ORSPA of Major (>25%) Changes in Effort
• Complete Project Deliverables

Managing Change Requests

• Review change request from unit
• Prepare change request according to sponsor guidelines
• Execute adjustments according to change request
• Complete notification for sponsor and other ASU entities
• Notify unit of change request status

Invoicing and Financial Reporting

• Produce and record a letter of credit draw request (federal awards)
• Initiate invoicing process
• Review and approve financial transactions
• Receive and deposit payments from sponsors
• Monitor and pursue the collections of overdue payments from sponsors

• Identify appropriate timing for the project closeout
• Confirm that project deliverables meet requirements
• Complete final budget review and make adjustments
• Post final expenditures to accounts
• Inactivate award accounts in financial system
• Issue final invoice and report
• Receive and confirm final payment
• Close accounts in financial system
• Archive project documents

Specific Responsibility: Research Advancement Staff
Owner: OVPREA Research Advancement
Assigned Writer: Faye Farmer

Pre-requisites

• Access to the opportunity announcement
• Access to ASU’s institutional guidelines
• Access to the human resources database
• Access to principal investigator(s)’ information
• Internet
• Email

Summary

• Review the opportunity announcement and determine whether it requires limited submission through ASU.
• Contact PRIDE regarding submission of proposal in response to the opportunity announcement.

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Summary

There are sponsor and legal requirements to keep project documents for a defined period of time and to destroy them after this time has expired. Variable requirements from sponsor to sponsor.

Policy

• ASU Sponsored Fiscal Management (SFM 1506) Records Retention Policy

Summary

After receipt of final payment has posted to sponsored account, account is closed in the financial system.

Prerequisites

• Mail (checks)
• Award Database (Coeus)
• Invoice Database
• Invoice Bin
• K and I drive access
• Web Check Log
• Financial System (Advantage)
• Computer with fax modem
• Bamtrac information (banking activity download)

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Prerequisites:

• Coeus, Advantage, Advantage web reports, ApplicationXtender
• K drive access
• Document Center account file(s)
• Knowledge of A-21 Cost Allowability

Summary

• Determine allowable expenses.
• Organize documentation to support allowable expenses.
• Clear encumbrances
• Adjust indirect costs
• Confirm total revenue
• Determine direct cost deficit
• Prepare check request for sponsor refund
• Prepare final invoice/report.

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Unit Responsibility: GCA
Specific Responsibility: Accountant
Owner: GCA Manager - Michele Wrapp

Prerequisites:

• Access to and knowledge of Coeus, Advantage, Advantage web reports
• K drive access
• Document Center account file(s)

Summary:

• Perform GCA Account Closeout Checklist Pre-final Closeout tasks
• Record completion of tasks on GCA Account Closeout Checklist
• File GCA Account Closeout Checklist in Document Center account file(s)

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Summary

• Ensure that all project expenditures including cost transfers have been posted to the correct project accounts.

Summary

• Org Manager/designee conducts ongoing, timely reconciliations to facilitate a detailed final close out review.
• Review the project budget and ensure all charges were incurred correctly and posted to the correct account.
• Initiate cost transfers as required.

Summary

• Confirm that project deliverables including parts, systems, reports, etc. meet sponsor requirements based on original proposal as well as any approved changes.
• Prepare the report and give to ORSPA for review and submission to the sponsor. For some sponsors with electronic submission process, PI and/or unit staff may submit without ORSPA review.

Summary

Determine if project will require early closeout or if it will terminate according to original agreement on performance period.

Process Flow: Closeout Project

Specific Responsibility: Research Advancement Staff
Owner: OVPREA Research Advancement
Assigned Writer: Faye Farmer

Prerequisites

• Microsoft Word
• Internet connection and browser
• Email, with read receipt ability
• Opportunity announcement
• Adobe portable document file software

Summary

• Receive the proposal draft from the proposal editing team.
• Review the opportunity announcement and sponsor requirements to ensure that documents are organized accordingly.
• Review ASU’s document requirements to ensure that required documents are attached.

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