Award Management

Award Management

Spectrum Health Office of Research Administration (SHORA) is here to support successful stewardship of grants, clinical trials and other sponsored program funds. SHORA provides pre and post award services from project inception to award notice and account set-up to providing support during audits and award close-out. The Principal Investigator/Project Director (PI/PD) will be assigned a SHORA team comprised of cross-functional experts. Below is a brief overview of selected pre and post award services, processes and requirements. For full details on any of these topics, contact us.


Award Notice, Negotiation and Setup
Post Award Responsibilities
Purchasing
Subrecipients and Consultants
Reporting
Patient Visits (MERGE/Epic)
Participant Compensation/Gift Cards
Audits and Record Retention
Award Closeout Flow (PDF)

Award Notice, Negotiation and Setup

Spectrum Health partners with various entities in order to facilitate research and awards to benefit our patients and community. Partnerships are formalized through legal agreements, award letters, contracts and other mechanisms that detail the terms and conditions, period of performance and award amount. The original notice of award for all sponsored programs should be provided to the Office of Sponsored Programs (OSP) upon receipt so that the review and negotiation process can begin.

The OSP is responsible for contract negotiations in partnership with the PI/PD and Spectrum Health's Legal Department. Following negotiations, only the Spectrum Health Authorized Official has authority to sign awards on behalf of Spectrum Health. 

Once the agreement is signed, OSP will work with other members of SHORA to facilitate award set-up in the Spectrum Health accounting system (Lawson) and initiate a start-up meeting with the entire project team. Any changes to your award need to be communicated through your SHORA team. Examples of common changes include budget revisions, no-cost extensions, and changes to the scope of work.

Post Award Responsibilities

PI/PDs, on behalf of Spectrum Health, are responsible for managing the day-to-day operations of their sponsored program. In order to carry out this responsibility, the PI/PD should be aware of all award/contract terms and conditions and should give special attention to those terms and conditions regarding budget limitations, patents and copyrights, inventions, confidential information, safety and security, and required reports. The PI/PD is responsible to monitor all project expenses and to ensure that all project goals and objectives are achieved in accordance with the award document.

SHORA’s role in this process is to ensure the proper stewardship of sponsor funds by offering support and guidance to PI/PDs. We provide ongoing education and support in award management and closely monitor sponsored programs to mitigate risk. SHORA accomplishes this active monitoring through review of financial reports, interpretation of guidance from sponsors, information provided by the PI/PD, conflict of interest disclosures and participation in select meetings or site visits.
The PI/PD, designee, and SHORA team share responsibility to ensure that only allowable costs are being charged to a sponsored program and to ensure sponsored program funds are tracked appropriately in the Lawson accounting system. Each award is assigned a unique activity number in Lawson to ensure funds are appropriately tracked and segregated.
  
The SHORA team will provide the PI/PD with the appropriate coding so that expenses are charged directly to the award account. It is important that charges are properly expensed to the award activity to ensure proper reporting and compliance. 

Purchasing

Supplies, equipment, and services charged to a sponsored project need to be purchased in accordance with the purchasing policy to ensure that supplies, equipment, and services purchased for the performance of a sponsored program are obtained in a cost-effective manner, are expensed to the appropriate grant account, and in compliance with federal regulations. All supplies should be purchased through Lawson Requisition Center (RQC).

Lawson RQC Coding and Check Requests (PDF)

Travel and mileage reimbursements are expensed to award accounts through appropriate coding in the reimbursement system. Your SHORA team can assist you with providing a coding sheet for your award.  Salary, fringe and indirect costs are set-up to be expensed directly to the award account without action by the PI/PD. 

XM Reimbursement Tool (PDF)

Subrecipients and Consultants

All subrecipient and consultant agreements are generated through the OSP in accordance with the Subaward Management Policy. Upon receipt of the notice of award, OSP will work with the PI/PD to determine if any subrecipients or contracted work is necessary to complete the project. 

The PI/PD and OSP share responsibility for monitoring periodic progress reports and invoices for compliance with the terms of the subrecipient and consultant agreements. Together the PI/PD and OSP will review progress reports and performance, as well as all invoices to ensure that expenses are appropriate and aligned with technical progress.

The PI/PD is the primary contact for subrecipients and consultants, but OSP is available to offer education and outreach as necessary.

Reporting

Every award will have unique reporting requirements that could include financial, progress and performance reports. The SHORA team will discuss external reporting requirements with the PI/PD during the award kick-off meeting.  

The PI/PD will receive financial reports through email on the 20th of each month.  These reports will show the PI/PD the life and fiscal year to date revenue and expenses for each award the PI/PD is responsible for.  Indirect expenses charged to an award are determined based upon a percentage negotiated between Spectrum Health and the Federal government for facilities and administrative costs, as documented in the Indirect Cost Policy.  These expenses are used to cover a portion of the SHORA team’s administrative and facility costs as they provide assistance and support to the PI/PD and study teams.

Indirect Cost Policy (PDF)

When an award is closed, the Residual Balance policy will be in effect to determine what happens with any life to date profit or loss from an award.  If a service line’s Sponsored Programs cost center has a calculated net residual gain (per policy calculation), the cost center will be allowed to utilize this residual gain to cover any excess spending on future Sponsored Program awards. 

Please contact your SHORA team if you have any questions on your financial reports.

Patient Visits (MERGE/Epic)

For awards involving patient visits, it is required that PI/PD’s and/or Coordinators enter these visits into MERGE within 24 hours of the patient visit.  The reason this is required is so the Finance-Research team can find and hold these patient charges before they are released to insurance.  The Finance-Research team ensures proper codes and modifiers are put on research claims and that items paid for by a research award are not sent on to insurance for payment.  This function is crucial for effective billing compliance.

Participant Compensation/Gift Cards;

Certain sponsored programs may offer compensation to patients for participating in a research study. Finance-Research is responsible for maintaining and distributing research gift cards. The Study Coordinator is responsible for informing the Finance-Research team of any sponsored program that may offer compensation to patients during the initial MERGE build. 

Audits and Record Retention

Every award carries the potential to be audited by the sponsor, federal or state agency or Office of the Inspector General.  

The PI/PD, or designee, is responsible to maintain current and accurate records of sponsored-program performance and expenditures. 

Occasionally, awards involving large scale or complex scopes of work will result in a site visit by the sponsor. The purpose of these visits is to reassure the sponsor that the program will be completed successfully. Please inform the SHORA team as soon as you have been contacted about scheduling a site visit.