Post-Award Roles and Responsibilities Engineering Research Administration

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1 Engineering Award Negotiation & Acceptance 1 Receives award document from sponsor. (May sometimes be received by PI.) 2 If applicable, forwards contract document to ERA and PI for review of special contract provisions (e.g., changes to statement of work, period of performance, reporting requirements). 3 Forwards requests from sponsor to ERA for revised budget and explanation/analysis of costs. 4 Reviews special terms forwarded by OSR. 5 Reviews special terms forwarded by OSR, responds to OSR regarding technical questions and provides further budget explanation to ERA to prepare revisions to budgets and other documents as needed. (If sponsor contacts PI directly regarding award document, PI is responsible for liaison with OSR.) 6 Reviews, revises, finalizes and forwards to OSR revised budget, cost analysis and institutional documentation and ensures that OSR receives all necessary information from PI. 7 Provides all requested award information to sponsor, negotiates terms and conditions, and accepts award or modification. 8 Provides internal Notice of Award including sponsor award documents to ERA and PI. 1 P a g e V e r s i o n

2 Engineering Account Set Up 9 Requests early account: Determines the need for an early account. Confirms with PI and OSR that funding is in process and determines start date. Prepares early account set up form and obtains sponsor documentation, guarantee account and required signatures from department manager and PI. Submits early account form with sponsor documentation to OSR. 10 Initiates new PTA creation: Initiates epta process (i.e., new account) and routes to ERA. Sends PTA forms for continuation funding to ERA. 11 Prepares and submits new PTA information: Prepares and submits epta form to OSR for a new award and PTA set up forms for incremental funding, early accounts, extended accounts and cost sharing accounts. Requests from OSR additional tasks on multi-pi awards. 12 Notifies ERA of new account (PTA). 13 Notifies PI of new account and reviews budget and plans for project personnel with PI. 2 P a g e V e r s i o n

3 Engineering Payroll Forms 14 Generates and delivers to department, one (1) month prior to the start of each quarter, Forecast Spreadsheets that reflect student, research staff and faculty funding and effort (all sources of funds). 15 Student / Faculty Payroll Forms (for new hires and subsequent GFS and labor schedule changes): Transfers Forecast Spreadsheet data to student and/or research faculty payroll forms, and obtains approvals from PIs. Student payroll forms also route for sign off to the applicable student and to the Student Services unit. Returns forms to ERA. 16 Student / Faculty Payroll Forms (for new hires and subsequent GFS and labor schedule changes): Reviews and approves forms and submits completed forms to SoE Payroll two weeks before 1 st pay period deadline of each quarter. Initiates cost transfers (labor distribution adjustments) to reflect retroactive account changes. 17 Teaching Faculty Payroll Forms: Obtains academic year offset (or summer quarter) percentages and funding sources from faculty member and then initiates and approves form. Routes form to faculty member for approval and then to SoE Payroll for entry and approval with a copy to faculty administrator. Initiates cost transfers to reflect retroactive account changes. 18 Staff Payroll Forms (for new hires only): Originates payroll forms for research associates, regular staff and temporary or casual staff and notifies ERA of staff with salary paid by a sponsored acct. (SoE Payroll sets up initial labor schedule for temporary and casual staff. ) 19 Staff Payroll (subsequent changes): For research associates, regular staff, and temporary or casual staff, updates labor schedule when PTA and/or % effort changes. Initiates cost transfers (labor distribution adjustments) to reflect retroactive account changes and notifies ERA of the correction. 3 P a g e V e r s i o n

4 Engineering SubAward Monitoring 20 Initiates subaward: Prepares and submits Oracle purchase requisition to initiate subaward and monitors the requisition s progress from requisition to purchase order to subaward. Requests a separate task for subaward expense from OSR. 21 Prepares subaward agreement and negotiates/finalizes agreement with subaward institution. Notifies PI and ERA when subaward has been finalized and provides copy of subaward agreement to ERA. Sets up subaward task in Oracle. 22 Manages subaward: Receives subaward invoice, reviews and forwards to PI for review and approval. Administers subaward after agreement is in place. Reviews and approves invoice for payment by Accounts Payable (i.e., reviews expenses for allowability, allocability and reasonableness) consonant with PI approval of work performed. Ensures that invoice is in an appropriate format and that correct expenditure types are used. Uploads invoice into iprocurement for payment by Accounts Payable. Monitors spending level to ensure that budget is not exceeded. Follows up with Accounts Payable on unpaid or missing invoices. 23 Reviews subaward invoice, approves if work is satisfactory and forwards invoice with PI signature and date to ERA for submission to Accounts Payable. 4 P a g e V e r s i o n

5 Engineering Award Management 24 Makes travel arrangements and ensures at time of booking that travel adheres to Stanford policies, award terms and federal regulations (i.e., Fly America Act, Lowest Available Airfare, etc.) 25 Initiates iprocurement, PCard and IOU transactions and routes to department manager and ERA for approval as appropriate. 26 Acts as PCard and travel card custodian and as verifier for research group or faculty members. 27 Initiates equipment purchases and, in consultation with ERA, ensures at time of purchase that purchase adheres to Stanford policies, award terms and federal regulations. Routes requisition to appropriate DPA (department property administrator) for approval. 28 Initiates/revises/renews requests for Biostores, Physics Stores and other group accounts and submits to appropriate financial approver. 29 Trains students and postdocs in the use of Oracle iprocurement or the IOU reimbursement module. Answers questions or provides guidance as needed. 30 Arranges payments to consultants: Initiates requisition for consultant services and liaisons with Contracts Group to ensure that the individual qualifies to be an independent consultant according to IRS requirements. In addition, ensures that the hiring adheres to Stanford requirements and policies, award terms and federal regulations. Monitors spending level after contract is in place to ensure that budget is not exceeded. Reviews and approves invoice for payment by Accounts Payable consonant with PI approval of work performed. Uploads invoice into iprocurement for payment by Accounts Payable. 5 P a g e V e r s i o n

