Research Acct Resources
   

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Florida Atlantic University
Division of Research
777 Glades Road
Admin Bldg, Rm 207
Boca Raton, FL 33431
561.297.0777
561.297.2141 fax
jwilkie4@fau.edu


Research Administration During the Life of an Award

SP = Sponsored Programs RA = Research Acct PI = Principal Investigator DR = Dept Representative

Process SP RA PI DR
Identification of Funding Opportunities
Search for funding opportunities using agency websites, Community of Science (COS) or sponsor contacts X   X  
Obtain sponsor guidelines and application forms X   X  
Disseminate information on funding opportunities to PIs X      
Provide guidance regarding eligibility, submission requirements and deadlines X      
Proposal Preparation
Prepare technical/research content of proposal, such as: title page, table of contents, abstract, scope or statement of work, methodology, and other items dictated by sponsor guidelines     X  
Prepare the proposal budget. This should restate scope of work and/or methodology in terms of dollars X   X X
Provide guidance on the following budget issues, when applicable: current salaries, fringe benefit rates, indirect cost rates using the appropriate base, cost share amounts, and program income X      
Provide assistance in the preparation of agencies' standard forms X      
Prepare and sign certifications and/or assurances, if required X      
Proposal Routing
Prepare the following internal documents to accompany the proposal for approval and tracking purposes, and obtain the appropriate signatures
  • Pre Award Routing Sheet (Principal Investigator, Department Chair, College Dean)
  • Disclosure of Financial Conflict of Interest (Principal Investigator)
  • Patent Policy Acknowledgment and Acceptance (Principal Investigator)
  • Institutional Contribution
    X X
Include the following items in the proposal if a subcontract is part of the project
  • Letter of Intent from the subcontractor, signed by the authorized representative
  • Scope of work for subcontractor's portion of the project
  • Budget for subcontractor's portion of the project
  • Copy of the subcontractor's approved indirect cost rate agreement (if applicable)
    X X
Deliver the proposal package to Sponsored Programs allowing enough time for review and to meet deadlines   X   X
Negotiations and Acceptance of Award
Review terms and conditions of award and negotiate with sponsor, if necessary X      
Approve scope of work     X  
Consult with the Technology Transfer Officer (TTO) if project involves intellectual property issues X      
Obtain the university attorney's approval for contract form and legality X      
Officially accept contract on behalf of Florida Atlantic University (authorized signature) X      
Obtain a fully executed award document X      
Compliance Review
Note the compliance issues for the proposal on the Pre Award Routing Sheet, such as Human Subject, Animal Subjects, Infectious Agents, Non-Exempt Recombinant DNA, Radioactive Material, Boating/Diving, or Hazardous Chemicals     X  
Submit the protocol for each compliance issue to the appropriate Review Committee     X  
Obtain approval from the Compliance Review Committee     X  
Process post award paperwork after compliance issues are satisfied X      
Account Set-up
Prepare Post Award Worksheet and distribute paperwork to CG and PI/DR X      
Assign account number and notify SR and the PI/DR   X    
Set up account on Banner   X    
Set up cost share account (if required) and notify SR and the PI/DR   X    
Set up program income account (if necessary) and notify SR and the PI/DR   X    
Prepare budget transfer to add budget dollars into the Banner Research Accounting System       X
Approve budget transfer to add budget dollars to account X      
Award Maintenance
Initiate requests to rebudget       X
Approve rebudget requests (obtain written sponsor approval, if needed) X      
Request no cost extensions from the sponsor (requires PI and SR signature) X   X  
Generate employment contracts and personnel action forms       X
Approve employment contracts and personnel action forms X      
Initiate purchase requisitions     X X
Approve purchase requisitions for allowability   X    
Review and approve expenditures for allowability and allocability     X  
Oversee expenditures for allowability and allocability       X
Reconcile accounts on a monthly basis       X
Subcontracts
Prepare, negotiate, and execute subcontract agreements X      
Provide a copy of fully executed subcontract agreement to CG and PI/DR X      
Prepare purchase requisition and Sponsored Programs Exemption Form (if required) and submit to SR     X  
Submit a copy of the agreement, purchase requisition and SREF to Purchasing so that Purchasing can issue a Purchase Order to encumber funds for the subcontract amount X      
Monitor progress reports and deliverables submitted by subcontractor     X  
Approve invoices submitted by subcontractor and send to Accounts Payable for payment     X  
Program Income
Deposit Program income received into the proper program income account       X
Review and approve expenditures for allowability and allocability     X  
Oversee expenditures for allowability and allocability       X
Reconcile accounts on a monthly basis       X
Report program income to sponsor on appropriate financial form   X    
Close out program income accounts using the same procedures as other sponsored accounts   X    
Cost Share
Prepare budget transfer to add budget dollars into the Banner Research Accounting System       X
Approve budget transfer to cost share account, if funded by a Sponsored Research Trust Fund Account (if cost share account is funded by an E&G account, the budget transfer is approved by the University Budget Office)   X    
Generate employment contracts and personnel action forms       X
Approve employment contracts and personnel action forms X      
Initiate purchase requisitions       X
Approve purchase requisitions for allowability   X    
Review and approve expenditures for allowability and allocability     X  
Oversee expenditures for allowability and allocability       X
Reconcile accounts on a monthly basis       X
Monitor cost share during the life of the award to verify that it is appropriately posted as it is incurred   X   X
Verify that the cost share required has been accounted for and documented by the end of the project period   X    
Report cost share to sponsor on appropriate financial report   X    
Closeout cost share accounts using the same procedures as other sponsored accounts   X    
Invoicing the Sponsor
Determine frequency and method of invoicing   X    
Prepare and submit invoices as required, including supporting documentation as needed   X    
Notify CG of completed tasks, milestones achieved, deliverables submitted     X  
Determine frequency and method of invoicing Coordinate FINAL invoice with the PI/DR in order to include all appropriate expenditures   X    
Accounts Receivable
Deposit funds received into the proper account (checks, wires, ACHs, EFTs)   X    
Monitor accounts receivable and pursue the collection of outstanding invoices   X    
Consult with PI on outstanding invoices when necessary   X    
Preparation and Submission of Financial Reports
Determine which financial reports are required and the due dates   X    
Prepare and submit interim and final financial reports on a timely basis   X    
Consult with the PI/DR on FINAL financial reports to ensure that all appropriate expenses are included   X    
Preparation and Submission of Technical Reports
Identify requirements/specifications for the technical reports required by the sponsor     X  
Prepare and submit interim and final technical reports in a timely manner     X  
Preparation and Submission of Patent Reports
Identify the patent reports and due dates that are required by the sponsor X      
Prepare and submit the patent reports in a timely manner with assistance from the TTO and/or PI, when necessary X      
Preparation and Submission of Property Reports
Identify the property reports and due dates that are required by the sponsor X      
Prepare and submit the property reports on a timely basis X      
Closing Accounts
Identify the accounts that should be closed. Consult with the PI/DR to determine whether or not the project will be extended   X    
Determine whether there are pending items that need to be resolved before the account is closed, such as outstanding receivables, outstanding travel advances, and outstanding encumbrances   X    
Work with DR to initiate transactions to zero out accounts   X    
Verify that all FINAL technical and patent reports were submitted to sponsor, as required X      
Verify that all FINAL financial and property reports were submitted to sponsor, as required   X    
Inactivate account on the SAMAS systems   X    




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 Last Modified 11/16/12