Common use of High Level Business Processes Clause in Contracts

High Level Business Processes. ‌ The chart below outlines the high level business processes performed by RACE and the PI/Departments whom they serve. A detailed Roles & Responsibilities Matrix is contained in Appendix II. Pre-Award Services‌ Identifying Funding Opportunities • Meets with PI in order to gauge interest in Funding Opportunity Announcements • Collects and distributes targeted funding opportunities from all sources to PIs • Schedules kickoff meeting to initiate proposal development once PI verifies interest PI, in partnership with their Department Chair, makes final decision on whether or not to pursue the opportunity Proposal Development • Manages Cayuse/ ePTF Checklist • Assists in development of budget • Compiles all administrative components of proposal • Contacts proposed subcontractors to gather required proposal components • Drafts Letter of Intent, if applicable • Dept. Chair approves proposed cost sharing • PI alerts RACE Grants Administrator their intent to propose at least 4 weeks in advance of sponsor deadline • XX completes scientific components of the proposal and assists in budget/budget justification development Proposal Review and Submission • Compiles final proposal package, reviews, and routes ePTF for approval Dept. Chair and Senior Administrator approve ePTF (Dept. is confirming that PI is allowed to submit the proposal, and that the department is committing appropriate resources) Just in Time Submissions • Prepares all administrative components of Just in Time or other pre-award requests from the sponsor • Facilitates regulatory approvals required for Just in Time submissions • Submits all materials to ORA or Sponsor • PI prepares all scientific components of JIT submissions • XX can delegate RACE GA to assist with a JIT in eRA Commons, if desired Award Acceptance • Reviews award document and determines if revised budget is required • Facilitates regulatory approvals required to accept award • Revises budget based on awarded amount (if varies from proposed budget) • PI approves revised budget, if necessary • XX meets with RACE Grants Administrator to review award terms and conditions and grant purchasing guidelines Process RACE Responsibilities PI/ Department Responsibilities • Department Senior Administrator is notified of significant budget changes Award Modifications • Identifies need for award modification that requires ORA or Sponsor prior approval • Completes internally required forms (e.g., UPAS, ePTF) • In collaboration with XX, drafts letter of request to the Sponsor (if applicable) • Forwards required forms to ORA for review, if applicable PI and Senior Administrator approves UPAS (for advance accounts, pre-award costs, and cost sharing) Progress Report Submissions • Beginning 30 days prior to the due date of a progress report (or 45 days for paper submissions), prepares all administrative components for Progress Report submissions • Facilitates regulatory approvals required for Progress Report submissions • Submits all materials to ORA or Sponsor • PI prepares all scientific components of Progress Report submissions (including ensuring the proper publications are linked in accordance with the NIH Public Access Policy) • XX can delegate RACE GA to assist with a Progress Report in eRA Commons if desired Post-Award Services‌ Monthly Budget Reconciliation • Monitors spend patterns on sponsored accounts by reviewing data from the general ledger on a monthly basis and updating PI quarterly on balance and burn rate • Documents data into RACE internal spreadsheet in order to make accurate projections for each grant and PI • Submits Cost Transfers for unallowable expenses • Department manages non-sponsored department accounts • XX meets with RACE Grants Administrator on a quarterly basis (at a minimum) to review grant accounts and pending submissions • Department Administrator may attend monthly meetings if desired Annual Budget Management • Compiles financial information from current and pending grants in order to accurately project out for the current and upcoming fiscal year (in consultation with PI) and provides the data to the department in the template that is required to ease data entry into Hyperion. • Meets with Senior Administrator to review Department Administrator incorporates information from RACE into annual department budget (including Hyperion data entry) Process RACE Responsibilities PI/ Department Responsibilities grant budget information Salary Distribution • Completes OSD (Online Salary Distribution) Form for salary on 080/ 081 accounts • Obtains approval for salary distribution from the PI • Department Administrator approves OSD (if salary is hitting grant accounts and department non sponsored accounts) • Department Administrator initiates PAR/ PAF/ SFRAR HR Forms Effort Reporting • Reviews all effort reports to ensure accuracy • Notifies Certifier once reports have been reviewed Approved Certifier – Certifies Effort Reports Interim Financial Reporting • Reviews