NORTHEASTERN UNIVERSITY

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1 NORTHEASTERN UNIVERSITY OFFICE OF RESEARCH ADMINISTRATION AWARD OBLIGATION SETUP (AOS) STANDARD OPERATING PROCEDURE (SOP) Updated June 22, 2017 Page 1

2 Purpose: All newly obligated award funds require institutional review and approval; acceptance of an award occurs only after the fund setup and backup is completed by Research Administration and sent to Research Finance to be processed. Receipt of New Award Obligation: I. A Notice of Award (NOA) granting newly obligated funds to Northeastern University is received: The NOA comes directly to ORAF@neu.edu. The transaction will be entered on the Obligation Tracking Log by the Grant Management Administrator (GMA) and assigned an A tracking number. OR The NOA comes directly to Grant Officer (GO); they will forward the award to ORAF@neu.edu with the following: PI Name, Dep., Grant/IP#, Type of Award, Amount Funded. GMA will log the transaction and assign it an A tracking number. Once the award is assigned a tracking number, the GMA will forward the number to the GO as an FYI. GMA Review: I. Initial Review: a. GMA reviews documents in Coeus Proposal Development and Institute Proposal modules, as well as the Share Drive, for all proposal related documents. For NSF and NIH, GMA can download the final proposal from the corresponding online portals (Fastlane for NSF, era Commons for NIH). b. If applicable, GMA checks Just-in-Time (JIT) documents for IRB, IACUC, Revised Budget, etc. II. Congratulations Updated June 22, 2017 a. An is sent from the GMA to the PI, with a cc: to the Department Admin and GO (Appendix A): (* cc: Jeff Seo at J.Seo@northeastern.edu on all award obligations related to NSF) i. Congratulating them on their newly awarded funds. ii. Indicating the tracking number for their award obligation. iii. Asking them to: 1. Complete a new award obligation budget(s) (Appendix B) when: a. The obligation differs from proposed budget by more than 10% (except for NSF awards, for which a revised budget is available in Fastlane). b. Budgets for cost-share and child accounts are applicable. 2. If applicable, confirm credit split between the project Investigators. 3. Produce any other documents/certifications pertinent to this award, including verification of compliance with applicable institutional or funding agency requirements, certifications, and assurances (e.g. FCOI, IRB, IACUC, IBC, etc. Please see for more information). Page 2

3 III. IV. IRB/IACUC s: a. If award includes human subject research (IRB) and/or animal research (IACUC), GMA s the appropriate compliance office to submit the approval documents provided by the PI/Dept Admin for proof of congruence (Appendix A). i. Contacts: 1. Animal Research (IACUC): Sean Sullivan, DLAM Director at 2. Human Subject Research (IRB): Nan Regina, HSRP Director at RCR Notification: a. For applicable awards with student support (undergraduates, graduates, post-docs), GMA sends Responsible Conduct of Research (RCR) notification to PI, with a cc: to the Department Admin and GO (Appendix A). V. Financial Conflict of Interest (FCOI) Forms & FCOI Requirements: a. GMA completes the Project Information section of the Financial Conflict of Interest FCOI Certification form for all awards using the Budget and Proposal making note of Key Personnel/Consultants/Subaward Personnel. (Appendix C). b. For PHS/PHS COI Equivalents and NSF awards and Pass Through Subawards: i. GMA reaches out to the Principal Investigator via for them to confirm Investigators (individuals responsible for design, conduct or reporting of the project). ii. Once PI confirms Investigators are correct with either confirmation or signature on the FCOI Certification Form GMA checks annual disclosure database (PHS/NSF) and CITI Training Database (Specific to PHS/PHS Equivalents) (See FCOI SOP for specific process). iii. If PHS FCOI Training is not complete or not current in the past 4 years for an identified Investigator ; GMA sends training request to applicable individuals and keeps PI informed (Appendix A). c. For Non PHS/NSF Agencies GMA does not need to reach out to the Principal Investigator for Investigator confirmation; can complete FCOI Certification Form and check annual disclosure database (See FCOI SOP for Specific process). VI. Administratively-Initiated Request (AIR) for Advance Account: a. An AIR request is sent from the GMA to Research Finance (RF): i. GMA verifies whether the award already has an advance account. ii. If no advance account exists, GMA assigns the AIR request a UPAF tracking number, completes the UPAF form and sends it along with the NOA to Research Finance via Banner_Setups@northeastern.edu with a cc: to the PI, Department Admin, and GO. Page 3

