SLA Version 5-Updated 02/01/19
SERVICE LEVEL AGREEMENT:
THOMAS JEFFERSON UNIVERSITY
RESEARCH ADMINISTRATION CENTER OF EXCELLENCE (RACE)
February 01, 2019
2
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Table of Contents
Acronyms List …………………………………………………………………………………………………………………………………...3
Section I – General Information and Objectives ............................................................................................................................... 4
SLA Purpose and Expectation .......................................................................................................................................................... 4
RACE Mission ................................................................................................................................................................................... 4
RACE Vision ..................................................................................................................................................................................... 4
RACE Guiding Principles .................................................................................................................................................................. 4
RACE Goals ...................................................................................................................................................................................... 4
RACE Structure ................................................................................................................................................................................ 5
Section II – RACE Service Components ........................................................................................................................................... 5
Expectations for Response ............................................................................................................................................................... 5
RACE Services ................................................................................................................................................................................. 6
Section III – RACE Performance Metrics .......................................................................................................................................... 6
Tracking Effectiveness ...................................................................................................................................................................... 6
Pre-award ................................................................................................................................................................................ 6
Post-award .............................................................................................................................................................................. 6
Faculty Service Related Metrics .............................................................................................................................................. 7
Escalation Procedures: Failure to Meet Performance Expectations ................................................................................................. 7
Section IV – SLA Maintenance ......................................................................................................................................................... 7
Conditions Requiring Maintenance ................................................................................................................................................... 7
Periodic Review of SLA .................................................................................................................................................................... 7
Ad Hoc Maintenance Requests ........................................................................................................................................................ 8
SLA Modification Review .................................................................................................................................................................. 8
Appendix ........................................................................................................................................................................................... 9
I. Business Processes ............................................................................................................................................................. 9
Pre-Award Services................................................................................................................................................................. 9
Post-Award Services ............................................................................................................................................................. 10
II. Roles and Responsibilities Matrix ..................................................................................................................................... 13
III. Purchase Program Components ..………........................................................................................................................ 29
RACE Purchasing Support ………………………………………………………………………………………….....................… 29
Sponsored Sources PCard …………………………………………………………………………………………………………... 29
Departmental Purchasing ……………………………………………………………………………………………………………. 30
3
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Acronyms List
1. A/R: Accounts Receivable
2. Cayuse SP: Cayuse Sponsored Programs
3. CCR: Central Contractor Registration
4. CCRRC: Cancer Clinical Research Review Committee
5. CDA: Confidentiality Disclosure Agreement
6. CITI: Collaborative Institutional Training Initiative
7. COI: Conflict of Interest
8. eRA: Electronic Research Administration
9. F&A: Facilities and Administrative
10. PO: Purchase Order
11. FAC: Faculty Advisory Committee
12. FFR: Federal Financial Report
13. GA: Grants Administrator
14. GL: General Ledger
15. HR: Human Resources
16. IACUC: Institutional Animal Care and Use Committee
17. IDC: Indirect Costs
18. IDE: Investigational Device Exemption
19. IRB: Institutional Review Board
20. JIT: Just in Time
21. MCA: Medicare Coverage Analysis
22. MDG: Multidisciplinary Groups
23. NCE: No Cost Extension
24. NIH: National Institutes of Health
25. NOA: Notice of Award
26. NSF: National Science Foundation
27. ORA: Office of Research Administration
28. OSD: Online Salary Distribution
29. PAF: Personnel Action Form
30. PAR: Personnel Action Request
31. PI: Principal Investigator
32. PMS: Payment Management System
33. QCT: Qualifying Clinical Trial
34. R&D: Research and Development
35. RACE: Research Administration Center of Excellence
36. SFRAR: Salaried Faculty Recruitment Authorization Request
37. SLA: Service Level Agreement
38. SPAO: Sponsored Program Accounting Office
39. TJU: Thomas Jefferson University
40. UPAS: University Prior Approval System
4
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Section I – General Information and Objectives
SLA Purpose and Expectation
The purpose of this Service Level Agreement (SLA) is to establish the foundation for a cooperative partnership
between the Research Administration Center of Excellence (RACE) and the departments, colleges, and campuses it
serves.
