Procedures
The Office of Research and Sponsored Programs provides a guide to procedures for research administration. This area is currently under construction.
A | Identification of Funding Opportunities | |
A01 | How to Use PIVOT | |
A02 | Internal Funding | |
A03 | Distribute Funding Opportunity Information | |
A04 | Sponsored Project Activity Types | |
A05 | Eligibility - Institutional and Principal Investigator | |
A06 | Gift vs. Sponsored Award | |
A07 | Limited Submissions | |
A08 | Confirm That Proposal Is In-Line with Departmental and Institutional Mission | |
A09 | Proposal Writing Schedule Checklist | |
A10 | Reserved | |
A11 | Departmental Research | |
B | Proposal Preparation and Submission | |
B01 | Intent to Submit | |
B02 | Pre-proposals | |
B03 | Guideline Interpretation | |
B04 | Technology Transfer | |
B05 | Budget Preparation | |
B05.01 | Budget - Salaries and Wages | |
B05.02 | Budget - Compensation - Fringe Benefits | |
B05.03 | Budget - Equipment and Other Capital Expenditures | |
B05.04 | Budget - Indirect Costs | |
B05.05 | Budget - Maintenance and Repair Costs | |
B05.06 | Budget - Materials and Supplies Costs, Including Costs of Computing Devices | |
B05.07 | Budget - Memberships, Subscriptions, and Professional Activity Costs | |
B05.08 | Budget - Participant Support Costs | |
B05.09 | Budget - Pre-award costs | |
B05.10 | Budget - Subrecipient Costs | |
B05.11 | Budget - Professional Service Costs | |
B05.12 | Budget - Scholarships and student aid costs | |
B05.13 | Budget - Specialized service facilities | |
B05.14 | Budget - Training and education costs | |
B05.15 | Budget - Transportation costs | |
B05.16 | Budget - Travel costs | |
B05.17 | Budget - Direct Charge Administrative and Clerical Costs | |
B05.18 | Budget - Human Subjects Payments | |
B05.19 | Budget - Student Compensation | |
B06 | Cost Sharing or Matching | |
B07 | Research Incentive (RI) Distribution | |
B08 | Space - Coordinate, assign and approve requests | |
B09 | Identify Research Compliance Issues (IRB, IACUC, COI, etc.) | |
B10 | Verify Research Compliance adherence | |
B11 | Fixed Price Agreements | |
B12 | Reserved | |
B13 | Reserved | |
B14 | Proposal Preparation | |
B14.01 | Proposal - Prepare technical proposal | |
B14.02 | Proposal - Secure Provost and/or VPFA signature on other attachments as specified in the proposal guidelines | |
B14.03 | Proposal - Proposal Submission Deadlines | |
B14.04 | Proposal - Technology Transfer | |
B14.05 | Proposal - Review proposal packet for completeness and accuracy prior to routing for internal approvals | |
B14.06 | Proposal - Proposal Review and Approval Routing | |
B14.07 | Proposal - Signature Authority | |
B15 | Reporting Other Support | |
C | Pre-Award/Post-Submission | |
C01 | Review and Negotiate Sponsored Agreements | |
C02 | Maintain proposal pending files and database | |
C03 | Departmental Guarantee Memorandum (DGM) | |
C04 | Prepare sponsor required just-in-time documents | |
D | Regulatory Environment | |
D01 | Human Subjects Research/IRB | |
D02 | Animal Subjects Research/IACUC | |
D03 | Conflict of Interest (COI) | |
D04 | Representations and Certifications | |
D05 | Biannual Compliance Notifications | |
D06 | Responsible Conduct of Research | |
D07 | CITI Training | |
D08 | Facility Security | |
D09 | ClinicalTrials.gov | |
D10 | Research Data Management, Sharing, and Security | |
D10.01 | Export Control | |
D10.02 | Controlled Unclassified Information (CUI) | |
D10.03 | Research Data Management Plan | |
D10.04 | Research Data Sharing Plans | |
D11 | Subaward Monitoring and Management | |
D12 | Suspension and Debarment | |
E | Award Negotiation, Acceptance, and Account Establishment | |
E01 | Award - Acceptance and Negotiation | |
E02 | Award - Special Terms and Conditions | |
E03 | Award - Agree to terms and conditions regarding performance clauses | |
E04 | Request PTA Account Setup | |
E05 | Establish PTA account in oracle | |
E06 | Award - Send copy of Award Letter (i.e. Notice of Award) to PI and appropriate unit support (e.g. Business Unit Manager or CFAO) from Leo | |
E07 | Research Incentive (RI) Distribution - New Account | |
E08 | Provide documentation of certifications of approvals to sponsors | |
E09 | Sponsored Project Agreement Types | |
E10 | Reserved | |
E11 | Approve and or negotiate exceptional contract terms and conditions outside of standard practice | |
E12 | Award - Budget revision and change of scope due to funding reduction from proposal to Award (document for cost share implications) | |
F | Audits | |
F01 | Internal Audit | |
F02 | External Audit | |
G | Managing the Award - Financial | |
G01 | Award Management | |
G02 | Service Agreements | |
G03 | Clinical & Translational Research Unit (CTRU) | |
H | Managing the Award - Non-Financial | |
H01 | Conduct the sponsored project and provide overall oversight on all research activities | |
H02 | Reconcile expenditures to budget/revenue monthly | |
H03 | Personnel - Assign research personnel for the project | |
H04 | Personnel - Hire research personnel | |
H05 | Progress/Technical Reports | |
H06 | Material Transfer Agreements (MTA) | |
H07 | Provide oversight on the implementation of University, state and federal policies and regulations | |
H08 | Project changes requiring prior approval and expanded authority from the sponsor | |
I | Financial Reporting | |
I01 | Provide information for and prepare financial reports | |
I02 | Review and analyze financial reports to external sponsors | |
I03 | Provide interim financial reports to the sponsor | |
J | Closing Out the Award | |
J01 | Cost Share - Document costs sharing funds as required | |
J02 | Investigator Separation | |
J03 | Equipment disposition and/or transfer | |
J04 | Transfer residuals from fixed-price agreements | |
J05 | Closeout Checklist | |
J06 | Reports - Notify PI of the need for completion of final technical report | |
J07 | Reports - Prepare and submit final technical report to sponsor | |
J08 | Reports - Prepare and submit financial report and final invoice as required to sponsor | |
J09 | Inactivate grant account | |
J10 | File appropriate closeout documentation | |
K | Administrative Transactions | |
K01 | Budget Revision | |
K02 | Key Personnel Changes | |
K03 | Research Incentive (RI) Distribution - Distribution Change | |
K04 | Organizational Code Change | |
K05 | No Cost Extension | |
K06 | Stop Work Order | |