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Research Administration Town Hall (former name: RSA Town Hall)


Research Administration Town Hall (former name: RSA Town Hall) Wednesday, August 14, 2013 9:00-11:00 PM Parnassus Campus, Cole Hall w/ a live broadcast to Genentech ... – PowerPoint PPT presentation

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Title: Research Administration Town Hall (former name: RSA Town Hall)

Research Administration Town Hall(former name
RSA Town Hall)
  • Wednesday, August 14, 2013
  • 900-1100 PM
  • Parnassus Campus, Cole Hall w/ a live broadcast
    to Genentech Byers Auditorium at Mission Bay
    Room 201 at the Fresno Campus Live Webcast

  • Introducing eProposal
  • Mara Fellouris
  • Introducing New OSR Website
  • Claudia Carlson
  • CACTAS Demo (Centralized Agreement, Contact
    Tracking and Approval System)
  • Eunice Chang and Claudia Carlson
  • New Chart of Account Related Topics
  • Jean De Martini
  • Post Award Compliance
  • Rick Blair and Susan Lin

Introducing eProposalMara
FellourisExecutive DirectorProgram Management
What is eProposal?
  • eProposal is UCSFs new web-based software to
    support the full life cycle of proposal
  • It includes
  • Identifying funding opportunities
  • Creating the proposal, budget, and all forms
  • Routing for PI, departmental, and institutional
    review and approval
  • Submitting to sponsor
  • Managing selected post submission documents and
    communications to prepare for post award
    activities set-up

What systems are going away?
  • Eventually, eProposal will replace our pre-award
    Proposal Express and Cayuse systems
  • During the transition period, in keeping with the
    principle of minimizing duplicate work, proposals
    started in the current systems will be completed
    in those systems
  • It will complement our CACTAS system

When is it going live?
  • eProposal will go live in a soft launch with a
    pilot group on September 16, 2013
  • Proposals that have already been started in
    current systems will be completed in those
    current systems to avoid any rework required of
    the proposal preparers (PIs, RMS, others)
  • Pilot proposals will be initiated from
    mid-September through end December, with NIH proposals timed to NIH submission
  • Campus go-live is scheduled to occur before
    calendar year end, with the same guidance
    provided to pilot groups

Who does eProposal impact?
  • RMS staff and managers
  • Will be able to do things more efficiently by
    using one integrated system Initially, this will
    require working in two systems to accommodate
    proposals already started
  • Principal Investigators
  • Will be able to complete online reviews and
    provide online approval
  • Department Chairs
  • Will receive automatic notification of the need
    to provide online review and approval
  • Post Award Analysts
  • Will have online access to all proposal documents
    to support post-award set up and management

Of Interest to Post Award Analysts
  • System maintains a record of the proposal
    including supporting documentation
  • Funding Opportunity Announcement, Letter of
    Intent, Limited Submission approval, Budget,
    Sponsor forms, COI Worksheet, PI Waiver, JIT
  • Receives the RAS award ID if the project is
  • Delivers a robust, custom-built budgeting tool
  • Supports escalations, salary caps, cost sharing,
    FA rate and base code calculations, fringe
    benefit calculations, budget justification and
    multiple budget versions to model scenarios on
    these and related items
  • eProposal incorporates the OSR approval form,
    with the data fed from eProposal to
    PeopleSoft/Proposal Express
  • Captures Subrecipient information (as of the
    proposal stage)
  • Who, how much, where
  • Integrates with PeopleSoft and PPS to get
    accurate data (ie salaries, sponsor info) and
    with CHR (protocol info)
  • Leverages initial proposal data for
    continuations, supplements, renewals, and no
    cost extensions

Introducing CACTAS for Department
Users(Centralized Agreement, Contact Tracking
and Approval System)Eunice ChangManagerClaudia
Carlson, Training SpecialistResearch
Management Services
Controllers Office
  • CACTAS is the Centralized Agreement Contact
    Tracking and Approval System.
  • Agreement management tool used for sponsored
    research agreements and Professional Service
    Agreements (PSA).
  • CACTAS is used by OSR, ITA, COI and EMF to record
    and track correspondence, awards in progress and
    other items not housed in PeopleSoft.

