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A Research Advancement (RA) staff person will be assigned to help principal investigators/project directors (PI/PD) manage their awards. Tasks assigned to the Research Advancement team include the following:
When the grant account has been officially activated, the Research Advancement team (Pre and Post Award) will schedule a kick-off meeting with the PI/PD and their support staff. The terms outlined in the notice of award (NOA) will be reviewed. Also, plans for hiring project personnel and purchasing supplies & equipment will be discussed as applicable. Upon adjournment of the meeting, PI/PD will be given a Pre-Post Kick-off meeting document which specifies the following has been reviewed:
Please review the following sections which include guidance to accomplish various Post-Award tasks.
The CHS Research Advancement team provides support to investigators by helping them to navigate the purchasing process. The following 4- steps was developed for this purpose. Please check out the CHS Purchasing section for additional guidance. In all cases, grant purchases are approved by the research advancement team.
If a situation arises when a staff person trained in Workday is unavailable to assist with a purchase, please use this powerform to send a request to the research advancement team. We can assist with your purchase.
It’s important to understand that there are many policies, protocols, and regulations involved with grant funding. The main consideration for all grant purchases is to ensure that expenses adhere to federal regulation by being deemed reasonable, allowable and allocable.
“A cost may be considered reasonable if the nature of the goods or services acquired or applied, and the amount involved, reflect the action that a prudent person would have taken under the circumstances prevailing at the time the decision to incur the cost was made.” A good question to ask yourself is would I pay that amount if it were my money?
Is the cost in compliance with the terms and conditions of the award, the sponsoring agency policy, Circular A-21, and University policy? You must check with the RA or review the agreement to ensure the expense is not labeled as unallowed.
Commonly unallowable expenses:
1) Is the cost benefiting the sponsored project? The best way to determine if it benefits the project is to read the budget justification. In most cases, the PI will describe in detail the project-related expenses. The PI must also provide a statement of the expense’s benefit to the project as part of the purchasing process. This is typically listed on the purchase requisition form.
PI/PDs and support staff who are fully trained in the use of Workday, will be able to complete tasks and purchases in the system. Work instructions are provided for common tasks and are linked below. Newer support staff may need guidance and support of the Research Administrative team. Regardless of which category you fall in, we are available to help you:
It’s important for you to check if the supplier is set up in the Workday system. They will need to complete a registration process and submit tax-related information.
To check if a supplier has an active account in Workday, enter the name in the supplier name field and click okay. If an account is active for the supplier, it will show up. Otherwise, they will need to register.
Select the appropriate link from the two options:
The Research Advancement team is here to help so please reach out to us if you run into any issues.
Once the purchases have been made, there may be a final step before the charge is allowed to hit the grant accounts.
Sunrise Order – The expense will route through Workday and ultimately be approved by a grant manager
Purchase Requisition – For each invoice that is paid, a receipt will need to be entered that the goods or services were received. The purchasing team will typically be the ones to enter the receipt and then send the invoice to Accounts Payable for processing. In order for the invoice to be paid, the PI must sign the invoice that it’s okay to pay or send an email to that effect. The PO number must also be included on the invoice.
Other questions to consider when submitting an invoice for payment:
Purchasing Card – A PCard can be requested for a grant by completing the PCard application. Once a PCard has been issued, it may be used ONLY for the specified grant. It's also imperative for the Pcard to be updated if a new account number has been assigned for a subsequent grant year. If it's not updated, new expenditures will continue to hit the old account. This could result in additional effort to transfer the costs onto the correct account. For more information about PCards, please review the following resources.
The CHS Research Advancement Team can also assist to process reimbursements. If a staff person with training in Workday is not available to assist with a reimbursement, please use this Powerform to send a request to the research advancement team.
PI reimbursement from grants
The PI can be reimbursed for expenditure by completing the reimbursement form. The support staff can create an expense report for a worker in Workday and include the reimbursement forms and receipts as a back-up. The PI can also create his or her own expense report by following similar work instructions to create an expense report.
Other personnel reimbursements from grants
Other personnel, including students, can be reimbursed for expenses by creating an expense report in Workday. They must ensure that proper back up (receipts, mileage log) for the expense is included as an attachment. The support staff can also submit reimbursement for project personnel by creating an expense report for a worker.
Human subject’s reimbursements from grants
Other ASU personnel
Salary payments from grants
The PI can be paid off a grant by using the grant allocation form and submitting it to the Research Advancement Team. Typically, the admin support staff will not be involved in this process. These matters are usually resolved during the Pre to Post Kick-off meetings when the grant account has been set up. If the PI has questions about the allocation, he should contact the assigned Post Award staff.
Wage payments from grants
The student can be paid on a grant by being hired through the HR hiring process. The PI must ensure adequate grant funding to cover the wages and associated fringe benefits.
The CHS Research Advancement Team can also assist to process reimbursements. If a staff person with training in Workday is not available to assist with a reimbursement, please use this Powerform for Confidential Subject pay form to send a request to the Research Advancement team.
According to 45 CFR 46, a human subject is "a living individual about whom an investigator (whether professional or student) conducting research:
Obtains information or biospecimens through intervention or interaction with the individual, and uses, studies, or analyzes the information or biospecimens; or
Obtains, uses, studies, analyzes, or generates identifiable private information or identifiable biospecimens."
If the PI is using or planning on conducting human subjects research, there may be a need to pay or reimburse them for their participation.
For human subjects, payments may be made in several forms:
The PI/PD and support staff must become familiar with certain stipulations which could have tax implications for the human subjects. Cumulative payments from all research projects of $600 or more to a single individual in a calendar year will result in tax information reporting to the IRS by the Tax Unit of Financial Services via issuance of Form 1099-MISC.
The process for each type of payments follows:
The type of position that the PI/PD hopes to fill will be the main consideration when starting the hiring process. The methods of payment, amount of payments, fringe benefits and hiring steps will be determined based on the type of position as well as the grant budget. It’s important for research support staff to be aware of general salary and wage information (minimum and maximum salaries, appointment types, related fringe benefits rates. Please contact the Research Advancement Team so that we can help you navigate the process.
The principal investigator is responsible to complete periodic and final progress reports. Oftentimes, there will be a financial component to the reports. The assigned research advancement administrator should be notified at least 2 weeks in advance so that we can assist you in considering other items in our queue. The following are instructions for some sponsor's reporting mechanisms.
Federal regulations have placed an added layer of responsibility on the investigators and their respective institutions to ensure that sub-recipients are completing tasks and remaining compliant with laws and applicable regulations. At ASU, a number of best practices and procedures have been put in place to manage sub-recipients.
Invoicing is handled by the Award Management Team of the Office for Research and Sponsored Projects Administration (ORSPA). The frequency, method and content of the invoice is typically specified in the award agreement or established following ASU’s standard practices. If you have questions about the status of an invoice, please contact your research advancement administrator.
How to submit an invoice
Sponsors are expected to pay all of the costs associated with the research that they support. Generally, cost sharing is prohibited. If the sponsor guidelines require cost share or restrict indirect cost recovery, this matter is typically handled at the proposal stage. It’s critical to have cost-sharing issues resolved before the proposal is submitted to the sponsor.