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Research Administration Town Hall

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Research Administration Town Hall. Friday, August 22, 2014. 9:00-11:00 AM. HSW-301 w/ a live broadcast to Genentech Hall, Byers Auditorium at Mission Bay & Room 116 ... – PowerPoint PPT presentation

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Title: Research Administration Town Hall


1
Research Administration Town Hall
  • Friday, August 22, 2014
  • 900-1100 AM
  • HSW-301 w/ a live broadcast to Genentech Hall,
    Byers Auditorium at Mission Bay Room 116 at the
    Fresno Campus Live Webcast
  • Send questions to rick.blair_at_ucsf.edu

Contracts and Grants Accounting
2
Agenda
  • Introduction of New Assistant Controller for
    Contracts and Grants Accounting John Ellis
  • Docusign Rollout Subcontract Invoices Jill
    Cozen-Harel
  • Town Hall Survey Report Rick Blair
  • Compliance Update Effort Reporting Veleta
    Allen
  • STIP in the COA Jean DeMartini
  • Subaward Tracking in RAS Tony Hunter
  • Post Award Hot Topics Michael Grafton and Jean
    DeMartini

3
  • Introduction of New Assistant Controller for
    Contracts and Grants Accounting

4
  • DocuSign Rollout Subcontract Invoices

5
Topics
  • Why DocuSign
  • Pilot Progress
  • How DocuSign Works
  • New Invoice Approval Process
  • Training
  • Getting Access
  • Getting Ready

6
Why DocuSign
  • DocuSign is a web-based electronic signature and
    workflow management application.
  • It is becoming the UCSF campus solution for
    signatures and will significantly speed up
    processes that require signatures.
  • Users can sign from anywhere and on any device.
  • PAIN POINT The current process of printing a
    form, signing it, scanning it, and then emailing
    it takes up too much administrative time and
    decreases efficiency.

7
  • Pilot Progress

Tentative campus go-live date mid Sept/early Oct
  • 4-month pilot with 4 departments
  • Institute for Neurodegenerative Diseases
  • Memory and Aging Center
  • OBGYN
  • Prevention Sciences
  • 144 completed, signed invoices as of 8/14/14

Amount of 8 invoices likely due to year-end
and transitioning both AP and departments to the
new process
8
How DocuSign Works
  • DocuSign is a cloud-based application all
    routing and signing occurs within the DocuSign
    interface
  • DocuSign is behind MyAccess
  • Flexible workflow
  • Email notifications when actions are required
  • Allows for automated reminders and expirations
  • All users in workflow can view real-time tracking
    status

9
New Invoice Approval Process
  • Process Summary
  • AP sends invoice to Post Award Analyst via
    DocuSign (Post Award Analyst identified through
    RAS per current process)
  • Post Award Analyst assigns approver(s) based on
    department-specific workflow (e.g Post award
    analyst plays Workflow Owner role)
  • Approvers are PIs or their delegates finance
    person and/or RSA may be additional approvers
  • May also assign a receive a copy role during
    the approval process or to receive a final signed
    copy for their records
  • DocuSign routes invoice automatically to the
    approver(s) for signature
  • Approver(s) sign invoice via DocuSign
  • AP, Post Award Analyst, approver(s), and
    reviewer(s), if applicable, all receive a link to
    the completed, signed document, to be viewed or
    downloaded
  • AP processes signed invoice within SLA of 3
    business days

10
Training
  • Post Award Analysts/financial analysts
  • Brown bag sessions
  • Webinar
  • Online job aids
  • Approvers/PIs
  • Receive training support from their RSAs
  • Approver-specific online job aids
  • No classroom training is anticipated

11
Getting Access
  • Post Award Analyst
  • Assigns the workflow within the department
  • IT will pre-provision DocuSign accounts for
    everyone currently listed as the RSA of record in
    RAS
  • PIs, delegates, other department staff
  • Approves or reviews invoice
  • No specialized set up is needed for these roles
  • They simply access DocuSign through MyAccess or
    by clicking the link in their email when notified
    of an item to review or approve

