Once the award has ended, any expenses that are in excess of the award budget are transferred to a cost share project. RCA will create the cost share project (if necessary) and move the total deficit amount to the cost share project.

What is the process in iO to manage the residual balances of fixed price awards?

Research and Cost Accounting (RCA) will confirm the final expenditure amounts with the PI / department administrator (DA). The DA will alert RCA when the sponsor confirms satisfactory completion of all deliverables.
Full F&A costs will be applied to the award balance to ensure all F&A costs associated with the award are fully funded.
The award project end date will be extended by 1 year to allow time for the funding to be spent by the department. F&A charging will be turned off by RCA to new expenses do not incur F&A.
The funding remainder may be moved to the faculty's faculty fund research task if there are no further expenses related to the project's scope of work.

Please refer to this document

How do I see the Faculty Fund/Project Data?

You can see Faculty Fund Projects in iO by navigating to the Sponsored Project and Faculty Fund Dashboard. The budget to actuals tab contains the life to date activity for Faculty Funds. Here you can search by Faculty Name (Project Name) or filter for projects beginning with F to view the information. If you do not see any information, it's likely you do not have a role assignment on the project.

To request role assignments, send a helpdesk ticket along with a list of the awards you should be assigned. Please include the approval of the project manager in your request.

What is the cost transfer process in iO?

Refer to the Cost Transfer section under Compliance

What are the Award and Project Roles in iO for Grants Management?

Award Roles

PI/Co-PI- Role can view award demographic information, award participants, project budget, project expenditures, and funding sources
- Role assigned to award principal investigator and other co-principal investigator
- Role gives access to the award in iO Grants Management and access to the award and all related projects in the Sponsored Projects Dashboard
Award Participant- Role can view award demographic information, award participants, project budget, project expenditures, and funding sources
- Role assigned to other departmental administrators that need access to view award information
- Role gives access to the award in iO Grants Management and access to the award and all related projects in the Sponsored Projects Dashboard

Project Role

Project Manager- Role can view award demographic information, award participants, project budget, project expenditures, and funding sources
- Approval responsibilities of expenses over $1k
- Approves subaward requisitions
- Receives notification of payment of subaward invoices
- Role assigned to lead departmental administrator for the project
- Role gives access to the project in iO Projects and award and all related projects in the Sponsored Projects Dashboard

What are the Project Roles in iO for Faculty Funds?

Team Member- Role can view award demographic information and project participants
- Role assigned to Faculty member and other departmental administrators that need view access to the project
- Role gives access to Faculty Fund Projects in the Sponsored Projects Dashboard

Project Manager- Role can view project demographic information and project participants
- Approval responsibilities of expenses over $1k
- Role assigned to lead departmental administrator for the project
- Role gives access to Faculty Fund Projects in the Sponsored Projects Dashboard

Project Administrator- Role can view and edit budget and view expenses
- Role assigned to other departmental administrators that need access to view and edit project budget and project expenditures
- Role gives access to Faculty Fund Projects in the Sponsored Projects Dashboard

What is the new subaward process in iO?

The following steps outline the subaward process, beginning with the subaward setup in iO and ending with payment of subaward invoice:

SPARC sends draft subaward agreement to RCA
If necessary, RCA requests that P2P create a new supplier
RCA creates and submits requisition based on draft agreement, which is routed to the Cost Center Manager
Cost Center Manager approves requisition
P2P creates PO based on approved requisition
RCA provides PO number to SPARC to be included in final subaward agreement
Subawardees are instructed to submit invoices to subinvoices@rice.edu, which is monitored by RCA
Invoices are logged and entered into AdobeSign, which sends the invoice to the appropriate approvers (including PI)
Project Managers are responsible for getting PI signature/approval on the invoice
Project Manager will complete receiving process in iO
P2P will process invoice for payment

What is the process for salary expenses over the salary cap?

Expenses over the salary cap are treated as cost share expenses. Please request a project to be setup to charge the salary cap expenses to the appropriate award.

RCA FAQ's

Can I purchase equipment or supplies for a sponsored project near the end of the period of performance?

