Post Award Functions Department/ Principal Investigator HOBS Office of Sponsored Research Award Negotiation & Acceptance 1 Receives award document from sponsor. (May sometimes be received by PI.) 2 If applicable, forwards contract document to HOBS 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 HOBS for revised budget and explanation/analysis of costs. 4 Reviews special terms forwarded by OSP. 5 Reviews special terms forwarded by OSP, responds to OSP regarding technical questions and provides further budget explanation to HOBS to prepare revisions to budgets and other documents as needed. (If sponsor contacts PI directly regarding award document, PI is responsible for liaison with OSP.) 6 Reviews, revises, finalizes and forwards revised budget, cost analysis and institutional documentation to OSP and ensures that OSP 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 HOBS and PI. Account Set Up 9 Requests Pre Award Account: Determines the need for an early account. Confirms with PI and OSP that funding is in process and determines start date. Prepares early account set up form signed by the PI, Department Chair and Dean. Submits pre award spending form with detailed budget information to OSP. 10 Initiates Creation of PeopleSoft Account: Initiates PeopleSoft setup and sends the Project Action Notification (PAN), Award Letter and Grant Balance Summary electronically to HOBS and the PI. 13 Reviews budget and plans for project personnel with PI. Payroll Forms 14 Generates and emails reports that reflect student, research staff and faculty funding and effort (all sources of funds) to HOBS and PI one month prior to the start of each quarter. 1 Updated December, 2011
15 Student / Research Faculty Payroll: 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 HOBS. 16 Student / Research Faculty Payroll: Reviews monthly short work break report and submits Employee Change Requests to OSP one week prior to the payroll deadline. Initiates cost transfers (labor distribution adjustments) to reflect retroactive account changes. 17 Research Faculty Payroll: Obtains summer effort information from faculty member. Submits the Employee Change Request form to the Provost Office for approval. 18 Staff Payroll Forms (for new hires only): Originates payroll forms for research associates, regular staff and temporary or casual staff and notifies HOBS 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 HOBS of the correction. SubAward Monitoring 20 Prepares subaward agreement and negotiates/finalizes agreement with subaward institution. Notifies PI and HOBS when subaward has been finalized and provides copy of subaward agreement to HOBS. Sets up subaward account lines in PeopleSoft Grant Balance Summary. 21 Initiates Subaward: Prepares and submits PeopleSoft purchase requisition to initiate subaward and monitors the requisition s progress from requisition to purchase order to subaward. 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. Sends original invoice to Procurement for payment by Accounts Payable and a copy to OSP. Monitors spending level to ensure that budget is not exceeded. Follows up with Accounts Payable on unpaid or missing invoices. Award Management 24 Makes travel arrangements and ensures at time of booking that travel adheres to Boston College policies, award terms and federal regulations (i.e., Fly America Act, Lowest Available Airfare, etc.) 2 Updated December, 2011
25 Initiates PCard transactions and routes to department manager and HOBS 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 HOBS, ensures that purchase adheres to Boston College policies, award terms and federal regulations. Routes requisition to appropriate department for approval. 28 Initiates, revises and renews requests for Biology Stores, Physics Stores and other group accounts and submits to appropriate financial approver. 29 Trains students in the use of the PeopleSoft Kronos system. Answers questions or provides guidance as needed. 30 Payment to Independent Contractors: It is the policy of Boston College to have all proposed independent contractor service agreements with individuals reviewed for proper classification prior to engaging the individual. HOBS requests that the hiring manager complete the Independent Contractor Policy Questionnaire form to ensure that the individual qualifies according to IRS requirements. In addition, ensures that the hiring adheres to Boston College 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. 31 Approves reimbursement, purchase order and PCard requests charged to sponsored accounts. Verifies that expenses adhere to Boston College policies, award terms and federal regulations with special attention to allowability, allocability, reasonableness and consistency with award objectives. Works with originator to ensure compliance. Prior to HOBS approval, form is approved by department manager after reviewing to a level sufficient to their department s internal information needs. 32 Approves reimbursement, purchase order and PCard requests and verifies that expenses charged to nonsponsored accounts adhere to Boston College policies. 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 on file. Approves equipment requisitions and verifies at the same time that purchases on sponsored accounts adhere to Boston College policies, award terms and federal regulations. 3 Updated December, 2011
34 Approves equipment requisitions and verifies that purchases on non sponsored accounts adhere to Boston College policies and award terms. Works with originator to ensure compliance. 36 Reviews and certifies expenditure statements quarterly (for sponsored accounts) after review by HOBS. 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 expense accounts for sponsored and non sponsored labor transactions: Initiates labor distribution adjustments with assistance from department and OSP as appropriate. Monitors account end dates, submits written justification for account extensions and moves spending to other appropriate accounts if account is ending. Transfers expenses from expired accounts as needed. 40 Monitors cost sharing: Monitors cost sharing and ensures that cost sharing requirements are fulfilled. Coordinates funding of cost sharing accounts with department manager and OSP in a timely manner. 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 award total and closely monitors spending on these accounts and progress of the funding increment. 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 and lab personnel effort, commitment, burn rates and projections. 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. PI provides written justification which is sent to OSP for submission to sponsor. 44 Responds to audit inquiries regarding sponsored accounts and facilitates corrective action when necessary. 4 Updated December, 2011
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, HOBS does not contact sponsor directly unless instructed by OSP). 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 HOBS. 49 Coordinates with HOBS to close out the award in a timely manner; performs final review of all project expenses and sends a request to HOBS to transfer 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 HOBS and OSP) and submits to sponsor. 51 Follows up with PI and facilitates submission of delinquent final technical, patent, and property reports. Post Award Records and Information 52 Maintains official University electronic files (HOBS maintains a working file). Other 53 Meets with all research active faculty annualy to review research policies & procedures 5 Updated December, 2011