12
Getting Ready
4/28 pilot go live
Mid-Sept/Early Oct estimated campus go live
  • Tasks to prepare for go-live
  • Watch for communication from us on dates for
    information sessions and actions you need to take
    for your department
  • Attend brown bags and/or webinar
  • Alert your PIs and other approvers to the
    upcoming change
  • Check RAS to make sure the right person is listed
    as the RSA of record
  • Determine your departmental process for handling
    subcontract workflows
  • Identify your approvers
  • Identify your FYI reviewers if any
  • Identify who requires carbon copies of final
    signed invoice
  • Review job aids and familiarize yourself with
    DocuSign
  • Ensure your department participants have the
    specific job aids for their roles

13
Resources and Support
  • Controllers Office Website
  • Job aids for workflow owner and approver
  • Recordings of these brown bags/webinars
  • FAQs
  • http//controller.ucsf.edu/buying_paying/procs.asp
  • For questions and ongoing support,
  • email cosolutioncenter_at_ucsf.edu or call (415)
    476-2126
  • General UCSF DocuSign Resources (not specific to
    subcontract invoices)
  • https//it.ucsf.edu/services/electronic-signature-
    docusign

14
  • Town Hall Survey Report

15
Highlight of the Results
  • Time, venues and location ideal
  • Prefer collaboration with OSR on current and
    relevant content to the audience
  • Organization of meeting
  • Speakers
  • Surveys to follow after all town halls

16
  • Compliance Update
  • Effort Reporting

17
Effort Reporting
  • The Effort Reporting System will generate new
    Effort Reports for the January 1 to June 30, 2014
    period on September 1, 2014
  • For this period, Effort Reports must be certified
    by October 31, 2014
  • Must be certified by Principal Investigators and
    other faculty in Professorial, Professional
    Research, and Management titles who are paid on
    federal or federal flow-through funds

18
Effort Reporting
  • Effort Reports prior to December 31, 2013 are
    archived
  • Accessing Archived Reports Job Aid is located
    on the Controllers website under Contracts and
    Grants Accounting
  • The archived certifications are stored as pdf
    files and must be manually recertified based on
    late pay transactions
  • CGA Compliance Team will send recertification
    requests to the ERC if a prior effort report
    requires recertification the ERC will have 30
    days to return the completed certification

19
Effort Reporting
  • The Effort Reporting System is accessed through
    MyAccess
  • Should you have issues with signing on or with
    other technical issues, please contact the Help
    Desk, 415-514-4100, option 2
  • Delegation requests should be made ASAP
  • Other questions should be directed to
    CGA.Compliance_at_ucsf.edu

20
  • Short Term Investment Pool (STIP) in the New COA

21
STIP Topics
  • STIP Recovery in the new COA
  • Calculating the Cumulative STIP Balance
  • Updated Closeout Steps

22
STIP Assumptions in the New COA
  • STIP distribution no longer goes down to the
    individual project level
  • Allocation is aggregated to 1111111 General
    Unspecific
  • Further allocation to Projects, if warranted, is
    the responsibility of the department
  • STIP can be allocated to the Dept ID that
    generated the surplus/deficit, or it can be
    directed to a designated Dept ID
  • Control Points are maintaining this list
  • Positive STIP is allocated to 49XXX (revenue
    accounts) and negative STIP to 59XXX (expense
    accounts)
  • Moving STIP requires using a 78XXX (transfer
    accounts) on both the debit and credit side of
    the transaction
  • Rolls up to Other Changes on Reports
  • More information can be found in the Department
    Champions Meeting Notes from 1/21/14 found at
  • http//controller.ucsf.edu/finance3/files/Dept_Ch
    ampions_Meeting_01212014.pdf

23
Calculating Cumulative STIP
  • Run GL Transaction Detail in WebLinks to review
    financial STIP transactions posted prior to COA
    conversion.
  • Begin Date of 07/1997
  • End Date FN/2013
  • Account Type of U/E Expense Revenue
  • Activity Type of Detail
  • NCA code 119800 private funds, clinical trials
  • Journal ID D97
  • Identify the amount that posted without a DPA (if
    any)

