research administration training at uc san diego · research administration training at uc san...
TRANSCRIPT
A paper on the background and need for a more coordinated and developed approach
to delivering research administration training at UCSD.
Research Administration Training at UC San Diego February 20, 2013
By: Alma Palazzolo and Ana Minvielle
1. Background
UCSD has experienced tremendous growth in research activity over the last decade with total sponsored research funding surpassing $1 billion in 2010. The growth in both volume and complexity of research activities has led to increased scrutiny and demand for accountability from our constituencies and federal sponsors, all while UCSD has been under pressure to maintain or even reduce administrative costs. In this current climate of higher workloads and budget uncertainties, several UCSD managers within Academic Affairs have expressed their concern that it is much more challenging to recruit, develop, and retain highly competent research administrators (especially fund managers) who have the training and resources needed to learn and perform their core functions.
In December 2012, a meeting was called to discuss the current state of research administration training. The meeting was attended by a group of business officers and high-level central campus administrators (see appendix for list of attendees) who agreed that something must be done to address the lack of coordinated research administration training at UCSD. Ana Minvielle and Alma Palazzolo volunteered to do further research on the issue for the purpose of assessing gaps in current training offerings and putting together recommendations for future actions. This paper contains a summary of our findings and recommendations. Note that we originally intended to do an inventory of current training practices among departments for the purpose of developing a proposal of courses needed, but realized that the task was too important to be narrowly completed by two people in a short time. Instead, we focused our attention on course offerings provided through UC Learning and/or the Office of Research Affairs and give a summary of findings in the Appendix.
2. Definition of Situation
Based on our own observations and feedback from colleagues, we surmise that in previous years, more frequent training related to research administration was available vis-à-vis informal “brown bag” sessions and more formal staff courses offered through Staff Education and Development. The sessions were mostly taught by “volunteer” subject matter experts from various UCSD departments and central offices (e.g., the Office of Post Award Financial Services, the Office of Contracts and Grants, General Accounting, and the Campus Budget Office). Unfortunately, with increased workloads and loss of expertise due to retirement and attrition, the number of volunteer trainers and course offerings has decreased. Now much of the responsibility for research administration training has fallen to individual departments and research units. In our opinion, a lack of coordinated and centralized training options is problematic from a number of perspectives: department training resources and expertise may vary leading to inconsistent training practices across departments; gaps in staff training may lead to costly transactional and budgetary mistakes; UCSD may face greater audit risk due to mistakes and lack of consistent training; and UCSD could suffer loss of funding due to bad audit findings and loss of UC reputation. In sum, it is an inefficient use of time and resources for departments to create and maintain their own separate sets of training materials that may or may not be consistent with federal and UC policies and best practices relating to sponsored research.
It should be mentioned that much effort has been expended over the years towards improving administrative process and policy content on UCSD’s business link website (Blink). While Blink is a wonderful tool to teach process mechanics, a need still exists for learning forums where “connective tissue” can be taught so that users have resources to better understand the inter-relatedness and dependencies of one policy to the next. In other words, Blink should not be relied upon to provide the forum in which case studies and “problem analysis” can be discussed; this type of learning opportunity may be best provided in classrooms or seminar style settings so that employees can learn from colleagues’ mistakes to better develop critical thinking skills.
Regarding UCSD’s transition to the UC Learning Center (the OP-driven, system-wide learning management system), this was arguably a step backwards for our campus since we already had a functioning Staff Education and Development portal that was far easier to use. Now users (especially newly hired staff) have a greater challenge in finding and exploring learning options because the UC Learning Center has a search feature with narrowly-defined search parameters (meaning, you need to know exact key phrases in order to find related course offerings). The situation with UC Learning makes it more evident that we need a coordinated local research administration training program to help staff find necessary training.
3. Practices at other Research Universities
We researched over 14 top research universities to learn best practices (see Appendix for full list) and found a common theme related to research administration training: most have a coordinated, centralized research training program that falls under the purview of a Vice Chancellor or President of Research. This statement from the University of Pennsylvania sums it best:
“One of the University’s goals is to support those individuals who have chosen a career in sponsored projects administration. The Office of Research Services is committed to providing the necessary tools in fulfilling this goal.”
Most of the universities we researched have a robust research administration training curriculum with varying delivery methods, including in-person classroom sessions, videos, seminars with PowerPoint presentations made available on the central ORA website, web-based modular training (Princeton has a good model), online handbooks (UC Los Angeles has a 66-page online manual), videos, and links to other professional training materials (i.e., UC Berkeley provides links to NCURA training videos).
4. Recommendations
Sponsored research is an important and substantial enterprise at UCSD that contributes to the overall financial viability of our campus and good reputation of the UC system. The need for qualified and trained research administrative staff to support this endeavor should not be underestimated, and we recommend that financial support and other resources be given to develop and maintain a robust, centralized research administration training program. Such a program should include:
4.1. Coordinated and organized Research Administration training resources, including certificate programs, training curriculum, contracts and grants manuals & materials on an easily accessible Research Affairs site (like UCI and UCLA). Core content of the training could include:
Research Training Topic Description/Information Overview of research administration at UCSD
High level informational overview of central departments involved in research administration including OCGA's role in negotiating and finalizing and OPAFS' role in invoicing and post-award reporting
Contract and grant fund management essentials
Post-award training that includes key concepts such as allowability/allocability and internal controls along with information on transaction processing and approvals; should include an overview of federal and UC policies pertaining to contracts and grants, fiscal closing processes, and how to prepare for a federal audit
Fundamentals of budget and proposal preparation
Could be offered in connection with the new ePD (electronic proposal development) system and processes
Special topics for research administrators
Could include equipment management for federal awards, subaward monitoring, recharge operations, business contracting, data analysis and reporting, UCPath changes (e.g., GL interface), effort reporting, HR staffing/visa issues and other relevant HR topics
Introduction to human subjects and animal subjects (for administrators)
Some UCSD training is available for researchers; topic could be covered in a “special topic” seminar for fund managers who often handle reporting and funding arrangements on the back end
Research Safety Ample UCSD training and resources available for researchers including Research Assistance Program (RAP); would be nice if a similar program were available for research administrators
Introduction to export controls and material transfer issues
Confusing issue for PIs and administrators; perhaps our new Material Transfer officer can offer seminars covering this topic
Introduction to technology commercialization and intellectual property
Libraries offers infrequent seminars on this topic that are well attended and several eCourses are available and video courses are available for researchers; topic could be covered in a “special topic” seminar for administrators
Note, the above list is not meant to be all inclusive but rather suggestive of some areas that have been discussed as needing additional training resources for research administrators. Related UCSD courses and training options currently offered at UCSD are presented in the Appendix. 4.2. A dedicated Research Training Coordinator who can coordinate the effort and bring together all
interested parties (similar to Linda Thai Schlossman’s role in the EVC’s office for the Academic Affairs Leadership Academy for Functional Managers). This should be a long-term position
with responsibility to help develop, maintain, and coordinate an extensive research administration training program that can service all research administrators at UCSD. The position could also act as Facilitator for the committee recommended below.
4.3. A group or committee could be created with a charge to research, identify, and provide recommendations regarding core research administration courses to be taught. The committee could be comprised of representatives from ABA, SIO, HS, ORUBA, OCGA, OPAFS, and ORA who serve rotating two or three-year terms.
4.4. “Just-in-time” research administration training in the form of web-based course offerings should be developed to meet the needs of a wide variety of expertise levels. UCI and other universities have similar resources already available that could be helpful for us at UCSD. In addition, SIO’s IGPP unit has a fund manager training manual that could be referenced or used as a model (see Appendix).
4.5. Technical support to develop and maintain webpages. 4.6. Coordination and solicitation of “annual training plans” or “outreach plans” from key central
research support groups including ORA, OCGA, OPAFS, IRB, etc. This could help ensure a more coordinated and balanced approach to training.
4.7. “Brown Bag” seminars that could be coordinated quarterly or monthly by the Research Training Coordinator to bring together research administrators from across campus to provide more in-depth, real-life cases for problem analysis and discussion. Note that OPAFS and OCGA have historically offered similar sessions and may be willing to continue this beneficial practice in the future as part of a more coordinated research administrator training program. In addition, Health Sciences used to offer an “A-Z” seminar-style training program that may be re-instituted for a broader, general campus audience.
4.8. University membership or ORA membership to NCURA so that many ORU and department staff can take advantage of webinars and other courses offered through NCURA.
5. Summary Research administration training has long been a challenge at UCSD, and we have an opportunity and a responsibility now to address the situation in a meaningful and sustainable way. Some of the benefits of developing a centralized research administration training program include improved recruiting, higher retention, improved employee performance, and increased competitiveness in the area of sponsored research. Several other universities have made investments in this area and examples of such training programs are provided in the Appendix. In summary, we ask for your support as we request resources to make an investment in the training of research administrators at UCSD.
6. Appendix 6.1. Attendees at December 2012 meeting to discuss training issues:
Linda Collins Office of Contracts and Grants Mark Cooper Office of Post Award Financial Services Adam DiProfio Jacobs School Deans Office Kathy Farrelly Academic Affairs Marianne Generales Office of Research Affairs Lynelle Gerhke Office of Contracts and Grants Anna Gheissari Office of Research Affairs
Lori Guardiano-Durkin Center for Energy Research Institute of Engineering in Medicine
Steve Lopez Department of Bioengineering Stacey McDermaid Office of Research Affairs
Ana Minvielle (meeting coordinator) Center for Iberian Latin American Studies Center for Comparative Immigration Studies
Shanley Miller Department of Chemistry/Biochemistry Alma Palazzolo San Diego Supercomputer Center
6.2. Links to websites of other Universities we researched are provided in the table below; see also sample website pages provided for illustration purposes.
UC Berkeley http://www.spo.berkeley.edu/procedures/dvdlibrary.html http://sharedservices.berkeley.edu/using-css/which-services/research-administration/
UC Davis http://research.ucdavis.edu/t UC Irvine http://www.research.uci.edu/ora/PI-links.htm
http://www.research.uci.edu/ora/train/ UC Los Angeles They had two trainers. One just retired; the other one teaches NIH related material
Their certificate is on hold pending evaluation http://ora.research.ucla.edu/Training%20Documents/web_workbook_jan-2010.pdf http://www.research.ucla.edu/ora/training/index.htm http://www.research.ucla.edu/ora/training/trainingopportunities.htm https://www.training.ucla.edu/ora/ http://www.research.ucla.edu/ora/training/media/index.html http://www.research.ucla.edu/ora/training/media/subs/submodules.mht http://www.research.ucla.edu/ora/training/certification.htm http://ora.med.ucla.edu/body.cfm?id=35 http://ora.research.ucla.edu/EFM/Pages/EFMHome.aspx]
Caltech https://researchadministration.caltech.edu/theguide http://researchadministration.caltech.edu/training
Duke http://finance.duke.edu/research/documents/Manual_Jan2010.pdf Harvard http://osp.fad.harvard.edu/content/training Ohio State http://research.osu.edu/researchers/training/online/
http://rf.osu.edu/administration/ Princeton http://www.princeton.edu/orpa/training/department-administrators/web-based-
training/ http://www.princeton.edu/orpa/training/department-administrators/
Stanford http://rph.stanford.edu/ http://dor.stanford.edu/overview/toc.html http://www.stanford.edu/group/fms/fingate/staff/resources/training.html http://www.stanford.edu/group/fms/fingate/staff/fundsmgmt/index.html
University of Chicago
http://researchadmin.uchicago.edu/accepting/pre_post_award/
University of Pennsylvania
http://www.upenn.edu/researchservices/manual/sponsoredprojectshandbook.html http://www.upenn.edu/researchservices/new.html http://www.upenn.edu/researchservices/rc/pages/training.htm http://www.upenn.edu/researchservices/SPCCP/index.html
University of Southern Calif.
http://research.usc.edu/dcg/training-for-research-administrators-pis/
Virginia Tech http://www.research.vt.edu/professional-development/programs/research-administrator
Appendix 6.2 Sample Webpages from Other Research Universities
Training
Available training opportunities for research related activities at UC Davis:
Animal Care & Use
Biological Safety/ Biohazard Use
Conflict of Interest in Research
Contract & Grant Administration (Sponsored Programs)
Export Control
IRB Administration
Intellectual Property (InnovationAccess)
Research Ethics
Research Misconduct
Stem Cell Research
Animal Care & Use
Oversight of Animal Care and Use is the responsibility of UC Davis Safety Services.
Biohazard Safety & Use
Oversight of the use of infectious biological agents, recombinant DNA/RNA, and the propagation and release of recombinant organisms including plants,animals and microbial agents is the responsibility of UC Davis Safety Services.
Conflicts of Interest in Research
2012 Conflict of Interest Training for Public Health Services Investigators (COI-PHS) (Description | Register )
To request departmental or group training (groups of 10 or more) in the area of Conflicts of Interest in Research, please contact the ResearchCompliance and Integrity Office.
Contract & Grant Administration (Sponsored Programs)
Introduction to Sponsored Programs (Description | Register | Take this now)
Proposal Preparation & Submission (Description | Register | Take this now)
Data Sheet Tutorial (Description | Take this now)
Writing a Proposal Budget: Concepts (Description | Register | Take this now)
Writing a Proposal Budget: Lab (Description | Register)
Understanding the Awards Process (Description | Register)
Video Workshops
"Which Training Should I Take" tool
Export Controls
To request departmental or group training (groups of 10 or more) in the area of Export Controls please contact the Research Compliance and IntegrityOffice.
IRB Administration
Protection of Human Research Subjects - Required Certification (CITI) (Description | Register)
For a current list of CITI certified research personnel, please click the following link: (PDF)
"Human Subject Protections: Regulations and Guidance" - Lyndi Lahl, MS, RN and Kevin Nellis, MS, MT (ASCP) (PDF)
Informed Consent of Non-English Speaking Research Subjects (PDF)
"Reviewing and Reporting Adverse Events/Unanticipated Problems: FDA & OHRP Guidance" - Lyndi Lahl, MS, RN (PDF)
Seminars and presentations are available for departments, divisions and centers. Please contact [email protected] to schedule apresentation. One month notice is preferred.
Training — Office of Research http://research.ucdavis.edu/t/t
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RESEARCHERS' TOOLBOX
These links to the Research Administration web site will give quick access to information you need to manage your research. If
you would like a print copy of this page, please download the PDF.
ORACalendars andDeadlines
ORA StaffDirectory
Applicationsand Forms
ElectronicResearchTutorials forIRB Protocols
CITI Trainingfor IACUCProtocols
TutorialVerificationDatabase
ORA HomePage
ResearchPolicy Library
ResponsibleConduct ofResearch
OrganizationalCharts
ObtainingSponsoredProjectsReview andEndorsement
ResearchAdministrationStaff Listings -SponsoredProjectsDepartmentalAssignment
Applications &Forms
InstitutionalInformation
PreparingProposalBudgets
Facilities andAdministrative(F&A) CostRates
Pre-AwardSpending
Guidelines forDirectChargingSponsoredProjects
Guidelines forProposing CostSharing
PrincipalInvestigatorEligibility
Grants.govApplicantResources
NSF ApplicantResources
NSF DataManagementPlan
Is it a Gift,Grant orContract?
Welcome to theElectronicSynopsisDistributionSystem
ResearchAdministrationStaff Listings -Sponsored ProjectsDepartmentalAssignment
Decision Tree –ChargingAdministrativeExpenses toSponsored Project
Guidelines forFulfilling andDocumenting CostSharing
Grant and ContractAccounting
Initiating andManagingSubawards
Making Changesto an ApprovedSponsored ProjectBudget(Rebudgeting)
Closing an Award
Standard ReportsRequired forCloseout
NIH PolicyEnhancing PublicAccess toPublications
The StartingPoint
Clinical TrialPrincipalInvestigatorQuestionnaire
FrequentlyAskedQuestions
Other UCIReviews
See also IRBand COIOCRequirements
School ofMedicineSupport:
Office ofClinicalResearch andTrials(OCRT)
ClinicalResearchFinanceAssessment(CRFA)
Activities thatRequire IRBReview
LeadResearcherEligibility
ElectronicModules forSubmission tothe IRB:
e-IRBApplicationModule
ContinuingProtocolApplicationModule
IRBModificationRequest (IRBe-Mod) Module
Adverse Events&UnanticipatedProblems /ViolationsModule
e-Closing IRBClosing ReportModule
Other UCIReviews
ReportingAdverse Events,UnanticipatedProblems andViolations
Closing aProtocol
RecordkeepingResponsibilities
Most CommonReasons WhyElectronicApplications(e-IRB APP,e-MOD, e-CPA)are deferred bythe IRB
FrequentlyAskedQuestions
Researchers' Toolbox http://www.research.uci.edu/ora/PI-links.htm
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FFICE OF ESEARCH RAINING DUCATION
QRAM (Quality Research Administration Meeting)
Recent Presentations
[-] November 2012
Federal Update
New NSF Proposal and Award Policies andProcedures Guide (PAPPG)
Kuali Coeus Update
Research Protections Update
[-] September 2012
How to prepare yourself (and your PI) forANY proposal submission
Proposal Preparation Checklist
Kuali Coeus Update
PHS Conflict of Interest Policy Update
Revised PHS FCOI Regulations &Subrecipients
Export Controls Update
Federal Update
Accepting Foreign Currency Award
Record Retention Policies for Contract andGrant Records
[-] May 2012
Main Presentation
Small Business Subcontracting Plan Guidance
Small Business Subcontracting Plan Template
PHS COI Update
Research.gov/Kuali Coeus Update
[-] March 2012
Kuali Coeus Update
Institute for Clinical Translational Sciencepresentation
Indirect Cost Waivers – Updated Guidance
Federal Update
[-] November 2011
ORA Education http://www.research.uci.edu/ora/train/
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Post-Award Administration The purpose of this booklet is to help you become familiar with the common issues and transactions associated with post-award administration, and methods for effectively handling them. The primary goal in post award administration is effective, accurate management of the project and project funds to facilitate a smooth closeout and little or no cause for audit scrutiny.
INTRODUCTION
Several phases of the life cycle of an award have been covered in the previous Contract and Grant Administration Certificate Program courses. This course focuses on the final bend in this cycle, specifically, the “Perform Work”, “Monitor Project and Manage Funds”, and “Close-Out” phases within the award life cycle.
The Steps of these phases include:
Perform Work
o Hire project personnel o Purchase equipment and supplies o Issue subawards and hire consultants o Obtain the required space o Incur expenditures
Monitor and Financially Manage the Project
o Review terms and conditions o Reconcile ledger o Obtain approvals (if necessary)
G eneratePaym entRequests
Identify Funding
L ife C ycle o f anAw ard
Negotiate
C lose-outAward
M onitorProject &
M anage Funds
PerformW ork
Set UpAw ard
Prepare Proposal &Subm it Proposal
<< Back to the main ORA page
A summary of training classes and programs offered by the Office of Research Administration
Training / ProfessionalDevelopment
Description
ORA Training Opportunities Classroom instruction on topics pertinent to research administration.
Additional eCourses and Resources Introduction to Contract and Grant AdministrationProposal Preparation and SubmissionThe Ledgers from a Research PerspectivePost Award Administration HandbookOutgoing Subaward Initiation and ManagementEffort Reporting Briefing for Investigators: What you need to know as a PrincipalInvestigator or Research AdministratorERS Training Modules
The Research Administration ResourceGlossary
This is a unique glossary. Here you will find not only the basic definition of terms andacronyms, but links to additional resources.
Information & Resources Description
Research Administrators Forum(RA-Forum)
RA-Forums are designed to update campus personnel on emerging and changingtopics in research administration.
ORA ListServ Stay current on topics affecting Contract and Grant Administration. The ORA ListServdelivers the ORA news right to your inbox! Topics include:
Funding Opportunities
Hints & Tips
Policy Updates
ORA Training Opportunities
ORA Online Resource Center (Portal) Updates
To subscribe: Send an e-mail to: [email protected]. Thesubject line and body of the e-mail can be blank.
To unsubscribe: Send an e-mail to: [email protected]. Thesubject line and body of the e-mail can be blank.
General questions or inquiries can be sent to: [email protected]
<< Back to the main ORA page
Last page update on 06/30/2011
ORA Training Programs http://www.research.ucla.edu/ora/training/index.htm
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Training Home | Training Opportunities| RAF | ORA Listservs
The Office of Research Administration is pleased to offer the following training courses. These include botheCourses and classroom instruction.