This SLA will outline:
• The services that RACE offers and the working relationship between RACE and the departments, colleges, and
campuses served
• The key performance indicators used to measure the quality of service provided
RACE will work closely with the departments to meet their research administration needs. Communication, feedback,
and accountability are critical to ensure excellent service.
RACE Mission
RACE's mission is to provide pre- and post-award research administration to all of the departments of
Thomas Jefferson University. Superior and standard service can be expected due to our staff members’
expertise in pre- and post-award services, as well as their knowledge regarding the individual PIs,
departments, institutes, colleges, and campuses they support.
RACE Vision
Handling the business of research so faculty can perform the research
RACE Guiding Principles
1.
Faculty Service: Excellent service to faculty is at the core of everything we do. When problems arise, we
focus on finding solutions.
2.
Communication: We value open, genuine, and honest communication. We provide clear and transparent
communications to our faculty and key stakeholders.
3.
Integrity and Respect: We maintain a mutual respect for each other and those we serve. Integrity is
fundamental to all of our transactions, and we keep the “big picture” for TJU in mind and resist the temptation
to protect our local interests.
RACE Goals
1.
High level of expert and professional support for all researchers on all campuses
2.
Clear roles and responsibilities for RACE staff members and their faculty
5
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
3.
Comprehensive and ongoing training for RACE staff members to ensure employees remain engaged and
are constantly learning and growing
4.
Professional and attainable career path for RACE staff to ensure we attract and retain the highest quality
talent
5.
Streamlined and standardized processes that support researchers and the increasingly complex and
competitive research environment
6.
Tailored solutions to research administration questions and issues that best meet the needs of TJU and
faculty
RACE Structure
Each Department will have a designated RACE staff member to serve both pre- and post-award research
administration needs from one of four RACE teams. If your RACE Grants Administrator is out of the office for a
planned or unplanned absence, a designated back-up individual will be available to meet your needs from the same
RACE team.
The current list of RACE teams and the departments they serve can be found on the Thomas Jefferson University
RACE website
.
The Director of RACE reports to the Senior Vice President for Administration, with a secondary reporting relationship
to the Executive Vice President and Chief Operating Officer. RACE performance evaluations will be based on input
from the PIs and the department administrators with whom RACE works closely. During annual performance
evaluations, the RACE Director and Associate Directors will solicit PI and department administrator views on the
performance of the staff member serving the corresponding department. Should performance issues arise at other
times, the PI, Dept. Chair or department administrator may contact the individual’s supervisor. It is critical that
performance issues are brought to the attention of supervisors as soon as they become a concern.
Section II – RACE Service Components
RACE Locations
The RACE offices serving your department are located in the [INSERT LOCATION HERE]. The expectation is that
your RACE Grants Administrator is completely mobile and should meet you either in your office or lab, should you
require an in-person meeting. In addition, drop-in visits to your Grants Administrator’s office are always welcome;
however, you are encouraged to call or e-mail to ensure your RACE Grants Administrator is in the office as they may
be with another PI.
Expectations for Response
RACE staff will respond to any request (whether submitted by a PI, Dept. Chair or department administrator)
submitted within two business days, with the understanding that when a PI and Grants Administrator are actively
working on a proposal, communication will be more frequent. In the event that your RACE staff member is out of the
office on a planned or unplanned absence, their designated back-up staff member will address your request. For
6
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
planned absences, RACE staff members will be required to notify their PIs and department administrators of the
individual who will be serving as their back-up while they are gone. For unplanned absences, RACE staff members
will be required to leave contact information for their back-up via their out-of-office message in Outlook.