24
Calculating Cumulative STIP (Contd)
  • Run the Sponsored Project Summary Report
  • Drill down on the hyperlinked Revenue under
    Financial Balance by Project
  • Total all STIP posted for FY2014 (thru 02/2014)
  • Add the FY2014 STIP to the previously posted STIP
    found in WebLinks to get the cumulative STIP
  • Note There should be no STIP on government or
    government flow-through funds

25
Closeout Process in the New COA
  • Updated STIP process during Closeout
  • If STIP can be retained by the University and is
    not reportable to the agency, the CGA closeout
    team will transfer to a departmental
    discretionary account during the closeout of an
    interim year
  • If STIP is reportable or must be returned at the
    end of the award, the department must move
    post-conversion STIP earnings onto the award the
    CGA closeout team will carry the STIP to the next
    budget or refund, as appropriate
  • These transactions will roll into the Other
    Changes column on the reports

26
Closeout Process in the New COA (Contd)
  • If STIP allocated without a DPA (project), the
    Summary Reports with financial balances will not
    capture these amounts. Run the Net Position
    Report for true financial balance. (see earlier
    example of STIP posted w/out a DPA)

27
Budget Closeout in the New COA
  • Budget Closeout for Awards with STIP
  • If the STIP has been transferred off of the
    project as part of a surplus transfer (using
    account 78070) the budget will be closed to a net
    of zero
  • The budget will match the expenses plus the
    surplus transfer which aligns with the full value
    of the award

28
Budget Closeout in the New COA (Contd)
  • Budget Closeout for Awards with STIP Carry
    Forward
  • If STIP has been carried forward to the next
    budget period, the budget is closed out to not
    include the STIP or a net of the STIP
  • The budget will match the expenses and does not
    include the Net Position or Other Changes
    transaction since it was removed from the period

29
  • Post Award Hot Topics

30
Post Award Topics
  • Project ID Set-Up and Management
  • RSA Update in RAS
  • Escalating IDC Rate
  • 545 Journal Combo Edits
  • NIH Subaccount Conversion
  • Recording Revenue
  • Salary Cap
  • Agency Closeouts

31
  • Project ID Set-Up and Management

32
Project ID Set-Up Requirements
  • When is it a requirement to set up multiple
    projects on a single award?

33
Project ID Set-Up Requirements
  • If a co-principal investigator needs to have his
    or her budget and expenditures tracked
    separately, a new project with the PI ID of the
    co-principal investigator needs to be set up
  • If there is more than one facilities and
    administration (FA) rate on an award, for
    example a minority supplement, then a new project
    needs to be established
  • NOTE If a project moves from off-campus to
    on-campus, and vice versa, a new project does not
    need to be set up instead, the new rate will be
    added with an effective date of the move

34
Project ID Set-Up with Subcontracts
  • Question
  • Are we allowed to have a unique project assigned
    to EACH subcontract on an award?

35
Project ID Set-Up with Subcontracts
  • Answer
  • You can do whatever you want

36
Project ID Set-Up with Subcontracts
  • but you probably should consider the best
    strategy for handling multiple projects,
    especially since there may be multiple department
    IDs and multiple functions within a single
    project

37
Navigating RAS Subcontract Functionality
  • Go to Award Profile page
  • Go to Subcontract Summary for a list of award
    subcontracts.
  • Link is located at the bottom half of the Award
    Profile page this information is linked to the
    Subrecipients tab
  • You can go directly to the Subrecipients tab,
    fifth from the left on the profile page to see
    details of specific subcontracts, but it is
    easier to navigate from the Subcontract Summary

38
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39
Common Features on All Subcontracts
  • The top of the subrecipient page indicates the
    number of total award subcontracts, both external
    vendors and intercampus subcontracts
  • The page cites the current subcontract award
    number, usually four digits followed by SC, but
    not always
  • New subcontracts will be cite the project ID and
    department ID
  • Subcontracts in place prior to the new chart of
    accounts cited the expenditure DPA and the prior
    fund
  • Click the Subrecipient Document Page link to see
    the originally executed agreement and subsequent
    amendments
  • The number of lines at the bottom of the
    subcontract page should correspond to the number
    of documents in the Subrecipient Document Page
    link
  • Click the document icon to review the specific
    executed agreement