Register for classroom instruction on the Campus Human Resources LearningManagement System
Training Sessions
Contracting with IndustryThursday, November 1, 9:00 - Noon
RAPID Closeout ToolTuesday, December 4, 9:00 - Noon
Proposal Preparation and SubmissionThursday, December 6, 9:00 - 3:30
Classes for Winter and Spring 2013 (will be posted in LMS after December 1, 2012):
Accountability in the Management of Extramural FundsThursday, March 7, 9:00 - 3:30
Post Award AdministrationTuesday, March 19, 9:00 - 3:30
S2S Grants BasicsTuesday, April 2, 9 - 3:30
An Overview of Animal ResearchWednesday, April 3, 9 - Noon
S2S Grants and SubawardsTuesday, April 16, 9 - Noon
Effort ReportingWednesday, April 24, 9 - Noon
Conflict of Interest in Research – (tentative)Wednesday, May 1, 9:00 - Noon
Rapid Closeout ToolTuesday, May 21, 9 - Noon
ORA Training Opportunities http://www.research.ucla.edu/ora/training/trainingopportunities.htm
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Office of Research Administration | UCLA
Site Location: Main Site : ORA
Welcome to the Contract and Grant Administration Training Website
The courses in Contract and Grant Administration are intended for employees whocurrently perform or anticipate assuming duties and responsibilities related to theadministration of contracts and grants. Additional information about ORA TrainingOpportunities can be found on the ORA Training page at:http://www.research.ucla.edu/ora/training/certification.htm
New and Returning Users please starthere, by clicking on the appropriate
button below!
New Users: Follow these steps to register for Introduction to Contract and Grant Administration:Register to the Contracts & Grants Training Website by clicking here.The system will direct you to complete a registration form that includes a request for your employee ID number and arecharge ID. Since there is no charge for the EFM: The Ledger from a Research Perspective (formerly called "Course 3Setting Up the Award and Incurring Expenses") web-based instruction, you can leave the payment fields blank. Thecost for the Introduction to Contract and Grant Administration eCourse is $25.00.Once your registration has been submitted:
For Course 1, Introduction to Contract and Grant Administration:You will be granted access to Module 1 immediately while the remainder of the approval process takesplace.Once the recharge has been processed (usually within 3 business days) you will receive an emailnotification that you have access to the remainder of the modules for the Introduction to Contract andGrant and Administration eCourse.Once you have completed all the modules and quizzes, you will receive an email notificationcongratulating you on completion of the course.
For EFM: The Ledger from a Research Perspective (formerly called Course 3 Setting Up the Awardand Incurring Expenses):
You will gain immediate access to all the modules after registering for the Introduction to Contract andGrant Administration eCourse; orYou can register to take just the EFM: The Ledger from a Research Perspective eCourse. There is nocharge for the course.Please note: You can register for Part 2, the classroom instruction at: http://lms.ucla.edu
You do not need to complete an entire course, or even an entire module, in one sitting. See the "Returning Users"instructions below.
Returning Users: If you are coming back to the eCourse, simply log in using your email and password to log back into thewebsite. The site will remember where you ended the last session and take you back to that location.
Not logged inLogin or register
Office of Contracts & Grants Training Website https://www.training.ucla.edu/ora/
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Note: While we offer the primary slidesin PDF format, it is recommended you gothrough the slides on-line to receive thefull benefit the course has to offer. There are many mini-modules, exercises,and pop quizzes in this interactivetraining to reinforce key ideas. For allmini-modules, a PDF is available withinthe module itself in the “Resources” tab.
Modules asSlide Show
Topics Included PDFDocuments
Module 1:ProposalBasics Approximately45 minutes
Reposted1/28/2010
What is a proposal? Questions to ask Time consuming
elements Electronic proposal
submission Standard grant proposal
components Jump starts
Module 1
Module 2:Budget Basics
Approximately25 minutes
Reposted 1/28/10
What is a budget? How to plan a budget Federal guidance Cost sharing
Module 2
http://www.research.ucla.edu/ora/training/media/index.html
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Outgoing Subawards and Subcontracts Initiation and Management
Module Name ObjectivesPDF of Module
Definitions Become familiar with the numerous terms used for third party agreements, and what they mean
What terms are commonly used at UCLA
Characteristics of Third Party Agreements
Be familiar with the characteristics of a procurement, independent contractor, consultant, subaward, and subcontract
An exercise to practice some critical thinking skills to help determine how to classify the effort to be performed by a third party
Facilities and Administrative Costs Associated with Subawards and Subcontracts
Understand the application of the F&A rate to subawards/subcontracts for federally-sponsored and non-federally sponsored awards including the subrecipient/Subcontractor’s application of F&A
Be introduced to a simple tool to aid in computing UCLA’s F&A
Subaward and Subcontract Information on the Award Synopsis
Know where to look on the Award Synopsis to identify:• Sponsor• Award number
Page 1 of 3Outgoing Subawards
www.research.ucla.edu/ora/training/certification.htm
Training Home | Certificate Program | RAF | ORA Listservs
The Office of Research Administration is pleased to offer the following training courses. These include botheCourses and classroom instruction.
Note that the Contract and Grant Administration Certificate Program is currentlyunder review for needed updates and changes in content and approach. We willnotify you of plans for that program as soon as they are finalized.
Training Sessions
An Overview of Animal Research for the Non-Scientist Dept. AdministratorTuesday, November 2, 2010, 9:00 am – Noon postponed until May 11, 2011
Register: http://lms.ucla.edu (type "animal" in the LMS search box to locate session)
S2S Grants System BasicsThursday, November 17, 2010, 9:00 am – 3:30 pmRegister: http://lms.ucla.edu (type "S2S" in the LMS search box to locate session)
Top Tips for Speeding up Your IRB ApprovalThursday, November 18 , 2010, 1:00 – 4:00 pmRegister: http://lms.ucla.edu (type "human" in the LMS search box to locate session)
Subawards and S2S Grants *NEW*Thursday, December 2, 2010, 9:00am – NoonRegister: http://lms.ucla.edu (type "S2S" in the LMS search box to locate session)
Contracting with IndustryWednesday, December 8, 2010, 9:00 am – NoonRegister: http://lms.ucla.edu (type "industry" in the LMS search box to locate session)
Additional Training Opportunities:
Office for the Research Protection Program Noontime Education Series and Learn at Lunchschedule: http://ohrpp.research.ucla.edu/certification#nes
Web-Based Training and Resources
Introduction to Contract and Grant Administrationhttps://www.training.ucla.edu/ora/
ORA Training Programs http://www.research.ucla.edu/ora/training/certification.htm
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UCLA Campus (http://www.ucla.edu) | UCLA Health System (http://www.uclahealth.org/) | School of Medicine (http://dgsom.healthsciences.ucla.edu/dgsom/) Translate: Select Language ▼
Office of Research Administration – Department ofMedicine
Fund Management TrainingFund Manager Mtg 8.16.12 Fund Manager Training Schedule Registration Form-DOM Registration Form
CHR Courses Recommended for Fund Managers FM Tools Quiz FM Tools Quiz Answers CHR Courses for FM FM Basics 8.14.12
General Ledger Example 8.14.12
NIH Grants Mgmnt Policies 8.21.12
FM Tools 8.28.12
Recharge Billing 8.28.12
Reconciliation 8.28.12
Post Award Issues 9.4.12
Payroll Expense Transfers 9.25.12 (http://ora.med.ucla.edu/workfiles/fundmgmttraining/5-Payroll-Expense-Transfers-PET-UPAY.ppt)
Effort Reporting 10.2.12 (http://ora.med.ucla.edu/workfiles/fundmgmttraining/6-Effort-Reporting.ppt)
F&A Examples 10.16.12 (http://ora.med.ucla.edu/workfiles/fundmgmttraining/7-F-and-A-Examples.xls)
Indirect Costs 10.16.12 (http://ora.med.ucla.edu/workfiles/fundmgmttraining/7-Indirect-Costs.ppt)
Gifts & Endowments 10.23.12 (http://ora.med.ucla.edu/workfiles/fundmgmttraining/8-Gifts-and-Endowments.ppt)
Overdraft Report 10.23.12 (http://ora.med.ucla.edu/workfiles/fundmgmttraining/8-Overdraft-Report.ppt)
Sales & Service 10.30.12
Pre-Award Basics 11.13.12
Subaward Proposals & Monitoring 11.27.12
JIT RAS eSNAP 12.4.12
Clinical Trials 12.11.12
Fund Management Training | Office of Research Administration – Depa... http://ora.med.ucla.edu/body.cfm?id=35
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Extramural Fund Management (EFM) provides financial management support of sponsoredproject funds for the UCLA research community. This includes: financial reporting, invoicing,cash management, accounts receivable management, financial compliance oversight (effortreporting, cost transfers, unallowable expenses), and audit support. Learn more about ourVision, Mission, and Values.
Implement web-based Post Award Management System (PAMS) phase 1Eliminate remaining transactional backlogsDevelop and implement an escalation process in key areas to improve departmentaccountabilityDocument procedures to improve consistencyConduct goal setting, mid-year feedback, and year-end review meetings for all EFMemployees
Post Award HandbookResearch Administrator Forum
Click above to access the EffortReporting System. If you are accessingthe system off-campus, please clickhere for instructions.
During the past year, EFM has been busy working to improve its service as part of the RAPID Initiative. Our results include:
Implementation of a new organizational structure that aligns EFM teams by UCLA department rather than by external sponsor typeFinancial reporting: improved on-time submission by 25% and reduced backlog by 45Invoicing: improved on-time submission by 34% and reduced backlog by 66%99% on-time submission of ARRA quarterly reports
Posted On 1/17/2013Spring and Summer 2012 Effort Reports Reminder!This is a reminder that the certification deadline for the Spring and Summer 2012 quarters is 30 days from today, February 7, 2013. ... » readmore
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/tableofcontents)IntroductionThe Caltech Guide to Sponsored Projects is an on-line resource for new and establishedinvestigators, grant managers, and all who support them in their sponsored researchactivities. The Guide provides brief high-level summaries of Caltech's policies, procedures,and practices on a variety of research administration topics ranging from the preparation andsubmission of proposals, to post-award grants management. In addition to the shortsummaries, wherever possible, the Guide provides links to official policies, procedures, andother documents that provide more detailed information on the topic.The Guide's purpose is to provide short summaries of a multitude of research administrationtopics of importance to Caltech faculty. For each topic there is a Background section (What'sthis topic all about?), followed by a brief section, The Caltech Way, which contains summarystatements about current Caltech policy, procedure, and practice. With each topic, the Guide
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provides links to the official policies and procedures, many of which are contained in theCaltech Faculty Handbook.
Every attempt has been made to ensure that the information in the Guide is accurate andtimely. If there is any discrepancy between the Guide and current Caltech policy, it is theCaltech policy that is controlling. One of the virtues of on-line resources is that they areeasily corrected or modified. Please contact Richard Seligman, Associate Vice President forResearch Administration ([email protected]) if you have questions orcomments about the Guide.We gratefully acknowledge the assistance of Christina K. Hansen, Assistant Vice Chancellorfor Research at the University of California, Irvine (retired), in the design and drafting of theGuide. However, she is hereby absolved of the responsibility for any inaccuracies in theinformation contained in the Guide. That responsibility clearly rests with the Office ofResearch Administration.Richard SeligmanSeptember 20, 2010Table of Contents (/theguide/tableofcontents)
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Upcoming Training:Next Research Administration Forum will be held on February 6, 2013.
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ARRA closeoutsNIH Salary Cap ReportsAudit UpdatesInvoice Attached TransactionsGuidelines for Accepting External Funds
IAMS Procedures Manual (Oct 2, 2012) (/documents/511-iams_procedures_manual_2oct2012.pdf)Research Administration Forum (June 26, 2012) (/documents/495-raf_6-26-12.pdf)
OSR Personnel ChangesEffort in NASA ProposalsFacilities Use and Technical Service AgreementsChanges to Chapter 7 of the Faculty HandbookForeign Travel on JPL IAsAudit Updates
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2
TABLE OF CONTENTS
INTRODUCTION......................................................................................................................................................................5
SECTION A: THE OFFICE OF SPONSORED PROGRAMS ............................................................................................7
1. WHY DOES THE OFFICE OF SPONSORED PROGRAMS EXIST? .........................................................................7 a. Pre-Award and Post-Award Administration.............................................................................................................7 b. Mission of the Office of Sponsored Programs (OSP) ...............................................................................................7 APPENDIX 1: PRE AND POST-AWARD INVOLVEMENT ..............................................................................................8
2. WHO IS THE OFFICE OF SPONSORED PROGRAMS? ............................................................................................9 a. Billing Sections:........................................................................................................................................................9 b. Customer Service Section: ........................................................................................................................................9 c. Subcontract Administration:.....................................................................................................................................9 d. Effort Support Section: .............................................................................................................................................9 e. Central Support Section: ..........................................................................................................................................9 APPENDIX 2: ORGANIZATIONAL CHART ...................................................................................................................10 APPENDIX 3: WORKLOAD ASSIGNMENTS .................................................................................................................11 APPENDIX 4: OSP DIRECTORY....................................................................................................................................13
3. WHAT DOES THE OFFICE OF SPONSORED PROGRAMS DO? ..........................................................................14 a. Billing and Cash Collections ..................................................................................................................................14 b. Record Keeping and Audit Resolutions ..................................................................................................................14 c. Monitoring for Compliance ....................................................................................................................................14
SECTION B: GETTING STARTED......................................................................................................................................16
1. NEGOTIATIONS........................................................................................................................................................16 2. PRE-AWARD COSTS ................................................................................................................................................16 3. REQUESTING A COST OBJECT ..............................................................................................................................17 4. REVIEWING THE AWARD DOCUMENT...............................................................................................................20
APPENDIX 5: TERMS OF AWARD ................................................................................................................................22 5. BASIS OF FUNDING .................................................................................................................................................23
a. Cost-Reimbursement ...............................................................................................................................................23 b. Fixed-Price .............................................................................................................................................................23 c. Advance Payment....................................................................................................................................................23
6. INVESTMENT OF FUNDS........................................................................................................................................23 7. DEPOSITS ..................................................................................................................................................................24 8. PROGRAM INCOME.................................................................................................................................................24 9. ALLOWABILITY OF COSTS....................................................................................................................................25 10. PRIOR APPROVAL....................................................................................................................................................26
SECTION C: TRANSACTION FORMS..............................................................................................................................28
1. PAYROLL FORMS ..........................................................................................................................................................28 a. General Information ...............................................................................................................................................28 b. Hire Form ...............................................................................................................................................................29 c. Request for Cost Distribution Change ....................................................................................................................29 d. Cost Transfer Only Payroll Form...........................................................................................................................29 e. Biweekly Overtime ..................................................................................................................................................30 APPENDIX 6: RETURN OF COST TRANSFER ONLY PAYROLL FORM .....................................................................31
2. EFFORT REPORTING ...............................................................................................................................................32 3. NON-COMPENSATORY AWARD(S) FORM (NCAF) ............................................................................................32 4. PURCHASE REQUISITION ......................................................................................................................................33 5. ACCOUNTS PAYABLE CHECK REQUEST (APCR) ..............................................................................................34 6. TRAVEL EXPENSE FORM .......................................................................................................................................35
a. General ...................................................................................................................................................................35 b. Prior Approval........................................................................................................................................................35 c. U.S. Flag Air Carriers ............................................................................................................................................36
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7. MISCELLANEOUS REIMBURSEMENT FORM .....................................................................................................36 8. EXPERIMENTAL SUBJECTS PAYMENT FORM ..................................................................................................36 9. INTERDEPARTMENTAL REQUEST (IR) ...............................................................................................................36 10. CORPORATE CARD .................................................................................................................................................36 11. JOURNAL VOUCHER (JV).......................................................................................................................................37
a. General ...................................................................................................................................................................37 b. Initial Charge (SA Document Type) .......................................................................................................................37 c. Cost Transfer (ZF Document Type)........................................................................................................................37
SECTION D: EQUIPMENT..................................................................................................................................................39
1. GENERAL ..................................................................................................................................................................39 2. EQUIPMENT PRIOR APPROVAL............................................................................................................................40 3. FABRICATION (WORK-IN-PROGRESS) OR ASSET UNDER CONSTRUCTION................................................40 4. SCREENING AND SHARED USE ............................................................................................................................41 5. EQUIPMENT OWNERSHIP......................................................................................................................................41 6. SPONSOR-OWNED EQUIPMENT ...........................................................................................................................41 7. MANAGEMENT OF EQUIPMENT ..........................................................................................................................42
APPENDIX 7: LOSS, DAMAGE, OR DESTRUCTION (LDD) REPORT........................................................................43
SECTION E: DURING THE LIFE OF THE PROJECT ...................................................................................................44
1. FINANCIAL REPORTS .............................................................................................................................................44 a. R/3 EXPENSE REPORT WITH AWARD AMOUNT...............................................................................................44 b. R/3 REPORT FOR PROJECTS WITH NO AWARD AMOUNT .............................................................................46 APPENDIX 8: GROUPING OF G/L ACCOUNTS ON R/3 FINANCIAL REPORT.........................................................48 c. FUND STATEMENTS (CUFS – Legacy System) ...................................................................................................49
2. FACILITIES & ADMINISTRATIVE COSTS/INDIRECT COSTS ...........................................................................49 a. General ...................................................................................................................................................................49 b. Calculation of F&A Costs.......................................................................................................................................49 c. Modified Total Direct Costs ...................................................................................................................................50 d. Cost-Sharing F&A Costs ........................................................................................................................................51 e. Internal Distribution of F&A Cost Recovery..........................................................................................................51 APPENDIX 9 Distribution Table for F&A Cost Recoveries - EXAMPLE .......................................................................52
3. COST-SHARING........................................................................................................................................................53 a. General ...................................................................................................................................................................53 b. Definitions: .............................................................................................................................................................53 c. General Guidelines: ...............................................................................................................................................54 d. Cost-Sharing of Salaries.........................................................................................................................................55 e. Cost-Sharing Equipment ........................................................................................................................................56 f. Cost-Sharing Other Direct Costs............................................................................................................................56 g. Cost-Sharing of F&A Costs ....................................................................................................................................56 APPENDIX 10: COST-SHARING OF SALARIES ...........................................................................................................58
4. REBUDGETING OF FUNDS.....................................................................................................................................62 a. General ...................................................................................................................................................................62 b. Internal Approval ...................................................................................................................................................62 c. Sponsor Approval ...................................................................................................................................................63 d. Calculations for Rebudgeting of Funds..................................................................................................................63
5. OVERDRAFTS...........................................................................................................................................................64 6. SUBCONTRACTS .....................................................................................................................................................64
a. General ...................................................................................................................................................................64 b. Subcontracts Awarded To Duke .............................................................................................................................65 c. Subcontracts Awarded By Duke .............................................................................................................................65
7. UNALLOWABLE COSTS .........................................................................................................................................66 a. General ...................................................................................................................................................................66 b. Cost Accounting Standards (CAS) Exception Forms..............................................................................................66 c. Reviewable G/L Accounts.......................................................................................................................................67 d. Entertainment .........................................................................................................................................................67 e. Administrative and Clerical Salaries......................................................................................................................67
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f. Local Service Telephone Charges ..........................................................................................................................68 APPENDIX 11: REVIEWABLE G/L ACCOUNTS ...........................................................................................................69
8. INTERIM REPORTING REQUIREMENTS..............................................................................................................70 a. General ...................................................................................................................................................................70 b. Interim Financial Report ........................................................................................................................................70 c. Interim Property Report..........................................................................................................................................71 d. Interim Patent Report .............................................................................................................................................71 e. Interim Technical Report ........................................................................................................................................72 f. Small and Small Disadvantaged Business Subcontracting Program .....................................................................72
9. NO-COST EXTENSIONS...........................................................................................................................................72
SECTION F: CLOSE OF PROJECT ...................................................................................................................................74
1. GENERAL...................................................................................................................................................................74 2. REPORTS PROVIDED TO DEPARTMENTAL ADMINISTRATOR FOR CLOSING PROJECTS ........................76
a. Projects Ending Within 3 Months (ZF110).............................................................................................................76 APPENDIX 12: PROJECTS ENDING WITHIN 3 MONTHS ZF110 ...............................................................................77 b. Sponsored Projects One Line Summary (ZF109) ...................................................................................................78 APPENDIX 13: SPONSORED PROJECTS ONE LINE SUMMARY REPORT ZF109....................................................79 APPENDIX 14: SPONSORED PROJECTS ONE LINE SUMMARY REPORT ZF109....................................................80
C. ANALYSIS OF TRANSACTIONS REPORT AFTER END DATE (ZF114) ..............................................................................81 APPENDIX 15: ANALYSIS OF TRANSACTIONS AFTER END DATE ZF114...............................................................84 APPENDIX 16: ANALYSIS OF TRANSACTIONS AFTER THE END DATE (ZF114) - EXAMPLE...............................86
D. POST-AWARD CLOSE-OUT CHECKLIST (30X – 38X, 203) .............................................................................................88 APPENDIX 17 - Post-Award Close-Out Checklist (30x-38x) ..........................................................................................89
3. FINAL REPORTS .......................................................................................................................................................90 a. General ...................................................................................................................................................................90 b. Final Financial Report ...........................................................................................................................................90 c. Final Property Report.............................................................................................................................................91 d. Final Patent Report ................................................................................................................................................92 e. Final Technical Report ...........................................................................................................................................92 f. Subcontracts ...........................................................................................................................................................93
4. CLOSING A COST OBJECT......................................................................................................................................93 5. RECORD RETENTION..............................................................................................................................................93 6. AUDITS ......................................................................................................................................................................94
a. General ...................................................................................................................................................................94 b. OMB Circular A-133 Audit.....................................................................................................................................94 c. Property Audit ........................................................................................................................................................94 d. Procurement Audit..................................................................................................................................................95 e. Individual Audits.....................................................................................................................................................95
ACRONYMS ........................................................................................................................................................................96 SPONSORED PROJECTS REVIEW CHECKLIST.............................................................................................................98
OVPR FAD OTD HARVARD.EDU
OFFICE FOR SPONSORED PROGRAMS
THE AWARD LIFECYCLE TRAINING POLICIES RESOURCES & INFORMATION ABOUT US
Training
REACH Program
University-wide ResearchAdministration TrainingTeam (URATT)
Training Calendar
Online Courses
Overview of SponsoredProjects Administration
Tips and Tools
Other University TrainingResources
External TrainingResources
Sponsored SystemsTraining
Home
TrainingWelcome to the Training section of the OSP website. Here you will find information about educational resources, courses, events, andprograms for research administrators across the University.
