Post-Award Implementation Team* - PowerPoint Presentation

Post-Award Implementation Team* Roles & Responsibilities2/23/2018 *Does not include clinical trials

Process Inventory: Post-Award 2 After discussion, evaluation and ranking with the DA’s and General Administration Implementation Team, Huron will be assisting in the redesign of the following processes with the functional redesign lead and team members. These processes and design teams have been approved by the Drive Team leads. Item Post-Award Support Processes Lead(s): Susan Stark/Julie Combs, SRAS1Account Creation and Pre to Post Award HandoffMembers:Scott (Walter) Wells – RFS TBDVeronica Taylor – OSPA TBDBeth Yost – DA for OphthalmologyDarin Cecil – DA for Physiology/CVRCZelneva (Zel) Madison – DA for SCOBIRCShaunescia Davis – CHSRJana Collins – Internal MedicineDr. Andres – Faculty Biochemistry2Subcontract Setup3Reporting and Projections4Subcontract Invoices, Renewals and Amendments5Payroll Distribution Review – ECRT6Grant Related Expenditure Reconciliation7Annual Progress Report8Grant Close Out Process Process Sign Off College of Medicine Roxie Allison/Jim Geddes

Roles and Responsibilities – New Account Review 3 New Account Review Responsibilities  ACTIVITY PI GRANT MANAGEMENT SPECIALISTDEPARTMENT / DAUNIVERSITY OFFICES (To be listed below)Pre-Award costsAlert GMS of pre-award costsAlert OSPA in account setup of need for pre-award costsAlert DA of request for pre-award costs Acknowledge request for pre-award, (approve as needed) OSPA – Provides final say in allowable pre-award charges Grant Account request Request Account Setup from GMS when documentation of award notice is received Request E-Account where needed Schedule meetings with the PI and DA to obtain the necessary information to request the account from OSPA Provide any input necessary to create the account OSPA - Approve account within 14 days Terms and conditions review during negotiation period Respond to non-standard terms and conditions request from OSPA Request advice as needed from GMS If requested - Coordinate PI, Chair (as needed), and DA responses to the non-standard terms and conditions and provide expert advice OSPA - Negotiate non-standard terms and conditions

Roles and Responsibilities – New Account Review 4 New Account Review Responsibilities  ACTIVITY PI GRANT MANAGEMENT SPECIALISTDEPARTMENT / DAUNIVERSITY OFFICES (To be listed below)Award ReceiptAcknowledge the terms and conditions and ensure only allowable costs are charged to the grantInitiate kick-off meeting with PI, DA, and Pre-Award and ensure all parties are aware of the terms and conditionsSetup and pull initial budget report Enter the terms and conditions of award in grant management system (TBD) Notify Co-I’s and Co-I’s admin staff of award receipt Participate and understand terms and conditions of the award OSPA - Alert PI, DA, and GMS of award receipt PADR review (Project Account Data Record) Meet with GMS and DA to review budget projections and discuss initial personnel and purchasing needs Acknowledge any specific requirements from the PADR Pull an initial budget projection for the life of the award Review PADR for specific requirements/instructions for department and share with DA and PI Coordinate sub-accounts * Note: GMS associated with a Prime award is responsible for ensuring sub-accounts are setup and reported properly Meet with GMS and PI to review budget projections and discuss initial personnel and purchasing needs Acknowledge any specific requirements from the PADR OSPA - Generate account and distribute PADR

Roles and Responsibilities – New Account Review 5 New Account Review Responsibilities  ACTIVITY PI GRANT MANAGEMENT SPECIALIST DEPARTMENT / DAUNIVERSITY OFFICES (To be listed below)Sub-award setupConfirm with GMS that nothing has changedMake any necessary decisions and provide input as neededSubmit the sub-agreement request to OSPA Initiate any sub-contract associated with the award and prepare sub-agreement request for the PI Share sub-agreement request with DA Initiate any personal services contracts Coordinate with GPS to get Pre-Award information Provide input on sub-award budget as needed OSPA - Create/Implement formal subcontractor plans and communicate with PI and GMS Grant System Entry (System TBD)Review grant documentation (as needed)Inputs all required* award documentation in grant system and enters timeline remindersReview grant documentation *Required documentation list to be developed.

