HR Business Blueprint Document Template - Michigan … · Web viewAdvance awards are used when a...

Kuali Coeus Research Administration ProjectBusiness Process Design Document: Award Future State

KC-AWD5 Advance

1. Process Overview

NOTE: The purpose of this document is to describe the future process at MSU. This is the defined procedure, AFTER the implementation of the Kuali Coeus Research Administration system.

NOTE: the Principal Investigator is referred to throughout this document by the term, “PI.” This term is intended to include the PI and/or anyone designated by the PI.

This process begins when a proposal has been submitted, and ends when the advance award had been converted to a standard award, or the unfunded advance account has been closed.

Advance awards are used when a principal investigator (PI) requests expedited award setup, when OSP believes an award is imminent and the college allows advance awards. The advantage of an advance award is that project expenditures can be applied to the correct account when they are first incurred.

Many institutions have had audit findings because a faculty member used an unrelated federal account to fund expenses for an unfunded research project. This is a serious breach of internal control procedures, and damages the reputation of the faculty member, the department, and the university. Due to federal audit techniques, a few inappropriate expenditures can be extrapolated to all MSU awards. This has the potential to multiply a small error into a large amount of questioned costs, as well as penalties, fines, fees, and loss of funding.

An advance award will allow the PI to begin work. CGA will create an award and assign an account number, but no funds will be added until the award is received and fully executed.

In order to qualify for an advance award, a college needs to agree to accept the associated risk since OSP/CGA does not cover losses on advance awards. Approval for a college to use an advance award is effective as soon as the dean signs and returns the request memo to CGA.

Any advance accounts can be suspended until existing advance awards are negotiated. Advance awards cannot be setup until a Proposal Development document has been processed and compliance approvals (e.g. conflicts of interest, human subjects, animal use, and export control certifications) have been secured. If cost sharing requirements are known, the details of how it will be met are necessary before an advance award can be established.

To assist with monitoring, CGA produces a web-based report for colleges and departments to quantify the risk associated with advance awards. Once MSU receives an award notice or fully executed agreement from the sponsor, the advance award is

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KC-AWD5 Advance

modified to a standard award. If the proposal is not funded, it is the department’s responsibility to transfer any expenses from the advance account to an unrestricted departmental account, so CGA can close the advance account.



KC-AWD5 Advance

2. Process Flow – Diagram



KC-AWD5 Advance



KC-AWD5 Advance

3. Process Flow - StepsBusiness Process

Step

Business Process Step

NameDescription of Business Process Step

Input to Business Process

Output of Business Process

Responsible Party

1 Submitted Proposal

OSP determines if the proposal meets MSU and the sponsor requirements. If so, the proposal is submitted to the sponsor.

Review Decision OSP

2 Receive proposal

The sponsor receives the proposal submitted by OSP.

Proposal Proposal Sponsor

3 Consider proposal for award

The sponsor reviews the proposal. Proposal Review Sponsor

4 Awarded? The sponsor determines if the proposal should be awarded.

Review Decision Sponsor

5 Send notification of pending award

The sponsor sends notification to OSP and/or the PI that an award is likely to be made.

Decision Notification Sponsor

6 Receive notification of pending award

OSP receives notification from the sponsor that an award is likely to be made. Negotiation of terms & conditions and amount begins.

Notification Receipt of notice

OSP

7 Receive notification of pending award

The PI receives notification from the sponsor that an award is likely.

Notification Receipt of notice

PI (and/or designee)

8 Request an advance?

The PI considers requesting an advance award.

Consideration

Decision PI (and/or designee)

9 Receive request for advance award

The PI determines if an advance award should be requested. If so, the PI will send a request for an advance award to OSP.

Decision A request for an advance award


10 College approved for advance?

OSP reviews the website for the list of colleges signed up for advance awards and verifies the college is on the list. (See references below for location of the website.)

Receipt of Request

Decision OSP

11 Award likely? OSP determines if the pending award is eligible for an advance award.

Consideration

Decision OSP



KC-AWD5 Advance

Business Process

Step





Responsible Party

12 Receive notification that the award is not approved for an advance award

If OSP determines the pending request does not meet the criteria for an advance award, they notify the PI that an advance award cannot be created.

Notification sent

Notification received

OSP

13 Request a hardship?

The PI determines if a hardship should be requested.

Declined advance award

Decision on if the request a hardship award

PI

14 Request hardship

If the PI determines that a hardship should be requested, then see process KC-AWD4 Hardship.

Yes decision on if to request hardship

Go to process KC-AWD4 Hardship

PI

15 Send notification that award is approved for an advance award

OSP determines an agreement has been received and meets advance award criteria.

