Synopsis
When a proposal has been funded and the award letter has been received, ORS acts as the signatory office for the campus colleges, schools, and centers. ORS is charged with officially accepting the award and completing the final acceptance process. In addition to processing the award, ORS is responsible for
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Negotiating and accepting grants and contracts on behalf of the University.
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Serving as the principal liaison between the University and its sponsors.
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Approving programmatic and budgetary changes to sponsored projects (including the
establishment of new fund codes).
PreAward Procedure
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PROCEDURES: ROLES AND RESPONSIBILITIES
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SPONSOR
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:: Sends award letter to Duke University
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DEPT
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:: If the PI receives the original copy of an award letter it should be immediately forwarded to ORS, with all accompanying documentation, including checks
:: The PI is not to sign an award acceptance letter unless directed to by ORS
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ORS
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:: Receives the award notification by mail or email from sponsor (typically) or PI (rarely)
:: Changes the status of the proposal in SPS to Award in Progress
:: Reviews the award letter, terms and conditions, and awarded budget to ascertain if there are any differences from the submitted proposal
:: If the awarded budget is different from the proposed budget, an AS may request a revised budget from DEPT
:: If the terms and conditions are not acceptable to Duke University AD/P and/or OLV, in consultation with the PI, will open negotiations with the Sponsor
:: If the award letter requires a signature, the AD/P will sign on behalf of Duke University, or will secure the signature of the President or Vice Provost for Research, as appropriate
:: If necessary, sends signed, full- or partially-executed award letter to Sponsor
:: If only partially executed, ORS awaits the return of the fully-executed award letter
:: Once everything has been verified, updated, and/or received, AS changes the SPS status to Awarded, and sends award information to OSP
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OSP
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:: Assigns a WBS Element to a new award, competing renewal, or if the terms and conditions require a new accounting code
:: Enters the awarded budget into SAP R/3
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ORS/DEPT
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:: Receives the WBS Element from OSP
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ORS
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:: AS sends the sponsor's award notice and the ORS New Award Notification or Award Notification Notice Memo to PI and DEPT
:: Enters the complete WBS Element into the SPS Award Module
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DEPT
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:: Completes the Award Acceptance Checklist and reports back to ORS if something is missing from the award
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DOCUMENTATION: OFFICES OF RECORD
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DEPT
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:: Keeps documentation in award file
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ORS
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:: Keeps award file in office (retained for 7 years from the termination date of the project)
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OSP
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:: Keeps award documents and financial records (retained for 7 years from the termination date of the project)
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SPECIAL NOTES
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The information listed above is a general overview of the award acceptance process.
Keep in mind that each sponsored project may have specific requirements before an award is considered fully-executed.
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