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

KC-AWD4 Hardship

1. Process Overview

NOTE: The purpose of this document is to describe the future process at MSU. This is the defined procedure, AF-TER 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 with the submission of a proposal, and ends when the hardship award is converted to a standard award, or when an unfunded hardship account is closed.

Hardship awards are used when a researcher or department wants an account number to be assigned, and project expenses to be incurred on the correct project ac-count, even though MSU does not have sufficient evidence that the award will be made. Hardship awards are different from Advance awards. For Advance awards, OSP has sufficient evidence to believe an award is in process.

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 mem-ber, the department, and the university. Due to federal audit techniques, a few inappro-priate 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.

A hardship 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 exe-cuted. To assist with monitoring, CGA produces a web-based report for colleges and departments to quantify the risk associated with hardship awards.

A hardship account may be established via a memo from the unit administrator (dean, director, or chair) to CGA requesting a hardship account. The memo must state that if the award is not made, expenditures made to that account will be covered from an unre-stricted departmental account. The memo must include project dates, and could request that the hardship account be restricted for certain items (e.g., salaries) or for a certain dollar amount (e.g., not to exceed $50,000). Generally, hardship accounts up to $100,000 are guaranteed by the department chair, while those exceeding $100,000 must be co-signed by the dean. Hardship awards require that an Institutional Proposal document has been processed; including appropriate compliance approvals (e.g., con-flicts of interest, human subjects, animal use, and export control certifications) have been secured. Cost sharing is not usually set up for hardship awards; however, 1% PI effort may be set up for federal and/or state sponsors.

of 8Last edited: 05/06/2023 Filename: KC-AWD4 Hardship


KC-AWD4 Hardship

Once MSU receives an award notice from the sponsor, the hardship award is modified to a standard award. If the proposal is not funded, it is the department’s responsibility to transfer any expenses from the hardship account to an unrestricted departmental ac-count, so CGA can close the hardship account.



KC-AWD4 Hardship

2. Process Flow – Diagram



KC-AWD4 Hardship



KC-AWD4 Hardship

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 Consider making a request for a hardship award

The PI considers requesting a hardship award. Considera-tion

Decision PI (and/or de-signee)

5 Request? The PI determines if a hardship award should be requested. If so, a request for a hardship award is sent to the department or college listed as Lead Unit on the proposal.

Decision Action PI (and/or de-signee)

6 Receive & consider request for hardship award

The department or college receives and considers the request for a hardship award. Those requests $100,000 or less are guaranteed by the depart-ment chair, over $100,000 co-signed by the dean.

Request Considera-tion of Re-quest

Dept/College

7 Approved? The department or college considers whether or not to approve a hardship award request.

Receipt of Request

Decision Dept/College

8 Receive notification of denial for hard-ship award

If the department or college decides not to ap-prove a hardship award request, the PI is notified.

Decision Notification PI (and/or de-signee)

9 Prepare Hardship Memo

The department or college decides to request a hardship award and prepares a hardship memo.

Decision Hardship Memo

Dept/College

10 Receive re-quest for hardship award

OSP receives the request for a hardship award. Receipt of request and memo

Review OSP

11 Approved? OSP determines if the hardship request should be approved.

Hardship memo

Decision OSP



KC-AWD4 Hardship

Business Process

Step

Business Process




Responsible Party

12 Verify that all compli-ance ap-provals and/or cost share verifica-tion has been re-ceived

OSP verifies receipt of all required information, in-cluding compliance approvals and cost share veri-fication.

Documen-tation re-ceived

Documen-tation re-ceipt veri-fied

OSP

13 Complete? OSP determines if all documentation has been re-ceived.

Review Decision OSP

14 Request and receive documen-tation

If documentation is missing, a request is sent to the PI for any needed documents.

Missing documen-tation iden-tified

Request for docu-mentation

OSP

15 Create award doc-ument 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.

Award in-formation completed

Award started in KC

OSP

16 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 completed in KC

CGA

17 Set up ac-count in KFS

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

CGA

18 Effort infor-mation is sent elec-tronically

Effort information is sent electronically and re-viewed and accepted by CGA.

Data entry Effort infor-mation

CGA

19 Send notifi-cation of hardship award

CGA sends notification to the PI that a hardship award has been established. The notification in-cludes the account number, terms, and responsi-bilities for hardship awards.

Notification Notification sent

CGA

20 Receive notification of hardship award

OSP receives a notification from the CGA related to the hardship award.

Notification Receipt of notification

OSP

21 Receive notification of hardship award

The PI receives a notification from the CGA re-lated to the hardship award.

Notification Receipt of notification

PI (and/or de-signee)

22 Begin project

With the hardship award established, the PI can begin the project.

Award es-tablished

Project be-gins




KC-AWD4 Hardship

Business Process

Step

Business Process




Responsible Party

23 Review outstanding hardship award re-port

CGA reviews the report on any outstanding hard-ship awards.

Hardship report

Report re-viewed

CGA

24 Send notifi-cation on award deci-sion

The sponsor decides whether to issue an award, and sends notice of the decision.

Decision Notification sent

Sponsor

25 Receive sponsor decision

OSP or MSU Business Connect is notified of the decision.

Notification sent

Notification received

OSP/MSU Business Connect

26 Award? OSP or MSU Business Connect determines whether the award has been granted.

Award noti-fication

Decision OSP/MSU Business Connect

27 Modify award to standard award

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


Conver-sion to standard award

OSP/MSU Business Connect

28 Notify PI to transfer ex-penses

If the sponsor rejected the proposal CGA sends notification to the PI that an award was not issued. Any expenses incurred on the hardship account must be transferred to a department account.


Notification sent

CGA

29 Receive notification to transfer expenses

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

Notification sent



30 Transfer expenses

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


Expenses transferred


31 Close hard-ship award and ac-count

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

Expenses transferred

Award/ ac-count closed

CGA


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