4 iii. For non-federal award obligations, GMA includes a note on UPAF instructing RF to invoice the non-federal funding agency per terms of award, while RA continues to review the award obligation for internal compliance and quality control (see UPAF SOP). NOTE: If unsure if an item is required (e.g. updated budget, IRB, IACUC, RCR, AIR request, etc.), GMA should discuss with GO before requesting information from PI, Department or Research Finance. VII. Compilation of Award Package: a. As the necessary documentation is provided to the GMA, they are scanned, the electronic Award Package (AP) is compiled, Award Obligation budget (if not requested from dept.) and an Award Obligation Setup (AOS) (Appendix D) form are completed by the GMA. Award Package (AP) Order 1. Award Obligation Setup (AOS) Form (saved as a stand-alone PDF) 2. Applicable Award Obligation Budget(s) (saved as a stand-alone Excel) 3. Backup Documentation (saved as 1 PDF): a. Notice of Award b. AIR UPAF c. Regulatory Compliance Documents (e.g. Investigator Certification, IRB, IACUC, Completed FCOI Certification Form signed by GMA, etc.) d. Final, Submitted Application GO Review b. The GMA creates a GREEN folder for the Award Obligation setup form. Include the tracking number, Sponsor, PI, and Grant/IP# on the GREEN folder file tab. c. The GMA reviews to confirm Award Obligation Setup form, budget, FCOI form(s) and AP Backup have been compiled, are complete, and in order. d. GMA sends AP package via to GO and places the GREEN folder with the AOS in their office mailbox. e. GMA changes status on Obligation tracker to GO Review. I. GO Full Review: a. GO reviews all award/proposal documents (e.g. solicitation, proposal, award notice, associated terms & conditions, etc.). b. GO reviews AOS and budget to make sure all fields are complete and correct. c. If items are missing (e.g. IACUC, IRB, Budget, etc.), GO follows up with the PI and Department on status. d. If RCR requirements are applicable, but RCR notification was not generated by GMA, GO prepares the notification and sends it to the PI. e. If an AIR account has been requested but not set up, GO follows up with Finance. Page 4

5 f. Once the AP is updated and complete, GO s it to the Director with a cc: to ORAF@neu.edu and places GREEN Folder in Director s inbox. g. GMA changes status on Obligation tracker to Director Review. Director Review I. Director conducts final review and approves the AP package. Upon approval, Director s package to GMA with a cc: to GO and places GREEN folder in GMA s office mailbox. Forward AP to Research Finance I. When the GMA receives the fully approved AP from Director, all documents are updated, scanned and ed to the following: II. III. IV. a. Research Finance via Banner_Setups@northeastern.edu b. The PI c. Department Administrators d. Grant Officer e. Awards Inbox via Awards@northeastern.edu f. Subcontract Manager (if applicable) For new awards, the GMA creates an Award record in Coeus (see Coeus Award Guide for instructions), combines all AP documents into 1 pdf and uploads a copy into the record. For modifications, the GMA updates the already existing Coeus Award record and uploads a copy of the AP into the record. GMA uploads copy of AP into the Shared Drive (Appendix E). V. GMA files a copy of the AOS form in the AOS binder. VI. The transaction is logged out of the obligation-tracking log and fully complete. SOP Quick Guide 1. NOA with newly obligated funds is received 2. Tracking number assigned 3. A congratulatory is sent to PI with tracking number, requesting new budget and pertinent GO DIRECTOR documentation, as applicable 4. AIR Account is created 5. Award Obligation Setup (AOS) form is created and backup compilation begins 6. AP Three-Step Review takes place: GMA 7. GMA receives approved AP and sends to Research Finance 8. AP uploaded to COEUS and Shared Drive 9. Award is setup and the status in tracking sheet is changed to complete Page 5

6 APPENDIX A: TEMPLATES CONGRATULATIONS Recipients: To: PI, Department Admin(s) Cc: Grants Officer, Director Subject Line: A Last, First name of PI Sponsor IP or Grant number On behalf of the Office of Research Administration, Congratulations on your award! Prior to processing the award package, ORAF requires confirmation that all institutional approvals and compliance certifications associated with the project have been obtained. The award amount was consistent with what was proposed. ORAF will use the proposed budget for award setup and processing, however, if you would like to change this please provide a detailed budget* (template attached). -OR- The amount awarded differs from the amount proposed. Therefore, For this award, please provide the following: 1. A detailed budget* reflecting the newly obligated funds. (This is necessary to establish an advance account or regular banner account). 2. Documentation for the following: a. IRB approval letter and/or protocol number b. IACUC approval letter and/or protocol number Please return to ORAF@northeastern.edu ORAF will verify all documents and coordinate with the respective offices for compliance including financial conflict of interest (FCOI) and responsible conduct of research (RCR). Once all documents have been verified an Award Package will be compiled. You will receive an copy of the completed award package when it is forwarded to Research Finance. Your ORAF team thanks you for your assistance, it is greatly appreciated! Please feel free to contact (grant officer at E.Xample@northeastern.edu or ext. ####) or ORAF@northeastern.edu if you have any questions or need additional information. Please reference your tracking number for this obligation: A-170### Thank you, Office of Research Administration *Note: Please use the attached budget template, if you have your own budget template forms, we can use those as well, we just need to make sure that the detailed personnel is provided (i.e. this is name, role, FTE appointment, institutional base salary, level of commitment, salary requested, corresponding fringe). Page 6

7 Tel Fax AIR ACCOUNT REQUEST Recipients: To: PI, and Doris Schultz (RF Director) via Cc: Grants Officer, Director, Department Admin(s) Subject Line: A Last, First name of PI Sponsor IP or Grant number UPAF AIR U Good [Morning/Afternoon] Research Finance, Please process the attached Admin-Initiated Request for an advance account. [For non-federal award obligations, include a note in and on UPAF which states: Please submit invoice to nonfederal funding agency while RA continues its internal compliance/quality control review. ] *Note: Advance Accounts are not included in Data Warehouse or ORAF Inquiry reports. Thank you, [Your Name] Recipients: To: PI, Department Admin(s) Cc: Grants Officer, Director RCR NOTIFICATION TEMPLATE Subject Line: A Last, First name of PI Sponsor IP or Grant number RCR Requirements [Award Reference Name/Nos.] Responsible Conduct of Research (RCR) Requirements Dear [PI Name], Congratulations again on your award, [Title]. Please note that responsible conduct of research (RCR) requirements are incorporated by reference as a term and condition of your award. As the grantee institution, upon award, we are required to monitor (verify and track) that RCR requirements are being met. As the PI, we ask you to make sure that your students and postdoctoral fellows supported on the grant meet their RCR requirements. We ll follow up with you during the performance of the award to confirm that we are meeting our obligations to the [Sponsor]. More information about RCR Plans and the fundamental (CITI) training can be found at [Remove either NSF or NIH policy link dependent on Sponsor]: NSF Policy: NIH Policy: Plan: CITI: We re hopeful this initial guidance is helpful to you. If you have any questions or need additional assistance, please contact Dana Carroll (d.carroll@northeastern.edu). Thank you very much for your time and help. Page 7

8 Thank you, Office of Research Administration Tel Fax IRB CONGRUENCE TEMPLATE Recipients: To: Nan Regina (HSRP Director) via and Andrea Goldstein (HSRP Coordinator) via Cc: Grants Officer, PI, Department Admin(s) Subject Line: A Last, First name of PI Sponsor IP or Grant number IRB Congruence Dear Nan, ORAF has received an award from [Sponsor] for [PI]. They have sent the attached IRB protocol under this project. Please review to assure that the protocol is necessary/up to date for this obligation. Certification of IRB Review (Respond to one of the following IF you have an Assurance on file) Thank you, [ ] This activity has been reviewed and approved by the IRB in accordance with the Common Rule and any other governing regulations. By: [ ] Full IRB Review on (date of IRB meeting) Or [ ] Expedited Review on (date) [ ] If less than one year approval, provide expiration date [ ] This activity contains multiple projects, some of which have not been reviewed. The IRB has granted approval on condition that all projects covered by the Common Rule will be reviewed and approved before they are initiated and that appropriate further certification will be submitted. [Your Name] IACUC CONGRUENCE TEMPLATE Recipients: To: Sean Sullivan (DLAM-Director) via s.sullivan@northeastern.edu Cc: Grants Officer, PI, Department Admin(s) Subject Line: A Last, First name of PI Sponsor IP or Grant number IACUC Congruence Dear Sean, ORAF has received an award from [Sponsor] for [PI] [see attached]. Please provide certification of congruence. Thank you, [Your Name] Page 8

9 fcoi CERTIFICATION FORM CONFIRMATION S Recipients: To: PI Subject Line: Compliance Review PHS Agency Award # OR NSF Award # - A-170XXX Public Health Service (PHS) Funded Research: Dear Professor XXX, Research Administration is processing the above referenced award from XXX (Dictate which PHS Agency/PHS Equivalent), for your project entitled: "XXXX". Per PHS regulations, NU is required to confirm which individuals involved on this project are considered to be "Investigators", responsible for the design, conduct, or reporting of the research. We consider the responsible for the operative phrase; that means that the individual exercises control over his activities. So, for example, if a student were reporting the research independently then he or she would meet the definition but if he or she is a member of the team, supervised by faculty, then no. Please review the attached list and let me know if there are any additional individuals working on this project who are considered to be "Investigators". Thank you, GMA National Science Foundation (NSF) Funded Research: Dear Professor XXX, Research Administration is processing the above referenced award from NSF, for your project entitled: "XXXXX". Per NSF regulations, NU is required to confirm which individuals involved on this project are considered to be "Investigators", responsible for the design, conduct, or reporting of the research educational activities funded by NSF. We consider the responsible for the operative phrase; that means that the individual exercises control over his activities. So, for example, if a student were reporting the research independently then he or she would meet the definition but if he or she is a member of the team, supervised by faculty, then no. Page 9

10 Please review the attached list of "Investigators" and let me know if there are any other additional personnel who are considered to be "Investigators" and/or whether any edits are needed. Thank you, GMA Recipients: To: PI, Department Admin(s) Cc:, Director PHS FCOI TRAINING REQUEST TEMPLATE Subject Line: Compliance Review PHS Award # - A-170XXX PHS FCOI Training Request For PI FCOI Training Request: [Award reference Name/Nos.] PHS Financial Conflict of Interest (FCOI) Training Requirements Dear [PI Name], Research Administration is currently processing the above award from NIH As part of the NIH conflict of interest regulation effective August 24, 2012, NIH/PHS Investigators are required to complete an onlinefcoi training module. Instructions for completing the training can be found at: This training must be completed before we can process the award notice for your [Award Reference Name/Nos.]. Please let me know once you complete the training or if you have any questions. Thank you, Page 10

11 GMA For Identified Investigator FCOI Training Request: Dear XXXX, Professor XXXX has identified you as an Investigator on the above referenced project. As part of the NIH conflict of interest regulation effective August 24, 2012 NIH/PHS Investigators are required to complete an online FCOI training module. Instructions for completing the training can be found at This training must be completed before the award modification can be processed. Please let me know once you complete the training or if you have any questions. Thank you, GMA Recipients: To: PI, Department Admin(s) Cc: Grants Officer, Director FCOI Subject Line: A Last, First name of PI Sponsor IP or Grant number FCOI Request Dear [PI Name], For the FCOI verification/review, Northeastern as the grantee institution is obligated to identify any potential financial conflicts of interest and determine whether any of those are related to a specific grant. One way this is accomplish is to verify that each Investigator on a grant has completed the annual Conflict of Interest and Commitment Disclosure Statement per University policy. Please make sure your annual Conflict of Interest form is up to date and if you have confirmation of it, please forward it to either me or ORAF@northeastern.edu. Otherwise, we will verify this internally during review. If you have any questions, please let me know. Thank you, Office of Research Administration Tel Fax ORAF@northeastern.edu Page 11

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13 APPENDIX B: AWARD OBLIGATION BUDGET TEMPLATE Page 13

14 APPENDIX C: FCOI FORMS Page 14

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16 APPENDIX D: AWARD OBLIGATION SETUP FORM Page 16

17 APPENDIX E: Award Obligation Setup (AOS) Form Glossary Page 16

18 APPENDIX E: Award Obligation Setup (AOS) Form Glossary Page 17

19 APPENDIX E: Award Obligation Setup (AOS) Form Glossary Page 18

20 APPENDIX E: Award Obligation Setup (AOS) Form Glossary Page 19

21 APPENDIX E: Award Obligation Setup (AOS) Form Glossary Page 20

22 APPENDIX E: Award Obligation Setup (AOS) Form Glossary Page 21

23 APPENDIX E: Award Obligation Setup (AOS) Form Glossary Page 22

24 APPENDIX F: FINAL AP UPLOAD INSTRUCTIONS The Award Obligation Setup form will be saved as a PDF separate from the Award Package with the naming convention: Amiji,M G4321 NIH AOS New Obligation Indicating the IP # PI Grant # AOS Award Obligation Setup (form) Type of obligation received Upload the documents to two places in the Q Drive: 1. AOS Forms Located in dspa under the folder Pre Award : The Award Package combined as 1 PDF, will be saved in the PI s Award folder located in the Share Drive. Under the PI s name, each award will receive a designated folder with the following naming convention: Grant Code Sponsor Sponsor Award Number Ex: G Temple U In the folder titled AOS Forms Within that folder, the Award package will be uploaded with the following naming convention: Obligation Tracking ID Transaction Type- Year Award Package Ex: A Increment Year 3 Award Package Page 26