Management of Expenditures

Financial Management in accordance with Award Terms and Conditions

Department

RMG

ICO Contracts 
(for Industrial Contracts excluding clinical trials)

OSR Contracts (for all other Contracts excluding clinical trials)

OSR Accounting

Manages PTA(s) associated with the award in accordance with sponsor’s policy, terms and conditions, University policy, and federal regulations.

When questions or issues arise, reviews award document, sponsor and University policies.  Consults Institutional Official in the Research Management Group (RMG), Office of Sponsored Research (OSR), or Industrial Contracts Office (ICO) for clarification.

Prepares detailed expense information for financial reports when needed and submits to OSR for review.

Provides guidance for award management and interprets issues that arise in accordance with grant terms and conditions, University policy, and federal regulations.

 

Contacts sponsor as the Institutional Official for additional clarification or guidance.

 

Interprets contractual issues and responds to inquiries regarding sponsor requirements.

Reviews award terms and conditions and submits any interim and final financial reports required by sponsor.

Monitor Financial Aspects of the Award

On a monthly basis, the Research Administrator reconciles and reviews the expenditures on the Expenditure Statement to his/her own records.

PI

Department/Division

RMG

After the Research Administrator has completed his/her review,

the PI (Task Owner):

  • on a quarterly basis, reviews the account details screen in eCertification for each sponsored project and cost sharing account
  • ensures allocability and reasonableness of all expenses, including salaries
  • requests clarification or corrections, if required
  • certifies in a timely manner

 

The Research Administrator (RA), Division Manager, or DFA:

  • on a monthly basis, reconciles and reviews the Account Details in eCertification
  • on a quarterly basis, documents these monthly reviews in eCertification
  • prepares financial projections for the entire grant period based on the rate of expenditure and anticipated needs of the project
  • works with the PI to adjust the rate of spending or identify other funding sources to support any anticipated shortfall on the sponsored award (see Accelerated/ Delayed Spending)
  • advises the Chair on the status of the department’s grants and contracts and solicits Chair support for problem resolution

 

 

Research Process Manager (RPM) and/or Research Financial Compliance Manager (RFCM):

  • assists PI/Dept in interpreting sponsor and/or University policies
  • advises PI/Dept on questions regarding allowability, allocability, and reasonableness

RFCM:

  • reviews/approves requests for cost transfer that deviate from the Cost Transfer Policy.
  • requests an early task guaranteed for 60 days by the School of Medicine (excluding Bioengineering) when the following conditions have been met:
    • NIH grants without automatic carryover in a non-competing continuation year (e.g. T32, P-series, U-series),
    • the progress report has been submitted to NIH, and
    • human subjects and/or animal protocol approvals are current at the time of request. 
  • liaises between Office of Research Financial Policy and Compliance, Internal Audit and departments for all audit-related inquiries.

Manage PI Effort (including Salary Cap)

Stanford pays annual compensation, Stanford Base Salary (SBS), to individuals who spend time on research, teaching and/or other activities. In the School of Medicine, this includes Base, Variable and Administrative Supplements (SBS = B + V +A).  Please review Stanford memo regarding charging faculty effort to sponsored projects.

Topic

PI

Department

RMG

Tracking Effort and Other Support

Works with RA to maintain and update Other Support information to reflect changes in effort levels

Other Support section located in the Proposal Preparation and Submission webpage

RPH Policy on PI effort commitment - 95% "rule"

Faculty Effort on Sponsored Research - FAQS

Managing PI Effort

Charges and tracks effort in accordance with commitments made to the sponsor and terms of the award

Confirms effort reported to sponsors and adherence to any sponsor limitations, such as salary caps or minimum effort requirements (e.g., NIH K and DP awards)

Works with PI and RMG to adjust or resolve issues associated with bringing effort into compliance

Works with Department and PI to adjust or resolve issues associated with bringing effort into compliance

Reduction of Effort

For federal sponsors, notifies RA when PI  or key personnel specifically named in the notice of award plan to reduce effort devoted to the project by 25 percent or more from the level that was approved at the time of award

For non-federal sponsors, coordinate with RA and RMG/ICO/OSR for changes in effort that require sponsor approval

For federal sponsors, notifies RMG if the PI or key personnel specifically named in the notice of award plan to reduce effort devoted to the project by 25 percent or more from the level that was approved at the time of award

For non-federal sponsors, coordinates with RMG/ICO/OSR for changes in effort that require sponsor approval

Reviews requests to reduce effort level(s), countersigns, and submits requests to sponsor as Institutional Official

Follows up with the sponsor until issue is resolved

 

Communicates resolution to PI/Dept. and other SU offices (as needed) via a revised Notice of Award or electronic mail

Working with Salary Caps

Informs RA of any changes in SU/VA /8ths

Utilizes Salary over the Cap worksheet to manage labor schedules for faculty (or staff) with salaries above the sponsor cap

DHHS agencies with Salary Caps

Other Sponsors with Salary Caps (not exhaustive list)

Uses the SU-VA worksheet  to manage effort for faculty with a joint SU-VA appointment.

NOTE: SoM Faculty Compensation adjusts any changes in parity pay for SU-VA faculty.  See FAQs under Other Considerations: VA Employment.

Requests a revised Memorandum of Understanding from Palo Alto Veterans Institute for Research (PAVIR) whenever PI receives new award or has a change in /8ths.

 

RFCM routinely performs review of faculty salary to ensure compliance with Salary over the Cap charges to 51190, and the 95% effort rule

Sabbaticals

As part of the Sabbatical/Leave Request Form, completes Attachment A and routes to RPM for review/approval at least 30-days in advance of planned sabbatical/leave

Works with RPM to obtain sponsor approval for the following:

1)     leave extending beyond the period allowed by sponsor policy, requiring an interim PI for the sabbatical/leave period

 

Note: When on sabbatical, PI administrative duties and the corresponding supplemental salary terminate

 

During PI sabbatical:

  • Maintains labor schedule to reflect salary charged to the sabbatical pool and/or sponsored projects as appropriate

Note: When on sabbatical, PI administrative duties and the corresponding supplemental salary terminate

 

When PI returns from Sabbatical:

  • Submits a recurring pay form to SoM Faculty Compensation group to request administrative supplements be charged/distributed to Labor Schedule.

Reviews Sabbatical/Leave Request Form Attachment A, confirms PI will still be engaged on the projects, signs form and returns to PI/Department

 

Contacts/notifies sponsor of a reduction in effort or change in PI if a new PI needs to be named during the leave period

Resources, Policies, and Training

Training

Stanford Internal Training Resources

All Research Administrators (Task Managers) should complete:

Recommended Electives for Cardinal Curriculum Level II: