RSA Town Hall Meeting - PowerPoint PPT Presentation

Loading...

PPT – RSA Town Hall Meeting PowerPoint presentation | free to view - id: 26abbb-ZDc1Z



Loading


The Adobe Flash plugin is needed to view this content

Get the plugin now

View by Category
About This Presentation
Title:

RSA Town Hall Meeting

Description:

RSA Town Hall Meeting – PowerPoint PPT presentation

Number of Views:24
Avg rating:3.0/5.0
Slides: 81
Provided by: SophiaA8
Category:
Tags: rsa | bly | hall | meeting | town

less

Write a Comment
User Comments (0)
Transcript and Presenter's Notes

Title: RSA Town Hall Meeting


1
RSA Town Hall Meeting
  • Wednesday, December 9, 2009
  • 930-1130 am
  • N-225(Parnassus) w/ live broadcast to Rock Hall
    102 (Mission Bay) and Fresno Campus

Controllers Office
2
Agenda Christine Durieux EMF Update Susan
Lin Federal Non-SNAP Award Close-out Lana
Tomitch ARRA Update Joyce Abe Contracts and
Grants Update Contracts and Grants Proposal
Team Update Mora Mattingly Industry
Contracts Material Transfer Agreement Intake
Process Joan Kaiser Cost Accounting Standards
(CAS) and the OIG Audit Plan 2010
3
Extramural Funds Update
Controllers Office
Christine Durieux Director, Extramural Funds
December 9, 2009
4
EMF Update
  • EMF Status
  • Award Set-up
  • A/R and Collection
  • Cash Application Billing
  • Award Closeout
  • ARRA
  • EMF Changes
  • Federal Financial Reporting Closeout for
    Non-SNAP Awards
  • Fixed Price Revenue Recognition in RAS
  • Federal Financial Reports now Available in RAS
  • Award close-out notification
  • Award Milestone Process

5
EMF Status Award Set-up
6
EMF Status A/R and Collection
7
EMF Status Unapplied Cash
8
EMF Status Billing
9
EMF Status Award Closeout
  • SWAT Team
  • Expired Funds prior to 5/1/08
  • Total population 7,212 funds
  • To date SWAT has closed 6,804 funds, 94.0
  • EMF Service Team
  • Expired Funds between 5/1/08 and 10/31/08
  • Total population 745 funds
  • To date EMF has closed 604 funds, 80
  • Next Population of closeouts
  • Expired Funds between 11/1/08 and 8/31/09
  • Total population 1,164 funds

10
EMF Status - ARRA
11
EMF Status - ARRA
  • Quarterly reporting data from Departments
  • Award/Project Description
  • of Jobs Created and Retained
  • Description of Jobs Created and Retained
  • Project completion status

12
EMF Status ARRA Changes in Reporting
  • UCSF will report sub-award ARRA information on
    behalf of its sub-recipients out, where UCSF is
    the prime.
  • Departments are responsible for
  • distributing the UCSF Sub-recipient ARRA
    Collection Job Aid to the sub-recipients
  • educating sub-recipients on how to complete the
    job aid
  • collecting the completed job aid
  • uploading the completed job aid into RAS
  • If UCSF is the sub-recipient of ARRA funds from a
    prime recipient
  • The prime recipient delegates reporting to UCSF
  • Department will complete the UCSF Sub-recipient
    ARRA Collection Job Aid and provide a copy to EMF
    ARRA manager for uploading into
    www.federalreporting.gov
  • Guidance on ARRA Award Reporting is available on
    Controllers website/ EMF/Communications/ARRA

13
EMF Changes
  • Fixed Price Revenue Recognition Changes in RAS
  • Effective December 4
  • Recognizes revenue at time of invoicing to the
    sponsor or payment received from the sponsor
  • Eliminates recognition of revenue based on
    expenses incurred
  • Eliminates deferred revenue
  • Eliminates system glitch of cost reimbursable
    billing on fixed price awards

14
EMF Changes
  • Federal Financial Reports now Available in RAS
  • Federal Financial Reports (FFRs) and other
    financial reports can be attached in RAS.
  • Beginning with the December FFRs, EMF will attach
    interim and final FFRs in the RAS award FSR
    Documents page.
  • Allows EMF to store and share financial reports
    with other university departments. 
  • Rather than sending draft FFRs to Departments via
    email, they will be saved in RAS for Departments
    review. Draft FFRs in RAS will be replaced by
    final FFRs.

