Disaster Recovery and Continuity of Operations Plans
Disaster recovery involves steps taken post-disaster for continuity of government and agency mission fulfillment. Prioritizing vital records and response team readiness are crucial aspects of disaster recovery planning.
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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 1 2 3 4 5 6 7 8 Post-Award Support Processes Account Creation and Pre to Post Award Handoff Subcontract Setup Reporting and Projections Subcontract Invoices, Renewals and Amendments Payroll Distribution Review ECRT Grant Related Expenditure Reconciliation Annual Progress Report 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 New Account Review Responsibilities GRANT MANAGEMENT SPECIALIST UNIVERSITY OFFICES (To be listed below) ACTIVITY PI DEPARTMENT / DA Alert GMS of pre-award costs Alert OSPA in account setup of need for pre-award costs Alert DA of request for pre- award costs Acknowledge request for pre- award, (approve as needed) OSPA Provides final say in allowable pre-award charges Pre-Award costs 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 Grant Account request 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 Terms and conditions review during negotiation period 3
Roles and Responsibilities New Account Review New Account Review Responsibilities GRANT MANAGEMENT SPECIALIST UNIVERSITY OFFICES (To be listed below) ACTIVITY PI DEPARTMENT / DA Acknowledge the terms and conditions and ensure only allowable costs are charged to the grant Initiate kick-off meeting with PI, DA, and Pre-Award and ensure all parties are aware of 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 Participate and understand terms and conditions of the award OSPA - Alert PI, DA, and GMS of award receipt 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 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 PADR review (Project Account Data Record) 4
Roles and Responsibilities New Account Review New Account Review Responsibilities GRANT MANAGEMENT SPECIALIST UNIVERSITY OFFICES (To be listed below) ACTIVITY PI DEPARTMENT / DA Confirm with GMS that nothing has changed Make any necessary decisions and provide input as needed Submit 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 Sub-award setup Review grant documentation (as needed) Inputs all required* award documentation in grant system and enters timeline reminders Review grant documentation Grant System Entry (System TBD) *Required documentation list to be developed. 5
Roles and Responsibilities New Account Review New Account Review Responsibilities GRANT MANAGEMENT SPECIALIST UNIVERSITY OFFICES (To be listed below) ACTIVITY PI DEPARTMENT / DA Provide input on effort OR enter effort an certify in E- Cert. Coordinate and reviews effort allocations based on proposal allowance Validate 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 Setup effort tracking 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 personnel Communicate personnel needs with DA Review and approve personnel actions and proper funding Enter position requests in PM as needed Review titles and classification from UK HR 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 Grant funded personnel 6
Roles and Responsibilities New Account Set-up Ideal Account Set-up Timeline For a typical project timelines vary by project type GMS initiates and helps facilitate all personnel actions GMS initiates Sub-award (if necessary) PADR Generated Notice of Award Received 30 days 10 days 14 days 13 days 16 days GMS to confirm all materials received by OSPA GMS enters details in grant database GMS schedules kickoff meeting with PI (Covers checklist of Key items) GMS initiates any necessary equipment purchases -no later than 30 days out 7
Roles and Responsibilities Account Maintenance Account Maintenance Responsibilities GRANT MANAGEMENT SPECIALIST UNIVERSITY OFFICES (To be listed below) ACTIVITY PI DEPARTMENT / DA 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 Monthly reporting 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) Purchasing budgeted equipment (over $5k) Ensure 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 Monitoring award and sub- agreement compliance 8
Roles and Responsibilities Account Maintenance Account Maintenance Responsibilities GRANT MANAGEMENT SPECIALIST UNIVERSITY OFFICES (To be listed below) ACTIVITY PI DEPARTMENT / DA 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 Monthly reconciliation (Using OSPA Definition) 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 needed Initiate JV s to fund cost share accounts and reach out to DA to identify cost center, no less than quarterly Provide cost center account if needed AFRS Process JV requests RFS Provide JV support and guidance as needed JVs 9
Roles and Responsibilities Account Maintenance Account Maintenance Responsibilities GRANT MANAGEMENT SPECIALIST UNIVERSITY OFFICES (To be listed below) ACTIVITY PI DEPARTMENT / DA Identify a project change that necessitates a revision request change from GMS Provide rationale for re-budget requests as necessary Prepared 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 Exit Etc Subcontracts 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 Budget revisions Prepare all technical and scientific progress reports required by the sponsor Draft initial financial and admin items for PI review and edits prior to due date Submit 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 Annual progress report completion, Non-compete renewals, & RPPR 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 10
Roles and Responsibilities Account Maintenance Account Maintenance Responsibilities GRANT MANAGEMENT SPECIALIST UNIVERSITY OFFICES (To be listed below) ACTIVITY PI DEPARTMENT / DA Review and approve effort certifications Review any effort on grants and resolve any issues RFS Generates effort certifications Partner with PI s to distribute/track effort reporting and certification Payroll Confirmation 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 DA Acknowledge and understand the unique grant, personnel, or graduate student requirements Use specifically dedicated staff to support special grants where available Unique Post-Award Administration (Fellowship & Training Grants) 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 Grant system maintenance (OneNote in development) 11