How to Request Access
  • Please send a request to your RMS Team Manager,
    who will then contact IT.
  • CACTAS is available through the MyAccess
    portal/single sign-on.

How is CACTAS organized?
  • One Record/Transaction/Action
  • CA-1234567 Agreement
  • Files are stored in a CACTAS Folder
  • Smith, Mary A123456 / P1234567 CACTAS Folder

  • Correspondence, i.e., Carryover requests
  • NCE Awards
  • Incoming Awards

Contact Information
  • Claudia Carlson
  • 415-476-8155
  • Eunice Chang
  • 415-206-6943
  • http//

Introducing New OSR Website
  • Claudia Carlson
  • Training Specilist
  • Research Management Services

New Chart of Accounts Related TopicsJean De
MartiniDirectorExtramural Funds
Finance3 Updates
  • Upcoming Town Hall on October 4th
  • Training to be offered in Fall
  • COA, MyReports, Hyperion
  • Delivery Methods
  • Helpdesk resources

Upcoming Finance3 Town Hall
  • Friday, October 4th, 2013
  • Live presentation Parnassus N-225
  • Real-time live broadcast Mission Bay Byers
  • Link to watch online available day of event
  • Sent out via UCSF Announcements email
  • Posted on Finance3 Website
  • Agenda
  • Chart of Accounts project focus
  • Hyperion and MyReports projects update
  • Fall training plan
  • QA (with online submission options)

Training for all Finance3 initiatives will be
  • Chart of Accounts beginning in
  • MyReports beginning in October/November
  • Hyperion beginning in December/January
  • Helpdesk resources will be available after Go-Live

Delivery Methods Delivery Methods Delivery Methods Delivery Methods Delivery Methods Delivery Methods Delivery Methods
Town Halls Pre-Recorded Webinar (Captivate) Live Webinar On-Line Players (UPK) Job Aids/Quick Reference Guide Classroom Sessions Post Go-Live Help Sessions
Lectures conducted to educate large numbers Webinars to aid Champions/Mgs. Depts. in key subject matter Delivered to provide QA sessions Online interactive players that provide step-by-step guidance 1 or more page helpful reference aids Interactive hands on keyboard and QA sessions QA sessions to assist campus users with business examples (online and classroom)
Topic Agenda
  • Effects of July 1 changes
  • Financial Review and Reconciliation Before New
    COA Conversion

Effects of July 1 Changes
  • In anticipation of the 1/1/2014 Chart of Accounts
    (COA) conversion, certain changes were
    implemented as of July 1st. They are as follows
  • Fund Balances rolled forward with a DPA
  • Revenue transactions require a DPA
  • STIP transactions require a DPA
  • Intercampus subcontract expenses are booked as
    expense instead of fund balance reduction

Fund Balances Rolled Forward at DPA Level
  • In the new COA, fund balances will be carried at
    the Dept ID/Fund/Project level. To facilitate
    conversion, fund balances were allocated to a
    default Fund/DPA during Fiscal Year 2013 close.

Fund Balances Rolled Forward at DPA Level
  • Fund balances with no DPA on 6/30 were assigned
    to the default DPA (i.e. the STIP Account).

Fund Balances Rolled Forward at DPA Level
Fund Balances Rolled Forward at DPA Level
Revenue transactions require a DPA
  • Prior to 7/1, revenue transactions did not
    require a DPA. And in some instances all
    revenue was posted to the Primary DPA.
  • In anticipation of the COA conversion, all
    revenue transactions must include a DPA,
    effective 7/1/13.
  • The requirement to record revenue at the DPA
    level allows us to monitor award profitability of
    an award at an organization level. Thus it is
    possible for individual DPAs to be responsible
    for a surplus or deficit within an award.

Review and re-Allocate Revenue
  • Have an agreement on how to split the revenue
    between PIs for the following types of awards, if
    there isnt any
  • Installment, advanced payment, milestone, and
    unit of services.
  • Provide DPAs to EMF to split the revenue for the
    new invoices
  • Re-allocate revenue between DPAs for the invoices
    that were recorded previously by using revenue
  • Transfer the deficit where it was created.
  • For each type of sponsor and award, different
    revenue NCA has be to used.