15
EMF Changes
  • Award Close-out Notification
  • The RAS generated Award Close-out Notifications
    to departments is now sent to departments 90, 60
    and 30 days prior to the award end date
  • The email notification has also been revised to
    emphasize the following
  • Expenses incurred during the project period must
    be posted to the General Ledger before this time.
  • EMF will begin the financial reconciliation
    analysis 30 days past the award end date.

16
EMF Changes
  • Award Milestone Process
  • EMF is implementing a new business procedure to
    utilize the RAS milestone function to better
    monitor awards throughout their lives
  • For each new award, EMF accountants will enter
    milestones for sponsor required reports
  • financial status report due dates
  • Invoice due dates on fixed price contracts
  • progress report due dates from the PI
  • EMF will retroactively enter milestones for
    active awards created before this process.
    Currently, there are a total of 3,438 active
    awards. 1,566 are fixed price awards.

17
EMF Changes
  • Federal Financial Reporting and Closeout for
    non-SNAP Awards
  • The NIH Grants Policy Statement requires that
    award expenditures be consistent with the
    approved budget period. 
  • In the past, for non-SNAP awards that require
    annual Federal Financial Reports (FFRs), EMF
    closed funds after the expiration of the entire
    competitive project or award rather than at the
    fund year level or annual budget. 
  • Going forward, EMF will close out Federal
    non-SNAP awards by budget period at the fund year
    level to prohibit further charges posting to that
    budget period.  
  • The closeout will occur at the time of the
    Federal Financial Report (FFR) filing

18
EMF Changes Federal Financial Reporting and
Closeout for non-SNAP Awards
  • Costs in excess of the FFR Filing or Budget -
    May be transferred to the subsequent budget only
    if
  • Costs will benefit future budgets in the same
    competitive segment
  • Costs incurred after the FFR has been filed in
    the final budget, may be transferred to the
    subsequent budget as pre-award costs of the next
    competitive segment only if
  • Will benefit subsequent competitive segment
  • incurred 90 days before the start of the next
    competitive segment
  • pre-award costs are specifically allowed in the
    grant document
  • Award Spending Less Than Budget
  • If there is a remaining budget, the current
    budget will be reduced by that amount.
  • EMF will carry forward an unobligated balance and
    appropriate it in the next budget period, only if
    a formal approval is received from NIH. 

19
Closeout of Federal non-SNAP Expired Budget Period
Controllers Office
Susan Lin, Assistant Controller for Accounting,
Reporting and Extramural Funds
December 9, 2009
20
Topics
  • Closeout of expired budget periods
  • When FSR Outlay equals to GL Expense
  • When FSR Outlay less than GL Expense
  • When FSR Outlay greater than GL Expense
  • When Award Spending Less Than Budget
  • Closeout of Expired Budget Periods prior to
    7/31/09

21
Federal Financial Status Reports
  • EMF cannot submit FSRs not supported by expenses
    in the General Ledger or without proper exception
    approval
  • According to the Federal False Claims Act
  • …those who knowingly submit, or cause another
    person or entity to submit, false claims for
    payment of government funds are liable for three
    times the governments damages plus civil
    penalties of 5,500 to 11,000 per false claim
    (31 U.S.C. 3729-3733)

22
Allowable Adjustments to General Ledger after FSR
filling
  • Correction of general ledger errors IF
    simultaneous corrections are made to the ledger
    itself
  • Payroll expense transfers that have been approved
    by EMF Compliance
  •  Unliquidated obligations for non-final FFR for
    cost reimbursable funds only
  • Trainee stipend, tuition, and trainees insurance
  • Subcontract (written verification from
    subcontractee)
  • Equipment (purchase order)

23
When FSR Outlay GL Expense
  • Sign off final FSR
  • Run Balance Sheet Summary by NCA to see if there
    are any outstanding invoices.
  • If yes, contact the Closeout Team.
  • If not, proceed to next step
  • Run Fund Summary by NCA group to see if the fund
    balance is zero.
  • If yes, notify EMF to place stop code
  • If not, this fund may be in deficit.
  • If this is a cost reimbursable award, contact the
    Closeout Team.
  • If this is a fixed price award, complete 547
    exception cost transfer to move the
    deficit/surplus