While RACE staff will constantly strive to meet expected service goals, please be aware of the following annual
events that may impact processing time:
• Increased financial reporting requirements due to the institution’s annual budgeting process
• NIH proposal cycle deadlines
• TJU Fiscal Year closing
RACE Services
RACE will work with ORA, SPAO, the departments, and the PI who will collaborate and collectively be responsible for
the entire award life cycle. RACE staff will also assist the PI by preparing any documentation required for review and
approval by ORA or SPAO. High level roles and responsibilities are outlined below. A detailed roles and
responsibilities matrix is included in the Appendix.
Section III – RACE Performance Metrics
Tracking Effectiveness
Timely, efficient, and accurate service and accountability are critical components of RACE. To ensure that we meet
these goals, we will track key performance indicators.
The key performance indicators will be monitored by RACE management on a monthly basis and officially assessed
annually with the Faculty Advisory Committee and senior leadership.
The Senior Vice President for Administration will also conduct an annual faculty satisfaction survey. Survey results
will be used to identify areas where RACE is meeting or exceeding expectations, or where attention may be needed
to improve service.
Key Performance Indicators
Pre-award
Service Level Measures
Percentage of proposals that do not require ORA to return them to RACE for revisions prior to submission to sponsor
Post-award
Compliance Risk and Service Level Measures
Number of Advance Accounts open greater than 90 days
Number of Accounts where the project period has ended and the account is in deficit (> $1,000) or where there is a
surplus remaining (> $1,000)
Percentage of accounts reviewed with a PI quarterly
Number of Financial reports that are submitted past the sponsor due date
7
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Number of Awards that are open, but the project has ended, greater than 90 days prior to current date
Number of cost transfers both greater than and less than 90 days prior to current date
Number of Effort reports certified by institutional due date
Faculty/Department Service Related Metrics
Service Level Measure
PI and department administrator satisfaction with RACE support (annual survey)
PI and department administrator transactional surveys available on the RACE website and in the e-mail signatures of
RACE Team Members – available to be completed at any time
Escalation Procedures: Failure to Meet Performance Expectations
In the event that RACE fails to meet the expectations outlined in this document, a PI, Chair, Dean or Department
Administrator can take the following steps:
1. Communicate the problem directly to your RACE staff member
Strong communication is the key to the success of the partnership between the Departments and RACE. If a
problem arises, the first step is to identify it specifically and discuss possible resolutions with your RACE staff
member. Depending on the need, you may do this in a meeting in your office, phone call, or email to your RACE
Grants Administrator.
2. Contact the appropriate RACE Associate Director
If discussions with your RACE Grants Administrator fail to resolve the problem or if the issues become
pervasive, contact the appropriate RACE Associate Director (the individual’s direct supervisor). If you do not
know to whom your RACE Grants Administrator reports, refer to the staff organizational chart (staff tab) on the
RACE website
, or contact any of the RACE Associate Directors.
3. Contact RACE Director
If discussions with the appropriate RACE Associate Director fail to resolve the problem, please contact the
RACE Director to discuss the problem and identify a resolution.
Section IV – SLA Maintenance
Conditions Requiring Maintenance
The SLA should accurately reflect the services provided by RACE staff to the Departments that they serve. As
processes and policies evolve, changes to services and service levels may be required. Updates and changes to the
SLA can be identified, presented, and confirmed through the processes described below.
Periodic Review of SLA
8
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
The Senior Vice President for Administration, RACE Director, and Faculty Advisory Committee (FAC) will meet
annually to review the SLA to determine whether the services and service level commitment are meeting the needs
of the departments served. During the early stages of RACE implementation, more frequent review (as often as
quarterly) may be necessary to ensure that the SLA accurately reflects the PIs’ and departments’ needs and the
capacity of RACE to meet them.
Substantial changes in the University, such as a significant increase in sponsored research, should also prompt a
review of the SLA.
Ad Hoc Maintenance Requests
The Senior Vice President for Administration, RACE Director, FAC, Department Chairs, Department Administrators
and Deans can propose changes to the SLA outside of the regular review process. This review process is outlined
below.
SLA Modification Review
The SLA will be reviewed for proposed changes/revisions and to consider any outstanding resource needs. The
reviewers include the RACE Director, representatives from the Senior Vice President for Administration, FAC, Senior
Administrators from the departments, as well as other central administration offices (e.g., ORA and SPAO).
The Senior Vice President for Administration, RACE Director, FAC, Department Chairs, Department Administrators
and Deans may submit requested updates and recommendations, with a brief rationale for each recommendation. At
the direction of the review committee, the RACE Director will make all approved changes to the SLA document. The
SLA will be posted on the RACE website
to promote accountability. The Senior Vice President for Administration and
the RACE Director will be responsible for implementing changes to the SLA and communicating SLA changes to their
stakeholder group.
9
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Appendix
I. 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
Process
RACE Responsibilities
PI/ Department Responsibilities
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 Jefferson’s library
Proposal Development
• Manages 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
• PI completes scientific components of
the proposal and assists in
budget/budget justification
development
Proposal Review and
Submission
• Compiles final proposal package, reviews,
and routes Cayuse SP for approval
Dept. Chair and Senior Administrator
approve 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
• PI 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
• PI meets with RACE Grants
Administrator to review award terms
and conditions and grant
purchasing guidelines
10
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
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, Cayuse SP)
• 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)
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)
• PI can delegate RACE GA to assist
with a Progress Report in eRA
Commons if desired
Post-Award Services
Process
RACE Responsibilities
PI/ Department Responsibilities
Budget Reconciliation
• Monitors spend patterns on sponsored
accounts by reviewing data from the
general ledger on a 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
• PI meets with RACE Grants
Administrator on a quarterly basis (at a
minimum) to review grant accounts and
pending submissions
• Department Administrator may attend
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.
Department Administrator incorporates
information from RACE into annual
department budget (including Hyperion data
entry)
11
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
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 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 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
• Notifies ORA of subcontractors who are
not submitting invoices in a timely manner
• 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
• 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, with
exception of final invoices, under fixed
price agreements & patient-related
invoices.
• PI 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 III.
• 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 PI’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
12
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Process
RACE Responsibilities
PI/ Department Responsibilities
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
• PI 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.
13
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
II. Roles and Responsibilities Matrix
Responsibility
Role PI College/ School/
Dept./ Other
RACE ORA SPAO
Identify Funding Opportunities
(Pre-Award)
Meets with PI in order to gauge
interest in Funding Opportunity
Announcements
x
Creates, collects, and
disseminates funding
opportunities campus-wide on
Jefferson Research Website
x x
Identifies specific funding
opportunities based on
research area and key word
search through Pivot Database
x
Corresponds with sponsors
regarding specific funding
opportunities
x
Makes final decision on pursuit
of funding opportunity
x x
Conducts periodic meeting with
PI to discuss funding horizon
and funded awards
x
Maintains system access and
system requirements for each
potential sponsor
x
Proposal preparation (Pre-
Award)
Manages planned applications
for faculty via Cayuse SP
working files / Cayuse 424
x
14
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Responsibility
Role PI College/ School/
Dept./ Other
RACE ORA SPAO
Prepares and maintains Cayuse
SP record for proposals due
x
Prepares proposal - compiles
administrative components (ie.
Project Summary/Abstract,
Project Narrative, Facilities and
Other Resources, Equipment,
Biographical Sketches,
Subcontractor documents)
x
Budget Development
x
x
Prepares proposal -
technical/scientific, letters of
support (including budget
justification as it relates to the
specific aims of the proposal)
x
Approves proposed cost
sharing
x
Obtains documentation from
proposed subcontractors
x
Drafts Letter of Intent
(administrative or financial), if
applicable. If a budget is
required, PI should alert RACE
Grants Administrator their
intent to propose at least 2
weeks in advance of sponsor
deadline.
