Administrator New Award Checklist
Overview
The purpose of this checklist is to aid Maxwell administrators at the start-up of a sponsored project. In using the checklist, the administrator will: (1) review the award information to ensure accuracy, (2) discuss award set-up and management with the Principal Investigator (PI), (3) confirm all compliance requirements are met, (4) ensure all needed project accounts are established, and (5) ensure expenses are appropriately allocated and documented.
OSP Award Notice
Within two business days of award setup and notification:
1. Read the full OSP Award Notice.
1a. Read the terms and conditions in the sponsor’s award letter and the OSP Sponsor Regulations Summary. Identify any special circumstances or noteworthy items associated with the award, such as unallowable costs, items requiring sponsor prior-approval (e.g., foreign travel, change in participant support costs), data management requirements, annual directors’ conferences, etc.
1b. Review the budget in the sponsor’s award letter (i.e., award budget) and the OSP Budget and Narrative section.
1c. Review the OSA Chart String Data Sheet; notify OSA if any of the award data appears inaccurate (e.g., budget period, fund code, department code).
1d. Review the OSP Award Brief; notify OSP if any of the award data appears inaccurate (e.g., payment type, F&A rate, cost sharing).
1e. Record important project-related dates in your calendar or other tracking system, including:
2. Schedule a new-award meeting for yourself, the PI, and the OSP research administrator and OSA senior accountant assigned to the award (see SU OSP Award Notice, p. 1).
3. Ensure that you have access to the award data in the Sponsored Award Management tool (SAMtool) in MySlice.
New-award Meeting
4. With OSP and OSA staff, highlight important award terms and conditions for the PI, including effort commitments, publication restrictions (if any), reporting requirements and deadlines, billing requirements and deadlines, etc.
5. Review the award budget; determine any needed updates to the internal budget plan and note follow-up tasks required to make those updates after the meeting.
6. Review personnel plan including PI, Co-I(s) and other project personnel including graduate research assistant(s). Note follow-up tasks required in order for project personnel to be paid from the award.
7. If applicable, discuss next steps for issuing subawards and review subrecipient reporting requirements.
Immediately following new-award meeting:
8. Complete tasks to update the internal budget plan, if needed, as agreed in the new-award meeting.
9. Complete tasks to add project personnel to the award, as confirmed in the new-award meeting.
Project Startup
Adding Project Personnel
Faculty and Staff Positions
10. Create or update appointments of all individuals working on the sponsored project.
10a. To update an appointment by moving a portion of salary to the sponsored account, enter a chartstring change request.
10b. To create a new position, work with Alicia Madden in the Dean’s Office to complete a Position Evaluation Request (PER). When you receive the Position Identification Number (PIN), put the person into the position and then enter a chartstring change request to move the position (or portion of salary) to the sponsored account.
11. Complete or confirm forms and assurances, as applicable:
11a. For projects involving human subjects, instruct personnel to complete CITI Human Research training (Learner Group 1).
11a(i). Confirm completion of CITI training and document in the project file.
11b. For SU employees performing extra service, initiate an MOU for Extra Service or Overload Compensation (ES/OL).
Submit completed MOU for ES/OL to OSP and save a copy to the project file.
Graduate and Undergraduate Students
Research Assistants (RAs)
12. Submit the following to Holly Johnson in the Dean’s Office for approval:
12a. Sponsored Tuition Remission Form
12b. RA Offer Letter
12b(i). Once approved, send the RA Offer Letter by email to the student for review and signature.
13. Submit the Sponsored Tuition Remission Form and RA Offer Letter signature page to OSA and Grad Awards.
14. Save a copy of all documents to the project file.
Hourly Students
15. For a position with an existing Position Identification Number (PIN), use Smart HR to hire the student.
16. To create a new position, work with Alicia Madden in the Dean’s Office to complete a Position Evaluation Request (PER). When you receive the Position Identification Number (PIN), use Smart HR to hire the student.
All Students
17. For projects involving human subjects, instruct personnel to complete CITI Human Research training (Learner Group 4).
18. For NSF-funded projects, instruct student(s) to complete CITI Responsible Conduct of Research (RCR) training.
19. Confirm completion of CITI training and document in the project file.
Non-SU Collaborators
20. For projects with one or more subrecipients, complete a Request to Issue a Subaward form (including third party engagement form, statement of work, budget/narrative, and contacts sheet) for each subrecipient and submit to OSP.
21. For projects with one or more consultants, complete required documentation (non-SU personnel worksheet, consultant agreement, third party engagement form) and submit to OSP.
22. For projects with one or more contractors, work with the Purchasing Department.
Confirming Assurances of Compliance
23. For projects involving human subjects, for each project personnel, confirm completion of CITI Human Research training and document in the project file.
24. For NSF-funded projects, for all undergraduates, graduate students, and postdoctoral researchers on the project, confirm completion of CITI Responsible Conduct of Research (RCR) training.
Monthly Monitoring
25. Note any upcoming important project-related dates in your calendar or other tracking system. With PI, take action, as needed.
26. Prepare and send monthly monitoring reports and notes to PI; follow-up as needed.