The University Research Administration Training Team (URATT) has developed a series of courses designed to cover basic informationabout the world of research administration at Harvard. This course series begins with the Overview of Sponsored Projects Administrationcourse, and is complemented by a sequence of online courses.
Research administrators looking to further their practical knowledge of the field may be interested in the Research Excellence inAdministration Certificate at Harvard (REACH) program. Please visit the REACH page for more information on the program as well asapplication deadlines.
*NEW* See Harvard’s Basic Sponsored Administration Training Guidelines if you are wondering what courses to take.
MISSION STATEMENTThe mission of Sponsored Research Administration Training at Harvard is to provide staff with the opportunity to develop the skills andknowledge base needed to support faculty and researchers in the pursuit and management of research excellence. We strive to enhanceindividual learning and development as the means for creating a better workplace environment and for building a stronger HarvardUniversity research administration community.
OBJECTIVEOur objective is to is to develop, coordinate, administer and deliver quality research administration training opportunities for staff at HarvardUniversity to support the University Mission of Research and Education..
PROFESSIONAL DEVELOPMENT OPPORTUNITIESThe Harvard University Research Administration Community supports its Research Administrators in the pursuit of professionaldevelopment, and in on-going personal development.
Overview of Sponsored Projects Administration Research Excellence in Administration Certificate at Harvard Sponsored Administration Online Courses GMAS Trainings
Please visit the Calendar for more information about training and development-related events happening in the next few months..
Contact Us | Privacy Policy | Sitemap © Copyright 2011 The President and Fellows of Harvard College
Training | Office for Sponsored Programs http://osp.fad.harvard.edu/content/training
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The Ohio State University Office of Sponsored Programs is responsible for submitting to funding agenciesproposals requesting support for research and other scholarly projects. Resulting awards are made to theOffice of Sponsored Programs, which administers them on behalf of faculty and staff at The Ohio StateUniversity. Faculty and staff members who direct sponsored research programs under university auspices areresponsible for effective conduct of these projects.
The information that follows is intended to help principal investigators and their staffs fulfill thatresponsibility by
letting principal investigators know of the support that is available to them through the Office ofSponsored Programs
1.
providing information about policies and procedures that affect sponsored programs at The Ohio StateUniversity
2.
Responsibilities for Sponsored Agreements
Award
Basics
Project InitiationProject Performance
Summary of Award Terms and Conditions
Reporting Requirements on Sponsored ProjectsAcknowledging Sponsor SupportPublic Release of Project InformationModifications to Sponsored Agreements
Intellectual Property Considerations
Copyrights and Patents
Unusual Circumstances
Absence of the Principal InvestigatorTransfer of the Principal Investigator
Project Administration http://rf.osu.edu/administration/
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Transfer of Property to Other Institutions
Financial
Restricted Funds - Guiding PrinciplesAllowable CostsUnallowable CostsSponsored Programs Costing Policy
Project OverexpendituresCost Sharing RequirementsThe PI Portal - Online Financial InformationFiscal Management
Compliance Issues
Payments to Human SubjectsResponsible Research Practices Information
Institutional Review Board (IRB)Institutional Animal Care and Use Committee (IACUC)Institutional Biosafety Committee (IBC)
Responsible Conduct of Research (RCR)Conflict of InterestAudit RequirementsExport ControlHuman Gene TransferData Safety Monitoring Plans
PersonnelPersonnel ActionsPersonnel Expenditure Transfers (PET) for Sponsored ProjectsReporting Laboratory Time Reports
Managing Participant Support Costs (PSC)
Purchasing - General InformationDelegated Requisitioner ResourcesCommodity List by BuyerCategory Cost Code and Account Number by BuyerPurchasing ItemsPurchasing Goods and Services
Project Administration http://rf.osu.edu/administration/
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GeneralThe Purchase OrderProcurement Card ProgramChange OrdersDelivery and InspectionShipments for Repair or ReturnExpediting Orders and Purchases
SpecificAnimal OrdersPurchasing Radioactive MaterialsReprintsEquipment
GeneralPre-Acquisition Screening for Shared Use of Capital EquipmentProperty ManagementEquipment Lease or RentalMaintenance Agreement/Service Contracts and Repairs
SubcontractsSubcontracting on Sponsored Projects Pre-award
Conflict of InterestVendor/Subrecipient DistinctionSubrecipients under Federal ContractsSubcontracts in Proposal BudgetsApplication of Facilities & Administrative CostsPersonal Liability of Principal Investigators
Subcontracting on Sponsored Projects Post-awardPrincipal Investigator Responsibilities in the Subcontracting Process
Consulting ServicesConsultant Agreement Procedure
Software License AgreementsSpecial Types of PurchasesPhysical FacilitiesInternational Purchasing
Special Purchasing IssuesTravel
Sponsored Projects Cost Transfers PolicyPayment Request - Reimbursements
PREP System Instructions
Financial Statements and SummaryProject Closeout
Project Administration http://rf.osu.edu/administration/
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Cost Sharing: Why No Good Deed Goes Unpunished
(aired 03/10/2009 - available in DVD format)
The program includes a review of the types of costs that qualify for cost sharing, the accepted categories ofcost sharing, and the requirements for documenting and reporting it. The panel discusses the various“pressure points” of cost sharing, from proposal, to award, to project closeout. In addition, the relationshipsamong cost sharing, effort reporting, and indirect cost rates create the need for sophisticated systems tomanage the complexities, and the panel will address key points of intersection. Finally, the panel clarifiesimportant risk areas arising from a heightened emphasis on cost sharing in recent audits.
Critical Issues for the Department Administrator
(aired 03/23/2010 - available in DVD format)
Successful administration of sponsored projects starts with the department administrator. With all of the rules,regulations, and audit scrutiny, effective day-to-day management is critical. This program discusses strategiesfor proposal budgeting, managing and monitoring expenditures, PI effort, and procurement card use to avoidcost transfers. This program also addresses the various strategies necessary for managing different types ofsponsored awards e.g., contracts vs. grants. The program is designed to share best practices and tools requiredby department administrators who support sponsored projects, including those involved with proposalpreparation, those who originate or approve transactions on sponsored accounts, and those who review ormonitor expenditures on sponsored projects.
Effective Proposal Development
(aired 03/11/2008 – available in DVD and VHS format)
This program provides a number of best practices in proposal development functions. Connecting facultywith funding, facilitating collaborations, and managing limited submissions are discussed.
Effort Reporting
(aired 03/06/2007 – available in DVD and VHS format)
This program will provide the audience with guidance on everything from the bare-bones reporting necessaryto stay in compliance to what some institutions are developing to help streamline their effort reportingprocess.
F&A Rates for the Non-Accountant
(aired 06/09/2009 – available in DVD format)
This program removes some of the “mystery” of the F&A rate preparation process and hopefully providesviewers with a greater appreciation of the institutional processes and policies that can impact the F&A rate.
The Fiscal Aspects of Human Subjects Compliance
(aired 07/11/2009 – available in DVD format)
Human Subject Research billing is one of the “hot topics” nationally and is being given more and moreattention by the U.S. Attorney’s Office. A number of high-profile cases have resulted in multi-million dollar
Online Training | Office of Research http://research.osu.edu/researchers/training/online/
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settlements. Research administrators, who are often involved in negotiating agreements or managingpost-award activities related to these human research studies, need to understand the issues involved and beprepared to develop procedures to ensure institutional compliance with applicable laws. This session willprovide an overview of laws, regulations, and recent enforcement activity related to billing, discuss recentexamples of non-compliance (including settlements), and discuss best practices to ensure compliance.Acceptable agreement language related to this type of billing will also be covered.
Good Customer Service for Research Administrators: How to Support the Research Endeavor at Your
Institution
(aired 09/09/2008 – available in DVD and VHS format)
A panel of experts examines who the customer is and what constitutes good customer service. Panel memberslook at the roles of the central sponsored programs office staff and the role of the departmental administrator.Highlights of the discussion include the elements of customer service that work both ways between centraland departmental research administrators and how this relationship is critical to good service to the ultimatecustomer: the PI.
Non-Financial Research Compliance
(aired 06/10/2010 – available in DVD format)
Given the continuously changing research environment, central and departmental administrators have had toequip themselves with the latest information in order to respond to and manage their institutional researchefforts. Research administrators must familiarize themselves with the various research compliance areas thatwill impact their daily activities, such as research integrity, conflict of interest, protection of human subjects,care and use of animals in research, use of hazardous agents and recombinant DNA. To assist with dailydecision-making, this program will include information on regulatory requirements and recent developmentsin relation to research compliance. Institutions can benefit by learning how others are adapting to thecontinuously changing research environment.
Managing Financial Requirements of Awards
(aired 01/26/2010 – available in DVD format)
Awards for extramural funding carry a variety of requirements and restrictions. Appropriately administering awards will require policies and procedures and, potentially, electronic systems to meet a myriad of financialand administrative responsibilities. This program will focus on the Office of Management and Budget (OMB)Circulars related to financial and administrative issues for universities and non-profit organizations. Thesession will also address issues related to financial management of grants and contracts from various sourceswhile sharing recent developments and best practices.
Sponsored Projects Essentials
(aired 01/23/2007 – available in DVD and VHS formats)
This veteran faculty panel addresses due diligence when making decisions and what the process should be.Panel members discuss the underlying themes (pre-award, post-award, departmental, costing, audit andcompliance) that all research administrators should be thinking about with every transaction they process.
Online Training | Office of Research http://research.osu.edu/researchers/training/online/
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ORPA offers departmental administrators the opportunity to enhance their knowledge of the sponsored researchadministration process at the University while also getting recognition for their effort. The Web-Based SponsoredResearch Training (www.princeton.edu/orpa/da_training/module-1-our-environment/) will guide you through the entire lifecycle of a sponsored award, from proposal preparation and development, to award set-up and project management,concluding with audits and export controls. Upon successful completion of the entire program, participants willreceive a Certificate of Completion as well as a small thank you gift for participating in the program.
Training Topics
MODULE 1: Our Environment (www.princeton.edu/orpa/da_training/module-1-our-environment/)
MODULE 2: Sponsored Research Overview (www.princeton.edu/orpa/da_training/module-2-sponsored-resear/)
MODULE 3: Proposal Preparation and Processing (www.princeton.edu/orpa/da_training/module-3-proposal-prepara/)
MODULE 4: Award Acceptance and Project Set Up (www.princeton.edu/orpa/da_training/module-4-award-acceptance/)
MODULE 5: Managing Project Costs (www.princeton.edu/orpa/da_training/module-5-managing-project/)
MODULE 6: Project Management Overview (www.princeton.edu/orpa/da_training/module-6-project-manageme/)
MODULE 7: Export Controls (www.princeton.edu/orpa/da_training/module-7-export-controls/)
Princeton UniversityOffice of Research and ProjectAdministrationPO Box 36, 87 Prospect Avenue, 2ndfloorPrinceton, NJ 08544609-258-3090
Contact Our Webmaster© 2013 The Trustees of PrincetonUniversity
Related Research Administration Sites
Research at Princeton
Dean for Research
Corporate & Foundation Relations
Laboratory Animal Resources
Research Integrity & Assurance
Technology Licensing
Related Links
Finance and Treasury
Sponsored Research Accounting
eRA Commons
Grants.gov
NSF Fastlane
Pivot
Last update: September 5, 2012
Web Based Training - Office of Research and Project Administration http://www.princeton.edu/orpa/training/department-administrators/web-b...
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The Web-Based Sponsored Research Training (www.princeton.edu/orpa/training/department-administrators/web-based-training/)
serves as an introduction to the primary areas of interest for departmental administrators at the University. You arefree to work at your own pace, and you can gauge your progress by means of quizzes at the end of each module. Uponcompletion of the program, you should have a working knowledge of the policies and procedures involved insubmitting proposals and managing awards at the University. Coffee with ORPA (www.princeton.edu/orpa/training/department-administrators/coffee-with-orpa/) is a series of training sessionsfocusing on current issues in the field of sponsored research administration. Class sessions are generally offeredmonthly during the University’s academic year, with a different topic each month on an area of interest todepartmental administrators. Led by ORPA staff, these sessions are a great way for departmental researchadministrators to stay up-to-date on the latest University and sponsor policies, as well as to network and meetadministrators from other departments. The On-Site Training Program (www.princeton.edu/orpa/training/department-administrators/on-site-training/) provides thegreatest flexibility and customization of all of ORPA’s training opportunities. With class sizes as small as two and anever-growing list of topics to choose from, On-Site Training offers a more intimate setting and content specificallysuited to each department’s needs. These sessions are appropriate for highly-experienced departments seekingclarification on a particular issue or less-experienced departments looking for a general introduction to the basics ofsponsored research administration. And, the best part is, we will come to you!
Princeton UniversityOffice of Research and ProjectAdministrationPO Box 36, 87 Prospect Avenue, 2ndfloorPrinceton, NJ 08544
609-258-3090Contact Our Webmaster© 2013 The Trustees of PrincetonUniversity
Related Research Administration Sites
Research at Princeton
Dean for Research
Corporate & Foundation Relations
Laboratory Animal Resources
Research Integrity & Assurance
Technology Licensing
Related Links
Finance and Treasury
Sponsored Research Accounting
eRA Commons
Grants.gov
NSF Fastlane
Pivot
Last update: May 2, 2012
Department Administrators - Office of Research and Project Administration http://www.princeton.edu/orpa/training/department-administrators/
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Research Policy HandbookThis Handbook addresses the conduct of research, i.e., systematic investigation designed todevelop or contribute to generalizable knowledge, at Stanford.
A complete Table of Contents of the Research Policy Handbook, including policy dates, is available(pdf file).
A NOTE ABOUT PRINTING: There is a "Print this page" link in the upper right corner of eachdocument in this collection, providing a "printer-friendly" file. If you experience printing problems,we recommend using a different web browser. Printing from Internet Explorer has been a problemfor some users; any other browser should work.
Contact Ann George if you have questions about this handbook.
As documents are updated, or new documents are added, you will see a notice to that effect here.New or revised documents will also be identified on the individual Table of Contents for eachChapter (Chapters are linked in the menu on the left).
The following were updated in the Research Policy Handbook in August 2012. In all cases, thesepolicies have been revised to incorporate new Public Health Service requirements.
Faculty Policy on Conflict of Commitment and Interest (RPH 4.1)PHS and NSF Requirements Regarding Financial Disclosures and Agency Notifications(RPH 4.2)Consulting and Other Outside Professional Activities by Members of the Academic Counciland Medical Center Line Faculty (RPH 4.3)Conflict of Commitment and Interest for Academic Staff and Other Teaching Staff (RPH4.4)
The following document was updated in the Research Policy Handbook in June 2012.Animal Care and Use Education and Training Program (RPH 8.5)Defines the requirement for all faculty, researchers, students, and staff who are new to animalresearch at Stanford to complete a web-based course on animal care and use (VSC-PROG-0001).
In April 2012, the RPH document defining University policy related to Postdoctoral Scholars (RPH9.4) was updated and reorganized. The main policy defines eligibility, terms of appointment, generalvisa requirements, and levels/sources of financial support. The following content has been reorganizedinto attachments to this policy:
Attachment B: Policy on H-1B (and other employment) Visas for Postdoctoral ScholarsAttachment C: Rights and Responsibilities of Postdoctoral Scholars and Faculty MentorsAttachment D: Postdoctoral Benefits
Attachment A to this policy, Postdoctoral Grievance Procedures, has not been changed.
In February 2012, the tables related to compensation for Research Assistants (RAs) on grants and
Research Policy Handbook http://rph.stanford.edu/
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INDEX OFTOPICS ANDRESOURCES
Resources Indexed Below:
Topics within this siteStanford Policies referenced in this siteOther Resources linked to this siteStanford Offices
Topicswithinthis site
A-21, Cost PrinciplesA-21, OMB CircularActivity/Account (Stanford)Administrative Guide (Stanford policies)Administrative/Clerical expensesAdministrative PanelsAllocability, cost principleAllowability, cost principle"Ask the Experts" linksAudit
Classes for research administratorsConflict of interestContractsCost PolicyCost Principles, examplesCost Principles, explanationCost SharingCost transfers
Dean of Research (Stanford office)Defense Contract Audit Agency (DCAA)
Environmental Health & Safety (EH&S)Expenditure review/certification
Facilities & Administrative (F&A) costsFaculty, honors
General Legder (GL) codesGrants
Human Subjects in research
Indirect costsInstitutional Review Board (IRB)Intellectual propertyInternal Audit Department (Stanford office)
Laboratory animals in research
Overview Index http://dor.stanford.edu/overview/toc.html
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Stanford University - Gateway to Financial Activities
Training by Task Training by Activity Training by Application
Training
Find available courses and related training materials by financial task, activity or application.
If you do this... Take these classes
Initiate, approve, reconcile, review, or managefinancial transactions
ORA-1101 Understanding CostPolicy
Finance Fundamentals
FIN-0102 Using Stanford's Chartof Accounts
FIN-0103 Approving FinancialTransactions
FIN-0120 Intro. To StanfordFinance & ResearchAdministration
FIN-0100 Internal Controls
Grant authority to access financial systems FIN-0150 Authority ManagerTutorial Financial Authority
Purchase catalog items and create custom ordersusing SmartMart
FIN-0412 Purchasing UsingSmartMart
Buying & PayingInitiate non-catalog requisitions: Standardrequisitions
FIN-0410 Non-Catalog PurchasingUsing Oracle InternetProcurement
Act as PCard Custodian or transaction Verifier FIN-0450 PCard Policy & Procedure
Initiate and manage requests for other checks FIN-0462 iOU Other Checks
Travel for Stanford business or support businesstravelers
FIN-0400 Traveling for Stanford
TravelValidate Stanford Travel Card charges and originateexpense reports for travel charges
FIN-0401 Processing Travel CardCharges in iOU
Initiate and manage reimbursement requests andexpense reports
FIN-0455 iOU Reimbursement /Expense Reports
ReimbursementsProcess requests for advance funds FIN-0456 iOU Advances
Administer and reconcile department petty cashfunds
FIN-0464 iOU Petty Cash
Request or approve new accounts (PTAs) FIN-0200 Introduction to StanfordPTA Attributes
Funds Management
Understand basics of funds management at Stanford FIN-0170 FUNDamentals of Funds
Process or approve monetary gifts made to theUniversity
FIN-0190 Initiating GiftTransmittals
FIN-0191 Approving GiftTransmittals
Reconcile and review expendituresFIN-0160 Expenditure Statement
Reconciliation andReview
Initiate expense / income journals or journaltransfers
FIN-0210 Introduction to iJournals
Manage commitments and available fund balances,forecast future expenditures
FIN-0180 Introduction to theCommitment
Fingate - All Training for Staff http://www.stanford.edu/group/fms/fingate/staff/resources/training.html
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Stanford University - Gateway to Financial Activities
Overviews How To... Policy Notes Resources Forms Training
Funds Management
Accounting for income and expenditures in Stanford's fund accounting environment
Start here if you are new - Introductory information to help you get started:
FUNDamentals of FundsLife Cycle of a FundForecasting Future Expenditures and Available BalancesPurchasing CommitmentsCommitment Data on Oracle Financials ReportsAbout the Budgeting Process @ StanfordStanford's Funds Management Systems:
Commitment Management System (CMS)Faculty Financial Inquiry Tool (FFIT) including organizational viewAbout the iBudgets Module of Oracle FinancialsAbout the iJournals Module of Oracle FinancialsAbout the Gift Transmittals SystemAbout PTA Manager
About Financial Management Services (FMS)Copyright © 2007 Board of Trustees of The Leland Stanford Junior University.