x
Drafts Letter of Intent
(scientific), if applicable
x
Maintains copies of Biosketch
and Current/Pending Support,
x x
15
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Responsibility
Role PI College/ School/
Dept./ Other
RACE ORA SPAO
documents in common files for
use in future proposals
Updates biosketches prior to
proposal submission (including
but not limited to: position title,
education/training, personal
statement, positions and
honors, contributions to
science, and research support)
x
Completes, reviews, and routes
proposal for approval
x
Approves proposal
x
x
x
Submits proposal to sponsor x
Award Reporting (Pre Award)
Prepares all administrative
components of Just in Time or
other pre-award requests from
the sponsor
x
Verifies CITI certifications for
human subject training is active
x
Prepares protocol, if applicable
x
Gathers regulatory approvals
for JIT and Progress reports
(IRB & IACUC)
x x
Prepares all administrative
components of Progress Report
submissions
x
Verifies Carryforward Amount
x
x
Prepares all scientific
components of Just in Time and
Progress Report submissions
x
16
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Responsibility
Role PI College/ School/
Dept./ Other
RACE ORA SPAO
(including ensuring the proper
publications are linked in
accordance with NIH Public
Access Policy)
Submits material (Just in Time
documents/responses) to
sponsor
x
Award Acceptance (Pre-Award)
Reviews award document and
determines if a revised budget
is required
x
Reviews award terms and
conditions and grant
purchasing guidelines with the
PI
x
Gathers regulatory approvals
for JIT and Progress reports
(IRB & IACUC)
x
Prepares protocol, if applicable
x
Prepares awarded budget (if
different from proposed budget)
x
Approves awarded budget (if
different from proposed budget)
x x
Reviews and confirms
effort/salary cap/cost sharing
and subcontract execution
x
Accepts grant award on behalf
of TJU
x
Negotiates contract or award
with sponsor on behalf of TJU
x
17
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Responsibility
Role PI College/ School/
Dept./ Other
RACE ORA SPAO
Participates in negotiations as
advisor
x x
Prepares and approves NIH and
other federal non-grant/contract
arrangements
x
Requests and monitors
Advance Accounts
x
Approves request for Advance
Account
x x
Sets up award (or Advance)
account in GL
x
Sets up award for transactional
processes and systems
(PeopleSoft/focus)
x
Completes Conflict of Interest
Disclosures prior to expending
funds on awarded grants
x
Reviews to ensure COI is
complete
x x
Award Modifications
Identifies need for award
modification
x x
Completes internally required
forms (i.e. UPAS, Cayuse SP)
x
Initiates request for No Cost
Extension (NCE) or other award
amendment
x
Approves UPAS (for advance
accounts, pre-award costs and
cost sharing)
x
18
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Responsibility
Role PI College/ School/
Dept./ Other
RACE ORA SPAO
Drafts letter of request to the
sponsor
x
Reviews required forms and
submits request to sponsor
x
Award Management (Post-
Award)
Monitors spend pattern
compared to budget
x
Documents data into RACE
internal spreadsheet in order to
make accurate projections for
each grant and PI
x
Issues monthly grant
management reports to RACE
administrators and
departmental administrators
x
Reviews all red flag charges to
award (such as federal express,
office supplies, postage etc.)