Roles and Responsibilities – New Account Review 6 New Account Review Responsibilities  ACTIVITY PI GRANT MANAGEMENT SPECIALISTDEPARTMENT / DAUNIVERSITY OFFICES (To be listed below)Setup effort trackingProvide input on effort OR enter effort an certify in E-Cert.Coordinate and reviews effort allocations based on proposal allowanceValidate entire project for effort exceeding 100% and collaborate with DA and PI on resolution Check effort for allowability with sponsor and verify effort entry Approve or Review effort certification as needed Assist GMS in resolving effort issues Grant funded personnel Communicate hire needs to GMS Initiate personnel actions required by the PI, with the DA and HR Review personnel actions, titles, and classifications ensuring allowance and compliance with grant requirements Review effort setup for all associated personnelCommunicate personnel needs with DAReview and approve personnel actions and proper fundingEnter position requests in PM as neededReview titles and classification from UK HRHR IBU – Process personnel requests and ensure process communication with DA & GMSUKHC Finance/COM – Approve personnel requestsUK HR – Classify position and compensation gradeOSPA – Review and submit sponsor pre-approval requests – as needed Business day timeliness should be based on average trends over a period defined by the governance committee

Roles and Responsibilities – New Account Set-up 7 GMS to confirm all materials received by OSPA “Ideal” Account Set-up Timeline For a typical project – timelines vary by project type PADR Generated GMS schedules kickoff meeting with PI (Covers checklist of Key items)GMS enters details in grant databaseGMS initiates any necessary equipment purchases -no later than 30 days outNotice of Award Received10 days13 days14 days16 days30 daysGMS initiates Sub-award (if necessary)GMS initiates and helps facilitate all personnel actions

Roles and Responsibilities – Account Maintenance 8 Account Maintenance Responsibilities  ACTIVITY PI GRANT MANAGEMENT SPECIALISTDEPARTMENT / DAUNIVERSITY OFFICES (To be listed below)Monthly reportingReview monthly reports for accuracy Run monthly budget report and monitor burn rate, rate of spend, and projections Track encumbered funds on budget reports Identify potential concerns to be shared with DA and PI and meet with PI quarterly or as needed Acknowledge any spending concerns identified by the GMS and discuss solutions with PI / Chair as needed RFS – Provides monthly PI reports with ledgers, balance, personnel and other expense information UKHC Finance – Pushes out Axiom reports on monthly basis at a minimum Purchasing budgeted equipment (over $5k) Communicate need for equipment purchase to GMSInitial allowability review equipment expense transaction types Review purchase for impact on facilitiesFIN IBU – Place order through appropriate process (SRM or purchase requisition)Monitoring award and sub-agreement complianceEnsure and confirm satisfactory subcontract progress is being made Provide final invoice approvals Reviewing sub-agreement invoices for budget impact Setup themselves as sub-award invoice reviewer in online workflow Review monthly budget reports and sub-award activity, resolve issues as needed Univ AP – Processes invoices

Roles and Responsibilities – Account Maintenance 9 Account Maintenance Responsibilities  ACTIVITY PI GRANT MANAGEMENT SPECIALISTDEPARTMENT / DAUNIVERSITY OFFICES (To be listed below)Monthly reconciliation(Using OSPA Definition)PI/Lab Tech - Provide any justification and documentation needed for reconciliation to the GMS (If GMS was not involved) Reconcile grants for monthly personnel charges and other expenses and identify documentation Randomly audit activity to ensure compliance and accuracy Fin IBU – Gather college wide expense documentation JVs Review and sign cost transfers where required (over 90 days) and provide justification to GMS Initiate any required cost transfers as they are identified, ensure they are allowable, allocable, and directly applicable Coordinate Chair/Dean’s approval where neededInitiate JV’s to fund cost share accounts and reach out to DA to identify cost center, no less than quarterlyProvide cost center account if neededAFRS – Process JV requestsRFS – Provide JV support and guidance as needed

Roles and Responsibilities – Account Maintenance 10 Account Maintenance Responsibilities  ACTIVITY PI GRANT MANAGEMENT SPECIALISTDEPARTMENT / DAUNIVERSITY OFFICES (To be listed below)Budget revisionsIdentify a project change that necessitates a revision request change from GMSProvide rationale for re-budget requests as necessaryPrepared budget revision request Identify a project change that necessitates a revision and review with PI Review revision for allowability Submit request and track changes with OSPA Identify a project change that necessitates a revision request a change from GMS Monitor NEED List of revision Items e.g. Salary Cap Faculty ExitEtc…SubcontractsOSPA – Review and final approval of budget revisions or send back for further clarificationRFS – Review and approval in SAPHR – Communicate salary and employment change impacts with DA & GMSAnnual progress report completion, Non-compete renewals, & RPPRPrepare all technical and scientific progress reports required by the sponsor Draft initial financial and admin items for PI review and edits prior to due dateSubmit to OSPA Assist with any budgetary information needed and acknowledge progress report submission OSPA – Submit progress report to sponsor and verify submission to DA, PI, and GMS RFS – Provides financials depending on grant type Expense Documentation (TBD Front End Review back end documentation – Clerical task – not GMS) Provide source documentation to TBD Ensure appropriate source documentation exists for grant expenditures Review source documentation as needed Fin IBU – Documents Procard and JV’s ( where applicable) transactions on SharePoint