Fund Balance Management
  • Fixed Price Awards
  • Allocate revenue by DPA
  • Why
  • Support the development of profit and loss
    statements at various levels of the organization
    (e.g., Principal Investigator, division, and
    department, and control point.)
  • Impact on fixed price awards
  • Currently revenue is inconsistently booked at
  • fund and fund year level, or
  • fund, DPA (PI), and fund year level.

Fund Balance Management
  • Cost Reimbursable and Letter of Credit Awards
  • Manage expenses to budget by DPA
  • If there is an overdraft (budget expense),
    remove IT!
  • We dont want to repeat the same conversion
    problems as the time when we implemented RAS.
  • Many funds, expired or not, were in overdraft and
    became unmanageable after the conversion.

STIP transactions require a DPA
  • Similar to fund balance and revenue transactions,
    STIP transactions require a DPA.
  • Positive STIP including the budget from July and
    on, is distributed to the fund / primary DPA,
    which is listed in STIP Account.
  • Any accumulated STIP was rolled forward to the
    fund balance with the primary DPA, effective

Effect on STIP
Outgoing Intercampus Subcontract Expense
  • Effective 7/1/13, Intercampus Subcontract
    activity is recorded in the PL.
  • Subcontract-Out
  • Subcontract-out is recorded as subcontract
    expense in NCA 437515 (Note Prior to 7/1/13,
    this was recorded to the unexpended balance)
  • EMF no longer adjust the budget since actual
    costs are recorded as an expense, where the
    budget already resides
  • EMF established inception-to-date subcontract
    expenses for active budget period.
  • Little bump some awards with certain FA based
    codes were assessed FA, which we are in the
    process of fixing it.

Intercampus Subcontract-Out
Intercampus Subcontract-Out
Financial Review and Reconciliation Before New
COA Conversion
  • COA conversion is effective 1/1/14 and there are
    many things you can do to prepare!

Why Should I Review the Financials Before New
COA Conversion
  • Financial transactions for awards that have no
    stop code have to be managed in two different
    charts of accounts.
  • Detailed transactions prior to 7/1/2013 will be
    summarized in general ledger at the account (new
    COA) level, which is mapped from NCAs (current
  • Fund deficit (revenue expense) without DPA from
    6/30/2013 has been assigned to the primary DPA
    marked in RAS, even though the deficit might be
    caused by the overdraft of other DPA(s).
  • A DPA on all revenue NCAs becomes mandatory
    beginning 7/1/2013 (new chart field validation
    rule requires a DPA as well as a Fund when
    revenue is recorded)
  • FA adjustments have to be done manually for
    expenses incurred prior to 7/1/2013, if the costs
    were FA exempt or visa versa but were charged to
    the incorrect NCA(s).

Review Expenditures Incurred
  • Ensure all costs appropriate and allowable per
    OMB Circular A-21 or sponsors terms and
  • Review the costs charged for FA assessment
  • List of NCAs where FA is exempt can be found
    Here .
  • If the charge to an NCA is incorrect and involves
    FA exemption, please send email to EMF Service
    Desk at so that EMF can
    coordinate the fix with Accounts Payable or
    Capital Accounting
  • For subcontracts charged to 437510 which is
    subject to FA, but should be 437520, which is
    exempt from FA, the Accounts Payable unit needs
    to fix the accounts payable entries in RAS. You
    can see this in the subrecipient voucher detail.
  • For equipment that is exempt from FA but charged
    to a supply NCA, the correction might affect
    the asset management record. The purchase order
    should identify which items meet the equipment

Closeout of Expired Funds or Fund Years
  • In order to minimize number of expired funds or
    fund years to be converted to the new COA prior
    to 12/31/2013 and reduce the RSA award management
  • Lien????
  • EMF will provide extra support in this effort.
  • If you have a fund or fund year expired and are
    ready to close before 150 days of fund year end
    date, please use the checklists
  • EZ Checklist or Complete Checklist for Close-out
    of Sponsored Project Expired Fund or Fund Year.
  • The checklists are posted on Here

Review Fund Balance
  • Instructions on how to view fund balance are
    available on the EMF Website
  • WebLinks Fund Summary