x
Obtains periodic confirmation of
salary distributions from PI -
key personnel and research
staff
x
Completes reconciliation of
grant accounts
x
Resolves cost overruns on
sponsored accounts via Cost
Transfer
x
Reviews status of grant
accounts with PIs on a quarterly
basis
x
Prepares projections
x
19
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Responsibility
Role PI College/ School/
Dept./ Other
RACE ORA SPAO
Analyzes Reserve
x
Documents cost allocation
methodologies
x x
Annual Award Management
(Post- Award)
Provides award and projection
data for Hyperion for
departmental budgeting
x
Enters data for annual
budgeting process into
Hyperion
x
Initiates request for re-
budgeting
x
Approves re-budgeting request
x
Salary Distribution
Initiates personnel changes
(grant begin/end, prospective
distribution changes)
x
Reviews and manages
personnel changes (personnel
hiring/terminations,
unscheduled status/rate
changes *no retroactive
increases, for example)
x
Completes Online Salary
Distribution Form (OSD) for 08x
accounts
x
Obtains approval for salary
distribution
x
20
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Responsibility
Role PI College/ School/
Dept./ Other
RACE ORA SPAO
Approves salary distribution
x
x
x
Initiates PAR/ PAF/ SFRAR
Human Resources Forms
x
Approves PAR/ PAF/ SFRAR
Human Resources Forms on
sponsored accounts
x x x x
Posts personnel charges to GL
x
Posts fringe benefit
adjustments to GL
x
Effort Reporting
Triggers effort reports for
review
x
Reviews effort reports for
accuracy
x
Notifies certifiers once reports
have been reviewed
x
Certifies effort reports x
(Certifier)
Tracks key personnel effort
changes and identifies need to
disclose to sponsor, if
necessary
x
Prepare key personnel effort
change communication
x
Discloses key personnel effort
changes to sponsor
x
Cost Transfers
x
21
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Responsibility
Role PI College/ School/
Dept./ Other
RACE ORA SPAO
Prepares cost transfers and
completes > 90 justification if
necessary
Approves cost transfers that
involve transfers from research
accounts to departmental
accounts
x x x
Approves cost transfers that
involve transfers between
research accounts
x x
Processes approved cost
transfers
x
Review of animal charges
x
x
Approves animal charges
x
Monthly/ Quarterly IDC Report:
Sends Data to Department for
F&A Split upon request
x
Monthly/ Quarterly IDC Report:
Processes IDC Split
x
Purchasing
Allocates grant
salaries/expenses/purchases
x x
Approves
salary/expenses/purchases
x x x x
Ensures purchases appropriate
to award period
x
Equipment purchasing,
tracking, and safeguarding
x x x
Approves equipment purchases
x
22
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Responsibility
Role PI College/ School/
Dept./ Other
RACE ORA SPAO
Posts PO encumbrance entries
to GL
x
Approves requisitions
x
x
Documents and prepares
Professional Service
Agreements
x
Executes Professional Service
Agreements
x
Provides supporting
documentation for p-card
charges
x
Approves and retains support
for P-card charges
x x
Prepares employee
reimbursement report
x
Approve employee
reimbursement report on
sponsored accounts
x x
Prepares Travel Reimbursement
forms
x x
Approves Travel
Reimbursement on sponsored
accounts
x x
Subrecipient monitoring
Reviews invoices received prior
to processing payment
x
Reviews and follows-up on
invoices with special terms and
conditions
x
23
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Responsibility
Role PI College/ School/
Dept./ Other
RACE ORA SPAO
Submits invoices for payment
x
Addresses subrecipient
questions regarding payment of
invoices
x x
Approves Invoices for payment
x
Addresses performance issues
with subrecipient and reports to
RACE and central office
immediately
x
Closeout
Prepares Final Invention
statement
x
Submits Final Invention
statement
x
Prepares final
reconciliation/financial
report/invoice
x
Notifies appropriate personnel
and PI that grant is ending
x
Completes final reconciliation
and closeout grant account
x
Processes OSDs required for
ending grants
x
Approves final financial
report/invoice
x x
Submits financial report/invoice
x
Prepares final scientific and
technical reports
x
Reviews to ensure all technical
reports have been delivered
x
24
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Responsibility
Role PI College/ School/
Dept./ Other
RACE ORA SPAO
Prepares Relinquishing
Statement
x
Approves Relinquishing
Statement
x
Reconciles cost sharing with
residual balances
x
Inactivates award on GL so no
longer available for transactions
x
Terminates employees if
applicable, once award ends
and processes paperwork
x
Returns residual balance to
sponsor, if required
x
Compliance & Interim Financial