financial report for accuracy • Verifies carryforward amount N/A Cost Transfers • Reviews expenses on sponsored accounts on a monthly basis and identifies expenses that must be transferred in accordance with the Sponsor, ORA, and TJU policies • Prepares Cost Transfer form and completes > 90 day justification, if necessary • Routes Cost Transfer form for approval • Receives cost transfers that credit Department accounts for information purposes only • Department Administrator approves cost transfers that debit Department accounts • PI approves all cost transfers on sponsored accounts Payment of Subcontract Invoices • Reviews all invoices received from subcontractors according to the Subrecipient Invoice Review Checklist • Follows-up with subcontractors who are not submitting invoices in a timely manner • Routes to PI for approval • Routes to Accounts Payable for payment • PI approves subcontract invoices for payment if desired (ORA policy does not require a PI approval, this is at the discretion of the PI) • XX notifies RACE Grants Administrator should there be an issue with the work being completed by a subcontractor Purchasing Detail regarding the three options for Purchasing are located in Appendix IV. • Completes purchase for PI or PI’s designee (if requested) • Retains documentation related to purchases on sponsored projects • Approves purchases on sponsored projects in Ascent and in Payment Net • PI or XX’s designee identifies need for purchase • Completes purchasing request form (if utilizing RACE purchasing capability) • Forwards purchase confirmations and packing slips to RACE for auditable file Closeout • Reconcile all sponsored accounts in preparation for closeout • Process OSDs required for grants that are ending • Notify PI, purchasers, and senior department administrators that grant is ending at least 30 days prior to expiration • Ensure final subcontract and consulting invoices are received • Review final financial reports and invoices prior to submission to Sponsor • PI approves final financial reports • XX completes all final technical reports required by Sponsor • Department terminates employees (if applicable) once an award ends and processes paperwork as necessary RACE will not provide support on the following matters related to sponsored awards: • Maintaining faculty appointments • Entering departmental annual budget information into Hyperion • Travel arrangements or preparation of travel reimbursements • This includes travel related to conferences. Conference travel arrangements can include but are not limited to: registrations, abstracts, flight and hotel arrangements, and car rental. • Coordination for department related meetings • This includes the coordination of catering, medical media services, audio visual preparations etc.

High Level Business Processes. ‌ The chart below outlines the high level business processes performed by RACE ORA and the PI/Departments whom they serveserve – clinical trials business processes begin on p. 16. A detailed Roles & Responsibilities Matrix is contained in Appendix II. Pre-Award Services‌ Identifying Funding Opportunities • Meets with PI in order to gauge interest in Funding Opportunity Announcements • Collects and distributes targeted funding opportunities from all sources to PIs • Schedules kickoff meeting to initiate proposal development once PI verifies interest PI, in partnership with their Department Chair, makes final decision on whether or not to pursue the opportunity Proposal Development • Manages Cayuse/ ePTF Checklist • Assists in development of budget • Compiles all administrative components of proposal • Contacts proposed subcontractors to gather required proposal components • Drafts Letter of Intent, if applicable • Dept. Chair approves proposed cost sharing • PI alerts RACE Grants Administrator their intent to propose at least 4 weeks in advance of sponsor deadline • XX completes scientific components of the proposal and assists in budget/budget justification development Proposal Review and Submission • Reviews the application for compliance with the sponsor's requirements and Jefferson's policies and procedures relating to fiscal requirements as well as human subjects and vertebrate animals certifications/assurances • Reviews ePTF for adherence to all TJU compliance issues and proper approvals • Conducts final approval and submission to sponsor after any required changes have been made by RACE • Review level to be determined by timeframe in which the proposal is received by ORA (See Section IV) • Compiles final proposal package, reviews, and routes ePTF for approval • Dept. Chair and Senior Administrator approve ePTF (Dept. is confirming that PI is allowed to submit the proposal, and that the department is committing appropriate resources) Just in Time Submissions • Reviews the JIT materials for completeness and compliance with the sponsor's requirements and Jefferson's policies and procedures • Submits JIT materials to sponsor if submission by ORA is required • Prepares all administrative components