Post Award ComplianceRick BlairDirector
Susan LinAssistant ControllerExtramural
Controllers Office
Post Award Compliance
  • Effort Reporting
  • Administrative Salary and Expense Review
  • Cost Incurred within or Outside of Project
    Performance Period
  • Subrecipient Monitoring

Effort Reporting
  • UCSF is amongst the top 3 UC schools in
    timeliness, completion and accuracy with
    significant increases between 2010, 2011 and
  • The next effort reporting period for January
    2013-June 2013 kicks off September 1st.
  • All PETs need to be completed ASAP to be
  • All Effort Reports need to be certified by
    October 31st. 
  • Responsibilities
  • Principal Investigator/Certifier Certifies the
    amount of effort that they and their employees
    spent on federally sponsored activities in an
    accurate and timely manner
  • ERC Coordinates the effort reporting process,
    which includes the timely completion of effort
    reports follows up on compliance issues within
    their department and escalates issues to the
    Dean, Chair, or Director.
  • Delegation requests should be completed ASAP.

Administrative Salary and Expense Review
  • The HHS OIG has included audits of Direct
    Charging of General and Administrative expenses
    in their work plan since 2010 with the first
    audit report issued in 2012.
  • The audits continue into 2013. In additional to
    findings on GA costs, findings in other areas
    were included in the audits.
  • Below is a summary of the most noteworthy
    findings on the audits issued to date.
  • Payment of an Individual Membership in a
    professional organization. The auditors noted
    that only costs for institutions membership are
  • Several findings were on the purchase of general
    purpose lap tops, monthly telephone charges and
    general purpose supplies.

Administrative Salary and Expense Review Continued
  • Salary Costs And Effort- Auditors found
    transactions where the documentation did not
    corroborate with the amount of effort charged to
    the award. An award was charged 100 of the
    biweekly salary of a laboratory researcher but
    according to the principal investigator, 40 of
    the researchers effort was devoted to the award,
    and the remaining 60 involved managing a zebra
    fish facility and other non-research-related
    duties. Auditors noted that although these
    non-award duties may have benefited Federal
    awards in general, they were administrative in
    nature and not assignable to a single award.

Administrative Salary and Expense Review Continued
  • In October, EMF Compliance will perform a review
    of administrative salary and expenses for the
    period of 08/01/12-06/30/13.
  • On 06/07/13, DHHS released the following
    regarding an audit of The University of Colorado
    Denver with a fine of 1.4 million
  • the University charged unallowable salary and
    non-salary costs totaling at least 1,234,883 to
    HHS awards during our audit period. We also
    determined that the University charged
    unallowable direct and FA costs totaling
    184,641for two awards to which the University
    continued to charge costs after the awards had
    been relinquished to another institution. These
    unallowable costs totaled 1,419,524.
  • http//

Costs Incurred within or Outside of Project
Performance Period
  • Background
  • Payments for NIH domestic awards are currently
    drawn via a pool account (i.e. lump sum) from the
    Payment Management System (PMS).
  • At UCSF, we perform a cash draw from PMS twice
  • Reporting expenditures for those payments is made
    at the award level and submitted quarterly on the
    last day of the month following quarter end.

Costs Incurred within or Outside Project
Performance Period Continued
  • Changes to the current LOC draw process
  • NIH will require recipients of their payments to
    report expenditures at the award level via
    subaccounts each time, when cash is drawn.
  • Beginning Oct 1, 2013, the implementation of the
    change will only include new and continuing
    awards. However, it is anticipated that NIH will
    roll out this reporting requirement for all
    awards in the future.
  • This reporting requirement is similar to the ARRA

Costs Incurred within Project Performance Period
  • What impact does this have on UCSF?
  • Expense incurred will be reported to NIH twice a
    week. Therefore, unusual spending patterns or
    questionable costs will be visible to NIH.
  • Any expenses incurred at the end or outside the
    project performance period could be subject to
    heightened scrutiny and audit by the federal
  • Perceived trends in the types of expenses
    transferred in or off the award could be
    collected and used by OIG auditors as well as
    those that appear as parking costs on funds.
  • Monthly GL verification by departments will
    ensure that expenses are properly incurred and
    recorded within the project performance period.