Decision Notification OSP

16 Send notification of ineligibity for advance award

If the college listed as the lead unit on the Institutional Proposal document is not approved for advance awards, OSP notifies the PI.

Notification sent


OSP

17 Receive notification indicating ineligibility for advance award

The PI receives notification from OSP that the college has not signed-up for advance award.

Notification sent



18 Submit request for completion of application for approval of advance award

The PI may send a request to the college listed as lead unit on the Institutional Proposal document to sign-up for advance award.

Decision Request PI (and/or designee)

19 Receive request for application of approval for advance award

The college listed as lead unit on the Institutional Proposal document receives the request from the PI.

Request Receipt of Request

Dept./ College



KC-AWD5 Advance

Business Process

Step





Responsible Party

20 Apply? The college will then determine if they wish to apply for an advance award.

Request Review Dept./ College

21 Complete request for approval of advance award

If the college decides to apply for advance awards, the dean’s office completes the form for advance award on CGA’s website. (See references below for location of the website.)

Decision Completed form

Dept./ College

22 Submit request for approval of advance award

The college submits the completed sign-up form and forwards the completed form to CGA.

Signed form Submitted form

Dept./ College

23 Receive and process request for approval of advance award

CGA receives the completed form and adds the unit to the Advanced awards– Participating Colleges & Units list at the address listed in references below.

Submitted form

Unit added to participating college list on CGA site

CGA

24 Verify that all compliance approvals and cost share verifications have been received

OSP reviews the Institutional Proposal document to determine the need for compliance approvals and anticipated cost share commitments.

Institutional Proposal document

Institutional Proposal document reviewed

OSP

25 Received? OSP determines if all required compliance approvals and anticipated cost share commitment verifications have been received.

Review Decision OSP

26 Request and receive compliance approvals and/or cost share verification

OSP requests missing documentation from the PI to obtain any needed information for compliance approvals and/or cost share verification.

Missing information requested

Missing information received

OSP

27 Create award document in KC

OSP creates an award in KC, links the institutional proposal to the award and may elect to apply a sponsor template. OSP routes the document to CGA to complete the award document.

Missing information received

Award document started

OSP

28 Review and finalize award in KC

CGA reviews and finalizes the award in KC. CGA needs to complete the institutional authorization on the Commitment tab in KC.

Data entry Award set up in KC

CGA



KC-AWD5 Advance

Business Process

Step





Responsible Party

29 Set up account in KFS

CGA will set up an account in KFS. Data Entry Account set up in KFS

CGA

30 Effort information is sent electronically

Effort information is sent electronically and reviewed and accepted by CGA.

Data Entry Effort information

CGA

31 Send notification of advance account

CGA sends notification to the PI that an advance award has been established. The notification includes the account number, terms, and responsibilities for advance awards.


Notification sent

OSP

32 Receive notification of advance account

Notification is received by OSP that the advance account has been set up.


Notification sent

OSP

33 Receive notification of advance account

Notification is received by the PI that the advance account has been set up.

Notification sent

Receipt of notification


34 Begin Project The project begins. Approval of award

Start of project


35 Review outstanding report for advance award

CGA reviews the outstanding report for advance awards.

Advance award report complete

Advance award report reviewed

CGA

36 Complete negotiations

Negotiations with the sponsor result in a fully executed award agreement.

Negotiation Decision Sponsor

37 Complete negotiations

OSP or MSU Business Connects negotiations result in a fully executed award agreement with the sponsor.

Negotiation Decision OSP/MSU Business Connect

38 Fully-executed?

OSP or MSU Business Connect determines whether negotiations resulted in a fully executed award agreement.

Negotiated results

Decision OSP/MSU Business Connect

39 Modify to standard award

If OSP or MSU Business Connect has a fully executed award agreement, the advance award is edited and routed to CGA to complete the award. Refer to process KC-AWD2 Standard Award.


Conversion to standard award

OSP/MSU Business Connect

40 Notify the PI to transfer expenses

If negotiations did not result in a fully-executed award agreement, CGA sends notification to the PI that any expenses incurred on the advance account must be transferred to a department account.


Notification sent

CGA



KC-AWD5 Advance

Business Process

Step





Responsible Party

41 Receive notification

The PI receives notification that an award was not issued and any expenses incurred on the advance account must be transferred to a department account.




42 Transfer expenses

The PI transfers any expenses incurred on the advance account to a department account.


Expenses transferred


43 Close advance award and account

The advance award and account are closed by CGA once all expenses have been transferred to a department account.

Expenses transferred

Award and account closed

CGA


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