Reporting
Ensures PMS updates are
correct per prior institution FFR
and NOA
x
Prepares external surveys
x
Posts internal fees to GL
x
Posts monthly F&A allocation
x
Issues grant, PI, Department,
College, and University
statements and reports to all
constituents
x x
Approves variations to full rate
as proposed by sponsors
x
Disclosure for bond issues
x
Submits annual CCR
registration
x
25
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Responsibility
Role PI College/ School/
Dept./ Other
RACE ORA SPAO
Completes annual disclosure in
conjunction with TJU policy
x
Works with TJU Research
Administrative offices to ensure
compliance
x x x x
Invoicing, Accounts Receivable,
and Cash Management
Deposits checks related to
sponsored accounts
x
Applies cash received to the
proper sponsored award
x
Applies unidentified deposits to
clearing account; prepares and
approves cash transfer when
identified and applied to
sponsored project
x
Assists with the investigation of
unidentified deposits (if needed)
x
Prepares invoices for
sponsored accounts
(milestones, execution of
contract, specified invoice
schedule, and cost
reimbursement)
x
Confirms when milestones are
met for invoicing
x x
Provides additional information
for sponsored account invoices
(if needed)
x x
Submits invoices to sponsor
x
Identifies significant cash deficit
on sponsored accounts
x x x
26
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Responsibility
Role PI College/ School/
Dept./ Other
RACE ORA SPAO
Performs follow-up on accounts
receivable for invoiceable
projects (milestone and cost
reimbursement)
x
Performs follow-up on accounts
receivable for non-invoiceable
projects (payment upon
execution, scheduled payments,
etc.)
x
Interprets and outlines payment
terms on establishment memo
x
Assists with follow-up for
escalated accounts receivable
upon issuance of third dunning
notice
x
Prepares cash transfers
x
Approves cash transfers
x
Posts cash transfers to GL
x
Applies electronic funds
x
Prepares and analyzes
receivable/ advance balance
sheet accounts
x
Posts interest earnings when
applicable
x
Sponsor Communication
(Pre and Post Award)
Identifies need to contact
sponsor
x x x x
27
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Responsibility
Role PI College/ School/
Dept./ Other
RACE ORA SPAO
Assists with drafting sponsor
communication (letters
requiring institutional signature)
x x
Contacts sponsor on behalf of
TJU (letters requiring
institutional signature)
x x
Contacts sponsor on behalf of
TJU (general pre and post
award grants administration
inquiries)
x x
Other Activities
Participates in continuing
education
x x x x
Coordinates all external audit
requests
x
Exhibits TJU and sponsor
system proficiency
x x x
Responds to requests for
information related to audits
x x x x x
Maintains current files
(electronic) for use in audit
requests
x x x
Ensures requisitions expensed
and match exceptions
addressed
x x
Maintains roles and users in
sponsor systems
x
Works with PI and sponsor to
expedite transfer of award;
confirm start date of
employment
x x
28
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
Responsibility
Role PI College/ School/
Dept./ Other
RACE ORA SPAO
Rate/ fee development,
negotiation, and application
x x
Posts TJU/H Subrecipient
activity
x
Enacts related transactions;
provides related management
reports
x
x
Approves research incentive
bonuses and coding
x
Documents circumstances
requiring JeffTemps and Work
Study related to grants
x
Prepare final equipment
x
Provides PI- centric content for
website
x x
Ensures regulatory/policy
updates available to all
x x
Develops reports/queries as
needed
x x
29
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
III. Purchasing Program Components
Purchasing options will be extremely flexible. RACE will provide purchasing support in addition to the existing
ordering methods through PCard and Ascent.
RACE Purchasing Support – Option 1
For researchers who do not have purchasing support in their departments, RACE will provide support in allocating
charges and placing orders.
1. PI or designee will prepare an electronic (pdf) requisition that provides the information related to the purchase
and the grant to be charged
2. RACE Purchasing Coordinator will confirm the allocation or calculate as needed (in cooperation with RACE
Grants Administrators).
3. RACE Purchasing Coordinator will submit the order to the vendor using the most effective mechanism (PCard or
Ascent).
4. RACE Purchasing Coordinator will forward confirmation of the order to the requestor by e-mail.
5. Order tracking and issue resolution remain the responsibility of the requestor. The requestor should notify RACE
that the item has been received.