24
When FSR Outlay Less Than GL Expense
  • Determine the cost treatment
  • Will it benefit future budgets in the same
    competitive segment?
  • Will it benefit subsequent competitive segment?
  • Did it Incur 90 days before the start of the next
    competitive segment?
  • Were pre-award costs specifically allowed in the
    grant document?
  • Process appropriate cost transfers (545 or 547)

25
When FSR Outlay Less Than GL Expense (cont.)
  • Sign off final FSR
  • Run Balance Sheet Summary by NCA to see if there
    are any outstanding invoices.
  • If yes, contact the Closeout Team.
  • If not, proceed to next step
  • Run Fund Summary by NCA group to see if the fund
    balance is zero.
  • If yes, notify EMF to place stop code
  • If not, this fund may be in deficit.
  • If this is cost reimbursable award, contact
    Closeout Team.
  • If this is a fixed price award, complete 547
    exceptional cost transfer to move the
    deficit/surplus

26
When FSR Outlay Greater Than GL Expense (Cost
Removed after FSR)
  • Revised FSR
  • Make sure the revised FSR outlay GL Expense
  • Run Balance Sheet Summary by NCA to see if there
    are any outstanding invoices.
  • If yes, contact the Closeout Team.
  • If not, proceed to next step
  • Run Fund Summary by NCA group to see if the fund
    balance is zero.
  • If yes, notify EMF to place stop code
  • If not, this fund may be in deficit.
  • If this is a cost reimbursable award, contact
    Closeout Team.
  • If this is a fixed price award, complete 547
    exceptional cost transfer to move the deficit

27
When Award Spending Less Than Budget
  • The current budget will be reduced per FSR filed
  • EMF will carry over an unobligated balance and
    appropriate it in the next budget period, only if
    a formal approval is received from NIH or per
    award document.
  • Timely submission of progress reports to the NIH
    through UCSF Contracts and Grants Office for
    non-SNAP awards is essential
  • Many progress reports include carry-over
    requests. In some cases, the carry-over request
    contained within the progress report is not
    sufficient per the terms and conditions of the
    award.
  • It is the responsibility of each department to
    understand the terms and conditions of their
    awards to fulfill the requirements outlined by
    the awarding agency.

28
Closeout of Expired Budget Period prior to 7/31/09
  • Point Person - Andrew Longstreth
  • Letter to You detailing the differences

29
Required Actions
  • Provide a new account number if XXXXXX-XXXXX the
    incorrect discretionary account for us to use.
  • Where the general ledger expenditures are less
    than the expenditures per the Federal Financial
    Report, please provide an explanation as to why
    these expenditures were removed from this fund
    year (FY-04) and why a refund should not be made
    to the government.
  • Alternatively, perform the final closeout
    procedures yourself, completing all transactions
    before the deadline.

30
  • Q A

31
WHATS NEW IN Q2 ARRA REPORTING?
  • Subcontracts In and Out

Controllers Office
Lana Tomitch, ARRA Manager, Extramural Funds
December 9, 2009
32
SUB-AWARD IN (UCSF IS NOT PRIME)
33
SUB-AWARD IN (UCSF IS NOT PRIME)
  • Prime may delegate reporting to you
  • - Complete the ARRA Collection Job Aid
  • - Provide completed copy to Lana Tomitch
  • 6X0834 or lana.tomitch_at_ucsf.edu
  • - Controllers Office will report to OMB for
    you

34
SUB-AWARD IN (UCSF IS NOT PRIME)
  • Prime recipient may ask you to provide
    information so that they can report for you
  • - Provide a copy of UCSF Sub-recipient Job Aid
  • - Complete primes sub-recipient job aid
  • Information will be similar to UCSF job aid