Roles and Responsibilities Account Maintenance Account Maintenance Responsibilities ACTIVITY GRANT MANAGEMENT SPECIALIST UNIVERSITY OFFICES (To be listed below) PI DEPARTMENT / DA (If designated Signatory) 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 Oversee departmental Procard distribution and review monthly spending reports, hold PI s accountable as needed Determines where to allocate the funding for unallowable purchases Fin IBU Process Procard transactions and make final edits Fin IBU - Identify grant related charges submitted directly by PI and alert GMW to review Procard (Subset processes) Student Procard Declining balance Notify GMS and DA of changes in workforce Review identified workforce/payroll related issues and assist with resolution Review monthly report and ensure payroll is charging appropriately and changes are made in a timely manner Alert PI and/or DA if issues arise Ensure DOE changes have been correctly made and coordinate with the DA Review identified workforce/payroll related issues and assist with resolution OSPA Work with sponsor on any necessary effort level approvals Monitor HR / Payroll distribution 12
Roles and Responsibilities Account Maintenance Account Maintenance Responsibilities ACTIVITY GRANT MANAGEMENT SPECIALIST UNIVERSITY OFFICES (To be listed below) PI DEPARTMENT / DA (If designated Signatory) 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 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 approval FIN IBU Process and book travel on behalf of PI. FIN IBU Share travel details with DA and GMS Travel authorization and expense reimbursements 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 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. Invoices, check requests, and purchase orders 13 DRAFT FOR DISCUSSION PURPOSES ONLY
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 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 Account Maintenance Responsibilities ACTIVITY GRANT MANAGEMENT SPECIALIST UNIVERSITY OFFICES (To be listed below) PI DEPARTMENT / DA (If designated Signatory) 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 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 14
Roles and Responsibilities Account Close Out Account Close Out Responsibilities GRANT MANAGEMENT SPECIALIST UNIVERSITY OFFICES (To be listed below) ACTIVITY PI DEPARTMENT / DA Acknowledge budget spending reports and projections and alter spending as needed Determine need for extension and request from GMS Determine 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 Grant closeout prior review 15
Roles and Responsibilities Account Close Out Account Close Out Responsibilities GRANT MANAGEMENT SPECIALIST UNIVERSITY OFFICES (To be listed below) ACTIVITY PI DEPARTMENT / DA 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 Payroll Review 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 No-cost extension (NCE) 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 Cost share commitments (Managed the same as direct expenditures) 16 DRAFT FOR DISCUSSION PURPOSES ONLY
Roles and Responsibilities Account Close Out Account Close Out Responsibilities GRANT MANAGEMENT SPECIALIST UNIVERSITY OFFICES (To be listed below) ACTIVITY PI DEPARTMENT / DA 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 Cost share commitments (Managed the same as direct expenditures) 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 Continuing charges Prepare final technical report for submission and request assistance from GMS Follow up with PI on final technical report submission deadlines and progress Final Technical Reports 17
Roles and Responsibilities Account Close Out Account Close Out Responsibilities GRANT MANAGEMENT SPECIALIST UNIVERSITY OFFICES (To be listed below) ACTIVITY PI DEPARTMENT / DA 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 Expenses Posted 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 closed Finance IBU Assist with verification of all invoices received Final Closeout 18
Roles and Responsibilities Account Close Out Account Close Out Timeline For a typical NIH project timelines vary by project type PI submits Final Research Progress Performance Report and final technical reports GMS checks payroll end dates, sub award status, and notifies lab/PI to request final purchases GMS ensures all changes are made before RFS locks the account Project End Date 60 days 30 days 7 days 30 days 90 days 90 days 120 days RFS reviews and submits final financial report and closes project 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 GMS ensures spending has stopped and liquidates any possible PO s GMS makes any necessary budget/allocation corrections, gathers any final invoices GMS reminds PI of final report submission end dates 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 Grant Management Specialist Deliverable(s) PI Action / Requirements Timeliness 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 Budget revisions 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 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 Financial 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 Ad-hoc reports 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 Effort certification PI 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 Monthly reconciliation 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. Purchases 21
Service Level Commitment Post Award Grant Management Specialist Deliverable(s) PI Action / Requirements 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 Hiring requirements 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 Sub-award invoice approval 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 Closeout activities 22
