Quality Management

URA’s Quality Management monitors sponsored award regulatory policies and practices across the University and works to ensure the University is compliant with all applicable regulations and policies. The team makes recommendations for the management of sponsored awards, assures appropriate and cost-effective management of institutional risk and helps the University maintain positive relations with its funding agencies. Additionally, the QM team oversees Process and Compliance training, as well as manages the Research Administration (RA) Trainee Program. 

Quality Management Administration 

Sponsor Request Management - Assist in with establishing positive relations with funding agencies by ensuring correct and consist information is being provided to sponsors, the QM team completes and manages the following request from sponsors. 
  • Internal Controls & Financial Questionnaires - Complete request from sponsors about UChicago financial monitoring, policies, procedures, and approval processes. May include information about payroll, procurement, equipment, cost transfers and subrecipient monitoring
  • Desk Reviews and Audits - Complete request from sponsors to provide back-up support documentation for payroll and non-payroll expenses. May include information about UChicago financial monitoring, policies, procedures, and approval processes. The desk review or audit could include a programmatic component that is the responsibility of the unit. The financial component is managed by URA who works with shared services and the unit
  • Subrecipient Monitoring - Complete Single Audit certifications and findings verification forms for pass-through entities. May include a request for UChicago Single Audit report, financial statements or negotiated benefits and F&A agreement.
Subrecipient Monitoring In compliance with the subrecipient monitoring provisions of the Uniform Guidance, the QM teams completes the following reviews.
  • Annual Financial Review - Request and review the subrecipient's financial documents, this includes their single audit, financial statements or completion of the UChicago financial questionnaire.
  • Desk Review - Request and review back-up support documentation for a paid invoice. The support documentation may include a transaction report for all expenses listed on the paid invoice and source documents such as timecards, effort report, payroll verification report, patient reimbursement list, invoices, payment receipts, rate agreements, and any other relevant information. 
Quality Management Review  The QM team conducts reviews on sponsored award processes to mitigate institutional risk. Topics for review are identified from a variety of sources including, regulation and statutory changes, OMB Compliance Supplement, OIG work plans and audit recommendations. Prioritization and selection is based on the immediate needs of research administration and institutional risk. The Quality Management Review process assists in ensuring the applicable regulations, laws and compliance are encapsulated in our research administration policies and procedures. 
Single Audit  The QM team manages the Research and Development Cluster of the Single Audit and works with university units to provide the required information. A Single Audit is an organization-wide financial statement and federal awards’ audit of a non-federal entity that expends $750,000 or more in federal funds in one year. It is intended to provide assurance to the Federal Government that a non-federal entity has adequate internal controls in place, and is generally in compliance with program requirements

Process & Compliance Training 

The Research Administration (RA) Process & Compliance Trainer collaborates with various members of URA and campus departments to identify gaps in training and prepare training documentation, facilitate in-person learning, and develop a curriculum for sponsored award training at the University.

Research Administration Trainee Program 

The Quality Management team includes two Research Administration (RA) Trainees. RA Trainees provide support to various teams within URA and have broad exposure to all tasks related to research administration. The goal of the RA Trainee program is to prepare employees for careers within research administration, both inside the central office and within departments.