35
SUBAWARD OUT UCSF IS THE PRIME
36
SUBAWARD OUT UCSF IS THE PRIME
SECTION HEADING
UCSF is reporting on behalf of its subrecipients
  • Ensure the sub-recipient has a DUNS
  • Logon to http//fedgov.dnb.com/webform to get a
    DUNS, as needed
  • Sub-recipient registers with the Central Contract
    Registration (ccr) at http//www.bpn.gov/ccr/
  • Dun Bradstreet required 24-48 hours to process

37
SUBAWARD OUT UCSF IS THE PRIME
  • Distribute the Sub-recipient ARRA Job Aid

38
(No Transcript)
39
(No Transcript)
40
SUBAWARD OUT UCSF IS THE PRIME
  • Data in yellow is sample data only
  • Sub-recipient will fill in their own data
  • Include sub of jobs created/retained in your
    total
  • Include sub description of jobs with your list

41
SUBAWARD OUT UCSF IS THE PRIME
  • Provide any needed training to the sub-recipient

42
SUBAWARD OUT UCSF IS THE PRIME
  • 4. Collect the Sub-recipient Job Aid by Dec 9,
    2009

43
SUBAWARD OUT UCSF IS THE PRIME
  • 5. Upload the Sub-recipient Job Aid into RAS

44
  • Click the plus button to add Sub-recipient ARRA
    Job Aid as an attachment

45
Controllers Office Questions???????
46
Contracts and Grants Update
Controllers Office
John Radkowski, Awards Team Manager, Office of
Sponsored Research
December 9, 2009
47
Award Team Update
Announcements
  • Hired new Award Team Manager
  • Reduced RAS processing time from 6 weeks to 3
    weeks, focused on bringing down to 10 working
    days or less.
  • Developed a matrix which clearly outlines which
    documents are required at award time. This will
    be posted to the CG Website under Job Aids in the
    near future.
  • Streamlined fund advance process for City and
    County Awards. Improvements to the overall fund
    advance process are being discussed.

48
Award Team Update
  • Notes for RSAs
  • Clearly identify all correspondence requests with
    the Award or Proposal Number.
  • If there is a sponsor deadline, write URGENT OR
    DEADLINE, along with the deadline date, in the
    subject line and not the body of the e-mail
  • Use most recent COI forms.
  • Budgets sent to a Sponsoring agency are proposals
    and should be reviewed in advance by CG.

49
Award Team Update
  • Job Aids
  • Were looking at improvements to the Job Aids
    section of the CG website. We would like
    feedback on what Job Aids would be useful to the
    RSAs Third level bullet. Arial, 18pt

50
Subaward Team Update
  • Average Time to Complete for Subawards has been
    reduced to 47 days.
  • Average Analyst Turnaround time is currently 13
    days.
  • 251 Subawards completed 10/1/09 12/1/09
  • Developing an improved Subrecipient Request Form

51
Contracts and Grants Proposal Team Updates
Joyce Abe, Interim Proposal Team Manager, Office
of Sponsored Research
December 9, 2009
52
Contracts and Grants Proposal Team Updates
  • Expediting EMF Award and Fund Set-Up
  • Clarification of the Proposal Submission Deadline

53
Expediting EMF Award and Fund Set-Up
  • EMF Award and Fund set-up can be expedited if the
    correct DPA is posted in Proposal Express at the
    Proposal stage.
  • Effective June 4, 2009, a new field became
    available on the OSR Approval Form Project Page
    in Proposal Express.
  • This field allows Department personnel to specify
    if a new or existing DPA should be used in the
    event that the Proposal is awarded by the
    sponsor.

54
Expediting EMF Award and Fund Set-Up
  • Stipulating an existing DPA or the need for a new
    DPA at the Proposal stage will
  • Reduce the amount of time required for Award and
    Fund set-up by Extramural Funds
  • Streamline the Award and Fund set-up process for
    Department personnel
  • If a new DPA is requested, submit a completed DPA
    Request Form as soon as the Award Number has been
    assigned. The DPA Request Form can be found at
    http//acctg.ucsf.edu/afp_dep/index.htm

55
Expediting EMF Award and Fund Set-Up
  • Below is an image of the OSR Approval Form
    Project Page in Proposal Express

56
Expediting EMF Award and Fund Set-Up
  • The Proposal Project DPA information that is
    provided by the Department on the OSR Approval
    Form Project Page at the Proposal stage will
    auto-fill onto the Award Project page in the
    Research Administration System (RAS)