Site designed by Financial Management Services in partnership with Wired Moon
Questions? Feedback? Contact FMS Client Advocacy & Education
Fingate - Funds Management Overviews http://www.stanford.edu/group/fms/fingate/staff/fundsmgmt/index.html
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PRE & POST AWARD ACTIONSThroughout the project period of a sponsored award, changes may be needed to successfully manage theaward. Many changes require the approval of the sponsor agency and thus requests to the agency should berouted to URA for review and institutional endorsement prior to submission to the agency. URA is the officialliaison with the funding agencies and official communications to agencies should be coordinated through URA.
The most common project change is the a request for additional time on the project, also known as a No-CostExtension. In some limited circumstances, URA can approve and implement the NCE without agency priorapproval.
All project changes and post-award actions are submitted to URA via AURA.
Note: Progress reports (eSNAPS) are submitted through eRA Commons. They must be routed to URA throughAURA. For more information, click here.
Pre and Post-Award Actions
Just-In-Time
Change in PI
Change in Key Personnel
Change in Effort
Revised Proposal Budgets
Revised Scope of Work
No-Cost Extension
Request to Carryover Unobligated Funds
Request to Add/Change Subawardee
Request to Relinquish an Award
Request to Reallocate Funds
Request to Lift a Restriction
Sponsor Deliverables and Technical Reports
© 2010 The University of ChicagoUniversity Research Administration6030 South Ellis Ave, Edelstone Building 114Chicago, Illinois 60637Phone: (773) 702-8669Facsimile: (773) 702-2142
University Research Administration | University of Chicago http://researchadmin.uchicago.edu/accepting/pre_post_award/
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... 5.8.2 Animal Care Review
... 5.8.3 Biohazards Safety Review
... 5.8.4 Investigational Drug and Device Testing
... 5.8.5 Radiation Safety
... 5.8.6 Radioactive Drug Research
... 5.8.7 Conflict of Interest Disclosure
... 5.8.8 Clinical Trials
... 5.9 Project Site Visits
6. Types of Agreements and Instruments... 6.1 Grants
... 6.2 Contracts
... 6.3 Cooperative Agreements
... 6.4 Other Agreements
... 6.5 Issues Requiring Special Consideration
... 6.5.1 HIPAA
... 6.5.2 Export Controls
7. Initiating the Project Award... 7.1 Award Notification
... 7.2 What to Look for in a Notice of Award
... 7.3 Account Information Sheet
... 7.4 Establishing the Account
... 7.5 Budgeting
... 7.6 Payroll Management
... 7.7 Sponsor Payments
... 7.8 Anticipated Awards (Advance Account Requests)
... 7.9 Supplements to Awards
8. Award Administration... 8.1 Sponsor-University Relationship
... 8.2 Relevant Sponsored Projects Policies
... 8.3 General Administration
... 8.3.1 Expenditure of Funds
... 8.3.2 Allowable Costs
... 8.3.3 Unallowable Costs
... 8.3.4 Specific Expenditure Categories
... 8.4 Subrecipients (Subawards)
... 8.4.1 Overview
... 8.4.2 The Subaward
... 8.4.3 The Purchase Order
... 8.4.4 Invoices
... 8.4.5 Additional Increments and Subaward Modifications
... 8.4.6 Subaward Close-out
... 8.5 Consultants
... 8.5.1 Payment of Consulting Fees and Documentation
... 8.6 Program and Interest Income
... 8.6.1 Program Income
... 8.6.2 Interest Bearing Funds and Excess Cash
... 8.7 Rebudgeting of Funds
... 8.8 Project Extensions
... 8.8.1 Federal Sponsors
... 8.8.2 Non-Federal Sponsors
... 8.9 Retroactive Cost Transfers
... 8.10 Billing and Financial Reporting
... 8.11 Overexpenditures and Collections
9. Project Changes... 9.1 Overview
... 9.2 Documenting Project Changes
... 9.3 Expanded Authorities or Waiver of Authorities
... 9.4 Federal Demonstration Partnership (FDP)
... 9.5 Project Changes Allowability Checklist
... 9.6 Change of Principal Investigator or Reduction of Effort
... 9.7 Project Transfer to another Institution
University of Pennsylvania, Office of Research Services http://www.upenn.edu/researchservices/manual/sponsoredprojectshandb...
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Contact ORS Staff
Penn Data for Proposals
Compliance Training
Human Subjects Animal Subjects Export Controls Material Transfer
Effort Reporting
ERS Log OnSubmit ERS Related Issues
Forms and Agreements
Proposal/Transmittal FormAdvance Account RequestCost SharingClinical Trials Early ReviewAll Forms and Agreements
Policies
Sponsored Projects ManualReseach PoliciesSponsored Projects PoliciesPolicy MemorandaAll Policies and References
Links
Sponsors and AgenciesOMB CircularsBen ReportsSponsor SheetsOther Useful Links
PennAES
ORS Newsletter
Division of Finance Access Only Inside Finance
On behalf of the Office of Research Services (ORS), welcome to this exciting area at the Univeristy ofPennsylvania. Penn ranks among America's top recipients of competitve research grants and receives more than$700 million in external funding annually. For more information on current research at Penn, please visit Researchat Penn. As administrators, we work to ensure that these funds are properly administered. ORS is here to assist
the Principal Investigators and Business Administrators in accomplishing this mission. An overview of our websiteis provided below in an effort to introduce new members of the research community to the available resources and
tools.
What do I need to know and where do I find it?Our website has been designed to provide the tools that those responsible for the administration of sponsored
projects at Penn will need. Below is some information regarding how the website is organized.
The left bar of the homepage (and most other pages) includes links to our most visited pages. These areorganized by topic.
From our homepage, there are several categories to select from that will allow individuals to view informationindexed by area of interest. There is a link called Principal Investigators that includes information and resources
which would be of interest to PI's. The Proposals link will bring one to a list of resources available for thosepreparing proposals. The Award Management link brings site visitors to an area where links have been organized
by the life of the award. Also included on our homepage is a link to Sponsor links which provides a list of quicklinks to available sponsor's websites. Links to our Sponsored Projects Handbook and to other Penn Offices
involved in sponsored projects administration at Penn are also included.
On the right side of our homepage, there are links to a variety of spotlight topics which are of high interest tosponsored projects administrators. At the bottom of that section, you will find a link to an archive of all ORS
Newsletters. You will also find a link that will instruct you on how to subscribe to our listserv. Everyone involved inthe administration of sponsored projects at Penn should be subscribed to the listserv. It is monitored and
subscribers will only receive messsages which have been approved as highly relevant and worthwhile (generally1-4 messages per month including a link to the monthly newsletter).
Touring the ORS website is a great way to get an introduction to sponsored projects administration at Penn. Thereare a variety of training resources also available to new administrators. These include both hands on training and
online training. Please see below or the ORS Training page for more information. Comments or suggestionsregarding the ORS Website are greatly appreciated and should be forwarded to [email protected].
While the ORS website has been created to provide Penn administrators with tools to use in making decisionsregarding the awards they administer, Sponsored Projects administrators should keep in mind that ORS staff
members are here to assist administrators as needed.
If you have any questions regarding the proper administration of sponsored projects at Penn, pleasecontact an ORS staff member for further assistance.
What types of training are available?A variety of training is available to those involved in sponsored projects administration at Penn.
For access to online training on a variety of topics, please click below:
Research Compliance Tutorials and Quizzes
To take a quick quiz on a variety of sponsored projects topics, please click below:Please note quiz changes each time taken. (Great tool for learning!)
Research Administration Quick Quiz
University of Pennsylvania, Office of Research Services http://www.upenn.edu/researchservices/new.html
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Training and Education
Organizations external to Penn and offices within Penn have developed training andeducational opportunities accessible by the community. These links are provided tofurther inform the community of regulatory compliance and assist in the overallmanagement and ethical conduct of sponsored programs.
Penn Resources
Sponsored Project Compliance Certification Program (SPCCP)
Sponcored Programs at Penn -- Instructor led courses & on-lineexam
Office of Research Services
Penn Institutional Compliance Strategies
Penn Financial Training
Non Penn Resources
Council on Governmental Relations-Educational Materials
University of Chicago
Harvard Medical School
University of Michigan
University of Minnesota-Research Compliance Program
New York University
Stanford University-ORA Compliance Program
AAMC Research Compliance Resources
NIH-Grants Compliance and Oversight
NIH-Outreach Activities and Resources
HHS-Office for Human Research Protections
NSF-Office of Inspector General, Educational & OutreachPrograms
The Offices of Research Services and Institutional Compliance are charged withand committed to the education of faculty and staff in research regulatoryrequirements. It fulfills its mission through education, training and complianceassessment and serves the community as an information clearinghouse.
Return to Research Compliance Home PageReturn to the Office of Research Services Home Page
Welcome toResearch ComplianceTuesday, February 12, 2013
Resources:
Related Links:
Research Compliance
Copyright © 2004 University of Pennsylvania 3451 Walnut Street, Philadelphia, PA 19104 · 215-898-5000Copyright Information | Contact Us | Privacy | Disclaimer
Office of Research Integrity & Compliance-> Training & Education http://www.upenn.edu/researchservices/rc/pages/training.htm
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Contact ORS Staff
Penn Data for Proposals
Compliance Training
Human Subjects Animal Subjects Export Controls Material Transfer
Effort Reporting
ERS Log OnSubmit ERS Related Issues
Forms and Agreements
Proposal/Transmittal FormAdvance Account RequestCost SharingClinical Trials Early ReviewAll Forms and Agreements
Policies
Sponsored Projects ManualReseach PoliciesSponsored Projects PoliciesPolicy MemorandaAll Policies and References
Links
Sponsors and AgenciesOMB CircularsBen ReportsSponsor SheetsOther Useful Links
PennAES
ORS Newsletter
Division of Finance Access Only Inside Finance
Sponsored ProjectsCompliance Certification Program
(SPCCP)
We would like to welcome you to the SPCCP. This Program is designedas both an instructor-led and web based educational program for
administrators who have sponsored projects responsibilities as definedby Sponsored Projects Policy No. 2140.
To maintain certification, as new required modules are developed, individuals who arecurrently certified will need to complete the new requirements within six months of their
availability.
SPCCP Components
The web-based courses are now located in the Knowledge Linksystem.
You will be required to enter your PennKey and password to access thecourse/module.
Click here to review instructions for logging into KnowledgeLink.
Click here to view a demo on how to navigate through online modules.
Chart of AccountsInstructor-led offered by the Financial Training DepartmentIn class exam
Sponsored Projects @ Penn5 - Half day instructor-led sessions offered by the Office ofResearch Services. In addition to the instructor led courseparticipants are required to complete an online exam toreceive SPCCP certification (see below).
SP@Penn Course Information -- WebsiteRegistration -- Instructor led courseKnowledge Link log-in requiredClick" Optional, scroll down and findPackage: "Office of Research Services -- ORS"Course Title: Sponsored Programs at Penn -- ORS
Sponsored Projects Web-based exams (3 required listed
University of Pennsylvania, Office of Research Services http://www.upenn.edu/researchservices/SPCCP/index.html
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below)It is best if you take the web-based exams shortly after attending theSP@Penn course
Pre-Award Account Set-Up Online QuizKnowledge Link log-in required"Click" Optional , Scroll down and find the SPCCPcourses.
Award Management and Compliance OnlineQuizKnowledge Link log-in required"Click" Optional , Scroll down and find the SPCCPcourses.
Close-Out and Audit Quiz Online KnowledgeLink log-in requiredKnowledge Link log-in required"Click" Optional , Scroll down and find the SPCCPcourses.
Sponsored Projects Policies Web based tutorial w/examKnowledge Link log-in required"Click" Optional , Scroll down and find the SPCCP courses.
Allowability/Cost Transfers/DocumentationWeb based tutorial w/examKnowledge Link log-in required"Click" Optional , Scroll down and find the SPCCP courses.
Effort ReportingWeb based tutorial w/examKnowledge Link log-in required"Click" Optional , Scroll down and find SPCCP courses
PI TransferWeb based tutorial w/examKnowledge Link log-in required"Click" Optional , Scroll down and find SPCCP courses
Sub-recipient MonitoringWeb based tutorial w/examKnowledge Link log-in required"Click" Optional , Scroll down and find SPCCP courses
Courses in development
Research Subjects (planned);
Misconduct in Science (planned);
University of Pennsylvania, Office of Research Services http://www.upenn.edu/researchservices/SPCCP/index.html
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As the University of Southern California has grown to become one of the world’s leading private research
universities, so too has the need to provide advanced training and support to those involved in the field of research
administration.
The Department of Contracts and Grants (DCG) is responsible for assessing and addressing the training needs of all
USC employees who work in contract and grant development. We are committed to providing the knowledge, tools,
and guidance necessary for the USC research community to successfully carry out their sponsor endeavors.
Enroll now for Spring 2013 Classes!
Office Location and Contact
Trainer: Donna Obeid
Address: 3720 S. Flower St., Los Angeles, CA 90089-0701
Phone: 213-740-1855
Email: [email protected]
C&G Curriculum
The C&G (Cardinal and Gold) Curriculum is a comprehensive training program developed to meet the needs of
today’s evolving research environment. Our training program allows participants to: a.) develop higher competency,
b.) increase efficiency, and c.) improve compliance according to USC and sponsor requirements. Instructional
courses have been designed to foster an interactive learning environment while embracing new technologies and
processes. Moreover, the certification program ensures a standard level of expertise among those who support the
research endeavor at USC.
Who can benefit from the C&G Curriculum?
C&G Curriculum is a valuable resource for administrative or other support staff working at a program, department
or dean’s office level. All university employees whose responsibilities bring them in contact with any aspect of
contracts and grants will benefit from attendance.
C&G Curriculum Description
C&G Curriculum consists of four (4) core courses and seven (7) optional courses offered multiple times throughout
the year at both the University Park Campus (UPC) and Health Sciences Campus (HSC). Participants may enroll in
as many courses as they choose. Each course lasts from two to six hours and is presented by an instructor. Courses
make use of real life scenarios, case studies, course discussion and review exams.
It is not necessary to complete the classes in any particular order, however, we recommend that all students take
Fundamentals of Research Administration to learn the basic terms and definitions associated with research
Training for Research Administrators | Research | USC http://research.usc.edu/dcg/training-for-research-administrators-pis/
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Virginia Tech Research Administrator Program
Sidebar Content
AnnouncementsThere are no announcementsat this time.
Sign-Up for TrainingOpportunities E-mailThis service is to provide e-mail notification when the Office of Sponsored Programs has a training opportunity open to faculty and staff.
You may sign up for thenotification here.
No message is necessary just send the e-mail.
Research
About the ProgramThe Virginia Tech Research Administration Program, sponsored by the Office of the Vice President for Research and brought to the university commassistance of the Faculty Development Institute, is a voluntary training program that consists of a total of 10 courses.. This program is designed for performs duties related to research administration. Each course will be a comprehensive tutorial that will provide information pertinent to research aVirginia Tech. There are no prerequisites for participating in any of the workshops and those not pursuing the certificate of completion are not excluany of the workshops.
Participants who are pursuing the certificate of completion will be required to take a quiz for each workshop (except for Banner) and obtain a score Participants can take the quiz multiple times as necessary.
Participants MUST complete the workshop AND the quiz for each workshop to receive the certificate of completion (testing out of the woallowed).
A simple checklist has been created to assist you in tracking your progress through the program.
Download the checklist PDF
EnrollmentStep 1: Enroll into the Level I program
Step 2: Go to the “Required Workshops” tab under the Navigate menu for the list of required or elective (if applicable) workshops.
Step 3: Many of the workshops are now posted online and can be viewed at any time. To access the online tutorials go to http://www.research./professional-development/archive. For the workshops not posted online you will need to register for the face-to-face sessions through the FDIare offered in the fall and spring (no summer courses). Register for the the face-to-face courses via www.fdi.vt.edu, please see instructions undsection.
Step 4: Print the Level I Certificate Program Completion Checklist and complete as you progress through the program. See attached.
Step 5: All workshops require that participants take a quiz, except Banner and Responsible Conduct of Research, and score 100%. These quizon the VT Research Administrator Certificate Scholar site. Please see the How do I? section for instructions on accessing these quizzes.
Step 6: Once you have completed all of the requirements, please contact Vicky Ratcliffe at [email protected] for confirmation.
Research Administrator Update WorkshopsPeriodically OSP will conduct workshops outlining recent changes in the research administration field. Attending these workshops demonstrates yocommitment to stay up to date with the rapidly changing research administration field. After the updates workshop each participant will be required obtain a score of 100% before receiving a certificate of completion.
Contact: V.F. Ratcliffe at [email protected] or 231-7964.
OVPR Professional Development
Virginia Tech Research Administrator Program | OVPR Professional Dev... http://www.research.vt.edu/professional-development/programs/research...
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1 Appendix 6.3 – Current Research Training at UCSD
Appendix 6.3. Current Research Administration Training at UCSD
A. The ORA website provides information on a variety of training options that are geared more towards researchers and not related administrators.
2 Appendix 6.3 – Current Research Training at UCSD
B. This is an exsiting Financial Tools and Practices Curriculum; perhaps one could be developed that is geared toward Research Administration at UCSD.
3 Appendix 6.3 – Current Research Training at UCSD
C. Extensive Blink content has been developed relating to Research Administration. While this content is useful and helpful, some administrators have expressed concern that more seminar based sessions to discuss case scenarios and lessons learned would be helpful.
4 Appendix 6.3 – Current Research Training at UCSD
D. Training related to Post Award/Fund Management
The Red Flags of Fraud This class provides an overview of some common characteristics of employees who have perpetrated a fraud against their employer, as well as the circumstances that motivated them. Presenters will describe recent acts of fraud committed in the University environment, and the breakdown in internal controls that allowed these acts to be committed. Presenters will also address both the legal environment and University policy concerning whistleblowing, and the effort associated with investigating potential improper governmental activities.
Topics include: • Fraud – National Studies & Trends • Fraud Statistics at UCSD • Red Flags of Fraud • Whistleblower Legislation & Policy Offered: March 19, September 10 Protocols for Surviving an Audit This class provides a general overview of the external audit process, the audit liaison role of Audit and Management Advisory Services, and actions that the department being audited may have to take in response to an external audit. Presenters will provide an overview of recent audit coverage by sponsoring agencies, and some common audit tactics used by the auditors during the review. Finally, the class will provide an overview of the process for internal reviews conducted by UCSD Audit and Management Advisory Services.
Offered: May 7, November 7 Internal Controls: What Are They and Why Should I Care? This class provides an overview of the framework for evaluating internal controls that has been adopted by the University. Presenters will define the concept of internal control, and provide a detailed description of the five elements of a good internal control structure. Via the use of case studies, presenters will explain why internal controls are important within the University business environment. Presenters will also provide an overview of current campus initiatives to improve accountability and controls and will provide various tools that can be used to assess business operations within attendee's departments. Topics include: • Accountability for business process controls • COSO (control environment, risk assessment, control activities, information and communication and monitoring • Internal Investigations • Federal False Claims Act • Compliance Programs • UC Business and Finance Bulletin G-29 Offered: May 16, October 8
5 Appendix 6.3 – Current Research Training at UCSD
Risk Management: Cars and Property – Your Personal Risks
Custom Group Sessions
This one-hour workshop covers liability and culpability related to the various modes of motorized vehicles you might operate for business purposes as well as property issues, both university and personal, used onsite or taken off site. Find out what the university covers and what it does not.