of Just in Time or other pre-award requests from the sponsor • Facilitates regulatory approvals required for Just in Time submissions • Submits all materials to ORA or Sponsor • PI prepares all scientific components of JIT submissions • XX PI can delegate RACE GA to assist with a JIT in eRA Commons, if desired Award Acceptance • Negotiates terms as needed, reviews for compliance, reviews award budget and routes to Post-Award • Notifies RACE if updated regulatory documents are needed or budget revisions are required • Reviews award document and determines if revised budget is required • Facilitates regulatory approvals required to accept award • Revises budget based on awarded amount (if varies from proposed budget) • PI approves revised budget, if necessary • XX PI meets with RACE Grants Administrator to review award terms and conditions and grant purchasing guidelines • Department Senior Administrator is Process ORA Responsibilities RACE Responsibilities PI/ Department Responsibilities • Department Senior Administrator is Reviews subaward documents if applicable, flag for subaward notified of significant budget changes Award Modifications • Identifies need for award modification that requires ORA or Sponsor prior approval • Completes internally required forms (e.g., UPAS, ePTF) • In collaboration with XX, drafts letter of request to the Sponsor (if applicable) • Forwards required forms to ORA for review, if applicable PI and Senior Administrator approves UPAS (for advance accounts, pre-award costs, and cost sharing) Progress Report Submissions • Completes monthly check in Commons of all pending RPPRs due in the next month for NIH reports, send notification to RACE and PIs indicating ORA due date, forwards list to postaward for carryover check • Reviews progress reports for accuracy and compliance with sponsor’s requirements, verifies effort reported • Facilitates regulatory approvals required for Progress Report submissions • Approves and submits all required materials to Sponsor • Beginning 30 days prior to the due date of a progress report (or 45 days for paper submissions), prepares all administrative components for Progress Report submissions • Facilitates regulatory approvals required for Progress Report submissions • Submits all materials to ORA or Sponsor • PI prepares all scientific components of Progress Report submissions (including ensuring the proper publications are linked in accordance with the NIH Public Access Policy) • XX PI can delegate RACE GA to assist with a Progress Report in eRA Commons if desired PostAccount Establishment • Generates the account establishment memo, completing all data points; distributes to PI, RACE, department, and maintains the official copy in ORA • Notes committed level of effort & special terms and conditions on hard file alert sheet • Confirms specific ePTF information and • N/A • N/A Process ORA Responsibilities RACE Responsibilities PI/ Department Responsibilities completes the ePTF postaward tab Award Modifications (Spans both pre- and post-Award Services‌ award) • Update ePTF and route documents to post-award for account establishment • Review UPAS for accuracy and appropriate backup documentation • Verify there is an approved ePTF, check for appropriate regulatory documents • Approve request and update ePTF, notify post-award if action required • Identifies need for award modification that requires ORA or Sponsor prior approval • Completes internally required forms (e.g., UPAS, ePTF) • In collaboration with PI, drafts letter of request to the Sponsor (if applicable) • Forwards required forms to ORA for review, if applicable • PI and Senior Administrator approves UPAS (for advance accounts, pre-award costs, and cost sharing) Monthly Budget Reconciliation • Utilizes monthly financial reports to identify and pursue resolution for accounts that have expired and accounts with cash deficits. Special attention is paid to federal accounts that remain open > 90 days from the termination date • Monitors spend patterns on sponsored accounts by reviewing data from the general ledger on a monthly basis and updating PI quarterly on balance and burn rate • Documents data into RACE internal spreadsheet in order to make accurate projections for each grant and PI • Submits Cost Transfers for unallowable expenses • Department manages non-sponsored department accounts • XX PI meets with RACE Grants Administrator on a quarterly monthly basis (at a minimum) to review grant accounts and pending submissions • Department Administrator may attend monthly meetings if desired Annual Budget Management Salary Distribution • Compiles financial information from current Performs review and pending grants in order to accurately approval of all OSDs affecting a sponsored project out • Responsible for the current and upcoming fiscal year (in consultation with PI) and provides the data “auto off” process, which stops salary from posting to the department in grant automatically after the template that is required to ease data entry into Hyperionauthorized