SRS Review of One Card Transactions, Travel Authorizations and Purchase Requisitions
When an expense report, travel authorization or purchase requisition are submitted in the PeopleSoft System, the system automatically does a budget check. This budget check includes checking the period of performance, if there are enough funds in the account, and whether or not a budget line exists for the account type the charge is being placed against. The Research Administration Advisor is responsible for checking the following on any pending expense report charge, travel authorization and purchase requisition:
- Allowable
- Allocable
- Reasonable
- Necessary
If the charges meet these four criteria, then there are additional checks that must be completed to ensure compliance with the sponsor and university policies. Such checks include:
- Verifying they are within budget limitations (PeopleSoft only checks that the budget line exists and there are enough funds overall. It does not determine remaining funds on each budget line. Some sponsors will only allow 10% overages etc.)
- Contract term limitations (Fly America Act, Out of State Travel, GSA Per Diem amounts, all receipts required, etc.)
- Required Sponsored Research Services documentation is in place (Sole Source Justification, Fabrication forms, etc.)
- University Required Documentation is attached (Itemized meal receipts, Mapquest documentation, etc.)
- Any travel charges will need to answer the questions of who went, why they went, and how it’s grant related (if this is missing you can email the PI and attach the email).
Travel Authorizations are usually a lump sum amount, approving the travel authorization does not give automatic approval for any expense incurred on the travel as those are reviewed upon return and usually reconciled with an expense report. For a travel authorization approval, SRS will review the amount, whether travel is allowable on the award, and make sure it falls within the period of performance for the dates of actual travel (cannot purchase tickets for travel outside the period of performance and charge to the project).
SRS Review of Payment Requests, Payroll Authorizations, Internal Charges, Reallocations and Payroll Cost Transfers
These types of charges do not undergo the automatic budget checking process so that verification is done by Research Administrative Advisors. First, they must check that the charges are within the period of performance for the award, that the full account number is correct, and that there is a budget line for the expense (if not, is it allowable to add). Once these checks are complete, the Research Administration Advisor will check these expenses in the same manner as an expense report, travel authorization or purchase requisition. Is the charge allowable, allocable, reasonable and necessary?
If the charges meet these four criteria, then there are additional checks that must be completed to ensure compliance with the sponsor and university policies. Such checks include:
- Ensuring the charge is within the contract term limitations
- All required Sponsored Research Services Documentation is in place (Cost transfers would require backup justification, etc.)
- University Required Documentation is in place (Payroll Authorizations – offer letter, etc.)
Approval Process
One Card Transactions
One card transactions are processed via expense reports that are initiated by either PI/Co-PI or Department Administrators. Then it comes through the approval workflow in PeopleSoft to be approved by SRS staff. Once approved by the Research Administration Advisors, it goes to the PI for approval as the Budget Manager, then it goes to the Controller’s office for final review and processing.
Travel Authorizations
Travel authorizations are initiated by either the employee or their departmental administrator. They then flow to Sponsored Research Services for review by the Research Administration Advisors, when they are being charged to a research award account. After that it would be approved by the budget manager of that project account (usually the PI). Then the travel authorization goes to the Department Chair and then Accounts Payable for final approval.
Purchase Requisitions
Purchase requisitions are initiated by either the PI or the departmental administrator. Once submitted in the Purchase Requisition system in PeopleSoft, the requisition comes to the Research Administration Advisors for approval. Once approved they go to the budget manager/PI for approval. Next, any request over $5,000 goes to the Associate Controller for approval. Any request over $50,000 goes to the President of the University for approval. Lastly, the requisition is sent to the Controller’s office for final review and processing.
Payment Requests
These are requests for disbursement orders that are initiated by the PI. They come to the Research Administration Advisors for approval and once approved they go to Accounts Payable for processing.
Payroll Authorizations
Payroll Authorizations are requested by the PI and can be started in PeopleSoft by the PI or department administrator. They are then approved by Research Administration Advisors, then the PI of the research project. The Payroll Authorization is then approved by the Department Chair, and then HR will review and approve. The Payroll Office has final review and approval of Payroll Authorizations.
Internal Charges
Internal Charges could consist of charges for Housing, CAMP Instrumentation, CAARES Analytic Testing, Chemistry Stockroom, CEE Truck, Sodexo Catering, etc. All of these charges would be initiated/billed by Departmental Administrators, then approved by the PI of the research project it’s being charged against. Then it would be sent to the Research Administration Advisors for approval and then Controller’s office for processing.
Reallocations
Reallocation forms are initiated by the PI and submitted to SRS by either the PI or the departmental administrator. They are then approved by the Research Administrative Advisors and sent to the Controller’s office for processing, if they are being processed within 90 days of the original charge. If form is received after 90 days, an additional justification is required on the form. That justification is provided by the PI. After the RAA’s verify the form is acceptable and approve, they then submit it to the SRS Post Award Manager. It then goes to the Controller’s office for the approval of the Associate Controller/Controller and to the Research accountant for signature and processing.
Payroll Cost Transfers
Payroll cost transfers are initiated by the PI and currently entered into PeopleSoft by the Research Administration Advisors. PI is the first approver, then it goes to SRS to be approved, and then the Post Award Manager (if it’s over 90 days). If it is over 90 days past the initial transaction, the Associate Controller will also approve. Lastly, the cost transfer will go to the Controller’s office for processing.