6. RACE Purchasing Coordinator will not go back to the requestor for approval of shipping costs, it is assumed
these are approved in order to obtain the item requested.
7. Should the price be less than a $50 difference from what has been estimated by the requestor, RACE
Purchasing Coordinator will not obtain an additional approval from the requestor. Should the difference be
greater than $50, an additional approval will be required from the requestor.
8. Once the item is received, the requestor should send the packing slips to RACE so they may maintain full
purchasing files.
Service Level: RACE will issue orders for requisitions received by 3:00pm on the same business day. Requisitions
received after 3:00pm will be issued by noon the following business day. To the extent possible, RACE will
accommodate rush requests, but work will be organized first-in/first-out.
Sponsored Sources PCard – Option 2
Users who wish to make PCard orders against sponsored funds must use a PCard specifically identified for this
purpose. PCard holders placing fewer than 100 orders per year (approximately 144 PCard holders) are strongly
encouraged to use the RACE Purchasing Support service.
1. The default account will remain the departmental account (By policy, PCards cannot default to sponsored
sources).
2. These cards should be used for any sponsored source or combination of sponsored sources; different cards are
not required for different grants.
3. These cards should be used for any transaction that includes sponsored sources (i.e., split funded with university
sources).
4. Cardholders must have separate cards for sponsored programs purchases and departmental purchases.
5. The Cardholder will still be the reviewer and will be responsible for inserting comments regarding the transaction
into PaymentNet. Comments must include the following:
a. Lab benefiting from the purchase
b. Description of item being purchased
30
SLA Version 5-Updated 02/01/19
RACE
Service Level Agreement
February 01, 2019
c. Allocation method for item, should it benefit multiple projects
6. The Cardholder will be responsible for obtaining all documentation (confirmation of transaction and packing slip)
as required by Jefferson PCard Policy and forwarding them to RACE Purchasing Support (paper or electronic).
RACE Purchasing Support will retain these for the official grant file.
7. RACE Grants Administrator will approve sponsored programs transactions in Payment Net.
8. For transactions that involve split sponsored program and departmental/non-sponsored fund sources, RACE will
coordinate with the appropriate party to confirm that the appropriate sources are used.
9. RACE Purchasing Support will periodically perform audits on Cardholder documentation related to research
purchases.
10. Issues due to cardholder non-compliance may not be an allowable charge to the grant.
Service Level: RACE will review and resolve all transactions placed on Sponsored Sources cards before the
PaymentNet deadlines. PCard reviewers must review their transactions 48 hours prior to the end of the
monthly cycle. In cases where a question or issue remains outstanding by the deadline, RACE will shift a
transaction to the default account and then follow up with the appropriate financial administrator. In the exceptional
case where a Pcard expense needs to be allocated to a sponsored account, RACE will perform the cost transfer with
the review and approval of the RACE Director.
Vendor disputes (e.g., regarding receipt of order, defective order, or agreed-upon pricing) will be the responsibility of
the requestor.
RACE will be able to recommend that PCards be suspended for non-compliant use or failure to properly document
allocations in the comments sections of PaymentNet.
Departmental Purchasing – Option 3
Departments that have established processes and resources to support purchasing, may continue to use Ascent to
place orders.
1. Ascent maintains the required approvals electronically. In cases where PI is not in the electronic workflow,
Departmental purchaser will need to obtain a signed form and upload it to the Ascent transaction.
2. Workflow will be configured to allow RACE to review any orders against sponsored projects.
3. RACE will coordinate review of high-risk purchases (e.g., capital expenditures) with ORA.
4. Department is responsible for retaining receipt confirmation and all documentation related to order issue
resolution (this will eventually need to be scanned and uploaded into Ascent).
Service Level: RACE will review and approve all requisitions (non-high risk) received by 4:00pm on the same
business day. Requisitions received after 4:00pm will be reviewed and approved by 10:00am the following business
day.