spending period has ended. • Meets with Senior Administrator to review Department Administrator incorporates information from RACE into annual department budget Responsible for the Effort Confirmation (including Hyperion data entryEC) Process RACE Responsibilities PI/ Department Responsibilities grant budget information Salary Distribution adjustment process. • Completes OSD (Online Salary Distribution) Form for salary on 080/ 081 accounts • Obtains approval for salary distribution from the PI and Department Administrator • Department Administrator approves OSD (if salary is hitting grant accounts and department non sponsored non-research accounts) • Department Administrator initiates PAR/ PAF/ SFRAR HR Forms Effort Reporting • Maintains the electronic effort system • Ensures that reports are loaded according to schedule and monitors each deadline for 100% compliance • Reviews all effort reports to ensure accuracy • Notifies Certifier once reports have been reviewed • Approved Certifier – Certifies Effort Reports Interim Financial Reporting • Reviews financial report for accuracy • Verifies carryforward amount N/A Cost Transfers • Performs review and approval of all cost transfers • Maintains data related to cost transfers (number, late, etc.) • Initiates/processes cost transfers in accordance with the TJU costing policy (to remove an unallowable cost, deficit, or any transaction required to close an account or match a final report). • Reviews expenses on sponsored accounts on a monthly basis and identifies expenses that must be transferred in accordance with the Sponsor, ORA, and TJU policies • Prepares Cost Transfer form and completes > 90 day justification, if necessary • Routes Cost Transfer form for approval • Receives cost transfers that credit Department accounts for information purposes only • Department Administrator approves cost transfers that debit Department accounts • PI approves all cost transfers on sponsored accounts Payment of Subcontract Invoices • Reviews all invoices for subawards that have been issued with special terms and conditions as part of the subrecipient monitoring process. Approves, rejects or modifies invoices as appropriate. • Performs quarterly after-the-fact review of 20% (dollar value) of subaward invoices • Oversees the quarterly PI certification process for active subawards • Reviews all invoices received from subcontractors according to the Subrecipient Invoice Review Checklist • Follows-up with subcontractors who are not submitting invoices in a timely manner • Routes to PI for approval • Routes to Accounts Payable for payment • PI approves subcontract invoices for payment if desired (ORA policy does not require a PI approval, this is at the discretion of the PI) • XX PI notifies RACE Grants Administrator should there be an issue with the work being completed by a subcontractor Purchasing Detail regarding • Reviews and approves transactions as defined in the three options for Purchasing are located in ORA signing authority document (See Appendix IVV). • Completes purchase for PI or PI’s designee (if requested) • Retains documentation related to purchases on sponsored projects • Approves purchases on sponsored projects in Ascent and in Payment Net • PI or XXPI’s designee identifies need for purchase • Completes purchasing request form (if utilizing RACE purchasing capability) • Forwards purchase confirmations and packing slips to RACE for auditable file Closeout • Notifies PI and RACE contact of pending termination and final reporting requirements • Removes salaries from terminating grants via the “ Auto off “ process in the absence of OSDs • Submits final invention reports to sponsor (after confirmation with XXX) as well as required equipment/property reports • Pursues outstanding narrative reports • Documents files with last active financial statement and all final reports with evidence of submission for audit purposes • Closes account records in ePTF and moves Jeffshare file to closed folder. • Purges files upon expiration of record retention period • Reconcile all sponsored accounts in preparation for closeout • Process OSDs required for grants that are ending • Notify PI, purchasers, and senior department administrators that grant is ending at least 30 days prior to expiration • Ensure final subcontract and consulting invoices are received • Review final financial reports and invoices prior to submission to Sponsor • PI approves final financial reports • XX PI completes all final technical reports required by Sponsor • Department terminates employees (if applicable) once an award ends and processes paperwork as necessary Pre-Award Clinical Trials Management • Reviews and negotiates CDA • Obtains PI signature and executes agreement • Processes and returns CDA to sponsor • Review ePTF for accuracy • Receives study packet from RACE will or Sponsor • Coordinates with RACE/PI/Study Team • Maintain ePTF record for routing and approval • Review budget and route for approval • Review and Approve CDA • Complete paperwork for MDG and CCRRC review • Prepare IRB submission • Approve budget Contract Development • Receives sponsor CTA or basic research • Input, as needed, for ORA negotiations • Input, as needed, for ORA negotiations and Execution (clinical and basic research contracts) contract template unless master contract exists • Reviews/drafts subcontracts and contracts • Makes required revisions to contracts • Negotiates with Sponsor • Collaborates with legal as necessary • Adds final budget to contract • Obtains regulatory approvals • Executes contracts as required Coverage Analysis • Receives study packet from RACE or Sponsor • Reviews ePTF for accuracy • Answers QCT questions if not provide support on the following matters related device study • Identifies items and procedures as research or standard of care • Enters results into billing grid • Sends to sponsored awards: PI/Study Team to review and approve MCA • Maintaining faculty appointments Submits appropriate IDE submission to Medicare (if device). After IRB approval • Entering departmental annual Input, as needed, for ORA MCA development • Input, as needed, for ORA development • Final review and approval Clinical Trial Budgets • Develops internal study budget information into Hyperion • Travel arrangements or preparation as a result of travel reimbursements • This includes travel related to conferences. Conference travel arrangements can include but are not limited to: registrationsMCA using charge master research rates, abstractsappropriate technical charges, flight and hotel arrangementsapplicable professional fees, relevant salary information, supplemental charges, and car rentalstartup costs. • Coordination Interacts with RACE/Study Team during budget development • Populates budget with patient care, personnel, fixed, and variable costs • Makes any adjustments as a result of • Input, as needed, for department related meetings ORA budget development • This Input, as needed, for ORA budget development • Final budget approval Process ORA Responsibilities RACE Responsibilities PI/ Study Team MCA/RACE/Study Team • Converts internal budget to draft sponsor budget, includes the coordination margin on budgeted research rates • Negotiates with sponsor as required • Adds final budget to contract, reviews terms within contract and negotiates as needed Clinical Trial Invoicing/AR Management • Renegotiate contract as required • Monitors cash vs. expense variance during monthly review. Request AR information from RACE as needed. • Review study calendars and milestones • Generate invoice and submit to sponsor • Receive payment and ensure it is applied to appropriate clinical trial account • Monitor accounts receivable and escalate risky AR (AR not paid within 120 days of cateringinvoicing) for potential bad debt write off • Notifies ORA and PI if contract should be amended due to accrual/financial implications • Enter patient data in tracking system • Confirm milestones have been reached and RACE can invoice sponsor • Confirm payment received is tied to specific protocol Clinical Trial Closeout • Negotiate termination letter, medical media as required • Actively pursue financial closeout after notification of IRB closeout or study termination • Confirms disposition of residual balance in contract • Reviews and approves RACE closeout letter to ensure that all requirements have been met • Alternatively, initiate closeout under authorization granted by Costing policy • See standard closeout activities listed under post-award services, audio visual preparations etc.. • Reconcile account financials • Confirm contract terms for closure • General final invoice for unbilled activity • Receive final payment • Close account • Confirm study outcomes • Conduct site close-out activities • Draft final letter/communication to sponsor • Approve study for closing

High Level Business Processes. ‌ The chart below outlines the high level business processes performed by RACE and the PI/Departments whom they serve. A detailed Roles & Responsibilities Matrix is contained in Appendix II. Pre-Award Services‌ Identifying Funding Opportunities • Meets with PI in order to gauge interest in Funding Opportunity Announcements • Collects and distributes targeted funding opportunities from all sources to PIs on Jefferson Research Website • Schedules kickoff meeting to initiate proposal development once PI verifies interest PI, in partnership with their Department Chair, makes final decision on whether or not to pursue the opportunity PI, utilizes Pivot Database supported through Xxxxxxxxx’x library Proposal Development • Manages Cayuse/ ePTF Cayuse 424 / Cayuse SP Checklist • Assists in development of budget • Compiles all administrative components of proposal • Contacts proposed subcontractors to gather required proposal components • Drafts Letter of Intent, if applicable • Dept. Chair approves proposed cost sharing • PI alerts RACE Grants Administrator their intent to propose at least 4 weeks in advance of sponsor deadline • XX completes scientific components of the proposal and assists in budget/budget