40
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41
Unique Features External versus Intercampus
  • The external subcontractor with another business
    entity is treated as a vendor in the accounts
    payable system
  • Go to the Subrecipient Voucher Detail Page to see
    the specific disbursements, by account number, to
    the vendor
  • Intercampus subcontracts occur between all ten
    campuses and the UC Office of the President
  • There are no disbursements, only financial
    transfers between subsidiary entities with the
    University of California
  • Later on, we will discuss the specific accounting
    treatment of the financial transactions

42
  • EXAMPLE 1
  • EXTERNAL SUBCONTRACTOR

43
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46
External Subcontract Accounting Treatment
  • The source code for financial transactions, in
    the form of disbursements to an external vendor,
    is 426
  • If the subcontract is set up in the incorrect
    project, then the following must occur
  • The subcontract, including documents and voucher
    transactions, must be moved to the correct
    project
  • The source code 545 cost transfer journal does
    NOT allow for a transfer between awards or
    projects corrections are made by the accounts
    payable unit on source code 426 entries
  • If the original disbursements are closed, then
    Contracts and Grants Accounting will work with
    the department to transfer errors with another
    transaction type

47
  • EXAMPLE 2
  • INTERCAMPUS SUBCONTRACT

48
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50
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51
Intercampus Subcontract Accounting Treatment
  • The source code for financial transactions, in
    the form of a subsidiary transfer to another
    University of California business unit, varies,
    depending upon whether the prime award is an
    external sponsor or an internal University of
    California program
  • If the prime award is an external sponsor, then
    the payment to the sister campus is done on a
    source code 570 intercampus financial journal,
    usually based upon submission by the sister
    campus of an intercampus request for
    reimbursement (IRR) for actual expenditures
  • If the prime award is another University of
    California program, the entire subcontract award
    amount is transferred on a source code 574
    intercampus financial journal
  • For sponsored projects, such as special state
    appropriations, there should be a corresponding
    inter location transfer of funds (ITF) budget
    authorization that posts to the general ledger
    for non-sponsored funds, the ITF is processed as
    an offline transaction, but does not post to the
    non-sponsored project

52
  • Navigation to Subrecipient Report by Department
  • Grants
  • UCSF Reports
  • Subrecipient Report by Department

53
Subrecipient Report By Dept
54
Subrecipient Report By Dept
55
RSA Update in RAS
  • Departments have the ability to change the RSA
    for any project in PeopleSoft
  • Go to the Project Detail Page and make the change
    under the Department Information section
  • The RSA named on the PRIMARY project is the name
    that is displayed as the award RSA
  • To change the award RSA, change the PRIMARY
    project RSA

56
RSA Update in RAS

57
Escalating IDC Rates
  • Please remember that all awards beginning July 1,
    2012 are subject to the escalated rates that were
    negotiated on May 23, 2012
  • 56.5 07/01/12 06/30/13
  • 57.0 07/01/13 06/20/14
  • 58.0 07/01/14 06/30/15
  • 58.5 07/01/15 06/30/16

58
Escalating IDC Rates
  • Please note the following
  • All awards are subject to these negotiated rates,
    except the following sponsors for which waivers
    exist or are in the process of begin negotiated
  • City and County of San Francisco
  • State of California
  • Private Foundations (with published waivers)

59
Escalating IDC Rates
  • California Institute for Regenerative Medicine
    (CIRM)
  • New rates have been negotiated beginning July 1,
    2012
  • Off-Campus 14.70
  • Dolby Regeneration Medicine Building 37.64
  • On-Campus 07/01/12 06/30/13 56.60 07/01/13
    06/30/14 57.20 07/01/14
    06/30/15 58.40 07/01/15 06/30/16 59.00

60
Escalating IDC Rates
  • California Institute for Regenerative Medicine
    (CIRM)
  • On campus rates have escalations that begin NOT
    on July 1st, but on the specific date of a
    continuation budget period starting July 1, 2012
  • For example, for an on-campus award with a budget
    period start date of November 1, 2014 the rate
    will change to 58.40 for the following period
  • November 1, 2014 through October 31, 2015
  • Beginning with the November 1, 2015 continuation,
    the rate will change to 59.00

61
545 Journal Combo Edits
  • New combo edits have been made to PROHIBIT
    transfers on the following expenditure accounts
  • Outgoing External Subcontracts
  • 51311 through 51312 (and 51313 historical
    entries)
  • Entries are tied to the subrecipient
    functionality, so corrections will need to be
    made on a source code 426 accounts payable journal

62
545 Journal Combo Edits
  • Outgoing Intercampus Subcontracts
  • 59300 through 59314
  • Entries to 593xx pass through financial control
    102xx accounts, and need to cite the correct
    transaction code

63
545 Journal Combo Edits
  • General, Automobile, and Employee Liability
    (GAEL) assessment
  • 57400 This assessment is tied to the
    distribution of payroll expense ledgers for all
    regular salary
  • lines (HRG, HST)
  • If there is an error, it will need to be
    corrected by a source code 535 financial entry
  • Contracts and Grants Accounting are working out
    the specific steps and roles and
    responsibilities regarding changes to the GAEL
    assessment

64
NIH Subaccount Conversion
  • Currently, the majority of federal awards are
    drawn from the pooled account
  • Lump sum requests
  • Twice weekly draw
  • Quarterly reconciliation and NIH report
  • NIH is moving to subaccount draws
  • Draw on an award basis
  • Twice monthly draw (will be increasing frequency)

65
NIH Subaccount Conversion
  • Impact of Conversion
  • Greater visibility to spending patterns (burn
    rate)
  • Precursor to NIH stricter timelines for award
    closeout
  • Conversion of existing awards (starting Oct.
    2015) will result in the need to establish new
    awards, file FSRs and closeout old award numbers

66
NIH Subaccount Conversion
  • Timing
  • New Awards and Renewals - are being issued as
    subaccounts
  • Existing Awards conversion has been delayed
    until the period of October 2015 to September 2016

67
Recording Revenue
  • Cost Reimbursable awards reflect revenue is
    systematically calculated and posted to the
    project where expenses are recorded
  • Fixed Price award revenue is posted to the
    project manually selected when an invoice is
    issued

68
Recording Revenue
  • Issue Is your fixed price revenue being posted
    to the correct project(s) within your award?
  • Why is this important?
  • Ability to determine profitability of an activity
    identified by a specific project, within a
    multi-project award)
  • Ability to properly allocate surplus/deficit
    based on project activity (especially when
    multiple PIs or departments are involved)

69
Recording Revenue
  • How do you ensure that revenue is posted to the
    correct project?
  • Be sure to verify revenue as part of your monthly
    G/L review
  • When submitting invoices to CGA, detail how the
    invoiced amount should be allocated between
    various projects, as appropriate
  • Talk to CGA Fixed Price Billing Team to address
    issues of future allocations related to periodic
    cash payments, etc.

70
Salary Cap
  • DHHS, and its agencies, have a salary cap
  • Non DHHS agencies often do not have a salary cap,
    e.g., DOD, EPA, etc.
  • Federal Flow Thru awards may have a salary,
    dependent on the issuing agency
  • Cost sharing must adhere to the salary cap of the
    issuing entity
  • Please ensure that negotiated awards consider
    whether a cap is required and that it is properly
    reflected in our systems

71
Agency Closeouts
  • Agency closeout involves concluding financial,
    administrative and reporting (including
    scientific) processes
  • What you can do to assist in this process?
  • Work with PI to ensure all scientific reports are
    submitted timely
  • Work with CGA on the submission of financial
    reports
  • Work with RMS on closeout issues, as needed
  • Important Awards are made to institutions, not
    Pis if a PI leaves UCSF, UCSF is still
    responsible for submitting all closeout items,
    even scientific reports please sit down with PI
    before departure to make sure these requirements
    are met
  • Important Remember Record Retention Policy

72
  • QUESTIONS?
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