Principal Investigator Training

CSUN > Sponsored Programs > Post-Award Administration > Principal Investigator Training

Post Award Training
Sponsored Programs

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Table of Contents

Quick Reference Guide

1. A w a r d   P r o c e s s

1. Grant Award to ORSP
2. Review of Award by ORSP
3. Grant Award Notification

2. P r o j e c t   S e t- Up

4. Set-Up of the Grant at TUC-SP
    4.1 Set-up of a Project Control File
    4.2 Assignment of Project ID
    4.3 Set Up in the Billing Schedule
    4.4 Set-up of the Project in PeopleSoft
    4.5 Notice of Grant/Contract Award

3. P r o j e c t   E x e c u t i o n

5. Hiring of Personnel
    5.1 Hiring of Project Staff
    5.2 Hiring of Student Employees
    5.3 Hiring of Graduate Research Assistants
    5.4 Hiring of Employees Explicitly Names In Grant
    5.5 Emergency Hiring and Temporary Employees
    5.6 Resident Aliens ("Glacier" Tax Assessment)
6. Request of Expenditures
    6.1 Procurement via Purchase Order
    6.2 PaymentAuthorization/ Reimbursement (Check Requests)
    6.3 Travel Expenses (Travel Expense Claim)
    6.4 Faculty Release Time / Reimbursed Time
    6.5 Compensation to Faculty (Faculty Payment Request)
    6.6 Payroll for Salaried Staff (Salary Payment Authorization)
    6.7 Payroll for Hourly Staff (Time Sheet)
7. Contractual Issues
    7.1 Independent Contractors (Request for Independent Contractor)
    7.2 Subawards/Subcontracts
8. Other Expenditure Related Issues
8.1 Supporting Documentation
8.2 Purchasing Policy
8.3 Coding of Expenses (Accounting String)
8.4 California Sales Tax
8.5 Payments to Non- Resident Aliens ("Glacier" Tax Assessment)

4. P r o j e c t   C o n t r o l l i n g

9. Internal Reporting
9.1 Available Reports
9.2 How to Access Financial Reports through the CSUN Portal
9.3 How to Read a Detailed Trial Balance (DTB)
9.4 How to Read a Project Status Report (BBA-Report)

5. P r o j e c t   C l o s e o u t

10. Closeout of Sponsored Programs
10.1 TUC Procedure on the Closeout of Sponsored Programs
Click here for the detailed TUC procedure on the closeout of Sponsored Programs.

10.2 List of Projects to be closed

Quick Reference Guide

A w a r d   P r o c e s s

1. Grant Award to ORSP
The granting agency awards the grant to CSUN by sending the grant award documents to the CSUN Office of Research and Sponsored Programs(ORSP).

2. Review of Award by ORSP
ORSP reviews the grant award for the following issues:

Are all conditions of the award acceptable for CSUN/TUC?

Is the award amount different from the submitted proposal?

If the award amount differs from the submitted proposal, ORSP will, if necessary, adjust the budget of the project.

3. Grant Award Notification
ORSP officially notifies the Principal Investigator and the Sponsored Programs Department at The University Corporation (TUC-SP) of the award by sending the following documents:

Award Memo

Award Notice

Grant Data Form

Copy of Proposal _ Continuation Application

Budget

P r o j e c t   S e t- Up

4. Set-Up of the Grant at TUC-SP

4.1 Set-up of a Project Control File
A blue file folder is set-up, containing all award and budget information, as well as any email, letters and other communication.

4.2 Assignment of Project ID
A Project ID is a number consisting of 8 digits. The first 4 digits of the Project ID identify the granting agency, the last 4 digits of the Project ID are continuously assigned number.

4.3 Set Up in the Billing Schedule
The project set up into the billing schedule, by entering basic project information and all future billing dates.

4.4 Set-up of the Project in PeopleSoft
The award attributes are set-up and the project budgeted is uploaded in PeopleSoft.

4.5 Notice of Grant/Contract Award
A 'Notice of Grant/Contract Award is generated and distributed to:.

1 copy is filed in the blue Project Control File to remain at TUC-SP

1 copy is mailed to the Office of Research and Sponsored Projects (ORSP)

1 copy is mailed to the Principal Investigator (PI) of the project.

