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Responsible Party |
Procedure/Task |
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SET-UP |
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1. |
Department |
Informs Controller's Division and contract office of grants and other sponsored contracts/agreements awarded to the Chancellor's Office by sending a copy of 1) the award notification, 2) the approved budget, and 3) the submitted proposal. |
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2. |
Controller's Division |
Reviews the award for proper classification and establishes in FIS necessary grant, fund, and index codes for the award and for any cost share commitments. |
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BUDGET |
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3. |
Department |
Provides Controller's Division with budget breakdown. Requests budget adjustments as needed. Subsequent line-item budget changes must be in expense categories within the same fund and must be in balance. The documentation must include a clear description of the requested change and approval from the PI. |
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4. |
Controller's Division |
Inputs original approved grant budget and subsequent adjustments based on the PI's request. |
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5. |
Controller's Division |
Inputs the original and subsequent adjustments for required cost-sharing funds committed to the grants. |
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PROCUREMENT AND CONTRACTS |
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6. |
PI |
Works with contract office on a time-table for procurements and contracts. |
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7. |
PI |
Drafts scopes of work and deliverables for awards, contracts, and RFPs.
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OPERATIONAL ACTIVITIES |
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8. |
Contract Office |
Completes the RFP process, including but not limited to:
- Prepares RFP document
- Posts/Advertised RFP
- Responds to questions
- Notifies vendors of results
|
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9. |
PI |
Ensures that all expenditures are approved activities under the grant. |
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10. |
PI |
Obtains written clarification from sponsoring agency as needed (e.g., allowable expenses) and provides a copy of these clarifications to the Controller's Division and contract office. |
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11. |
PI |
Gains approval from Controller's Division and contract office for grant amendments submitted to the agency for changes that materially affect the scope of work or budget. |
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12. |
Contract Office |
Generates and executes subawards and contracts. |
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13. |
PI and Grant Staff |
Upon receipt of award or amendment, reviews the agreement for all special restrictions, start date and end date, cost sharing agreements, and non-financial reporting requirements. Follows all award conditions. |
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14. |
Controller's Division |
Works with PI to develop an annual risk assessment of subrecipients. |
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15. |
PI and Grant Staff |
Be trained and familiar with the applicability of OMB Circular A-110 and A-21 to the grant. |
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16. |
PI |
Initiates labor distribution forms. See section 45.30 “Pay Distribution Changes” for procedures for processing labor distribution changes. |
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17. |
PI and Grant Staff |
Requests purchase orders from Controller's Division. |
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18. |
PI and Delegates |
Reviews and approves payment documents and sends to Controller's Division for processing. |
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19. |
PI Supervisor |
Approves all payments over $25,000. |
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20. |
PI |
Ensures that recording of actual costs are consistent with the proposal budget. |
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21. |
PI |
Reviews subaward invoices for cost reasonableness as compared to progress towards work accomplished. |
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22. |
PI |
Monitors fiscal activity, including monthly review/reconciliation of grant activity. Compares actual costs with proposal budget for consistency. Initiates needed corrections within 90 days of the original transaction date. |
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23. |
PI Supervisor |
Monitors fiscal activity including monthly review of grant activity. |
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24. |
PI |
Supervises project staff and ensures they do not exceed 1.0 FTE for all activities combined. |
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25. |
PI and Grant Staff |
Completes monthly Effort Certification forms. |
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26. |
PI |
Reviews and approves all payment documents for cost sharing expenses on individual cost sharing fund(s). |
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27. |
PI |
Completes all reports or other deliverables (in coordination with Controller’s Division) to ensure the Chancellor's Office receives funds to recover project expenditures. |
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28. |
Controller's Division |
Reviews all fiscal reports (in coordination with PI, grant staff, and PI supervisor) to ensure accuracy with accounting records. |
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29. |
Controller's Division |
Processes on a monthly basis draw-down requests for cost reimbursable grants to obtain funds from the sponsor for expense reimbursements and notifies grant staff by e-mail. |
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30. |
Controller's Division |
Processes actual transfers of General Fund quarterly on a journal voucher from the home department index or from other Chancellor's Office organization, depending on the agreements, to the cost-sharing fund to pay for the expenditures recorded. |
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31. |
PI |
Seeks sponsoring agency’s agreement in writing, when necessary, on no-cost extension prior to the end of the grant period. A copy of any approved extensions should be mailed to the Controller’s Division. |
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32. |
Controller's Division |
Prepares and mails required invoices to sponsors. |
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33. |
Controller's Division |
Receives and deposits sponsor payments. |
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34. |
Controller's Division |
Maintains accounts receivable. Initiates past-due notices and collection procedures. |
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35. |
Controller's Division |
Performs post-transaction reviews to ensure that:
- expenses are posted to appropriate grant and grant year;
- grant budget, cost-sharing budget and subsequent adjustments are recorded accurately;
- grant expenses and revenues are accrued at fiscal year-end accurately;
- indirect cost recovery is recorded in the General Fund and accurately accrued at year-end; and
- actual costs recorded are consistent with the proposed budget and in compliance with A-21 and grant requirements.
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36. |
Controller's Division |
Includes Chancellor’s Office grants/contracts revenues and expenditures with other OUS universities’ data in the annual system-wide A-133 Federal Compliance Report. |
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