You will gain an understanding of situations in which out-of-pocket expenses or even lawsuits might occur. Did you know that:
• University property taken home and subsequently stolen or damaged could impact your homeowner's or renter's insurance?
• The loss of UCSD property transported in personal vehicles can involve your personal insurance policies?
• You may be liable for costs related to improper rental car insurance? • Personal automobile insurance policies may be used if an accident occurs when conducting
university business with your personal vehicle?
This course is part of the Environment, Health and Safety Curriculum. Custom Group Session - Please contact the Risk Management Office at (858) 534-2454.
Risk Management: Your Role In Managing Departmental Exposures
Description: Intended for: Business officers, human resources contacts, and supervisors who are involved in decisions that affect their department's exposures and costs.
Some decisions are more costly than others. You will learn how to incorporate risk management principles when making decisions regarding such issues as:
• Business use of personal and rental vehicles, pull notice program, and driver training classes • Avoiding law suits that could result from certain personnel actions • Deductibles, premiums, and departmental monthly charges • Signing vendor or real estate contracts • Business Travel Insurance, Field Trips and Event Planning • Your role in Loss Prevention and Loss Control initiatives
No classes offered at this time.
6 Appendix 6.3 – Current Research Training at UCSD
FinanacialLink: Risk-Based Financial Analysis
Description: Intended for: University employees with any fiscal oversight responsibilities (e.g., department managers, business officers, fund managers, bookkeepers, etc.) who have responsibility for monitoring and reconciliation of financial transactions. Emphasis is on FinancialLink features and other tools that can be used to facilitate a risk-based approach to ledger reconciliation.
In anticipation of continued student growth and limited administrative resources, new approaches may be effective towards meeting financial oversight responsibilities. In this course, you will learn how to apply a risk-based approach to reviewing your financial operating ledgers using Financial Link tools.
This is not an introductory course. Course attendees should be experienced with Financial Link Tools and aware of their departmental funds and transactions. It would be especially helpful if the attendees were familiar with use of the Ledger Reviewer or Annotator. For each attendee, an IFIS user ID and Group Identifier is required. Please see also the Required Preparation, below.
This course will help you to:
• Improve efficiency by monitoring financial activity on a risk basis; • Define risk in the context of financial ledger review; • Learn how to prioritize transactions based on the level of risk; • Utilize IFIS early index inactivation and account code/fund warnings; • Utilize Financial Link tools using transaction attributes; • Reconcile ledgers electronically and more timely (versus using hard copy ledgers).
finrisk No classes offered at this time.
Effort Reporting: ECERT Learning Lab Description: The purpose of the University's effort reporting system (ECERT) is to comply with federal certification requirements under OMB Circular A-21, Cost Principles for Educational Institutions. ECERT facilitates after the fact certification of effort (percent of time worked) on federal funds, including federal funds received through non-federal sources. This course provides ECERT administrators with a hands-on practicum for those new to the system or desiring a review of the system.
Topics include:
• How to prepare effort reports and monitor certifications • Best Practices for achieving compliance responsibilities
No classes offered at this time.
7 Appendix 6.3 – Current Research Training at UCSD
Equipment Management Basics
Online tutorials:
Equipment at UCSD is managed through the Campus Asset Management System. To learn more about CAMS, view these tutorials:
• Getting Access to CAMS tutorial • Surplus Transfer Requests (STR) tutorial • Disposal of University and Government Property tutorial • Receiving Inter-departmental Transfers tutorial
http://blink.ucsd.edu/finance/equipment/inventorial/basics.html
Campus Asset Management Training (CAMS)
CAMS (102) – only listing:
Intended for: Anyone responsible for the management of equipment within their department
This two hour training will provide each user with the features and benefits of the new CAMS application. By the end of the demonstration each user will have a practical understanding of how to gain access to the application via Single Sign-On, send equipment to Surplus Sales, make edits to an Asset Record, add equipment and Advance Search for existing equipment.
This training is hands-on so if you have equipment to send to Surplus Sales please bring your list and learn how to transfer equipment to Surplus Sales.
Offered: Feb 19 March 14 April 4 April 26 May 21 June 6
8 Appendix 6.3 – Current Research Training at UCSD
E. Training relating to HR practices regarding recruitments, visas and funding on sponsored research
projects
H-1B Status Departmental Training for Beginners
Intended for: All department administrators and representatives dealing with international visitors to UC San Diego on the H-1B visa status.
You will learn the basic U.S. immigration regulations and general information on the H-1B application process. You will learn the steps involved in sponsoring an H-1B petition and eligibility requirements. This course will also instruct you on how to complete the H-1B application and exception procedures.
Offered: March 26
J-1 to O-1 Advanced Status Departmental Training
Intended for: All department administrators and representatives dealing with international visitors to UC San Diego on all non-immigrant statuses. As a prerequisite, you must have participated in J-1 Status Department Training for Beginners or H-1B Status Department Training for Beginners.
This course provides updates and advanced information on J-1, H-1B, TN and O-1 statuses. You will learn the steps involved in sponsoring international visitors in TN status and O-1 eligibility requirements. You will also be briefed on exception procedures and examine specific cases.
Offered: April 30
Compensation/Classification A: Creating the Job Description Intended for: Supervisors and HR coordinators only
This course offers you an opportunity to learn the basic elements and steps in the process of job analysis. Components of the course include: completion of the job description forms; defining essential functions; developing job-related skills and knowledge statements; and relating the job description to a variety of supervisory activities including classification, hiring, training, performance appraisal and career development. Understanding job analysis and the methods of using the job card can help ensure valid, defensible employment practices.
Offered: June 13, October 3, February 6, June 5, October 2
9 Appendix 6.3 – Current Research Training at UCSD
Compensation/Classification B: Job Classification Procedures Intended for: Supervisors and HR coordinators only.
After taking this course, you will better understand how staff positions are classified and how to initiate a request for reclassification.
This course is designed to offer general information on how staff positions are classified. Topics include:
• Organizational design • Common factors classifiers consider when evaluating positions and how these are reflected in
job descriptions • Specific classification criteria that is associated with a payroll title • Initiation of a classification review request • The analysis and decision process
Notes: This course is a general overview and, therefore, not intended for campus managers seeking authority to classify staff positions. Offered: February 14, June 20, October 10, February 13, June 12, October 9 Compensation/Classification C: Compensation Policies and Procedures Intended for: Supervisors and HR coordinators only.
After taking this course, you will better understand the university's compensation philosophy and the various components of the staff compensation program.
This course is designed to offer general information on how staff employees are compensated. UCSD's compensation philosophy, salary policies and procedures, collective bargaining agreements, and other online resources are reviewed. Topics include:
• UCSD's Title and Pay Plan • Appointment rates • Salary progression within range • Salary adjustments upon reclassification/transfer/promotion • Stipends • Salary surveys • Range adjustments • Merit increases • Employee incentive awards
Offered: February 21, June 27, October 17, February 20, 2014, June 19, 2014, October 16, 2014
10 Appendix 6.3 – Current Research Training at UCSD
Employment Discrimination Law: News You Need
Intended for: Managers, supervisors and all others who would like an overview of employment discrimination law, UCSD policy, and supervisory responsibilities.
Do you know the answers to these questions?
• Which employment practices are discriminatory? • What are "protected classes"? • What counts as "retaliation" under recent court rulings? • What are the University's obligations to re-instate employees upon the completion of a leave for
medical reasons? • What is "gender identity" discrimination? • How do I recognize and prevent bias? • Which university policies do I need to know? • How much job accommodation is required? • How are complaints resolved? • Who will help me effectively respond to unlawful discrimination?
This workshop provides an overview and update of the laws and policies related to unlawful discrimination in the workplace due to disability, gender, race, religion and other issues. Interesting examples, problem-solving exercises, and real case law are part of this interactive session. No courses offered at this time. Employment Hiring: Streamlining The Recruitment Process Intended for: Supervisors and department human resources representatives who have responsibility for the employment process.
This course provides you with an overview of the hiring process at UCSD, laws and regulations governing our practices and practical tools for reviewing, interviewing and evaluating applicants. The topics include:
• UCSD's Hiring Process & Legal Foundations • Requisition/Posting • Job Descriptions • Selection Report & Screening Matrix • Background Checks • Preferential Rehire • Advertising jobs in publications or websites • Behavior Based Interviewing
This class was formerly known as: EMPLOYMENT PROCESS TRAINING: STAFFING FOR SUCCESS
Offered: April 16, September 11
11 Appendix 6.3 – Current Research Training at UCSD
Hiring Consultants and Independent Contractors Description: Intended for: Individuals tasked with hiring consultants or contractors in support of contract and grant administration or other department requirements.
This course provides an overview of the policies and procedures for contracting with individuals or entities who provide services that are unique to normal university operations. Topics include:
• Distinguishing between consultants and contractors • IRS classification factors • Using Blink • Writing an effective statement of work • Submitting an IFIS requisition • Completing the required forms • Conflict of interest/employee-vendor relationships • Sole source justification statements • Dual employment • Audit compliance
No courses offered at this time. Hiring International Students for On-Campus Positions Intended for: All department administrators and representatives dealing with international students at UC San Diego on all non-immigrant statuses. This course provides information on how to hire international students, who are on F-1 or J-1 student status, for graduate student researcher, research assistant, teaching assistant, or other on-campus student positions. Topics include basic immigration principles, I-9 compliance, required payroll forms, Social Security application process, Individual Taxpayer Identification Number (ITIN) application process, and tax treaty information.
No courses offered at this time.
Life Theatre Workshop: Elimination of Bias Overview: Going beyond traditional training and utilizing live performance, Emmy Award winning Life Theatre will conduct a drama-based, interactive workshop for the University of California San Diego on the key points of eliminating personal bias as a means to better understanding diversity and inclusion. Life Theatre Services will use theater as a forum to reflect the challenges that face leaders of both genders, and all races, cultures and life styles as they navigate today’s multi-ethnic workplace. Participants will have the opportunity to gain perspective while observing familiar conflicts played out in live dramatizations. The scenarios will be performed by professional actors and will bring to life the viewpoints of several individuals of different races/cultures/religions. Audience members will be encouraged to speak directly to the characters in the dramatizations. Interactive discussions between characters and the audience will enable participants to share opinions and ask questions in a safe environment. No courses offered at this time.
12 Appendix 6.3 – Current Research Training at UCSD
F. Technology Transfer and Intellectual Property Training
Patents and Patent Searching Intended for: UCSD faculty and staff who would like to learn about the patenting process and how to search for patents on the web.
Learn how patents protect your intellectual property and what rights they confer. Find out about the basics of the patent application process, how to read and interpret patent documents, and why international patents matter. Learn what UCSD Technology Transfer & Intellectual Transfer Services (TTIPS) can do for inventors. Finally, learn how to search for patents using free web databases offered by the US Patent & Trademark Office, the European Patent Office, and more. Even if you don't have an invention on the drawing board, learn how to search patents for the valuable, cutting edge scientific and technical information they contain.
Offered: April 17, July 9
G. Lab Safety Training
Annual Bloodborne Pathogen Refresher Training – e course
Description: This course will provide you with a basic understanding of bloodborne pathogens, common modes of transmission, methods of prevention, and what to do if an exposure occurs. Information presented will help minimize serious health risks to persons who may have personal exposure to blood and other potentially infectious materials in the workplace. This course has been updated to reflect new legislation for needlesticks in OSHA regulations for Bloodborne Pathogens that went into effect on April 18, 2001. The content in this course is designed to comply with the intent of the applicable regulatory requirements. Learning Objectives
• Identify the traits and symptoms of Hepatitis B • Identify the traits and symptoms of HIV • Identify modes of transmission of bloodborne pathogens • Identify preventive controls that reduce or eliminate exposure • Identify the proper use and handling of personal protective equipment • Recall proper decontamination procedures for blood or other potentially infectious materials • Identify measures to be taken when the skin or eyes are exposed to infectious material • Identify procedures to follow if an exposure incident occurs
13 Appendix 6.3 – Current Research Training at UCSD
Bloodborne Pathogen Awareness – e course
Description: This course will provide you with a basic understanding of bloodborne pathogens, common modes of transmission, methods of prevention, and what to do if an exposure occurs. Information presented will help minimize serious health risks to persons who may have personal exposure to blood and other potentially infectious materials in the workplace. This course has been updated to reflect new legislation for needlesticks in OSHA regulations for Bloodborne Pathogens that went into effect on April 18, 2001. The content in this course is designed to comply with the intent of the applicable regulatory requirements. Learning Objectives
• Identify the traits and symptoms of Hepatitis B • Identify the traits and symptoms of HIV • Identify modes of transmission of bloodborne pathogens • Identify preventive controls that reduce or eliminate exposure • Identify the proper use and handling of personal protective equipment • Recall proper decontamination procedures for blood or other potentially infectious materials • Identify measures to be taken when the skin or eyes are exposed to infectious material • Identify procedures to follow if an exposure incident occurs
Annual laboratory Hazards Training – e course
Description: Intended for: All UCSD laboratory personnel who work with hazardous materials and its handling, waste disposal, and emergency response. The County of San Diego requires that you participate annually in this refresher course.
Prerequisite: Prior to participating in this annual refresher course, you must have completed Laboratory Safety Principals/IIPP for training in safely handling hazardous materials.
Note: Once you complete this refresher course, you are able to print a certificate of completion. Official documentation of this annual training can be verified via your UC Learning Center Training History.
Please keep your training certificates where they can be readily retrieved upon request by inspectors. County inspectors audit UCSD training compliance during their annual inspections.
If you are ready to take the tutorial, read WBT Help first to ensure a successful tutorial launch.
Once you launch the tutorial, a new page will appear in this window and the tutorial will launch in a new browser window. Be sure to keep both windows open so that your results can be successfully
14 Appendix 6.3 – Current Research Training at UCSD
recorded.
If you have questions, please contact [email protected] (858) 822-5974.
This course is part of the Environment, Health and Safety Curriculum.
Annual Radiation Safety Refresher Training – e course
Description: Intended for: Anyone working with radioactive materials and anyone wishing to learn more about the safety aspects of radiation.
Prerequisite: Prior to participating in this annual refresher course, you must have completed Radiation: Safety Seminar.
This Web-based module meets the annual refresher course requirements; it provides the most up to date program information to ensure that exposures from the use of radioactive materials are kept as low as reasonably achievable.
This training is intended to be used as an annual radiation refresher training module when attendance at scheduled lab refresher training is not possible; it is preferred that you attend scheduled on-site refresher training with a Health Physicist.
Notes: Upon completion of this refresher course, you will be able to print a certificate of completion. Official documentation of this annual training can be verified via your Enrollment Central Training History or your My Training: Training Activity Report. When you are ready to take the tutorial, click on the Launch button below.
Problems? Please read WBT Help to ensure a successful tutorial launch.
If you have questions, please contact the EH&S safety training manager (858) 822-5974.
This course is part of the Environment, Health and Safety Curriculum. Biosafety: Bloodborne Pathogens Required for: Laboratory personnel prior to beginning work with human blood, human blood components, products made from human blood, human body fluids, unfixed human tissue or organs, human cell lines, animals with human xenografts, blood borne pathogens, or other potentially infectious materials. Medical Center health care providers have location specific training. Contact the Medical Center Safety Office, (619) 543-7575, for more information.
This course is a required annual refresher course mandated by federal OSHA and CAL-OSHA Bloodborne Pathogens Standard (1993). Participation in this course will satisfy the annual training requirement
15 Appendix 6.3 – Current Research Training at UCSD
addressed by the regulation. You will learn all the components of the regulation, how it applies to your specific laboratory environment, and points to consider for compliance.
This course covers:
• Regulatory definitions including examples of bloodborne pathogens and potential routes of exposure in a laboratory setting
• Scope and application of the regulation • Practical laboratory procedures to mitigate worker exposure to bloodborne pathogens • Basic biosafety • Personal protective equipment • General housekeeping and hygiene • Hepatitis B vaccination and declination • Avoiding accidents and injuries • Post-exposure measures and follow-up confidential health care • Required signage, labeling and hazard communication • Training and record keeping • Emergency response with respect to spills or personnel exposures
Offered: February 12, February 26, February 27, March 19, March 27, April 23, June 25 Biosafety: Viral Vector Description: Intended for: Lab personnel who plan to use viral vectors in vitro or in vivo as part of their research. You will learn how to assess and mitigate biosafety risks associated with the preparation and use of viral vectors in the laboratory.
This course will take you through:
• The Institutional Biosafety Committee approval process • Regulatory requirements and definitions • Specific agents and their mode of transmission • Physical and containment requirements of the laboratory • Proper handling and use of disinfectants • Proper use of personnel protective equipment • Practical procedures to avoid laboratory acquired infections (procedures and use of special
containment equipment) • Work practices and hygiene • Emergency response with respect to spills or personnel exposure • Medical surveillance (baseline serology storage or necessary vaccines) • Biosafety risks with respect to in-vivo work • Waste
Offered: February 12, February 26, February 27, March 19, March 27, April 23, June 25
16 Appendix 6.3 – Current Research Training at UCSD
Controlled Substances – e-course
Description: Introduction to secure use of controlled substances. Topics Covered:
• Introduction • CSUA • Storage site controls and security • Orders / Delivery / Receipt • Usage logs and biennial inventory • Transfers / Imports / Exports • Disposal, diversion and loss reporting • Illicit activities and repercussions
Lab Accidents: Risks, Roles & Responsibilities – webcast with NACUBO (National Association of College and University Business Officers) and CSHEMA (Campus Safety Health and Environmental Management Association. Description: This joint National Association of College and University Business Officers (NACUBO) and Campus Safety Health and Environmental Management Association (CSHEMA) webcast will present a summary of high profile incidents in college and university laboratories across the country.
Topics covered:
• Case studies- UCLA and Texas Tech University • US Chemical Safety Board (CSB) findings and recommendations • Impacts on standpoint of safety, management and liability • Research goals of the laboratory workers and the need for safe and compliant behavior • Faculty members as laboratory supervisors • Safety culture of colleges and universities Laboratory Safety Orientation (Fundamentals) – e course Description: Intended for: All UC San Diego employees who work in any capacity in any type of laboratory. This course is an introduction to fundamentals of laboratory safety, chemical safety, and general safety. Topics include:
• Signs & Labels, Hygiene and Health Habits • Protective clothing and equipment • Work practices
17 Appendix 6.3 – Current Research Training at UCSD
• Emergencies • Storage and Handling • Hazard and Risk Assessment • Policies and Procedures • Authorizations • Roles / Rights / Responsibilities • Hazard identification • Control measures • Exposure limits • Chemical Hygiene Plans • References, Electrical Safety • Emergency Procedures and • Physical Hazards
Laboratory Safety Principles/IIPP Description: Intended for: Anyone who uses chemicals, biological materials, radioactive or other hazardous materials in a research setting. This course will cover effective techniques for personal protection as well as the requirements of regulations such as Injury and Illness Prevention Program (IIPP), OSHA laboratory standard and others.
NOTE: If you are planning to attend, click here to access course materials for this program.
You will learn how to recognize, evaluate and control hazards in a research laboratory as well as the requirements of the many regulations that apply to the laboratory setting.
This course introduces you to the fundamental concepts of laboratory safety. You will learn how to find out information on hazards from the UCSD Environment, Health and Safety web pages and a variety of other resources. You will learn how to evaluate the information and translate them into specific measures you can take to protect yourselves and others. We will also discuss regulations that apply to labs and what lab personnel need to do to comply.