57
Expediting EMF Award and Fund Set-Up
  • Below is an image of the Award Project Page in RAS

58
Expediting EMF Award and Fund Set-Up
  • Providing incorrect DPA information at the
    Proposal stage will permanently impact the DPAs
    coupled to the Fund.
  • Once EMF links a DPA to an award, it cannot be
    de-linked
  • The incorrect DPA will remain linked to the Fund
    for the life of the Award
  • Depending on complexity, it can take up to four
    (4) business days to reconstruct the DPA coupling

59
Expediting EMF Award and Fund Set-Up
  • Avoid delaying the Award and Fund set-up process
    by providing the correct DPA on the OSR Approval
    Form Project Page
  • Request DPA information from appropriate Finance
    or Post-Award staff
  • Upon receipt of the Award notification, review
    and confirm that the RAS Award pages are correct,
    including the DPA provided at the proposal stage

60
Expediting EMF Award and Fund Set-Up
  • If correct DPA-related information is not
    available at the Proposal Stage
  • The DPA section of the OSR Approval Form should
    be left blank
  • The correct DPA will need to be provided upon
    receipt of the Award Notification from OSR

61
Clarification of the Proposal Submission Deadline
  • Proposal Submission Deadline Revised Policy
  • All proposals for extramural support with an
    agency deadline of October 1, 2009 January 31,
    2010 must be submitted to the appropriate
    division of OSR by 900AM, four (4) working days
    prior to the agency deadline.
  • All proposals for extramural support with an
    agency deadline of February 1, 2010 or later must
    be submitted to the appropriate division of OSR
    by 900AM, five (5) working days prior to the
    agency deadline.

62
Clarification of the Proposal Submission Deadline
  • Calculating the Proposal Submission Deadline
  • For proposals for extramural support with an
    agency deadline of October 1, 2009 January 31,
    2010 count back four (4) working days from the
    agency deadline. Do not include the agency
    deadline date, University Holidays, weekends or
    dates that OSR is officially closed.
  • For proposals for extramural support with an
    agency deadline of February 1, 2010 or later
    count back five (5) working days prior to the
    agency deadline. Do not include the agency
    deadline date, University Holidays, weekends or
    dates that OSR is officially closed.

63
Clarification of the Proposal Submission Deadline
  • After-The-Fact Proposals
  • A proposal submitted in response to a
    sponsor-initiated request for application with a
    specified deadline, received by Contracts and
    Grants after submission to the agency, as well as
    the sponsors published deadline.
  • By virtue of the Proposal Submission Deadline
    Policy, After-The-Fact proposals are considered
    to be late and subject to the Late Proposal
    Appeal Process.
  • The Late Proposal Appeal Process requires the
    Deans approval and the concurrence of the
    Assistant Vice Chancellor of Research in order
    for an award to be honored.

64
Office of Sponsored Research Industry
Contracts Division Material Transfer
Agreement Intake Process
Mora Mattingly, Industry Contracts Officer,
Office of Sponsored Research
December 9, 2009
65
Overview
  • Who We Are
  • Who Does Which MTAs
  • Our Work-Flow

66
Who We Are
  • Interim Director
  • Jim Kiriakis
  • Managers
  • Irene Shin, J.D.
  • Contracts Officers
  • Kent Iwamiya
  • Mora Mattingly
  • Associate Contracts Officers
  • Thierry Musy-Verdel, J.D.
  • Theresa OBrien, Ph.D.
  • Susan Shih, Ph.D.
  • (Sophia Chang, J.D.)

Administrative support Tiffany Dao Jill
Lezama Evelyne Anderson
67
Who Does Which MTAs
  • Negotiate and Execute
  • Material Transfer Agreements (MTA)
  • All incoming MTAs
  • Outgoing
  • Human specimens Industry Contracts Division
  • Non-human Office of Technology Management

68
Why Do An MTA?
  • Protects both parties
  • Outlines expectations
  • Legally binding

69
Material Transfer Agreements (MTA)
  • A contract between a provider and a recipient for
    the provision of tangible research materials
    and/or information
  • Chemicals,
  • Proteins,
  • DNA/plasmids,
  • Biological samples,
  • Organisms,
  • Data,
  • Human specimen and/or data