Subcontract Monitoring
  • Outgoing Subawards
  • Definition
  • Subaward is outgoing when UCSF is the primary
    recipient of an award and provides subcontracts
    to outside institutions.
  • The following slides describe how we issue,
    amend, or continue a subaward from UCSF to
    outside institutions.

Step 1 -Outgoing Subawards
  • Department submits a Subaward Request Form.
  • The form and instructions of the form are
    available from OSR website.
  • Department must read and follow the steps in
    order to effectively administer an outgoing
    subaward because the Federal regulations and
    compliance involved.

Step 2 - Outgoing Subawards
  • Contracts and Grants (CG) office enters
    subcontract request data in Research
    Administration System under the appropriate
    award/project. The system then creates the
    auto-numbered tracking ID, e.g. 6647sc.

Step 3 - Outgoing Subawards
  • CG requests any additional and necessary
    documents/information from department and update.
  • CG receives all documents and drafts legal
    subcontract agreement (RAS is updated).
  • CG sends the draft of the agreement to
    subcontracting institution for execution (RAS is
  • Upon return of signed subcontract, CG adds
    information into RAS, attaches PDF of signed
    contract (RAS updated) and notification is sent
    to Dept and AP subcontract desk.

Step 4 - Outgoing Subawards
  • PIs must understand their roles and
    responsibilities for subcontract monitoring (see
    OSR website for details).
  • PI is responsible for approving outgoing
    subcontract requests and authorizing invoices.
    The person is defined as the individual whose
    name is listed as the Principal Investigator on
    the prime award made to UCSF.

Step 5 - Outgoing Subawards
  • Department must understand and fulfill their
    roles and responsibilities
  • Review invoices received from the subrecipient
    for allocability, allowability and reasonableness
    of costs and that charges are within the period
    of performance of the prime award.
  • Subrecipient invoices should include enough
    detail to determine how awarded funds are being
    used. In addition, if the subrecipient is
    contributing to any mandatory cost sharing
    commitments, the department should review the
    invoice for indications the subrecipient is
    meeting the commitments and has certified that
    all expenses are appropriate. Department
    reviewers should coordinate closely with the PI
    of the prime project in order to determine that
    costs are appropriate for the subagreement.
  • Monitor subrecipient to assure that invoices and
    progress reports are submitted in a timely
  • Question costs which differ materially from the
    approved budget or which appear unusual or
    unallowable, and withhold payment until a
    satisfactory explanation is received.
  • Assures that final invoices are identified as
    such, and assist PI as needed in completing
    project closeout requirements required by federal
    award terms.
  • Department approves invoices and submit it to
    Accounts Payable (AP) for processing.

Step 7 - Outgoing Subawards
  • When AP receives invoices, they will check RAS
    Subrecipents tab to determine authorized
    subcontract amount, performance dates, and
    remaining balance.  AP also requests or receives
    approval from department to pay invoice and
    confirms accounting FAU against information in
    PeopleSoft.  If everything is consistent and
    approved, AP creates voucher to pay
    subcontractor. Otherwise, AP will not process
    the invoice and will sent it back to the
  • Voucher includes subcontract (e.g. "6647sc"),
    which then links the voucher to the subcontract. 
    The subcontract voucher information (Voucher ,
    Vendor ID, Invoice , Dt, NCA, DPA, Fund, FY,
    Amount) and AP Journal Info (Journal ID, Dt,) are
    linked to subcontract and viewable in the
    Subcontract Voucher Detail Page.

Subrecipient Voucher Detail Page
Everyone with access to the award is able to see
the Subcontract information, the attached
Subcontract documents, and the invoicing
history/voucher report.
Step 8.1 - Outgoing Subawards
  • Department runs reports for all subcontracts
    within their responsibilities.
  • Subrecipient Report by Dept (or PI, or Fund)

Step 8.2 - Outgoing Subawards
  • Department runs reports in administering
  • Subrecipient Page

Step 8.2 - Outgoing Subawards
  • Subcontract Summary Report by award

Need Help
  • Contacts
  • OSR Outgoing Subaward Team
  • http//
  • EMF Customer Services Desk
  • Email

  • Thank You

Controllers Office