PostAward Implementation Team Roles Responsibilities 2232018 Does not

Post-Award Implementation Team* Roles & Responsibilities 2/23/2018 *Does not include clinical trials

Process Inventory: Post-Award 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 1 Account Creation and Pre to Post Award Handoff 2 Subcontract Setup 3 Reporting and Projections 4 Subcontract Invoices, Renewals and Amendments 5 Payroll Distribution Review – ECRT 6 Grant Related Expenditure Reconciliation 7 Annual Progress Report 8 Grant Close Out Process Lead(s): Susan Stark/Julie Combs, SRAS Members: • Scott (Walter) Wells – RFS TBD • Veronica Taylor – OSPA TBD • Beth Yost – DA for Ophthalmology • Darin Cecil – DA for Physiology/CVRC • Zelneva (Zel) Madison – DA for SCOBIRC • Shaunescia Davis – CHSR • Jana Collins – Internal Medicine • Dr. Andres – Faculty Biochemistry Process Sign Off College of Medicine Roxie Allison/Jim Geddes 2

Roles and Responsibilities – New Account Review ACTIVITY Responsibilities PI Terms and conditions review during negotiation period DEPARTMENT / DA • Acknowledge request for preaward, (approve as needed) UNIVERSITY OFFICES (To be listed below) • Alert GMS of pre-award costs • Alert OSPA in account setup of need for pre-award costs • Alert DA of request for preaward costs • Request Account Setup from GMS when documentation of award notice is received • Request E-Account where needed • Schedule meetings with the PI • Provide any input necessary to • OSPA - Approve account and DA to obtain the create the account within 14 days necessary information to request the account from OSPA • 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 Pre-Award costs Grant Account request GRANT MANAGEMENT SPECIALIST • OSPA – Provides final say in allowable pre-award charges • OSPA - Negotiate nonstandard terms and conditions 3

Roles and Responsibilities – New Account Review ACTIVITY Award Receipt PADR review (Project Account Data Record) Responsibilities PI GRANT MANAGEMENT SPECIALIST DEPARTMENT / DA UNIVERSITY OFFICES (To be listed below) • Acknowledge the terms and • Initiate kick-off meeting with • Participate and understand conditions and ensure only PI, DA, and Pre-Award and terms and conditions of the allowable costs are charged to ensure all parties are aware of award the grant the terms and conditions • Setup 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 • OSPA - Alert PI, DA, and GMS of award receipt • Meet with GMS and DA to review budget projections and discuss initial personnel and purchasing needs • Acknowledge any specific requirements from the PADR • OSPA - Generate account and distribute PADR • Pull an initial budget projection • Meet with GMS and PI to for the life of the award review budget projections and • Review PADR for specific discuss initial personnel and requirements/instructions for purchasing needs department and share with DA • Acknowledge any specific and PI requirements from the PADR • Coordinate sub-accounts • *Note: GMS associated with a Prime award is responsible for ensuring sub-accounts are setup and reported properly 4

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

Roles and Responsibilities – New Account Review ACTIVITY Setup effort tracking Responsibilities PI DEPARTMENT / DA UNIVERSITY OFFICES (To be listed below) • Provide input on effort OR • Coordinate and reviews effort • Approve or Review effort enter effort an certify in E-Cert. allocations based on proposal certification as needed allowance • Assist GMS in resolving effort • Validate entire project for effort issues exceeding 100% and collaborate with DA and PI on resolution • Check effort for allowability with sponsor and verify effort entry • Communicate hire needs to GMS Grant funded personnel GRANT MANAGEMENT SPECIALIST • Initiate personnel actions • Review and approve required by the PI, with the DA personnel actions and proper and HR funding • Review personnel actions, • Enter position requests in PM titles, and classifications as needed ensuring allowance and • Review titles and classification compliance with grant from UK HR requirements • Review effort setup for all associated personnel • Communicate personnel needs with DA • HR IBU – Process personnel requests and ensure process communication with DA & GMS • UKHC Finance/COM – Approve personnel requests • UK HR – Classify position and compensation grade • OSPA – Review and submit sponsor pre-approval requests – as needed 6

Roles and Responsibilities – New Account Set-up “Ideal” Account Set-up Timeline For a typical project – timelines vary by project type Notice of Award Received PADR Generated GMS to confirm all materials received by OSPA 10 days GMS initiates and helps GMS initiates Sub-award facilitate all personnel actions (if necessary) 13 days 14 days GMS schedules kickoff meeting with PI (Covers checklist of Key items) 16 days 30 days GMS enters details in grant database GMS initiates any necessary equipment purchases -no later than 30 days out 7