Specific issues include:
• The overall safety program at UCSD • MSDS and other sources of safety information • Safe work practices including ergonomic safety • Hazard vs. risk • Chemical storage • Fume hoods and engineering controls • Gloves and other personal protective equipment • Fire safety and evacuation procedures • Emergency preparedness • Hazardous waste issues
18 Appendix 6.3 – Current Research Training at UCSD
Offered: February 12, February 27, March 19, March 27 Laser Safety Seminar Description: This course will provide you with a basic understanding of bloodborne pathogens, common modes of transmission, methods of prevention, and what to do if an exposure occurs. Information presented will help minimize serious health risks to persons who may have personal exposure to blood and other potentially infectious materials in the workplace. This course has been updated to reflect new legislation for needlesticks in OSHA regulations for Bloodborne Pathogens that went into effect on April 18, 2001. The content in this course is designed to comply with the intent of the applicable regulatory requirements. Learning Objectives
• Identify the traits and symptoms of Hepatitis B • Identify the traits and symptoms of HIV • Identify modes of transmission of bloodborne pathogens • Identify preventive controls that reduce or eliminate exposure • Identify the proper use and handling of personal protective equipment • Recall proper decontamination procedures for blood or other potentially infectious materials • Identify measures to be taken when the skin or eyes are exposed to infectious material • Identify procedures to follow if an exposure incident occurs
Offered: February 27, March 27 Radiation: Safety Seminar Description: This course will provide you with a basic understanding of bloodborne pathogens, common modes of transmission, methods of prevention, and what to do if an exposure occurs. Information presented will help minimize serious health risks to persons who may have personal exposure to blood and other potentially infectious materials in the workplace. This course has been updated to reflect new legislation for needlesticks in OSHA regulations for Bloodborne Pathogens that went into effect on April 18, 2001. The content in this course is designed to comply with the intent of the applicable regulatory requirements. Learning Objectives
• Identify the traits and symptoms of Hepatitis B • Identify the traits and symptoms of HIV • Identify modes of transmission of bloodborne pathogens • Identify preventive controls that reduce or eliminate exposure • Identify the proper use and handling of personal protective equipment • Recall proper decontamination procedures for blood or other potentially infectious materials • Identify measures to be taken when the skin or eyes are exposed to infectious material • Identify procedures to follow if an exposure incident occurs
19 Appendix 6.3 – Current Research Training at UCSD
Offered: February 27, March 19
H. Material Transfer
All online:
http://researchportal.ucsd.edu/mta/training/index.html
User Guide, 7 Quick Step User Guide:
Training Modules
eMTA Basics (7 mins): Logging into the eMTA system, searching and viewing basics.
Creating a New eMTA Request (9 mins): Creating a new eMTA in the system for sending or receiving materials.
Editing, Submitting & Dashboard Overview (4 mins): Editing, submitting an eMTA request along with a dashboard overview.
Running Reports (1 min): Selecting and running a report; downloading reports into a spreadsheet on your computer.
New eMTA System questions:
http://researchportal.ucsd.edu/mta/questions/new-emta-system.html
General MTA questions:
http://researchportal.ucsd.edu/mta/questions/general-mta.html
Appendix 6.4 SIO Fund Manager Training Manual
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Table of Contents
PROPOSAL PREPARATION .................................................................................................................................. 3
AWARD ALLOCATIONS & MODIFICATIONS ................................................................................................... 8
RECONCILING THE LEDGERS – MONTHLY .................................................................................................. 12
COMPLETING A FINANCIAL EXPENSE REPORT (FER) and CLOSING OUT AN AWARD/FUND ... 14
EXPRESS CARDS ................................................................................................................................................... 16
FABRICATIONS & EIMRs ................................................................................................................................... 19
INVOICES OVER $10K AND SUB-CONTRACTOR INVOICES .................................................................... 22
TRAVEL ................................................................................................................................................................... 23
MYMEETINGS & HOSTED EVENTS (MYEVENTS) ....................................................................................... 25
TRAVEL AND ENTERTAINMENT PAYMENT STATUS ............................................................................... 27
SHIPS (SHIPPING INVOICE PAYMENT SYSTEMS) ..................................................................................... 28
PROCEDURES FOR EXTERNAL PURCHASE ORDER MANAGEMENT .................................................... 29
COST SHARING ..................................................................................................................................................... 35
PI BANKING OF 19900 SALARY FUNDS ........................................................................................................ 37
SALARY RECHARGE COSTS TRANSFER ........................................................................................................ 39
SALARY RECHARGE/DATA ENTRY ................................................................................................................ 41
CIS (NETOPS) ........................................................................................................................................................ 45 Example#1 On Clearing Account 100% .................................................................................................................... 50 Example#2 No Productive Hours Reported ............................................................................................................ 51 Example#3 Less than 100% on Pay Status .............................................................................................................. 52 Example#4 Flat Recharge Amount ............................................................................................................................. 53 Example#5 Non-clearing Account 100% ................................................................................................................. 54 Example#6 Split-Fund Based on Hours .................................................................................................................... 55 Example#7 Split-Fund by Percentage ....................................................................................................................... 56 Example#8 On Clearing Account with CIS on Different Index .......................................................................... 57 Example#9 Adjustment for CIS Only ......................................................................................................................... 58 Example#10 Journal Processing File......................................................................................................................... 59 Example#11 Cost Transfer Entry ............................................................................................................................... 61 Example#11a Cost Transfer Adjustment ................................................................................................................. 62
DATA SYSTEM RECHARGE FACILITY ............................................................................................................ 64
Sample#1 PI Exception Form .......................................................................................................................... 68
Sample#2 SIO Project Scientist Co-PI Notification .................................................................................. 69
Sample#3 Establishing Index with Award Information ........................................................................ 70
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Sample#4 Award Information ........................................................................................................................ 71
Sample#5 Award Checklist .............................................................................................................................. 72
Sample#6 Award Allocation Worksheet ..................................................................................................... 73
Sample#7 New Award Journal – OPAFS Format ....................................................................................... 74
Sample#8 IGPP COA Database – Awards ..................................................................................................... 75
Sample#9 IGPP COA Database - Proposals ................................................................................................. 76
Sample#10 FER, Financial Expense Report ............................................................................................... 77
Sample#11 FER, EBS Cumulative Expense ................................................................................................. 79
Sample#12 FER, EBS w/Account Code Summary ..................................................................................... 80
Sample#13 FER Op Ledger Trans Detail w/Fund-Org Questionable Account Codes .................. 81
Sample#14 Express Card Missing Receipt Declaration Form ............................................................. 83
Sample#15 Fabrication Request Form ........................................................................................................ 84
Sample#16 Equipment Inventory Modification Request Form (EIMR) ........................................... 85
Sample#17 Request for Reimbursement to the UCSD Travel Card Form ....................................... 86
Sample#18 Recharge Tracker Form (Justif & Apprvl for Recharging Food/Beverage .............. 88
Sample#19 Use of Alcohol and/or Malt Beverage form ........................................................................ 90
Sample#20 PO for Services Invoice .............................................................................................................. 91
Sample#21 Salary Recharge Costs Transfer Form .................................................................................. 93
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PROPOSAL PREPARATION A Principal Investigator (PI) may ask your help preparing a proposal. The PI counts on us to make sure the proposal meets all the requirements of the Request for Proposal (RFP). Some PIs may also ask your help in uploading information to NSF Fastlane, grants.gov, or NSPIRES. You will need to know the Agency’s RFP or Solicitation number so you can read their specific instructions for the proposal. Each Sponsoring Agency has different rules, procedures and guidelines. That’s why it’s important to read the RFP. The OCGA website (http://ocga3.ucsd.edu/) has all the information and most of the forms you might need [ie. Request for Extramural Support (RES), UCSD Proposal Budget form, UCSD Proposal Signature Page, PI Exception form, Conflict of Interest (COI) 700U and 9510 (NSF)].
• Request a proposal number. See Blink: http://blink.ucsd.edu/research/pre-award/proposals/number.html
It’s helpful to SIO C&G if you put the RFP/Solicitation number in the Comment box of that online proposal number request form.
• Using our budget template complete a draft budget based on the information the PI has given you: o People who will be supported (ie. PI, PDS, Staff, Project Asst. at no more than 11.44
months because our recharge rates take into account down-time) and at what percentage. (GSR= 47.24%)
o If there is a graduate student (GSR), then tuition remission (GSRT) must be included for 9 months/year. GSRT is not assessed July-Sept.
o GSRT is exempt from Indirect Cost (IDC). GSRT rates are on Blink at the OCGA website (http://ocga3.ucsd.edu/)
o Use the salary proposal recharge rate for each person. o Consultants o Sub-awards/sub-contracts
Prior to proposal submission, sub-contracts must be approved by UCSD Business Contracts. Only the first $25,000 of a sub-award / subcontract is subject to IDC.
o Equipment (must be item value of $5000 or more) – this is exempt from IDC o Supplies & Materials o Travel – domestic & foreign o Other Expenses o NGN (telephone) and (CIS) Netops is based on percent salary for each person [with a few
exceptions] Once the PI says that the budget is final you can ask the SIO C&G contact if (s)he wants to review it ahead of time, or wait until the full proposal is ready for review. Ann Dunbar usually likes to see the budget ahead of time because there are usually quite a few proposals submitted at the last minute for NSF deadlines and this allows her to spread out the workload a bit. Other contacts don’t want to see anything until the proposal is ready for submission.
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• Prepare the required signature forms: RES (page ), Signature page, as needed (page ), Conflict of Interest (9510) – NSF (page ) or (700U) – Private (page )
• It’s helpful to keep each PI’s Current & Pending support page up-to-date (page ).
Important: The SIO C&G deadline for receiving signed-and-ready-to-submit proposals is noon the day before the Agency due date. If a PI cannot meet this deadline then (s)he must request – in writing (email is fine) – approval from Tony Haymet (Director of SIO) to submit the proposal to SIO after the deadline. Postdocs
o Postdocs can be sole-PI on a proposal – but they are limited to 50% salary. o Postdocs can be co-PI on a proposal at up to 100% o Postdocs must have completed at least 12 months of postdoctoral research at SIO at the
time of submitting grant proposals – unless the proposal specifically calls for a new postdoc.
o The standard PI Exception request form for SIO is required. PI Exceptions
PI Exceptions are needed for non-researcher appointees. The PI Exception form (page 68) is to be submitted for approval to Joy Gorback, SIO Academic Personnel, at least 10 days prior to the Agency due date (OCGA website says 15 working days). Also give a copy of this form to the SIO C&G contact. If the form is not approved by the time a proposal is funded, SIO C&G cannot accept the award. (NOTE: Do not use the form on the OCGA website as it does not include lines for PI Supervisor and MSO signatures.)
If a Project Scientist is to be a co-PI on a proposal, complete the SIO Project Scientist Co-PI Notification form (page 69) and submit it to SIO Academic Personnel, with a copy to the SIO C&G contact. Summer Salary – (Professorial/Research titles – 9 mo. Appointees)
Calculating summer salary earnings for the PI if there isn’t a record in the Salary Recharge system: o See Michelle Parks (Academic Personnel) for PI’s annual salary and next merit review. o Divide annual salary by 9. o Multiply salary rate by benefit rate for total monthly costs. Use the benefit rate for an
Academic Summer Salary Appointee – Social Security Coordinated, listed in the OCGA website. (i.e. $150,000/9 = $16,666.66 x 12.2% = $20,333)
Cannot budget for more than 3 months summer (July – Sept) salary on a budget. NSF Summer Salary
Limited to 2 months of support. (Ann Dunbar says it’s okay to show more on the PI’s Current and Pending because it’s unknown which proposals will actually get funded. If more than enough is funded, then the funding can be adjusted.)
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Standard Budget Justification: All budget justifications must include the following statement regarding salary recharge rates: Salary recharge rates are calculated for actual productive time only (except for non-faculty sick leave, which is charged as direct). The rates include components for employee benefits, provisions for applicable merit increases and range adjustments in accordance with University policy. If the PI wants to support a research project assistant on the proposal, please include a note in the
budget justification as follows as applicable: Salaries for Research Project Assistant are for tasks that will specifically benefit this project, will be assigned by the Principal Investigator, charged on a time reported basis, and will not exceed the percent of effort requested. These tasks normally include library searches, data entry, copying project literature, researching and procuring project materials, making travel arrangements, computer file maintenance, computer searches, preparation of camera-ready manuscripts and coordination of efforts between project participants. All budget justifications must include the following statement regarding project specific costs as
follows: Project specific costs that include telephone tolls, voice and data communication charges, photocopying, faxing, postage and computer supplies are also requested. Supply and expense items categorized as project specific and computer and networking services are for expenses that specifically benefit this project and are reasonable and necessary for performance of this project. UCSD applies a direct charge equivalent exclusion calculating the D.A. indirect costs, as required in the interpretations of A-21 section F.6.b. Conflict of Interest Some agencies require conflict of interest forms. See this link for information on the requirements.
http://ocga3.ucsd.edu/Forms/All_Forms.htm#Conflict1 Cost Sharing (MOVED FROM ORIGINAL COST SHARING SECTION WHICH IS NOW CHANGED TO COST SHARING SYSTEM – THIS WILL ALSO HAVE TO BE UPDATED DUE TO THE NEW SYSTEM THAT WILL BE COMING OUT LATER IN 2011). Blink – General Information - http://blink.ucsd.edu/finance/awards/cost-sharing/ If a proposal includes cost sharing, the amount needs to be written on the front of the RES form
and letters of commitment must accompany the proposal. In cost sharing, the university commits resources to projects that are funded by external sources,
usually in the form of contracts or grants. UCSD's cost-sharing resources can include: o Academic/Staff time (In-kind) o Cost of materials o Equipment costs (new and existing) o A combination of the above, plus other types of costs o The sponsoring agency does not reimburse the expenses associated with the cost-shared
activity but is paid by the university or another party involved in the project, such as a subcontractor.
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Cost sharing commitments must be carefully recorded to meet the tracking and reporting requirements of federal regulations.
Allowable cost sharing expenses must follow the guidelines of the contract/grant. Meaning, if it’s
not allowable on the contract/grant, it’s not allowable on the cost sharing account. This is NOT an “unrestricted” account even though the “fund source” is considered one.
Department Chair signature:
As of Sep. 2009, the following (in descending order) may sign the RES as Dept. Chair: Guy Masters (actual Chair) Steve Constable Peter Shearer MSO signature:
Normally Wayne Farquharson signs the RES as MSO, but when absent, Janet Matsumoto can sign in his place. SIO CONTRACT and GRANT OFFICE STAFF ASSIGNMENTS
Ann Dunbar: 858-534-1293 [email protected]
• Binational Science Foundation (FSF) • Inter-American Institute for Global Change • Japan Aerospace Exploration Agency (JAXA) • National Aeronautics Space Administration (NASA) • National Science Foundation (NSF)
Andrea Lupu: 858-822-6834 [email protected]
• Air Force • Army • Miscellaneous Department of Defense (DOD) • Industry Flow-Through • Sales and Service Agreements
Elizabeth Meier: 858-822-6930 [email protected]
• Consortium for Ocean Leadership (USSSP/IODP) • Material Transfer Agreements (MTAs) • National Institutes of Health • Private Non-Profits and Interest Groups • UC Programs and Incoming Multiple Campus Agreements
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William Park, III 858-822-1350 [email protected]
• Department of Energy (DOE) • Forest Service • United States Department of the Interior (USDI): Minerals Management Service (MMS) • Environmental Protection Agency (EPA) • National Oceanic and Atmospheric Administration (NOAA) • United States Department of Agriculture (USDA) • United States Geological Survey (USGS)
Nancy Wilson 858-534-4571 [email protected]
• Miscellaneous Navy • Non-Disclosure Agreements • Unfunded Collaboration Agreements • Office of Naval Research (ONR) • Private and Industry Contracts • Local Government
Sandra Varond 858-534-7530 [email protected]
• Records Management Judy Zhao: 858-534-0841 [email protected]
• Department of Energy (DOE) Labs: o Lawrence Berkeley Laboratory (LBL) o Lawrence Livermore National Laboratory (LLNL) o Los Alamos National Laboratory (LANL) o Sandia National Laboratory o UT Batelle
• Jet Propulsion Laboratory • State and Federal Flow-Through via Other Universities • State of California • Miscellaneous State Government • Consortium for Ocean Leadership (OOI Projects)
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AWARD ALLOCATIONS & MODIFICATIONS 1) Notice of Award will be emailed to Fund Manager and/or Wayne for PI signature. Wayne wants to personally scan & send PI approval to SIO C&G so he knows the status. 2) OPAFS will send IFOPAL with master index and award information OPAFS STAFF ASSIGNMENTS
Marissa Yessis (Supervisor/Assistant Director for Marine Science), x24481 Teresa Ornelas (Team Leader), x40769
• Air Force Grants (BFS2000); Contracts (BFS5000) • NASA Grants (BFS2000); Contracts (BFS5000) • Navy/ONR Grants (BFS2000); Contracts (BFS5000) • NIH (BFS2000); most grants • Smithsonian (BFS5000) • Private Grants (BFS4200) • Private Contracts (BFS4000) • Private Flow Thru (BFS4000)
Peggy Taburiaux,
• NASA Federal Flow Thru (BFS4000) • NSF/WHOI Federal Flow Thru (COL Subaward JSA7-11, fund 82948A) (BFS4000) • NSF/COL Federal Flow Thru (COL Subaward SA9-08, funds 87125A-87165A-87183A)
(BFS4000) • NOAA (BFS2000) • Misc Federal (BFS2000) • USDA (BFS2000) • State (BFS0200)
John Will, x40151 Army Grants (BFS2000) Federal Flow Thru (BFS4000) NSF (BFS2000) DOE LAB [LBNL] (BFS5000)
Check: “Program” should end in 0 unless it is for ARRA funds, then it will end in 5. If incorrect, contact the OPAFS Analyst for the fund to correct it. 3) Pull the proposal file from Wayne’s office 4) Contact PI for preference of alphanumeric index number. IGPxxxx
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You can check to see if an index has been used by going to FinLink → Reports → Chart of Accounts Reports → Index List 5) Set up index: In FinLink go to https://www-act.ucsd.edu/indexcopy/IndexMenu
Input original index > Search/Next; Input new desired local index (ex. igpPS77) and award information: PI, Award #, IDC, end date (page 70).
Once this information is submitted, the index is active and PI can spend. However, you must wait 24 hours to do the allocation. 6) Prepare Allocation worksheets (contains award info-page 71, checklist-page 72, alloc-page 73), so you’ll have this in front of you when you prepare the Journal. FDP – IFOPAL will probably say you can pre-award spend < 90 days of start date. Ask PI if need to do so, then can set up locally. For early activation, you can set up index and prepare allocation sheet but do not prepare the journal until actual month of start-date of award. 7) The next day or start day of award, you can prepare the Journal Voucher. FinLink → Transactions → Prepare journal voucher
a) Assign next sequential journal number from your log/list of journal numbers (BAIGPxxx).
b) Enter Journal number BAIGPxxx c) Description: New Award Allocation or Award Allocation – Mod 9 d) Effective date: 08312009 - Tells OPAFS what ledger month to put it on.
Although it doesn’t have to agree with actual start date, it must not be before that date.
e) Document Total: is double the award amount (i.e. total of debit & credit column) Don’t use punctuation ($, commas or .00) in numbers/currency. f) Approval template: EMF (Extramural Funds) if journal number is BAIGPxxx g) Enter the text in OPAFS format (page 74) h) Next click on Transaction Detail (top left box). i) Journal type for BA___ is always BA13. [see other instructions for BE journals] j) Transaction Description: New Award or Mod 1, etc. k) Transaction Date: leave blank (info is pulled in) l) Reference number: usually the UCSD proposal number 2009-2763 or 20091763R1 if a revision (limited number of spaces, so delete the hyphen)
IDC information is the exception; put the rate here. If IDC is 0%, skip this step.
m) Transaction Amount: Using the Allocation sheet you’ve prepared based on the proposal budget, enter each category/account code amount as an “+ increase”.