justification development Proposal Review and Submission • Compiles final proposal package, reviews, and routes ePTF Cayuse SP for approval Dept. Chair and Senior Administrator approve ePTF Cayuse SP (Dept. is confirming that PI is allowed to submit the proposal, and that the department is committing appropriate resources) Just in Time Submissions • Prepares all administrative components of Just in Time or other pre-award requests from the sponsor • Facilitates regulatory approvals required for Just in Time submissions • Submits all materials to ORA or Sponsor • PI prepares all scientific components of JIT submissions • XX can delegate RACE GA to assist with a JIT in eRA Commons, if desired Award Acceptance • Reviews award document and determines if revised budget is required • Facilitates regulatory approvals required to accept award • Revises budget based on awarded amount (if varies from proposed budget) • PI approves revised budget, if necessary • XX meets with RACE Grants Administrator to review award terms and conditions and grant purchasing guidelines Process RACE Responsibilities PI/ Department Responsibilities • Department Senior Administrator is notified of significant budget changes Award Modifications • Identifies need for award modification that requires ORA or Sponsor prior approval • Completes internally required forms (e.g., UPAS, ePTFCayuse SP) • In collaboration with XX, drafts letter of request to the Sponsor (if applicable) • Forwards required forms to ORA for review, if applicable PI and Senior Administrator approves UPAS (for advance accounts, pre-award costs, and cost sharing) Progress Report Submissions • Beginning 30 days prior to the due date of a progress report (or 45 days for paper submissions), prepares all administrative components for Progress Report submissions • Facilitates regulatory approvals required for Progress Report submissions • Submits all materials to ORA or Sponsor • PI prepares all scientific components of Progress Report submissions (including ensuring the proper publications are linked in accordance with the NIH Public Access Policy) • XX can delegate RACE GA to assist with a Progress Report in eRA Commons if desired Post-Award Services‌ Monthly Budget Reconciliation • Monitors spend patterns on sponsored accounts by reviewing data from the general ledger on a monthly regular basis and updating PI quarterly on balance and burn rate • Documents data into RACE internal spreadsheet in order to make accurate projections for each grant and PI • Submits Cost Transfers for unallowable expenses • Department manages non-sponsored department accounts • XX meets with RACE Grants Administrator on a quarterly basis (at a minimum) to review grant accounts and pending submissions • Department Administrator may attend monthly meetings if desired Annual Budget Management • Compiles financial information from current and pending grants in order to accurately project out for the current and upcoming fiscal year (in consultation with PI) and provides the data to the department in the template that is required to ease data entry into Hyperion. • Meets with Senior Administrator to review Department Administrator incorporates information from RACE into annual department budget (including Hyperion data entry) Process RACE Responsibilities PI/ Department Responsibilities • Meets with Senior Administrator to review grant budget information Salary Distribution • Completes OSD (Online Salary Distribution) Form for salary on 080/ 081 08x accounts • Obtains approval for salary distribution from the PI • Department Administrator approves OSD (if salary is hitting grant accounts and department non sponsored accounts) • Department Administrator initiates PAR/ PAF/ SFRAR HR Forms Effort Reporting • Reviews all effort reports to ensure accuracy in a timely fashion, allowing time for certifier (3 business days) • Notifies Certifier once reports have been reviewed Approved Certifier – Certifies Effort Reports Interim Financial Reporting • Reviews financial report for accuracy • Verifies carryforward amount N/A Cost Transfers • Reviews expenses on sponsored accounts on a monthly regular basis and identifies expenses that must be transferred in accordance with the Sponsor, ORA, and TJU policies • Prepares Cost Transfer form and completes > 90 day justification, if necessary • Routes Cost Transfer form for approval • Receives cost transfers that credit Department accounts for information purposes only • Department Administrator approves cost transfers that debit Department accounts • PI approves all cost transfers on sponsored accounts Payment of Subcontract Invoices • Reviews all invoices received from subcontractors according to the Subrecipient Invoice Review Checklist • Follows-up with Notifies ORA of subcontractors who are not submitting invoices in a timely manner • Routes Maintains record of all invoices submitted. Coordinates with ORA confirmation of accurate posting of invoices submitted to A/P for processing; • Reviews subrecipient spending patterns with PI for approval • Routes to Accounts Payable for Informs ORA of payment or subrecipient performance issues • PI approves subcontract final invoices for payment if desired (ORA policy does not require a PI approval, this is at the discretion with exception of the PI) final invoices, under fixed price agreements & patient-related invoices. • XX notifies RACE Grants Administrator and ORA should there be an issue with the work being completed by a subcontractor Purchasing Detail regarding the three options for Purchasing are located in Appendix IVIII. • Completes purchase for PI or PI’s designee (if requested) • Retains documentation related to purchases on sponsored projects • Approves purchases on sponsored projects in Ascent and in Payment Net • PI or XX’s designee identifies need for purchase • Completes purchasing request form (if utilizing RACE purchasing capability) • Forwards purchase confirmations and packing slips to RACE for auditable file Closeout • Reconcile all sponsored accounts in preparation for closeout • Process OSDs required for grants that are ending • Notify PI, purchasers, and senior department administrators that grant is ending at least 30 days prior to expiration • Ensure final subcontract and consulting invoices are received • Review final financial reports and invoices prior to submission to Sponsor • Contact PI for technical report follow-up • PI approves final financial reports • XX completes all final technical reports required by Sponsor • Department terminates employees (if applicable) once an award ends and processes paperwork as necessary RACE will not provide support on the following matters related to sponsored awards: • Maintaining faculty appointments • Entering departmental annual budget information into Hyperion • Travel arrangements or preparation of travel reimbursements • This includes travel related to conferences. Conference travel arrangements can include but are not limited to: registrations, abstracts, flight and hotel arrangements, and car rental. • Coordination for department related meetings • This includes the coordination of catering, medical media services, audio visual preparations etc.

High Level Business Processes. ‌ The chart below outlines the high level business processes performed by RACE and the PI/Departments whom they serve. A detailed Roles & Responsibilities Matrix is contained in Appendix II. Pre-Award Services‌ Identifying Funding Opportunities • Meets with PI in order to gauge interest in Funding Opportunity Announcements • Collects and distributes targeted funding opportunities from all sources to PIs on Jefferson Research Website • Schedules kickoff meeting to initiate proposal development once PI verifies interest PI, in partnership with their Department Chair, makes final decision on whether or not to pursue the opportunity PI, utilizes Pivot Database supported through Xxxxxxxxx’x library Proposal Development • Manages Cayuse/ ePTF Cayuse 424 / Cayuse SP Checklist • Assists in development of budget • Compiles all administrative components of proposal • Contacts proposed subcontractors to gather required proposal components • Drafts Letter of Intent, if applicable • Dept. Chair approves proposed cost sharing • PI alerts RACE Grants Administrator their intent to propose at least 4 weeks in advance of sponsor deadline • XX completes scientific components of the proposal and assists in budget/budget justification development Proposal Review and Submission • Compiles final proposal package, reviews, and routes ePTF Cayuse SP for approval Dept. Chair and Senior Administrator approve ePTF Cayuse SP (Dept. is confirming that PI is allowed to submit the proposal, and that the department is committing appropriate resources) Just in Time Submissions • Prepares all administrative components of Just in Time or other pre-award requests from the sponsor • Facilitates regulatory approvals required for Just in Time submissions • Submits all materials to ORA or Sponsor • PI prepares all scientific components of JIT submissions • XX can delegate RACE GA to assist with a JIT in eRA Commons, if desired Award Acceptance • Reviews award document and determines if revised budget is required • Facilitates regulatory approvals required to accept award • Revises budget based on awarded amount (if varies from proposed budget) • PI approves revised budget, if necessary • XX meets with RACE Grants Administrator to review award terms and conditions and grant purchasing guidelines Process RACE Responsibilities PI/ Department Responsibilities • Department Senior Administrator is notified of significant budget changes Award Modifications • Identifies need for award modification that requires ORA or Sponsor prior approval • Completes internally required forms (e.g., UPAS, ePTFCayuse SP) • In collaboration with XX, drafts letter of request to the Sponsor (if applicable) • Forwards required forms to ORA for review, if applicable PI and Senior Administrator approves UPAS (for advance accounts, pre-award costs, and cost sharing) Progress Report