Roles and Responsibilities – Account Maintenance 11 Account Maintenance Responsibilities  ACTIVITY PI GRANT MANAGEMENT SPECIALISTDEPARTMENT / DAUNIVERSITY OFFICES (To be listed below)Payroll ConfirmationReview and approve effort certificationsReview any effort on grants and resolve any issues Partner with PI’s to distribute/track effort reporting and certification RFS – Generates effort certifications Unique Post-Award Administration (Fellowship & Training Grants) Communicate unique grant requirements or personnel needs with the GMS Ensure fellows are setup properly in HR and student systems and monitor graduate student issues on fellowship and training awards Assist the PI in properly setting up the grant, personnel, and charges for unique grants Coordinate with the grad school and med school as applicable Share information about unique requirements with DAAcknowledge and understand the unique grant, personnel, or graduate student requirementsUse specifically dedicated staff to support special grants where availableGrant system maintenance(OneNote in development) Acknowledge grant changes and review information in the system Update grant requirements and changes on a quarterly basis Share any changes as needed with the PI and DA Acknowledge grant changes and review information in the system as needed

Roles and Responsibilities – Account Maintenance 12 Account Maintenance Responsibilities  ACTIVITY (If designated Signatory)PIGRANT MANAGEMENT SPECIALISTDEPARTMENT / DAUNIVERSITY OFFICES (To be listed below)Procard(Subset processes)Student ProcardDeclining balancePI & Lab orders supplies as needed GMS reviews purchases for allowability and allocability after purchase but prior to Procard edits. The GME will work with the DA on unallowable purchases and identifying alternate funding source GMS is responsible for choosing appropriate GL codes Oversee departmental Procard distribution and review monthly spending reports, hold PI’s accountable as needed Determines where to allocate the funding for unallowable purchasesFin IBU – Process Procard transactions and make final editsFin IBU - Identify grant related charges submitted directly by PI and alert GMW to reviewMonitor HR / Payroll distributionNotify GMS and DA of changes in workforce Review identified workforce/payroll related issues and assist with resolutionReview monthly report and ensure payroll is charging appropriately and changes are made in a timely mannerAlert PI and/or DA if issues ariseEnsure DOE changes have been correctly made and coordinate with the DAReview identified workforce/payroll related issues and assist with resolution OSPA – Work with sponsor on any necessary effort level approvals

Roles and Responsibilities – Account Maintenance 13 DRAFT FOR DISCUSSION PURPOSES ONLY Account Maintenance Responsibilities  ACTIVITY (If designated Signatory)PIGRANT MANAGEMENT SPECIALISTDEPARTMENT / DAUNIVERSITY OFFICES (To be listed below)Travel authorization and expense reimbursementsIdentify any travel related needs and reach out to travel coordinator at FIN IBU with travel request before incurring any expensesProvide all travel and expense documentation to travel coordinator at Fin IBU GMS checks allowability and availability of funds and sends to Chair for approval Review and approve all travel and expense transactions, including review of overall trip and allocation of funding prior to travel arrangements Coordinate travel with Fin IBU Chair will review request and approve all final travel and route to FIN IBU for processing DA will acknowledge travel and process leave request Fin IBU - Identify grant related travel submitted directly from PI and send to GMS for allowability review and Chair for final approvalFIN IBU – Process and book travel on behalf of PI.FIN IBU – Share travel details with DA and GMSInvoices, check requests, and purchase ordersProvide any justification or needed documentationServe as approval delegate on behalf of PI (if applicable) Recognize need for check payment, invoice or purchase Submit invoices to appropriate officeSubmit request for PRD to FIN IBURequest vendor setup from FIN IBU Submit PO request to FIN IBU APS – Process invoices FIN IBU – Record all purchase orders and ensure receipts are recorded in SAP when delivered and approved FIN IBU – Setup vendors FIN IBU - Process PRD’s, check transmittals, requisition requests, etc.

