Transcription
Existing process flows or diagramsPostaward Process FlowsProcess CutPointPost Award Action/Process/StepsPre-award notifies post-award of pending proposalStage 1LeadBackstopHillary/Sarah ChristyPost-award Application PhaseAssign GC control # and enter into databaseFile into "pending" drawerSponsor Notification Received:Alert PI & Pre-award teamNancyNancyMicheleMicheleLoriNancyProvisional account setup, if needed (approved by Michele, who assigns objectMicheleNancyCreate provisional account (also see Stage 8, set up w/preliminary objectcodes and no budget). Requires executed PRAF, award letter, & approval to beginNancyMicheleAgreement/Contract Received from ngStage 2Log the award information into RSP Award Tracking log; alert preawardand PILog award documentsLog requests for provisional accountsGenerate short publicity description to share with campus, media, andUNIPR (involve pre-award as necessary to get their perspective on theproject, PI, etc.)Stage 3Award/Contract PI Review and RSP InterviewCreate GC Control # if necessaryConduct pre-implementation project review w/PIScope of work still feasible/require changes?Project timeline still reasonable?Understand reporting requirements?Personnel expenses involved? PAF created?Cost-share involved? System for tracking it?Conflict of Interest forms filed & mitigation plan in place/needed?IRB/Export Controls/IP issues to be aware of?Subcontracts, internal or external vendors &/or services providers&/or contractors involved?Project income, capital expenses, other "special" circumstancesinvolved?Familiar with OSP website?
Stage 4Award/Contract Processing and Packet AssemblyAssemble Award Packet and send to Stage 5 for review, negotiation,object codesCompleted Award Packet Includes:Fully executed PRAFBudgetScope of WorkContract/Award DocumentStage 5LoriTolifMicheleLori &/or TolifTolifMichele/LoriContract Transmittal: Award Document Transmittal guidance documentLaurieLoriAccount Setup and t Review & NegotiationReview: The Purple SheetPurple sheet (page 1): Review and note Cost-share, Invoicing, Special conditionsPurple sheet (page 2): Review and check IP, Confidentiality, Liability, PI review,COI, IRBPurple sheet (page 3): Budget review, object codes generatedNegotiation:up.Reoccurring/Unilateral Contracts: Review, move to transmittal & account setNew: Advise PI of terms/stipulations/risks and provide OSP's recommendation (ifneeded) for abnormal t&c'sNegotiations stall: seek external assistance; deny grant if no solutionStage 6Grant/Contract/Subcontract SignatureStage 7Grant/Contract Transmission to SponsorStage 8Account setup in oracle (Account number, object codes, PI, budget)Account update in Access DatabaseGenerate NSPA, send to PI (including award modifications)
Project ManagementGeneral Project Management Questions/TroubleshootingFinancial Tracking and ReportingMailing budget updates (GCAFS) to project leadsObject code assignments, additions, removal, changesCost-share data collection and reportingInvoicing sponsors, receivables trackingReceivables trackingBudget reviews for expense overruns, large deficit, etc.Account reconciliation (performed by admin staff, Lori does training)Effort allocation & certificationBoard of Regents Financial ReportingJournal entry review and authorization (LD adjustments, expensetransfers, cap. expenses authorization, SEAF's)PAF review and authorizationImplementation-phase Contract ManagementSubaward generation and transmissionsCreate requisition to create POReview & seek PI approval of invoices from subrecipientsReceive on EbizSubrecipient monitoring and reportingAwarded Contract Amendments from the Sponsor (all types)Awarded Contract Amendments Requested by UNINo-cost extensions and budget revision if necessaryPI changesBudget revisionScope of work changesContract clause, terms, and/or conditions changesSend NSPA email w/NSPA and attachments to PI, Dept Head, Dean,etc.Financial report notificationTechnical report notificationProject Closeout and Final AccountingPre-term notifications and consultationWork with PI to reconcile final accountingPrepare active phase and final invoicesZero out accountMove EXPIRED to CLOSE , discard aged files, yNancyLaurie B.MicheleMicheleMaryMary
Preaward Process Flows
Office of Research and Sponsored ProgramsInternal Seed Grant CompetitionsProcess and Management
RSP, with Provost and Deans, identifies competition priorities: E.g. PreK-12education, collaboration (interdisciplinary, interinstitutional, junior/seniorfaculty), involvement of students, external grant/contract submissions Determines funding and project timelines, award sizes and numbers,RFPDevelopment eligibility, proposal instructions, etc. RSP creates scoring rubric for faculty/staff review panel based on RFP RSP releases RFP to campus RSP helps awardees to identify appropriate external funding opportunties RSP recruits faculty and staff to serve on review panelCompetition RSP receives and reviews submitted proposals for completeness, etc. anddistributes to review panel according to expertiseAwardingProjectMonitoring Faculty/staff panel reviews and ranks proposals RSP also reviews proposals and documents other considerations such as priorperformance, external funding potential etc. RSP makes recommendations to Provost for final funding decisions RSP announces awards and communicates award guidelines and deadlines RSP provides all applicants with reviewer and RSP comments on proposals RSP works with OBO to set up general fund accounts for each award Awardees initiate projects and spending RSP tracks project progress, spending, reporting, and deadlines Awardees submit project and spending reports midway through grant periods At the end of grant periods, all awardees submit final project reports andsummaries of spending RSP reviews reports and records outcomes, distributes to administrators For awards requiring external grant submissions, RSP PreAward Staff workwith awardees to plan and prepare submissions to most appropriate sourcesReporting &Submissions Awardees submit grant proposals within 6 months to 1 year of end of internalgrant period RSP continues to monitor longer-term outcomes of internal grants
Research Services Process Flows
Intellectual Property and Technology Transfer
Invoicing sponsors, receivables tracking Mary Michele Receivables tracking Mary Michele Budget reviews for expense overruns, large deficit, etc. Michele Mary Account reconciliation (performed by admin staff, Lori does training) Effort allocation & certification Michele Nancy Board of Regents Financial Reporting Nancy Michele