70
ICD Work-Flow
  • Collaborative Process
  • Department Responsibilities
  • ICD Responsibilities

71
Industry Contracts Division Work-Flow…
  • Collaborative Process
  • Department Responsibilities
  • Completed MTA Request Form (sent by PI or
    Designee)
  • Principal Investigators Statement of Economic
    Interest - Form 700-U Need original ink
    signature ? submit to Box 1016
  • CHR (IRB)/CAR (IACUC) Approval Letter - If
    Required
  • COIAC Policy 11 Compliance Form if CHR approval
    is required
  • Scope of Work.

ICD is a PAPERLESS office!! Submit paperwork
to MTA_at_ucsf.edu
72
Industry Contracts Division Work-Flow…
  • Collaborative Process
  • ICD Responsibilities
  • Negotiate the MTA contract
  • Ensure that UCSF policies are contained in the
    agreement
  • Make sure that all compliance approvals are in
    place (IRB/IACUC)
  • Award the executed contract in the RAS system
    (needed for reporting to UCOP)

73
Issues in MTAs
  • Publication
  • UCSF always requires the right to publish its
    results
  • Data ownership use
  • UCSF always retains ownership of the data it
    generates
  • Intellectual property
  • UCSF always retains ownership of the inventions
    it makes
  • Parties to the agreement
  • Always The Regents of the U.C. and the Sponsor
  • Signatory authority - authority to bind the
    entire UC to any contractual terms

74
Contact Us
Mora Mattingly Tiffany Dao Mora.Mattingly_at_ucsf.e
du MTA_at_ucsf.edu (415) 353-4695 (415)
353-4891 http//industry.ucsf.edu
  • Bring ICD on early in the process
  • Leverage our skills
  • Help you structure the relationship
  • Help you align the expectations of both parties
  • Building relationships

75
Cost Accounting Standards (CAS) and the OIG Audit
Plan 2010
Joan Kaiser, Research Policy and Compliance
Coordinator, Office of Sponsored Research
December 9, 2009
76
New CAS Online Training Course
  • On-line course entitled UCSF COST ACCOUNTING
    STANDARDS CHARGING PRACTICES ON SPONSORED
    AWARDS is available at the UC Learning Center
    at https//learningcenter.ucsfmedicalcenter.org/.
    Time Commitment 30-45 minutes.
  • COURSE OBJECTIVE Learn proper application of
    cost accounting principles to be used when
    preparing sponsored project proposals, and when
    managing sponsored project awards. 
  • TOPICS
  • Charging Practices for Sponsored Projects  -
    Policies and Principles
  • Types of Costs  Direct and Indirect
  • Cost Considerations  Allowability,
    Reasonableness, Allocability, and Consistency
  • Budget Justification Considerations
  • Case Studies
  • Quiz

77
OIG Audit Plan 2010
  • Why should you take CAS training? This topic is
    one of the priority items on the Office of
    Inspector General (OIG) audit plan 2010. Full
    OIG plan is available at http//oig.hhs.gov/08/Wo
    rk_Plan_FY_2010.pdf
  • The OIG Audit Plan includes a review of
    universities compliance with selected cost
    principles governed by OMB A-21, Cost Principles
    for Institutions.
  • OIG will conduct reviews based upon the dollar
    value of federal grants received and on input
    from HHS operating divisions.
  • UCSF has received federal funds totaling
    approximately 607 million for fiscal year 08/09.
    High risk of audit.

78
OIG Audit Plan 2010
  • Additionally there is a special appendix to the
    OIG 2010 workplan - the OIG ARRA Review Project.
  • Will focus on universities compliance with
    costing principles under A-21.
  • Will determine whether grantees receiving AARA
    funds have spent funds in accordance with all
    terms and conditions set forth in the Recovery
    Act.
  • UCSF has received 125 million to date in AARA
    funds. High risk of audit.

79
Other Courses Available on Pre- and Post- Award
Administration
  • View all available sponsored project pre- and
    post-award courses on the OSR Training Website
    at
  • http//or.ucsf.edu/osr/train/courses.htmldsy5084
    -DSY_1

80
Controllers Office
About PowerShow.com