Roles and Responsibilities – Account Maintenance ACTIVITY Responsibilities PI Monitoring award and subagreement compliance DEPARTMENT / DA UNIVERSITY OFFICES (To be listed below) • Review 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 • Communicate need for equipment purchase to GMS • Initial allowability review equipment expense transaction types • Review purchase for impact on facilities • FIN IBU – Place order through appropriate process (SRM or purchase requisition) Monthly reporting Purchasing budgeted equipment (over $5 k) GRANT MANAGEMENT SPECIALIST • Ensure and confirm • Reviewing sub-agreement satisfactory subcontract invoices for budget impact progress is being made • Setup themselves as sub • Provide final invoice approvals award invoice reviewer in online workflow • Review monthly budget • Univ AP – Processes invoices reports and sub-award activity, resolve issues as needed 8

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

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

Roles and Responsibilities – Account Maintenance ACTIVITY Payroll Confirmation Responsibilities PI DEPARTMENT / DA • Review and approve effort certifications • Review any effort on grants and resolve any issues • Communicate unique grant requirements or personnel needs with the GMS • Ensure fellows are setup • Acknowledge and understand properly in HR and student the unique grant, personnel, or systems and monitor graduate student requirements student issues on fellowship • Use specifically dedicated staff and training awards to support special grants • Assist the PI in properly where available 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 DA • Acknowledge grant changes and review information in the system • Update grant requirements • Acknowledge grant changes and changes on a quarterly and review information in the basis system as needed • Share any changes as needed with the PI and DA Unique Post-Award Administration (Fellowship & Training Grants) Grant system maintenance (One. Note in development) GRANT MANAGEMENT SPECIALIST • Partner with PI’s to distribute/track effort reporting and certification UNIVERSITY OFFICES (To be listed below) • RFS – Generates effort certifications 11

Roles and Responsibilities – Account Maintenance ACTIVITY (If designated Signatory) Responsibilities PI DEPARTMENT / DA • PI & 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 • Notify GMS and DA of changes in workforce • Review identified workforce/payroll related issues and assist with resolution • Review monthly report and • Review identified ensure payroll is charging workforce/payroll related appropriately and changes are issues and assist with made in a timely manner resolution • Alert PI and/or DA if issues arise • Ensure DOE changes have been correctly made and coordinate with the DA Procard (Subset processes) • Student Procard • Declining balance Monitor HR / Payroll distribution GRANT MANAGEMENT SPECIALIST UNIVERSITY OFFICES (To be listed below) • Oversee departmental Procard • Fin IBU – Process Procard distribution and review transactions and make final monthly spending reports, edits hold PI’s accountable as • Fin IBU - Identify grant related needed charges submitted directly by • Determines where to allocate PI and alert GMW to review the funding for unallowable purchases • OSPA – Work with sponsor on any necessary effort level approvals 12

Roles and Responsibilities – Account Maintenance ACTIVITY (If designated Signatory) Travel authorization and expense reimbursements Invoices, check requests, and purchase orders Responsibilities PI GRANT MANAGEMENT SPECIALIST • Identify any travel related needs and reach out to travel coordinator at FIN IBU with travel request before incurring any expenses • Provide 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 • Provide any justification or needed documentation • Serve as approval delegate on behalf of PI (if applicable) • Recognize need for check payment, invoice or purchase • Submit invoices to appropriate office • Submit request for PRD to FIN IBU • Request vendor setup from FIN IBU • Submit PO request to FIN IBU DRAFT FOR DISCUSSION PURPOSES ONLY DEPARTMENT / DA • Chair will review request and approve all final travel and route to FIN IBU for processing • DA will acknowledge travel and process leave request UNIVERSITY OFFICES (To be listed below) • Fin IBU - Identify grant related travel submitted directly from PI and send to GMS for allowability review and Chair for final approval • FIN IBU – Process and book travel on behalf of PI. • FIN IBU – Share travel details with DA and GMS • 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. 13