Purchases made on any sponsored project must be for the benefit of the project. Purchases near the end of the project are increasingly difficult to demonstrate how they can be used to benefit the project if the project is near the end and likely most of the work has been completed. For this reason, these purchases create additional scrutiny and raise red flags to auditors and will require project‐specific justification and/or sponsor approval. All purchases, especially those incurred within the last 90 days of an award, should be reviewed to:

Ensure the item/service was received during the period of performance; and
Determine how the item/service provided benefit during period of performance, given that it was purchased close to the applicable end date. Providing benefit means having a reasonable amount of use during the period of performance.
Purchases determined to not benefit the project must be refunded on the project or costs should be moved to a departmental funding source.

Can I charge office supplies to my sponsored project?

Office Supplies are normally treated as F&A costs. Refer to Direct / Indirect costs for more information.

Where can I get information about charging foreign travel to federal awards?

Refer to the T ravel section under Cost Principles.

What is cost sharing, and what are the different types?

Refer to Cost Sharing under Compliance.

What is pre-award spending?

Refer to Advanced Spending Project under Setup and Closeout.

What do I do with a check from a sponsor?

Forward the check and accompanying documents to Research and Cost Accounting.

I have an award that will expire but has not been completely spent. What are my options?

Refer to Award Closeout under Setup and Closeout.

What do I need to do to get a new award set up?

Refer to Award Setup under Setup and Closeout.

What is a Salary Reimbursement Agreement (SRA)? When is it needed and why?

It is an arrangement between Rice and another institution which allows one institution to recover the costs associated with a student registered at the other institution wherein the student is participating in collaborative research activities with principal investigators at both institutions. As an example, if a full-time Rice student were to work on a collaborative project with an investigator at a TMC institution, the student would continue to be paid by Rice and the TMC institution would reimburse Rice for the cost.

Can a PI charge Academic Year Time to awards?

A faculty member may request the use of sponsored project awards to pay academic year salary on the following basis:

The faculty member documents that academic year salary is an allowable charge to the project, that the amount to be charged is consistent with effort to be spent on the award during the time periods charged, and that this effort is above and beyond any cost sharing commitment of academic year time.
The department chair and the Dean approve the request.
No more than 3 months of total salary during a single 9-month academic year may be charged directly to sponsored projects under this policy. The total charged directly to sponsored projects, plus any cost sharing of academic year time, may not exceed 4.5 months during an academic year. Requests in excess of 4.5 months during an academic year require approval of the Provost, and will be granted only in unusual circumstances.
The budgeted funds for academic year salary and associated fringe benefits (when the grant pays fringe benefits) released as a result of charging sponsored projects will be transferred to a Designated Fund or Funds at the direction of the school.
Salaries charged to sponsored projects in any period may never exceed actual effort applied to the project during that period and cannot include effort committed as cost sharing.

What do I need to process if a PI is leaving and is transferring federal funds to another institution?

Consult your grants coordinator in S ponsored Programs and Research Compliance.

What do I need to process if a new PI is joining our department and is bringing federal or non-federal funds?

Consult your grants coordinator in S ponsored Programs and Research Compliance about transferring awards from the PI's previous institution.

In addition, contact contact Property Accounting to make sure incoming equipment can be properly registered.

My award is confirmed, but SPARC has not received it and I need to start spending. What do I do?

Refer to Advanced Spending Project under Setup and Closeout

Can I charge rental accommodations such as Airbnb and VRBO on my sponsored program?

The University does allow use of these third-party lodging if documentation is retained showing the total cost is less expensive than a single occupancy, standard business room rate.

Department	Forms	Form Use
RCA	Non-Labor Cost Transfer Request Form	Excel spreadsheet to capture costs for cost transfer in iO
RCA	Third Party Cost Sharing Form	Certification of fulfillment of non-subcontract third party cost sharing commitment.
RCA	Cost Transfer Justification Sample	Samples of justifiable reasons for Cost Transfers.
RCA	Rebudgeting Request: Research Funds	Rebudgeting request form - Research Funds - R funds
RCA	Subaward Closeout and Certification	Certification by subawardee to attest that all financial obligations have been fulfilled and to disclose equipment and inventions.
RCA	Pending Amendment Form	Pending Amendment Form
RCA,Property Accounting	Notice of Fabrication Request Fabrication Funds	Used when equipment is fabricated

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