6 Engineering 31 Approves reimbursement, purchase order and PCard requests charged to sponsored accounts. Verifies that expenses adhere to Stanford policies, award terms and federal regulations with special attention to allowability, allocability, reasonableness and consistency with award objectives. Works with originator to ensure compliance. ERA approval indicates a review for allowability, allocability and reasonableness. Prior to ERA approval, form is approved by department manager after reviewing to a level sufficient to meet their department s internal information needs. 32 Approves reimbursement, purchase order and PCard requests and verifies that expenses charged to non-sponsored accounts adhere to Stanford policies and award terms. Works with originator to ensure compliance. 33 Reviews and approves capital equipment purchases charged to sponsored accounts: For capital equipment and other expenses with prior approval requirements, ensures that approval has been obtained and documentation is kept in file. Approves equipment requisitions and verifies at the same time that purchases on sponsored accounts adhere to Stanford policies, award terms and federal regulations with special attention to expenditure types, title vesting (SU vs. sponsor) and tax status, and ensures that equipment threshold is met. 34 Approves equipment requisitions and verifies that purchases on non-sponsored accounts adhere to Stanford policies and award terms. Works with originator to ensure compliance. 6 P a g e V e r s i o n

7 Engineering 35 Reviews and reconciles expenditure statements: Reviews monthly expenditure statements for sponsored accounts by line item to ensure accuracy of expenditure type, amount, allowability, allocation percentages, etc.; initiates cost transfers (i.e., ijournals and labor distribution adjustments) to correct errors. Initiates capital equipment template to correct errors regarding capital equipment expense. Monitors PI effort on a quarterly basis and advises PI of status. 36 Reviews and certifies expenditure statements quarterly (for sponsored accounts) after review by ERA. 37 Reviews and certifies expenditure statements monthly (for sponsored accounts). 38 Reviews and reconciles expenditure statements for faculty non-sponsored accounts and initiates corrections. 39 Monitors suspense accounts for sponsored and non-sponsored labor transactions: Initiates labor distribution adjustments to clear salary suspense accounts with assistance from department as appropriate. Monitors account end dates, submits extended account forms and moves spending to other appropriate accounts if account is ending to proactively keep expenses from hitting the suspense accounts. Clears expenses from suspense accounts on a monthly basis (or more frequently). 7 P a g e V e r s i o n

8 Engineering 40 Monitors cost sharing: Monitors cost sharing and tracks those cost share elements that do not post as expenses to a cost share PTA, e.g. foregone indirect costs and tuition. Ensures that cost sharing requirements are fulfilled. Coordinates funding of cost sharing accounts with department manager and finance officer in a timely manner (i.e., when PTA is set up). 41 Monitors spending levels: Monitors spending levels and commitments throughout duration of the award to minimize overdrafts and variances. Advises PI of problems of over- or under-spending. Works with PI, department manager, chair or dean to resolve problems associated with unallowable expenditures, delayed funding and other spending issues. Advises PI and department manager when early account or extended account spending exceeds guarantee account funds and closely monitors spending on these accounts and progress of the funding increment. Prepares limitation of funds letter and sends to OSR for submission to sponsor. Reviews initial award budget and revises throughout duration of award as necessary. 42 Prepares consolidated financial reports for all PI sponsored and non-sponsored accounts and meets with PI a minimum of once per quarter to discuss status of accounts. Reports would include information on PI effort, expenses, commitment burn rates and projections. 8 P a g e V e r s i o n

9 Engineering 43 Initiates no cost extension and other sponsor-approved requests: Advises PI of the need for no-cost extension requests, prior approval requests (e.g., capital equipment), rebudgeting requests and other sponsor requests. Writes request with rationale from PI (or ensures that PI writes it). Sends request to OSR for submission to sponsor. 44 Responds to audit inquiries regarding sponsored accounts and facilitates corrective action when necessary. 45 Maintains contact with sponsor during award period for actions such as following up on incremental funding, prior approval requests and no-cost extension requests. (In general, ERA does not contact sponsor directly unless instructed by OSR). 46 Prepares routine, required financial reports and submits to sponsor according to sponsor s schedule. 47 Prepares non-routine, required financial reports and submits to sponsor according to sponsor s schedule. Award Close Out 48 Sends advance closeout notification to PI and ERA. 49 Teams with OSR to close out the award in a timely manner; performs final review of all project expenses and transfers off any unallowable costs; ensures that subaward institution has submitted final invoice; clears overdraft according to policies. 50 Prepares progress and final technical reports, patent reports and other reports required by the sponsor (with copies to ERA and OSR) and submits to sponsor. 51 Follows up with PI and facilitates submission of delinquent final technical, patent, and property reports. 9 P a g e V e r s i o n

10 Engineering Post-Award Records and Information 52 Maintains official University electronic files (ERA maintains a working file). 10 P a g e V e r s i o n