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n) Hit Add. It’ll automatically advance “Sequence” number. Once you’ve entered all the above amounts (total should now be the award amount), you’ll do the revenue side to complete the debit category. o) Leave on “(+) increase”. p) Reference Number: blank it out q) Transaction amount: is total of credits (i.e. award amount) r) Enter Revenue Information: Index number: BFS2000 or BFS4000 (usually noted on IFOPAL email provided by OPAFS) Fund: same as award (from OPAFS) Organization: leave blank Account: leave blank Program: leave blank s) Hit “Add” Check the net amount. Should be $0 t) Hit “Return to Header” u) Hit “Complete and approve” This then goes to Janet’s queue to approve and then to OPAFS. Journal can be changed any time before Janet or OPAFS approves it. v) Print request: Via email [email protected] (not printer ID) Receiver name: Deni Menegus, Mail Code: 0225 Select print and shortly you’ll receive it as email. w) Print journal and put in grant file. x) Save email in “journal” folder of Mac email. If allocation doesn’t appear on the ledger for a while, check approval history on the journal and prompt the next approver. Add to (IGPP’s) COA database. COA Database: If the icon is not already on your desktop, go to Go → Connect to Server → Sungod → A-Counting-Folder. From there open Awards folder. (page 75) If this is a new award, select “New Record”. Type in the Proposal number (say, 20101235; no hyphen). Then the Title, Agency and PI will automatically populate. Otherwise, complete the information and click somewhere outside the box and the info will be saved. The “master index” info will be on the IFOPAL you received for this award. Funding Source codes: Federal = F
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Federal flow thru = FF Private = P State = S If this is a modification, then select “Find Record” rather than New Record. Enter the index number to pull up the record. Enter the new amounts and new end date, if applicable. Once you’ve entered all the information for a New Award, close out of the Awards folder and open the Proposals folder. (page 79) Select “Find Record”, enter the proposal number to pull up the record (no-hyphen), and in the Status field, enter “Yes” and the “fund number” for that proposal. That tells Wayne that this proposal has been funded and if information is needed regarding the account, the number is there. Incremental Funding There may have been a proposal, so check Wayne’s files & pull proposal file. Prepare Allocation sheet so you know how to break out budget by account code by comparing with budget. Assign journal number (BAIGPxxx) from your log. FinLink → Transactions → Prepare journal voucher De-allocation: Follow the same steps as an allocation journal but use “decrease” (-) instead of “increase” (+).
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RECONCILING THE LEDGERS – MONTHLY Ledgers usually close the first Friday following the end of the prior month. However, you should consult the Ledger Cutoff Dates posted on Blink as there are a few exceptions. http://blink.ucsd.edu/sponsor/BFS/divisions/general-accounting/ledger-dates.html or just go to Blink and enter “Ledger cutoff” and you’ll get there. Reconciliation = Transaction Sampling FinLink → Tools → Reconciliation → Ledger Review → View all
grp id igpcosmo (case sensitive, all l.c.) Pull open folders from file drawer (Open PO, Open Campus Srvc, Open Travel) (E-cards get filed in Campus Services.) Glance at everything to see if something strikes you as odd. Review Sampling – do by index (or Project number) (Sampling won’t appear until after the ledgers close.)
• Display maximum number of rows. • Look for yellow (S). Anything $2500 or over will always get sampled. • If there’s nothing sampled, fine, move on. • Every yellow (S) should be “ok” unless there is a problem. The Problem Codes are: EMF-Pend; • Exp Date; Incomp Doc; Index/Fund; Justificati; Key Entry; Not Rvwd; OK; Sales Tax; Vendor
Err; and Wrong Acct. • Check for backup: packing slips, emails, etc. for these.
(General liability is OK on state funds but not on federal funds.) • For an example: If you can’t find packing slip, or other forms of documentation, mark problem
code “incomp doc” and make a note of action you are taking. • If you have other problems be sure to identify with the appropriate “Problem Code” and enter a
note of the action you are taking. • Be sure to go back and change once it is okay. • You can continue with the statements while awaiting resolution. • SAVE changes. • Return to Query.
Once an index has been reviewed for that time period, then you can re-file those receipts, travel etc. in the “closed” folders. Often travel will still have stuff that hasn’t hit the ledgers so keep that in “open”. Check the Encumbrance Ledger often if there are a large number of transactions. Sometimes liens are not lifted automatically as they should be. See below. FinLink → Reports → IFIS Core Reports → Encumbrance Ledger Reports → Subtotals by Index Every so often, go back to July and pull up by org code to make sure you’ve attended to all the previous ones that were marked with problems.
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After reconciling, you need to give Statements to your PI/PI Reps. Some may want them electronically, some may want paper copies. Open 2 windows (better than 2 tabs) in FinLink. 1) Expanded Budget with Index Summaries (EBS) a) Grant inception to date (unless cost-sharing or other fiscal-year driven index) b) Select SIO IGPP template under “Choose a Report Template” c) Unclick right boxes 2) Operating Ledger Transaction Detail a) Unclick all boxes to remove headers b) Can be sorted by Account code, Document No, Reference No. You can actively go back and forth between windows while each is loading. Note that often 2 pages will print when only 1 page is necessary (2nd page is blank) when in landscape, so you may need to select “1 of 1” in the Print screen. Lifting Liens
• FinLink → Transactions → Encumbrance Lifter • Put in index & submit. • Click box of lien(s) you want to lift. • It’s good, but not necessary, to write an explanation. • Create a journal; submit journal voucher.
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COMPLETING A FINANCIAL EXPENSE REPORT (FER) and CLOSING OUT
AN AWARD/FUND OPAFS has 90 days to close out an award; we usually have 45 days to get the FER to them. Start looking at the award expenses ~3 mo. before the end date; especially any recurring expenses like telecom, copier, etc. so you’ll know what needs to be moved onto another index. Completing a Financial Expense Report (page 77) You can go to Blink to get the information and checklist.
1) In FinLink go to Expanded Budget Summary (EBS), enter fund/org, and use the end-date month as the Accounting Period. [page 79.]
Unclick all the right-hand boxes. Look at the Cumulative Expense column. Use these figures for Column D of the FER.
Now look at the expenses for the next month to see what expenses hit during that first month after the award ended. If it’s an applicable expense, enter amounts and complete Column C of the FER.
You may need to do 2 months or more until the balance is zero. Transfer any non-applicable expenses to appropriate awards/funds.
2) Next you want to look through the Account Codes to see if anything looks dubious – especially 638070 (office supplies). Go to EBS with index summary; unclick the right-hand boxes. On the left-hand side, click “Publish Account Summaries”. [page 80.]
Accounting Period is beginning of the award thru the present date. Jot down any questionable account codes, 637250, 637462, 638070 in order to research them.
3) Go to Operating Ledger Transaction Detail, use Accounting Period, start to present, insert Fund & Organization (org so the BFS info doesn’t get pulled up also). [page 81.] List the “questionable” account codes, separated by a comma (say, 637250,638070,637462). Click on the drill down for further information regarding the transaction or if detail is not available, check files to verify appropriateness.
4) ENPET any expenses that are not allowable. Remember that you will only need to move the
Direct Cost; the IDC will be done automatically. FinLink -> Transactions -> ENPET using ledger reviewer. Click ENPET box; view display max per page; launch ENPET OK to have < $100 remaining; it is NOT okay to have an overdraft.
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Multiple funds involved (i.e. 00000A-00000B-00000C, etc) Multiple sub funds are set up for various reasons. Most common reasons are those that include Participants costs or differences in IDC rate. When the whole award is managed by our department, the FER is a combination of the funds. You can capture all the information by running the fund number with a “0” in place of the alpha. Be sure to note in the “org/fund#” field, what it includes, i.e. 418605/11111A & B. If we are the home department and there are two other departments sharing the fund, each fund manager should prepare a FER for their fund/org. These FERs can be sent directly to the OPAFS Analyst for the award, but when possible, have them sent to us and then we can send all FERs together. As the home department for an award, we are the responsible party for the fund/award. Therefore, during the life of the award, we should be reviewing the “overall fund”, periodically checking balances and keeping an eye out for any questionable transactions. Closing Out an Award/Fund
• FER + Cost Sharing Report (if applicable) → send to OPAFS FER is only done for Extramural Funds (i.e. proposal awards). Quasi-fixed price (like Conoco) does not need FER. OPAFS takes care of closing.
• Do early inactivation on the index. 1. Go to Index Management in the Tools section of FinLink 2. Select the Early Inactivation Date tab 3. Enter index, hit Search/Next button 4. Click the square in the Update field 5. Enter the date (today’s date + 2 days), select “Update EID” button (you’ll get a message
asking if you really want to do this), hit “ok”.
• If you want to remove an Early Inactivation date 1. Same as step 1-4 above 2. Select the Remove EID button (you’ll get a message asking if you really want to do this),
hit “ok”.
• You can also Inactivate and Reactive an index in this same tool.
• Inactivate index in our COA database once Award has ended and the fund is $0 Awards folder, click on the Activation Information tab and change Inactivated from “No” to “Yes”. This will remove the information from the accounts lists that are printed monthly.
If you want to see what indexes are active go to FinLink → Reports → Index list Use 418605 or 416470 (org code) and show active. Move the closed files from the active drawers section to your closed drawers section and hold for a few months. Then they can be cataloged and moved to the Archives by the student or Janet.
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EXPRESS CARDS
A. Process of Obtaining an Express Card: Step 1: A potential card holder’s supervisor sends email to fund manager requesting card for employee (Requested Card Holder) on a certain default index number. Step 2: Fund manager completes New Card Request on-line and thereafter serves as the Express Card Department Administrator (ECDA) for that card. Note: The express card department administrator (ECDA) is not always the same person who is the fund manager of the index orders are placed on. So the card holder must remember who the ECDA is for the card because the ECDA is the one who receives all email notifications and packing slips from the card holder. Step 3: Requested Card Holder keeps watch over junk email box and in box for email from [email protected]. Step 4: Requested Card Holder accesses two links contained in the email from [email protected] Link 1) Card Agreement
o Print out agreement o Read and sign it o Obtain supervisor’s signature o Submit signed agreement to fund manager of the default index selected for the card
Link 2) Express Card on-line Orientation o Complete the on-line orientation
Note: Timeliness of the completed course is vital. Request for card will be cancelled if course is not completed within a short time.
Step 5: The fund manager obtains MSO’s signature on Card Agreement form, copies it, files the copy and sends original to Express Card Administrator (ECA) 0955 Step 6: ECA receives the signed Card Agreement Form and email notification from UC Learning Center that the on-line orientation has been completed. Step 7: ECA sends the Card via campus mail to the ECDA who completed the on-line New Card Request. Step 8: The ECDA receives the card, emails the card holder to come sign for it. Step 9: The card holder signs and then receives the card from the ECDA who then always serves as his/her express card department administrator regardless of which index the order is charged to. Note: The express card department administrator is not always the same person who is the fund manager of the index orders are placed on. So the card holder must remember who handed him the card. This person is the one who thereafter receives all email notifications and packing slips. In other words, the
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person who handed the card holder the card is the one who gets all pkg slips for all orders made on the express card regardless of which index number the order is charged to. Step 10: The card holder activates his card using the last four digits of his employee ID number even if the menu asks for the last four of his ssn.
B. Process of Using an Express Card:
Step 1: The card holder uses his/her card responsibly. Step 2: Immediately on placing an order, the card holder emails the ECDA, with the index number to be charged, description of the order and its business purpose / how it benefits the project. The email goes to the ECDA, (the person who handed the card holder the card) regardless of who the fund manager is of the index number the order is charged to. Step 3: Upon receipt of the goods the card holder signs, dates and submits the itemized receipt with cost detail to the ECDA, regardless of who the fund manager of the index the order is charged to. Note: If the goods come without a pkg slip, or the pkg slip does not include pricing, the card holder must contact the vendor for a detailed receipt or else submit a completed and signed Missing Receipt Declaration form (page 83) to the ECDA for forwarding to the ECA. Frequent submission of Missing Receipt Declaration forms could result in revoking of the express card.
C. Process of Fund Managing Express Card Orders: Step 1: ECDA receives an email from a card holder describing the index number to be charged, description of the order and its business purpose / how it benefits the project. Step 2: The ECDA keeps the email in a pending folder until the transaction appears in ECManager. Step 3: The ECDA receives packing slips from the card holder and handles them as follows: For orders placed by any card holder on your index numbers, file the packing list in the grant file folder for campus services for the index number to serve as backup for your ledger. For orders placed by your card holders on index numbers of other fund managers, make a copy of the pkg slip to keep in an audit file to use in case of future audit and give the original pkg slip to the fund manager of the index the order was placed on for their grant files to serve as backup for their ledger. Step 4: The ECDA review Transactions in ECManager. Either daily or at least not less frequently than upon receiving notification email from [email protected] that charges have been made and are available in ECManager to review, the ECDA reviews transactions in ECManager.
• Go to ECManager main menu and select Review Transactions. The default is to select all so then just hit submit. A transaction becomes shaded in ECManager once a change to it is made.
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Thereafter it is known which transactions have been already reviewed by its shaded characteristic.
• Or just click on the email link to pull up only the transactions found in the email notification. The ECDA reviews emails in the pending folder and matches up the transactions in ECManager and makes the following changes as necessary:
• Change the index number if the email indicates an index other than the default index number.
• Change the account code – determined from the description of the order.
• Review the Tax. If the vendor is out of state, the use tax box in ECManager will be completed. If it is correct for this order, leave alone. If this order should not be taxed, change the amount to zero.
• Click on the ‘Pencil’ icon under the comment column on the left end of the transaction. Copy and paste from the card holder’s email the description and business purpose of the order and paste it in the Transaction Comment box. Also include a reason when applicable that tax should not be applied. Hit Save.
• When all the transactions are reviewed and changes saved, click sign off to exit ECManager. Step 5: Transfer the card holder’s email from the pending folder to the card holder’s express card folder D. Process of Responding to Audits of Express Card Purchases Step 1: The card holder and the ECDA each receive an email from [email protected] requesting response to an audit. Step 2: If the steps in using the express card have been properly followed, the ECDA should have all the information needed to respond to the audit with. Therefore, the ECDA can reply to [email protected] with the attachment of the receipt and the email sent by the card holder at time of order describing the business purpose of the item purchased. This satisfies the audit without any action from the card holder. However, if the card holder failed to perform the proper steps in using the card, then it is the responsibility of the card holder to address the audit with a cc to the ECDA.
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FABRICATIONS & EIMRs (EQUIPMENT INVENTORY MODIFICATION REQUEST)
See complete instructions on Blink: http://blink.ucsd.edu/finance/equipment/inventorial/acquire/fabrication.html Fabrication information is ultimately retained by Equipment Management (EQM) in their CAMS system. At present (Feb. 2011), Jamie Wheat is the main contact: [email protected] or [email protected]. Fabrications are set up when a piece of equipment is to be fabricated from various components. [From Blink: A fabrication, also called a "fab," is an item manufactured from component parts. When the completed item has a value of $5,000 or more, can stand alone, and has a useful life of one year or more, it is considered a piece of inventorial equipment.] The resulting equipment will either be owned by the University and therefore taxable, (account code 649610); or ownership will go to the sponsoring government agency (“title is vested with the government”) and therefore non-taxable (account code 649611). The IFOPAL and/or Award document will state who will have title to the equipment. Look at the proposal budget to see what was proposed for the fabrication under Equipment. Caution: sometimes items are proposed under Equipment as a fabrication, when they really shouldn’t be. The advantage of fabs is there is no overhead charged on the expenses. But, as a consequence, people may try to fab items that are not really appropriate, so be diligent in checking charges. Make sure that items purchased are not general-purpose items (say, a hammer). They must be fab-specific (say, a particular piece of electronics). When a PI says he wants to fabricate equipment and there is no fabrication in the budget, review the award regulations for rebudgeting. If allowable, have the PI send the fund manager a justification email explaining how the fabrication is necessary to complete the statement of work and how the funds are available despite not being in the budget. Keep the PI’s email in the grant file and proceed in requesting a fab number. Upon receipt of an award that has Fabrication listed in the budget, the fund manager submits a fabrication request form to EQM. Complete the Fabrication Request form found on Blink (page 84) to request that a new fab and send it in to Equipment Management, mail code 0953 or email it to [email protected]. A 4-digit fab number (say, Fab 3555) will be assigned and that fab number should be referenced on all purchases and charges for this fab. For expense tracking purposes, we’ve found that creating a sub-index for each particular fab is useful. The index would be called IGPFxxx, where xxx are the last 3 digits of the fab number (say IGPF555 for the example above). Upon receipt of the fab number from EQM, create an index number IGPF-last 3 digits of the fab and process a journal to allocate the amount in the budget for the fab to that index number.
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Annually, you should submit an expense accounting for the fab to EQM. You may send it either via email with attachments or as a paper EIMR. The EIMR form is on Blink (page 85). As of Feb. 2011, per Jamie (EQM) send the EIMR with a print-out from FinLink Operating Ledgers that shows all charges to this fab and the total cost of all those charges, as backup. (She no longer needs the costs broken down into high-value, low-value, Express card, shop charges, etc.) If the fab will continue beyond the first year, mark the EIMR as “Interim”. Then the following year you will only include the 2nd year’s accounting backup information; but also add the 1st year and 2nd year’s expenses to get the total fab cost so far. When the fab is finally complete, mark the EIMR as “final”. EQM will then assign a UCID number to this fabricated piece of equipment and notify you. Upon receipt of the UCID number the equipment should be tagged with said id sticker. EQM has determined that once a fab has been closed, assigned a UCID and is active in CAMS, appropriate repairs, replacement parts, supplies and accessories can be expensed against that fab. (See Jamie Wheat’s Feb. 23, 2011 email below for complete details.) A yearly accounting must be sent to Jamie who will then update the value of the fab in CAMS. Eventually much of the fab information you may need will be available through CAMS. IGPP’s Custody Codes applicable to fabrications: 5148 – IGPP Department 5149 – IGPP Computing Facility In the end, if a fab will be remotely deployed (say, at sea), the account code should be 649615. ***** From: Jamie Wheat <[email protected]> Subject: RE: Revisiting Fab 3344. Re: Re-open a Fab? Date: February 22, 2011 2:34:58 PM PST To: Menegus, Harriet <[email protected]> Hello Deni, Thank you for your patience and follow up regarding Fabrication 3344. After much discussion with Plant Accounting we have determined that Fabrications are allowed to have repairs, replacement parts, supplies and accessories expensed using 649610 and 649611. This rule will apply to Fabrications that have been completed and active in CAMS with a UCID number (just as is they were "open-ended"). It will be very important to make sure all expenses are track and reference the FAB number on all PO and other purchases. The account code is the key eliminate for accuracy in expense record keeping. It is ideal for departments to send the expense report against any Fabrication on a yearly basis (i.e. yearend). I've reviewed both the BUS 29 and the Accounting Manually and as long as we report on this on a yearly basis we are in compliance. Below I have included a few statements for the BUS 29 and P-415-32 and included them in this email. Thank you and please contact me if you have any questions. Business and Financial Bulletin 29 and Accounting Manual P-415-32. Fabrication - A fabrication is an item of non-expendable, tangible personal property that: (1) has been physically constructed by a University activity; (2) that has a total acquisition cost of $5,000 or more; (3) that has a normal life expectancy of more than one year; and (4) that is expected to be used by the University upon completion. A product
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resulting from simple assembly or connecting of various parts does not qualify as a fabrication. The University accounts for and inventories fabrications based on whether the fabrication is intended for university use or for sale and delivery to an external entity under the auspices of a sponsored project. As used in this Bulletin, "fabrication" does not include a piece of equipment fabricated for the sole purpose of sale and delivery to an external entity under an award made specifically for the fabrication of the equipment. (See Accounting Manual P-415-32). If the fabricated equipment consists of components which have been acquired by purchase order using corporate object code 9600, or 9610 (or campus equivalents) on award-funded equipment (or campus equivalents), the Equipment Management Department retains copies of the purchase orders until the fabrication report is received. Ordinarily, equipment under fabrication is recorded and tracked separately from the equipment records, then recorded on the inventory when the fabrication is substantially complete. However, if the completion date of an item of fabricated equipment is problematic or indefinite, inventorial acquisitions may be coded using (as appropriate) corporate object code 9000 or 9900 (or campus equivalents) and recorded on the equipment records at the time of the purchase. In any case, the equipment under fabrication should be identified and tracked throughout the fabrication cycle. Fabrication progress should be recorded periodically, either as it occurs or on a predetermined cycle not less than once per year. The cost assigned to the equipment is the total of all materials, supplies, and services, from outside vendors or authorized recharge activities. For capitalization purposes, departmental labor, travel, payroll expenses and overhead must not be considered part of the cost of acquiring a fabricated asset. (See Accounting Manual Chapter P-415-32.) Fabricated equipment is recorded using acquisition code 32 (Fabrication). FABRICATED EQUIPMENT FOR UNIVERSITY USE--CAPITALIZED AND INVENTORIED A. DEFINITION Fabricated equipment, as defined in Business and Finance Bulletin BUS 29, Management and Control of Inventorial Equipment, consists of non-expendable, tangible, personal property, physically constructed by a University activity, which has a total acquisition cost of $5,000 or more, is free-standing, is complete in itself, does not lose its identity when affixed to or installed in other property, and is expected to be used by the University for one year or more. B. REPORTING AND RECORDING 1. Reporting Equipment that has been fabricated or is being fabricated by a department should be reported to the equipment management department and the accounting office. Information reported on this form should include a complete description of the item, its location, the name and account number of the department with custodial responsibility for the item, and the value of the equipment. PLANT ACCOUNTING: FABRICATED PROPERTY P-415-32 ACCOUNTING MANUAL Page 3 TL 79 12/30/98 Thank you, Remember the CAMS Help Tutorial Videos Jamie Wheat Equipment Management CAMS Program Manager 858-534-6163 [email protected]
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INVOICES OVER $10K AND SUB-CONTRACTOR INVOICES
Invoices over $10,000
• Invoice is sent from Disbursements to the Department for approval signature. • Since invoices are placed in Janet’s mailbox, Janet looks up the purchase order (PO) to see whom
it belongs to, notes the index and places it in the appropriate Fund Manager’s inbox. • Fund Manager (FM) pulls PO and checks to see if a packing slip confirming receipt of the goods
has been received. • If so, FM verifies the packing slip matches what is on the invoice and the invoice amount matches
the PO amount and then signs approval of the invoice and makes a copy to attach to the PO and sends original signed invoice to Disbursements for processing.