Roles and Responsibilities – Account Maintenance 14 Account Maintenance Responsibilities  ACTIVITY (If designated Signatory)PIGRANT MANAGEMENT SPECIALISTDEPARTMENT / DAUNIVERSITY OFFICES (To be listed below)SRM PurchasesPI enters SRM and identifies supplies to be purchasedSystem routes to “Central Purchasing” for approvalReviews purchase requests as needed for allowability and funding availability Review purchasing reports as needed “Central Purchasing” – Validates all purchase requests “Central Purchasing” – Check with GMS on grant purchase requests as needed “Central Purchasing” – Saves shopping cart documentation on SharePoint SRM Purchases PI enters SRM and identifies supplies to be purchased System routes to “Central Purchasing” for approval Reviews purchase requests as needed for allowability and funding availabilityReview purchasing reports as needed“Central Purchasing” – Validates all purchase requests“Central Purchasing” – Check with GMS on grant purchase requests as needed“Central Purchasing” – Saves shopping cart documentation on SharePoint

Roles and Responsibilities – Account Close Out 15 Account Close Out Responsibilities  ACTIVITY PI GRANT MANAGEMENT SPECIALISTDEPARTMENT / DAUNIVERSITY OFFICES (To be listed below)Grant closeout prior reviewAcknowledge budget spending reports and projections and alter spending as neededDetermine need for extension and request from GMSDetermine need for carry forward if applicable Pull budget reports and schedule meeting with PI and DA at the appropriate time prior to account close depending on project and complexity Initiate discussion and highlight over/under spend, carryforward, cost share, direct charge expenses, personnel costs ending, and PO’s to be liquidated Coordinate meeting with PI and DA at proper intervals to review project spend and extension requests Ensure everyone involved knows the grant is closing Attend meetings and assist with project closeout decisions Help identify where to allocate continuing charges RFS – Notify PI, DA and GMS of project end 60 days out

Roles and Responsibilities – Account Close Out 16 DRAFT FOR DISCUSSION PURPOSES ONLY Account Close Out Responsibilities  ACTIVITY PIGRANT MANAGEMENT SPECIALISTDEPARTMENT / DAUNIVERSITY OFFICES (To be listed below)Payroll ReviewAcknowledge end dates and make request for keeping any staff beyond end dates with GMS and DA and/or evaluate if any positions need to be eliminatedEnsure assignment and cost distribution end dates are in the system and on or before end date of the grant Communicate end dates with PI, DA and impacted staff Acknowledge end dates and assist PI in reallocating staff as needed Process Reduction in Force for positions that no longer have funding Confirm the cost distribution has a end date and watch for clearing house accounts HR BP – Meets with DA and staff person and sends information to HR that someone’s position is ending on the assignment No-cost extension (NCE) Request NCE from GMS and prepare justification Review cost share commitments necessary for NCE period and provide budget projections and coordinate approvals to add cost shareCoordinate NCE request and submit to OSPAShare NCE request with DAAcknowledge NCE being requestedChair – Approves cost shareOSPA - Process NCE request with sponsor Cost share commitments ( Managed the same as direct expenditures) Be aware of cost share commitments Assist in resolving cost share commitments Determines if an expense is cost share or direct expense Monitor and track all cost share commitments and ensure cost share commitments are fulfilled Escalate any issues to PI and DA Assist in resolving cost share commitments by identifying funding sources or denying cost share request RFS – Ensure cost share expense are included in reports to the sponsor Continuing charges Identify need to have continuing charges beyond grant end and share with GMS Coordinate PI with Chair and DA for approval of continuing charges and where to allocate them Notify service/recharge centers of new account number Notify service/recharge centers of new account Chair – Approves continuing charges Assist with identifying where to place approved charges

Roles and Responsibilities – Account Close Out 17 Account Close Out Responsibilities  ACTIVITY PI GRANT MANAGEMENT SPECIALISTDEPARTMENT / DAUNIVERSITY OFFICES (To be listed below)Cost share commitments(Managed the same as direct expenditures)Be aware of cost share commitmentsAssist in resolving cost share commitmentsDetermines if an expense is cost share or direct expense Monitor and track all cost share commitments and ensure cost share commitments are fulfilled Escalate any issues to PI and DA Assist in resolving cost share commitments by identifying funding sources or denying cost share request RFS – Ensure cost share expense are included in reports to the sponsor Continuing charges Identify need to have continuing charges beyond grant end and share with GMS Coordinate PI with Chair and DA for approval of continuing charges and where to allocate them Notify service/recharge centers of new account numberNotify service/recharge centers of new accountChair – Approves continuing chargesAssist with identifying where to place approved charges Final Technical Reports Prepare final technical report for submission and request assistance from GMS Follow up with PI on final technical report submission deadlines and progress

