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Post-Award Management and Compliance Oversight
Official Records
PI / Department |
RMG |
OSR Accounting
|
|
|---|---|---|---|
| Maintain copies of proposals and award documention. Maintains expense documentation. |
Maintain official auditable grant proposal and award documentation for the University. Provide files to OSR Contracts or Internal Audit when requested. | Maintain official auditable contract proposal and award documentation for the University. Provide files to RMG or Internal Audit when requested. |
Maintain official accounting files including financial reports to sponsors. Provides files to RMG, OSR or Internal Audit when requested. |
Award Management
PI / Department |
RMG |
ICO Contracts |
|
|---|---|---|---|
Manages PTA(s) associated with award in accordance with sponsor’s regulations, terms and conditions, University policy, and federal regulations. Reviews award document, as well as sponsor and University policies as needed. Consults RMG, OSR Contracts, or Industrial Contracts Office (ICO) for grant, contract, or industrial contract clarification, respectively. Prepares detailed expense information for financial reports when needed and submits to OSR for review. |
Provides guidance for PTA management and interprets issues that arise in accordance with grant terms and conditions, University policy, and federal regulations
|
Interprets contractual issues and responds to inquiries regarding sponsor requirements |
Reviews award, documents and submits any interim and final financial reports required by sponsor. |
NOTE: While RMG provides guidance on policy interpretation, the detailed steps to implement such policies can be provided by the central unit (RMG, OSR Contracts, OSR Accounting, etc) responsible for their respective units and processes.
Effort Tracking
| Charges and tracks effort in accordance with commitments made to the sponsor and terms of award. Confirms effort reported to sponsors and adherence to any sponsor limitations, such as salary cap, etc. | |
For federally sponsored grants, notifies RMG if the PI or key personnel specifically named in the notice of award will reduce time devoted to the project by 25 percent or more from the level that was approved at the time of award. Authority: OMB Circular A-110: Section .25, titled: Revision of budget and program plans >>. For non-federal sponsors, changes in effort may require sponsor approval, and must be coordinated through RMG. |
Reviews requests to reduce effort level(s) and countersigns as Institutional Official. Follows up with the Sponsor until issue is resolved. Communicates issue resolution to PI/Dept. and other SU offices (as needed) via a revised Notice of Award or electronic mail. |
| Maintains and updates Other Support information to reflect changes in effort levels. See the Other Support section located in the Proposal Preparation and Submission webpage >>. |
Request for Sponsor Approval
RMG (for Grants) |
|
|---|---|
Composes written requests to sponsors and sends to RMG. NOTE: Examples of required sponsor approvals are changes in the scope of work or effort reductions, rebudgeting, changes in PI, or allowability of an unusual expense. |
Reviews and countersigns requests to sponsor as Institutional Official. Note: RMG may need to inquire with the sponsor ahead of time to find out what the requirements are for prior approval requests. Follows up with the Sponsor until issue is resolved. Releases any necessary NOAs when approval is received. |
Expenditure Statements and Certifications
| Reviews, reconciles, and signs monthly expenditure statements. (RPH 3.1-Fiscal Responsibilities of Principal Investigators) | |
| Coordinates PI Quarterly Certification in conjunction with eCertification. eCertification tracks the results of Stanford's quarterly process of certifying all sponsored project and cost sharing expenses. | RMG Compliance Analyst (Mila Dacorro) compiles and reports on eCertification data to School Dean and Dean of Research. Follows up with Department for uncertified quarterly reports. Reviews accelerated spending and overdrafts, and approves a management plan to bring PTA into financial compliance. |
Contract (and Subcontract) Invoicing
| Collaborates with ORA Accounts Receivables to insure timely submission of invoices per the terms and conditions of the award. | Prepares, reviews, and submits invoices in coordination with department as required by sponsor terms and conditions. |
NOTE: For invoicing Industry Sponsored Clinical Trials refer to Clinical Trials/Conduct of the Study section.
Subaward Monitoring
(Note: RMG is not involved in this process)
The following link will take you to the subaward processing guide—a detailed description of the subaward process. http://ora.stanford.edu/supporting_files/osrform51.doc |
Receives approved Subaward invoices from PI/Dept., clarifies any necessary issues with PI/Dept. and sends payment to subawardee. |
Subaward Amendments
(Note: RMG is not involved in this process)
Extends subawards via change order requisitions. Obtains updated scope of work, budget, and any other applicable changes from subrecipient to OSR Contracts. Follows up with OSR on status of agreement via SPO log. The following link will take you to the subaward processing guide—a detailed description of the subaward process. http://ora.stanford.edu/supporting_files/osrform51.doc |
Processes amendments to existing contracts. Updates compliance documents. Notifies PI/Dept. and RMG when amendment is completed. |