1 copy is mailed to the Manager of Academic Resources (MAR) of the School/College of the Principal Investigator

P r o j e c t   E x e c u t i o n

5. Hiring of Personnel

5.1 Hiring of Project Staff

5.2 Hiring of Student Assistants

5.3 Hiring of Research Assistants

5.4 Hiring of Employees Explicitly Names In Grant

5.5 Emergency Hiring and Temporary Employees

5.6 Resident Aliens ("Glacier" Tax Assessment)

6. Requesting Expenditures

6.1 Procurement via Purchase Order

6.2 PaymentAuthorization/ Reimbursement (Check Requests)

6.3 Travel Expenses (Travel Expense Claim)

6.4 Faculty Release Time / Reimbursed Time

6.5 Compensation to Faculty (Faculty Payment Request)

6.6 Payroll for Salaried Staff (Salary Payment Authorization)

6.7 Payroll for Hourly Staff (Time Sheet)

7. Various Expenditure Related Issues

7.1 Supporting Documentation

7.2 Purchasing Policy

7.3 Coding of Expenses (Accounting String)

8.4 California Sales Tax

8.5 Payments to Non- Resident Aliens ("Glacier" Tax Assessment)

8. Approval of Expenditures

8.1 Allowability of Costs
In order to be allowable , costs must (a) be reasonable, (b) be allocable to sponsored agreements under the principles and methods provided; (c) be given consistent treatment and d) conform to any limitations or exclusions of OMB A-21 or the sponsored agreement.

8.2 Approval Criteria
Staff at TUC-SP approves the expenses based on the following criteria:

Does the type of expense correlate to the account used?

Is the Project ID correct?

Is the signature identical to the ones listed on the Signature Authorization?

The signer cannot at the same time be the recipient of the payment? A Co-Principal Investigator, a Manager of Academic Resources, a Chair, or a Dean can sign payments to the Principal Investigator.

Are there sufficient funds available for the entire project?

Are there sufficient funds available for the particular account?

Was the expense incurred during the approved project budget period?

Does the expense conform to the 'allowability' rules and regulations of the granting agency and The University Corporation?

Reasonableness - Would a "prudent person" consider the expense necessary and reasonable?

Is the supporting documentation complete and correct?

8.3 Holding, and Returning Requests for Processing of Expenditures

8.3.1 Holding Expenditure Requests
Requests for the processing of expenditures that:

Lack vital information

Lack the proper signature authorization

Result in the budget for a particular line item to be exceeded by more than 10%

Result in the budget for the entire project to be exceeded by any amount

Lack the required supporting documentation

Do not appear to meet the requirements for allowability and reasonableness

will be held in The University Corporation until further clarification and completion. The approving TUC-Sponsored Programs staff member will notify the Principal Investigator of the fact that the request is held within the same business day.

8.3.2 Returning Held Expenditure Requests
With the exception of payroll related requests, expenditure requests are generally held for no longer than 10 business days . After this time period, the expenditure request and all supporting documentation are returned to the Principal Investigator accompanied by a memo noting the reason for the return. The approving TUC-Sponsored Programs staff member may hold the expenditure requests for a longer period than 10 days, if he/she has a strong indication that all issues will be resolved within a reasonable time frame.

8.4 TUC-Approval Procedure
Click here to view the entire TUC procedure for the approval of expenditures.

8. Contracts
Principal Investigators and project staff are not authorized to enter into, modify or terminate any contractual agreement. They can request ORSP to enter into subawards, and TUC to enter into all other agreements on their behalf.

8.1 Independent Contractors (Request for Independent Contractor)

8.2 Subawards/Subcontracts

P r o j e c t   C o n t r o l l i n g

9. Project Monitoring / Internal Reporting

9.1 Available Reports

9.2 How to Access Financial Reports through the CSUN Portal

9.3 How to Read a Detailed Trial Balance (DTB)

9.4 How to Read a Project Status Report (BBA-Report)

P r o j e c t   C l o s e o u t

10. Closeout of Sponsored Programs

10.1 TUC Procedure on the Closeout of Sponsored Programs
Click here for the detailed TUC procedure on the closeout of Sponsored Programs.

10.2 List of Projects to be closed

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- Sponsored Programs-
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