Roles and Responsibilities – Account Close Out 18 Account Close Out Responsibilities  ACTIVITY PI GRANT MANAGEMENT SPECIALISTDEPARTMENT / DAUNIVERSITY OFFICES (To be listed below)Expenses PostedAcknowledge grant end date, provide any final documentation to GMS and ensure labs cease spending Ensure all appropriate expenditures and cost transfers are posted in preparation of closeout Ensure PI and labs stop spending on grants Coordinate with internal recharge service centers on end dates of grant Ensure all internal bills have been received and will be within 90 days Final Closeout Complete invention statements Review final financial reports Assist GMS in tracking down non-received goods Verity all invoices and/or goods have been received and remaining amounts are liquidated Notify PI and DA of any non-received goods and track down receipt date RFS – Review and submit final financial report to agency and process closeouts RFS – Change SAP project status to closedFinance IBU – Assist with verification of all invoices received

Roles and Responsibilities – Account Close Out 19 GMS coordinates close out meeting with PI and DA with enough time to review balances, projections, no cost extensions, and future plans PI Requests extensions RFS reviews and submits final financial report and closes project Account Close Out Timeline For a typical NIH project – timelines vary by project typeGMS checks payroll end dates, sub award status, and notifies lab/PI to request final purchasesGMS ensures spending has stopped and liquidates any possible PO’sGMS makes any necessary budget/allocation corrections, gathers any final invoicesGMS reminds PI of final report submission end datesGMS ensures all changes are made before RFS locks the accountPI submits Final Research Progress Performance Report and final technical reports90 days30 days7 daysProject End Date30 days60 days90 days120 days

Service Level Commitment Overview The standards for performance will be grounded in Service Level Commitments (SLC). These represent an agreed upon service expectation, for those receiving service and those providing service. 20 The purpose of the SLC is to:Clarify roles and responsibilitiesDefine the services and support that will be provided, as well as the performance standards that can be expected Provide an overview of mutual requirements and expectations for processesDefine how performance will be measured to mitigate future operational risk (e.g. capacity overload) Outline the escalation process to provide appropriate and timely channels to resolve service disputes

Service Level Commitment – Post Award 21 Deliverable(s) PI Action / Requirements Grant Management Specialist TimelinessBudget revisionsProvide input on budget cut category allocation (e.g. personnel, supplies, etc.)Provide revised budget request to OSPARevised budget will be provided to RFS within five (5) business daysSponsor Prior ApprovalsInitiate and provide written justification for project change requiring prior approvalCoordinate with PI on sponsor prior justificationRespond to PI within 24-hours of requestFinancial reportsReview monthly financial reports with GMS and identify required allocation changes, as required. GMS will provide financial reports and meet with each PI to review expenditures versus budget Standard financial reports will be generated monthly Ad-hoc reports PI to communicate need for ad hoc financial reports GMS will develop ad hoc reports and review with PI Ad hoc reports will be generated on an as needed basis, within (5) business days of request Effort certification PI to certify the accuracy of time (i.e. effort) according to the procedures established by the University.GMS will validate effort certification in sync with PIEffort certification will happen every six (6) months Monthly reconciliationPI to identify required personnel or non-personnel changes in sync with GMS GMS will complete appropriate account reconciliation in sync with PI Complete all payroll redistributions and/or journal vouchers within five (5) business days Purchases PI to communicate purchasing needs to GMS ahead of process initiation GMS will verify allowability and approve purchases. GMS to verify allowability and approve purchase request within two (2) business days.

Service Level Commitment – Post Award 22 Deliverable(s) PI Action / Requirements Grant Management Specialist Timeliness Hiring requirementsPI to communicate all hiring requirements to GMSGMS will initiate and complete hiring paperworkGMS to provide hiring paperwork within five (5) business daysSub-award invoice approval PI to approve sub award invoicesGMS will review subaward invoices in sync with PISubaward invoice approvals will be approved within two (2) business daysCloseout activities PI to approve final invoice and sign off on project closeout checklist GMS will initiate and complete any necessary closeout activities GMS will initiate and complete fund swap or retro payroll actions within 10 business days All project closeout activities must be complete before final submission to the sponsor