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POSITION | COMMUNICATION |
Field Finance Department Head | Mandatory |
Resource Analyst (RA) (matrixed to the division) | Mandatory |
Budget Office Manager | Mandatory |
Business Manager/Deputy Director | Mandatory |
Division Director | Discretionary |
Principal Investigator (PI) | Mandatory |
Contracts Officer (SPO) | If applicable |
Budget Officer | Discretionary |
Strategic Partnership Office Manager | If applicable |
OCFO Policy and Assurance Lead | Discretionary |
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- If a Stop Work is the recommended course of action, the CFO or designee reviews the issues with the Division Director or designee. The Division Director is responsible for implementing the Stop Work. The Stop Work status is in effect until the funds-control violation is resolved.
- Once the Division Director concurs with the Stop Work recommendation, the sponsor will be notified. The Contracts Officer will handle the formal sponsor notification for sponsored research, and the Division Director for DOE direct-funded projects.
- If warranted by the severity of risk, the CFO and/or Budget Officer have the authority to bypass the steps described above and unilaterally stop or suspend work. Exercising this authority will be immediately followed by the evaluation steps described above. They can exercise this authority (at their discretion) to mitigate risk to the Laboratory while supporting its scientific mission.
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- Since activities on the project at issue must cease:
- The Budget Office Analyst will place the project in "Costs Are Final" to prevent any further charges to the project until the issue has been resolved.
- The PI's and staff's effort must be redirected to another appropriate activity, such as work on other benefitting projects or employee-between-assignment activities funded through area or organizational burdens, if applicable. It is inappropriate to charge research and development costs to area and organizational burdens (see the Organization Burden policy). Therefore, if alternatives are unavailable, the division must pursue appropriate action with Human Resources (e.g., administrative leave, termination, etc.).
- In cases of abrupt funding termination, the division may seek non-Contract 31 funds (e.g., Fee).
E. Roles and Responsibilities
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Role
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Responsibility
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Principal Investigator/Project Manager (PI/PM)
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- Monitors costs on assigned projects to ensure funds control compliance.
- Works with their designated field finance team to take mitigating actions to prevent funds control violations.
- When a Stop Work order is implemented, redirects PI/PM and staff effort to appropriate activities.
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Resource Analyst (RA) (matrixed to the division)
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- Provides financial support, knowledge, and expertise to the PI/PM.
- Assists in identifying mitigating actions to prevent funds control violations.
- When a Stop Work process is initiated, participates in the Stop Work fact-finding team.
- In coordination with the designated Field Finance Manager, drafts the findings from the investigation and team recommendations.
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Stop Work Initiator
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- Any individual with a fiduciary responsibility, including, but not limited to, Division Director, Senior Business Manager, Business Manager, Deputy, Deputy of Operations for Division or Area ("Area/Division Personnel"), and OCFO personnel.
- Initiates and notifies both the designated Sr. Field Finance Manager and the Area/Division Personnel of potential funds control violations as outlined in policy.
- Participates in the fact-finding team.
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Designated Field Finance Manager
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- Notifies the appropriate parties of a potential Stop Work.
- Establishes and facilitates the fact-finding team.
- In coordination with the Resource Analyst (RA), drafts the findings from the investigation and team recommendations. Distributes the findings/recommendations as outlined in the policy.
- Reviews the Stop Work recommendation with the CFO, if applicable.
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Budget Office Manager
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- Participates in the fact-finding team.
- In coordination with the Budget Officer, reviews recommendations.
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Contracts Officer (Lab CO) (if applicable)
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- Participates in the fact-finding team.
- Notifies the sponsor of a Stop Work implementation, if applicable.
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Business Manager/Deputy of Operations (as designated by the area/division leader)
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Implementing Documents
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Brief reminder text:
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n/a
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