Roles and Responsibilities – Account Maintenance • PI enters SRM and identifies supplies to be purchased • System routes to “Central Purchasing” for approval • Reviews purchase requests as • Review purchasing reports as needed for allowability and needed funding availability SRM Purchases Account Maintenance ACTIVITY (If designated Signatory) Responsibilities PI • PI enters SRM and identifies supplies to be purchased • System routes to “Central Purchasing” for approval SRM Purchases • “Central Purchasing” – Validates all purchase requests • “Central Purchasing” – Check with GMS on grant purchase requests as needed • “Central Purchasing” – Saves shopping cart documentation on Share. Point GRANT MANAGEMENT SPECIALIST DEPARTMENT / DA • Reviews purchase requests as • Review purchasing reports as needed for allowability and needed funding availability UNIVERSITY OFFICES (To be listed below) • “Central Purchasing” – Validates all purchase requests • “Central Purchasing” – Check with GMS on grant purchase requests as needed • “Central Purchasing” – Saves shopping cart documentation on Share. Point 14

Roles and Responsibilities – Account Close Out ACTIVITY Grant closeout prior review Responsibilities PI GRANT MANAGEMENT SPECIALIST • Acknowledge budget spending • Pull budget reports and projections and schedule meeting with PI and alter spending as needed DA at the appropriate time • Determine need for extension prior to account close and request from GMS depending on project and • Determine need for carry complexity forward if applicable • 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 DEPARTMENT / DA UNIVERSITY OFFICES (To be listed below) • Attend meetings and assist • RFS – Notify PI, DA and GMS with project closeout decisions of project end 60 days out • Help identify where to allocate continuing charges 15

Roles and Responsibilities – Account Close Out ACTIVITY Payroll Review No-cost extension (NCE) Cost share commitments (Managed the same as direct expenditures) Responsibilities PI GRANT MANAGEMENT SPECIALIST DEPARTMENT / DA UNIVERSITY OFFICES (To be listed below) • Acknowledge 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 eliminated • Ensure 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 • 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 share • Coordinate NCE request and submit to OSPA • Share NCE request with DA • Acknowledge NCE being requested • Chair – Approves cost share • OSPA - Process NCE request with sponsor • Be aware of cost share • Monitor and track all cost commitments share commitments and • Assist in resolving cost share ensure cost share commitments are fulfilled • Determines if an expense is • Escalate any issues to PI and cost share or direct expense DA DRAFT FOR DISCUSSION PURPOSES ONLY • 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 16

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

Roles and Responsibilities – Account Close Out ACTIVITY Responsibilities PI DEPARTMENT / DA UNIVERSITY OFFICES (To be listed below) • Acknowledge 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 • 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 nonreceived goods and track down receipt date • RFS – Review and submit final financial report to agency and process closeouts • RFS – Change SAP project status to closed • Finance IBU – Assist with verification of all invoices received Expenses Posted Final Closeout GRANT MANAGEMENT SPECIALIST 18

Roles and Responsibilities – Account Close Out Timeline For a typical NIH project – timelines vary by project type GMS checks payroll end dates, sub award status, and notifies lab/PI to request final purchases 90 days 30 days 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 7 days Project End Date GMS ensures spending has stopped and liquidates any possible PO’s GMS ensures all changes are made before RFS locks the account PI submits Final Research Progress Performance Report and final technical reports 60 days 120 days 30 days GMS makes any necessary budget/allocation corrections, gathers any final invoices GMS reminds PI of final report submission end dates 90 days RFS reviews and submits final financial report and closes project 19

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. The purpose of the SLC is to: • Clarify roles and responsibilities • Define 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 processes • Define 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 20

Service Level Commitment – Post Award Deliverable(s) PI Action / Requirements Grant Management Specialist Timeliness Budget revisions • Provide input on budget cut category allocation (e. g. personnel, supplies, etc. ) • Provide revised budget request to OSPA • Revised budget will be provided to RFS within five (5) business days • Initiate and provide written justification for project change requiring prior approval • Coordinate with PI on sponsor prior justification • Respond to PI within 24 -hours of request Sponsor Prior Approvals Financial reports • Review 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 • 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 • 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 PI • Effort certification will happen every six (6) months Monthly reconciliation • PI to identify required personnel or nonpersonnel 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. Ad-hoc reports Effort certification 21

Service Level Commitment – Post Award Deliverable(s) Hiring requirements Sub-award invoice approval Closeout activities PI Action / Requirements Grant Management Specialist Timeliness • PI to communicate all hiring requirements to GMS • GMS will initiate and complete hiring paperwork • GMS to provide hiring paperwork within five (5) business days • PI to approve sub award invoices • GMS will review subaward invoices in sync with PI • Subaward invoice approvals will be approved within two (2) business days • 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 22