| 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 |
|
|
|
Audit Reports
