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Office of the Vice President for Research

Certified Approver Program ISO

Business Plan Summary and Process Description

The Certified Approver Program is a key component of the University's model for the management of sponsored funds. Under this program, many post-award financial transactions that formerly required approval by grant administrators in the Office of Sponsored Projects Administration (SPA) are now handled by Certified Approvers in units across campus. As a result, the program offers departments, colleges, and other academic units greater control, responsibility, and authority for their sponsored financial transactions.

The Certified Approver (CA) ISO is based in the Office of the Vice President for Research (OVPR). This office has an overall mission to support research at the University of Minnesota.

The Certified Approver ISO provides services related to the approving of sponsored financial transactions for departments and units on the University of Minnesota Twin Cities and coordinate campuses. The service will be provided on an as-needed basis. The audience for these services is departments and units with a volume of sponsored financial transactions that is too low to justify having their own Certified Approver. The service will include the review and verification of financial documents, seeking additional information as needed, and signing/approving of these documents.

The ISO is established with the intent to recoup costs, not to generate additional revenues for the unit. The ideal model is for each department/unit to have its own Certified Approver who is more knowledgeable of the details of each sponsored program in their unit. All activities of this ISO have and will continue to follow procedures outlined in Policy 3.2.1, "Selling Goods and Services to University Departments."

Responsibilities:

• An Associate to the Vice President for Research will approve the sponsored financial transactions documents that route to the ISO.
• Staff of the OVPR will assist with compiling the necessary documentation needed to approve the transaction, and provide administrative support.
• Department/unit is responsible for providing documentation or additional justification required by the ISO staff needed to approve the transaction.

Cost of Service:
The cost for this service is $57.50 per transaction. The cost per transaction is based on an analysis of salaries, fringe benefits, and other allowable costs for the staff involved. This rate and ISO have been approved by the Controller's Organization.

Requesting the Service:
A request for service must be completed before the OVPR will start approving any sponsored financial transactions for a unit. The request form is available at: http://www.oar.umn.edu/files/ISO_Request_for_Service.PDF

Approval of the Transaction:
Transactions for approval are received either through the financial system or routed as paper documents by the unit. Approval of the document is made upon review and verification of the financial document with sponsor and University policies. Documents requiring additional justification or corrections will be returned to the unit for follow-up. The normal approval process will take approximately 48 hours upon receipt of document. Lengthy documentation and complications with the transaction will result in additional time needed.

Approval Disputes:
If there is a dispute regarding the processing and approval of the transaction, OVPR will notify the appropriate individuals listed in their conflict resolution plan.

Billing:
Billings for the service will be processed monthly as a journal entry. Charges will be made against non-sponsored accounts only.

For Further Information about Certified Approver Program ISO:
ISO Primary contact: Mike Rollefson, phone: 612-626-8284 email: rolle001@umn.edu. Certified Approver Program: Office of Oversight, Analysis and Reporting, phone: 625-9057.