Submissions • Beginning 30 days prior to the due date of a progress report (or 45 days for paper submissions), prepares all administrative components for Progress Report submissions • Facilitates regulatory approvals required for Progress Report submissions • Submits all materials to ORA or Sponsor • PI prepares all scientific components of Progress Report submissions (including ensuring the proper publications are linked in accordance with the NIH Public Access Policy) • XX can delegate RACE GA to assist with a Progress Report in eRA Commons if desired Post-Award Services‌ Monthly Budget Reconciliation • Monitors spend patterns on sponsored accounts by reviewing data from the general ledger on a monthly basis and updating PI quarterly on balance and burn rate • Documents data into RACE internal spreadsheet in order to make accurate projections for each grant and PI • Submits Cost Transfers for unallowable expenses • Department manages non-sponsored department accounts • XX meets with RACE Grants Administrator on a quarterly basis (at a minimum) to review grant accounts and pending submissions • Department Administrator may attend monthly meetings if desired Annual Budget Management • Compiles financial information from current and pending grants in order to accurately project out for the current and upcoming fiscal year (in consultation with PI) and provides the data to the department in the template that is required to ease data entry into Hyperion. • Meets with Senior Administrator to review Department Administrator incorporates information from RACE into annual department budget (including Hyperion data entry) Process RACE Responsibilities PI/ Department Responsibilities grant budget information Salary Distribution • Completes OSD (Online Salary Distribution) Form for salary on 080/ 081 accounts • Obtains approval for salary distribution from the PI • Department Administrator approves OSD (if salary is hitting grant accounts and department non sponsored accounts) • Department Administrator initiates PAR/ PAF/ SFRAR HR Forms Effort Reporting • Reviews all effort reports to ensure accuracy • Notifies Certifier once reports have been reviewed Approved Certifier – Certifies Effort Reports Interim Financial Reporting • Reviews financial report for accuracy • Verifies carryforward amount N/A Cost Transfers • Reviews expenses on sponsored accounts on a monthly basis and identifies expenses that must be transferred in accordance with the Sponsor, ORA, and TJU policies • Prepares Cost Transfer form and completes > 90 day justification, if necessary • Routes Cost Transfer form for approval • Receives cost transfers that credit Department accounts for information purposes only • Department Administrator approves cost transfers that debit Department accounts • PI approves all cost transfers on sponsored accounts Payment of Subcontract Invoices • Reviews all invoices received from subcontractors according to the Subrecipient Invoice Review Checklist • Follows-up with subcontractors who are not submitting invoices in a timely manner • Routes to PI for approval • Routes to Accounts Payable for payment • PI approves subcontract invoices for payment if desired (ORA policy does not require a PI approval, this is at the discretion of the PI) • XX notifies RACE Grants Administrator should there be an issue with the work being completed by a subcontractor Purchasing Detail regarding the three options for Purchasing are located in Appendix IV. • Completes purchase for PI or PI’s designee (if requested) • Retains documentation related to purchases on sponsored projects • Approves purchases on sponsored projects in Ascent and in Payment Net • PI or XX’s designee identifies need for purchase • Completes purchasing request form (if utilizing RACE purchasing capability) • Forwards purchase confirmations and packing slips to RACE for auditable file Closeout • Reconcile all sponsored accounts in preparation for closeout • Process OSDs required for grants that are ending • Notify PI, purchasers, and senior department administrators that grant is ending at least 30 days prior to expiration • Ensure final subcontract and consulting invoices are received • Review final financial reports and invoices prior to submission to Sponsor • PI approves final financial reports • XX completes all final technical reports required by Sponsor • Department terminates employees (if applicable) once an award ends and processes paperwork as necessary RACE will not provide support on the following matters related to sponsored awards: • Maintaining faculty appointments • Entering departmental annual budget information into Hyperion • Travel arrangements or preparation of travel reimbursements • This includes travel related to conferences. Conference travel arrangements can include but are not limited to: registrations, abstracts, flight and hotel arrangements, and car rental. • Coordination for department related meetings • This includes the coordination of catering, medical media services, audio visual preparations etc.desired