• If not, an email is sent to the PI Rep/Requestor for the packing slip or for a reply email confirming receipt of goods and holds the invoice. Once confirmation has been received, proceed as stated above.
The email should include: Vendor What was purchased Order date and purchase order number. If the goods are just not received yet, the invoice is held until notified. In some cases the FM may need to contact Disbursements to have them put a “hold” on payment “until further notice”. Sub-contractor Invoices
• Invoice and Fax Transmittal form for Subrecipient is sent from Disbursements to the Department for PI review/approval. (PI Designee signature allowable.)
• Since invoices are placed in Janet’s mailbox, Janet looks up the purchase order (PO) to see whom it belongs to, notes the index and places it in the appropriate FM’s inbox.
• FM passes on the documents to the PI Rep who then acquires the PI or Designee’s signature on the Fax Transmittal Form.
• If the invoice is over $10,000, it requires the approval of the FM. • Once all the appropriate signatures are acquired and the form is completed, FM faxes form and
invoice to the designated fax number listed on the form. • Original documents are attached to the PO and retained in the files located in the fiscal office.
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TRAVEL Going on a Trip Check balance in index travel category– ALWAYS check when approving, both before and after trip.
• If insufficient, check award docs to see flexibility (if grant is FDP) • If private, can spend as you want. • If contract, may require approval especially if the request is for foreign travel. • Also ensure that the travel dates are within the period of performance of the award.
View Document
• Travel Events appear in “Unapproved Documents” • MyTravel documents appear in MyApprovals.
Check assigned account code
• 652000 Travel In State • 652010 Travel In State - conferences • 652900 Travel Out of State • 652901 Canada/Mexico • 652902 Foreign travel • 652903 Foreign Travel-Non-UC Employees • 652910 Travel Out of State conference
The UCSD travel department considers the destination as determining factor of foreign vs domestic travel. However, some agencies, such as NSF, consider any leg of a trip that is outside US is foreign travel. So in a proposal if budgeting for a collaborator to come to UCSD from anywhere outside the US, NSF would want that proposed under the foreign travel category. When submitting a MyTravel to reimburse the collaborator for his visit to UCSD, you'd want to use the foreign travel account code. When reconciling the ledger, make sure that UCSD travel department did not change the account code to domestic based on the UCSD destination. If they did, you'll have to ENPET the charge back to the foreign travel account code to be in line with the award budget. Date document and then file. MyTravel Look for status:
• Will be Approved by a certain date or Hold for approval. • Change the Approver if necessary, so further communication about that trip will go to you.
Compare amounts in MyTravel to the paper copy provided by the preparer. (Traveler may have changed it after the paper copy was printed.)
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Need itemized receipts showing payment. This has been a problem with some online hotel reservation places. Receipts need to show room rate per night and indicate payment. Airfare itinerary must be included with airfare receipts. Airfare reimbursement: At the department’s discretion, Traveler is allowed to claim upgrade for a seat with extra legroom & working space if the ticket is still Coach class. Check which receipts are necessary by checking “Required receipts” on MyTravel document. After approving in MyTravel, date document and file in “Open Travel Services” folder in the index file. Once it hits the ledger, then move to “Closed Travel Services” folder. Federally Funded Foreign Travel Fly America Act – Federal regulations requires the use of US carriers. There are some exceptions including the Open Skies agreement. See this site for details: http://blink.ucsd.edu/travel/training-guidelines/booking/air/fly-america-act.html When one or more of the circumstances apply, an explanation indicating the appropriate exception to not using US carriers must be provided on the MyTravel request. Check the Award docs to see if there is any statement about not allowing foreign travel. If foreign travel is not a line item in the budget, but the award is FDP then you don’t need agency approval, but you do need a written justification from the PI for the file. Staple this justification to the voucher and also keep a copy in the grant folder. To find the history about an old Travel document (not processed via MyTravel)
• Go to datalink.ucsd.edu and select Queries • Select Travel Queries • Travel (from here you can select various criteria upon which to do your query)
Domestic Meal Allowance: The meals while on domestic travel are to be costs as incurred, not as per diem. The maximum allowance is based on $64 per 24 hour period. Our department requires meal receipts if the maximum allowance is requested. The last day of travel is usually a portion of a 24 hour period and thus should be pro-rated per the closest ¼ day or 6 hour period. Department requires receipts or meal logs for any costs below the maximum allowance. No receipts needed for foreign per diem (meals & lodging are included in this).
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MYMEETINGS & HOSTED EVENTS (MYEVENTS) This is used to request an expense reimbursement or payment for business entertainment, a meeting, or certain other university sponsored events. The application is structured to help identify event terms with processes (i.e. authorized approvers and required documentation), which streamline and expedites reimbursements/payments. MyMeetings and Hosted Events Overview - http://blink.ucsd.edu/travel/expenses-reimbursements/reporting/myevents Event type MyEvents event nature Meetings Meetings Programmatic activities Extending Providing Sponsoring Standard entertainment Hosting Special entertainment Attending Celebrating
1) PI Rep prepares personal reimbursement/payment requests via MyEvents. 2) PI Rep provides copy of document and original receipts to the Fund Manager (FM). The receipts
and guest list (if required) are included within MyEvents. However, the department is the “office of record” and must retain the original receipts.
3) FM reviews the request checking for appropriateness to the index being charged and available funding. Generally, federal funds do not allow these expenses unless it is an integral part of the research and included in the proposal/budget and/or approved by the funding agency (i.e. workshops/conference).
4) FM approves and files document. Depending on the event, the approval hierarchy can vary. Example:
• Entertainment event: PreparerHostFMMSOTravel • Special Entertainment: PreparerHostFMVC/designeeTravel
(If you have this, this one by-passes the MSO, so before you approve it, forward to Wayne for review/informational purposes), he will then respond and then you can approve it.
• Non-entertainment event: PreparerHost (if required)FMTravel MyEvents automatically sends e-mail to each level of approver. In the future, MyEvents will include an option to pay the UCSD Travel Card. For now, use a paper form, Request for Reimbursement to the UCSD Travel Card form for Meeting, Entertainment, or Programmatic Activity (page 86). http://blink.ucsd.edu/travel/expensesreimbursements/reporting/myevents/paper.html
• PI Rep prepares form. • PI Rep acquires appropriate approval signatures depending on the nature of the event
(which is listed on the form).
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• Sends original signed form and receipts to the Travel department. • Provides a copy for the FM for the files.
If UC Catering is used, it’ll be a recharge and the Recharge Tracker form (page 88) is required.
• PI Rep prepares form • PI Rep acquires Host’s signatures and turns in to Fund Manager. • Fund Manager signs and acquires Wayne’s (MSO) signature. • It does not go to Travel; just file the form.
Alcohol for a UCSD event or meeting on campus: Use of Alcoholic and/or Malt Beverage form (page 90) must be completed and submitted to the Police Dept. with all the required signatures prior to the event. Alcohol is not allowed on State funds.
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TRAVEL AND ENTERTAINMENT PAYMENT STATUS
http://blink.ucsd.edu/travel/expenses-reimbursements/payment%20status.html Last updated May 26, 2010 1:34:16 PM PDT Preparers, approvers, travelers, and meeting coordinators (hosts) can access payment and approval information based on the claim type. Queries can be used by any employee with Single Sign-On (SSO), whereas access to some of the tools listed below may be limited by your role and/or template set up. Payment status
Item Tool How
MyTravel claim MyTravel Query
1. Log on MyTravel Query 2. Enter event number (and any additional search criteria) 3. Click Submit 4. Review event details
MyEvents claim MyEvents
1. Log on to MyEvents 2.Click View or edit an incomplete document (If the claim is complete, click View a completed document) 3. Locate the document you’d like to check the status of 4. Click View to open document details Note: Blank field(s) indicate approval is incomplete
Travel prepayment (hotel, conference registration)
TravelLink
1. Log on to TravelLink 2. Click View Event Summary 3. Enter event number Note: If event number is unknown, enter traveler ID then click the spyglass next to event number field. If traveler ID is unknown, click the spyglass next to traveler ID field to search by name. After selecting the traveler, click the spyglass next to the event number to display a list of event numbers to choose from. 4. Click View Document
Travel wire/ draft payment
TravelLink 1. Log on to TravelLink 2. Click View Event Summary 3. Enter event number, click View Document
Travel Card payments
TravelLink
1. Log on to TravelLink 2. Click View Event Summary 3. Enter traveler ID then click the spyglass next to event number field. If traveler ID is unknown, click the spyglass next to traveler ID field to search by name. After selecting the traveler, click the spyglass next to the event number to display a list of event numbers to choose from. 4. Click View Document
Mileage payment FinancialLink
1. Log on FinancialLink 2. Click Transactions 3. Type the document number in the field View Existing Payment Authorization 4. Click Approval History
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SHIPS (SHIPPING INVOICE PAYMENT SYSTEMS) FEDERAL EXPRESS – MAIL SERVICES
Campus Mail Services has a new application that will permit us to view and authorize payments for shipments from FedEx and UPS (replaces paper invoices). SHIPS will give us visibility into billing information for shipments made using our accounts and will email us when a shipment needs to be paid manually, or requires our attention for some other matter. Using our standard Single Sign On(SSO) credentials, we will be able to login and view all shipments for our accounts.
• Email is sent to Janet (Primary) and Deni (Alternate) for departmental accounts. • Select a carrier account. • View the details for all shipments that have been processed in that account. Any shipments
requiring our attention will be in the status “Customer Attention”. • If a shipment is missing an index, Deni will contact the IGPP contact or PI Rep for the appropriate
index and enter that into the system. • If a shipment is $25 or less and a valid index number is provided, Deni will go ahead and approve
the payment. • If a shipment is more than $25, Deni will print the list and route it to the fund managers for index
approval. • Once approvals have been acquired, Deni will “Approve selected shipments” for processing and
copies of list will be made for filing in appropriate index files. Instructions per SHIPS: Approve payments for shipments & setup default account index numbers
• Records with status 'Customer Attention' require approval for payment. They can also be disputed. • Any interruption in service due to unresolved shipments is the responsibility of the customer. • An index number must be associated with each shipment in order to approve it. • Use the default index number for the shipping account, or add a new one. To add a unique index to a specific
shipment, click on the 'Payment Index' cell in the table for that shipment. Approve selected shipments once indexes are assigned.
• By setting up a default index for an account, future payments will be made automatically for that account. • Notes are optional when approving shipments. To add, click on the 'Add Notes' cell in the table for a shipment.
• Click on a tracking number for more shipment details. Click on Dispute to dispute a shipment.
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PROCEDURES FOR EXTERNAL PURCHASE ORDER MANAGEMENT
Preliminary Step Normally the first step would be to establish AR Category and AR Detail codes for the department however these for IGPP are already established. The category code is not referenced on any IGPP paperwork but is used by Billing Services dept. The AR detail code(s) is referenced on all invoices IGPP prepares. Our AR detail codes are IGPSDL and TXIGP1 for tax when applicable. Receiving the External Purchase Order (PO)
1) Read the PO terms. a) For a PO for goods, take note of the shipping destination of the goods. If the
destination is foreign, make sure that no export license is required. If an export license is required, obtain the license prior to accepting the PO. If the destination is inside California, make sure that we collect sales tax. If the destination is domestic but outside California, there is no tax to collect.
b) Take note of the payment schedule that will be followed upon acceptance of the PO. It is recommended that partial payment if not all be required at time of order so that funding is on hand to begin the work.
2) Submit a business contract checklist, 700-U conflict of interest form when applicable and the export license when applicable, along with the PO to SIO Contracts Office.
When a PO comes in obtain an export license, if necessary. Otherwise, or thereafter, complete a business contract checklist. The PI will have to say what index number he wants to use to support the PO so that can be entered in the checklist. The rest of the information for the checklist should be found in the PO. Have Wayne/the MSO sign the checklist. Have the PI complete a 700-U form if he has not been completed one for the same entity in the past six months. At a minimum, send the checklist and the PO to Nancy Wilson/SIO Contracts Office at mail code 0210. If applicable also send along the 700-U and export license. You may not hear a response of approval, but if there are any issues, Nancy will phone you about them. 3) Review the PO terms for payment schedule and follow its instructions. Invoicing the PO
Obtain an ISIS Entity Account ID Number if not already on the list a.) Email the following information to Tracy Stutts at Billing Services [email protected] * Company's name and address * Name of individual contact at company * Contact's phone number * Contact's fax number and e-mail address, if available
Tracy will email you with the ID number when it is created in ISIS. Each time you bill the company, use the same ID number.
2) Prepare the invoice
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Invoice the entity per the payment schedule of the PO following instructions in this link http://blink.ucsd.edu/Blink/External/Topics/How_To/0,1260,21999,00.html Our series of invoice numbers are IGxxxxx. Keep a log of invoice numbers you send out so you know which number to use next. If a PO is taxable, (delivered inside CA) make sure the amount for the goods is separated on the invoice from the tax amount by use of the separate detail codes IGPSDL for the price of the goods and TXIGP1 for the amount of the tax if applicable. Only the price of the goods will be credited on our ledger. Distribute the invoice as labeled: one to billing Services, Two to the Customer and one kept for our files. (page 91) Monitoring AR Accounts Monitor ISIS Accounts Receivable accounts for prompt payment of invoices.
1. Go to querylink.ucsd.edu 2. Under the Accounts Receivable Queries Section, select Accounts Receivable Aging 3. Check the following boxes
Accounting Tab: Fund Code and AR Reference Number (which is your invoice number) AR Information Tab: PID, Name, Transaction Number, Balance and enter Detail code equal to IGPSDL Age-Days Tab: Elapsed Days
4. Hit Submit If there are no query results then all invoices are paid. Follow-up on any listed that have elapsed 30 days or more. First check unclaimed wires (Blink → Bank Wires: How to Check for Unclaimed Fund Transfers → lost wire list); unfortunately this list is not always up-to-date. If your wire is not there, then contact the entity to request check number or bank wire transmission information of the payment to help us locate payment. Never accuse the entity of nonpayment, rather always present inquiry as we are having difficulty locating their payment. Once the entity sends the information, forward check information to the cashier’s office or bank wire transmission information to [email protected] along with the ISIS Account ID number and transaction number to apply the payment to. At times query results will show a balance of $25 - $35. This is due to a bank fee that has been taken out from a bank wire payment. In these cases, to set the account to zero, send a credit memo against the invoice only to billing services. Keep a copy of the credit memo for our file, but do not send the credit memo to the customer. The copy to billing services will prevent them from sending the entity monthly statements saying we are still owed the amount for the bank fee. We cover bank fees, so a credit memo against the invoice sent to the billing services dept will set the account to zero and therefore stop any more statements against that invoice. At times the tax amount is mistakenly credited on our ledger. An email to Tracy will prompt her to back out the tax amount from our ledger and she will apply it properly to the ledger attached to the detail code TXIGP1. Approve for write-off any accounts that aren't paid in a timely manner by following this link beginning with step 5 onward
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http://blink.ucsd.edu/Blink/External/Topics/How_To/0,1260,22003,00.html For further information, the below link provides an overview of Accounts Receivable. http://blink.ucsd.edu/Blink/External/Topics/Policy/0,1162,21564,00.html
Preparing Journals –after payment is received
1) Transfer of Funds: When Billing Services receives a copy of our invoice, they will apply it to our index IGP1234. When you see the payment is made and the amount appears on index IGP1234 ledger, prepare transfer of funds journal to move the amount to the index number that was indicated on the checklist.
a) In Financial Link, Choose Transactions and click on Initiate a Transfer of Funds
b) Transfer Number Skip over and Leave as “NEXT” c) Description: enter “Transfer fm Master to IGP____” (your index nbr.) d) Transaction Date: Skip over or put the ledger date you want the transfer to
occur in. If blank it will default to today’s date. e) Document Total: enter double the amount of the transfer. f) Posting Type: Skip Over – Let it Default g) Current Year Template: Pull down menu to choose CY1 h) Permanent Template: Skip over i) Text Information: Enter “Transferring funds from master to department
assigned index number IGP____” (enter your index number) “for ____________” (enter the entity name and PO#) “Invoice Number IG00___” (enter your invoice number and the amount of the invoice. For example: Transferring funds from master to department assigned index number IGPNSTR for NERSC PO# 1234 Invoice Number IG00234 $786,550
j) Hit Submit k) Click on CY Detail at the top of the screen l) Index: enter IGP1234 m) Account: enter 680000 n) Skip over the remaining IFOPAL line of information o) Description: enter “TO IGP____ “(your index nbr for the PO i.e., IGPNSTR)
“Invoice Nbr IG00___” (your invoice nbr i.e., IG00234 p) Amount: Enter amount of the invoice. i.e., $786,550 q) Debit (-) leave as default r) Hit Add s) Index: enter the index number for the po. (i.e. IGPNSTR) t) Account: enter 680000 u) Skip over the remaining IFOPAL line of information v) Description: enter “From IGP1234 Inv# IG00____” (your invoice nbr i.e.,
IG00234 w) Amount: Enter amount of the invoice. . i.e., $786,550 x) Credit (+) Click the radio button for Credit (+)
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y) Hit Add z) Hit Return to Header aa) Hit Complete and Approve bb) Click on Print Request at top of screen cc) Enter email address, name and mail code dd) Hit Print
Note: If a credit memo is created, you’ll need to prepare a transfer of funds journal to transfer the amount from the index number indicated on the checklist back to the index IGP1234. Distribution of differential income does not occur after a journal prepared for a credit memo.
2) Journal Voucher: Distribute the differential income directly after
preparing the transfer of funds journal. (These are VC funds and our PI’s differential index that receive the indirect cost assessed to the PO.)
a) In Financial Link, choose Transactions and click on Prepare a Journal Voucher.
b) Journal Number: Select the number from your log FBIGP___ c) Description: enter “Differential Income Transfer” d) Effective Date: Skip over or put the ledger date you want the transfer to
occur in. If blank it will default to today’s date. e) Document Total: Enter double amount of the transfer f) Approval Template: Pull down menu to choose GEN g) Posting Type: Skip over; let it default h) Text Information: Enter “Differential Income Transfer”
Next line type Entity and PO# Next line type Invoice Nbr Next line type Index number, Amount of Invoice, “O/H 45%” and the Overhead Amount Next Line type “Differential Income Distribution” Next Line type 50% IGPDF__ (Your index number) and the amount.
Next Line type 25% VBADIFI and the amount Next Line 10% VCADIFI and the amount Next Line type 15% VCMDIFI and the amount
For example: Differential Income Transfer NERSC PO# 1234 Invoice# IG00234 IGPNSTR $786,550 O/H 45% $244,102 Differential Income Distribution
50% IGPDFXX $122,051 25% VBADIFI $61,026 10% VCADIFI $24,410 15% VCMDIFI $36,615
i) Hit Submit j) Click on Transaction Detail
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k) Journal Type: enter FB08 l) Transaction Description: enter “To Various Inv# IG00___” (your
invoice number) i.e. IG00234 m) Detail Transaction Date: Skip over. It will default from the header
screen. n) Reference Number: enter the PO nbr o) Transaction Amount: enter the overhead amount you are distributing. p) Use the pull down menu to choose +Increase q) Account Information: only enter the index and account. The other field
will populate. aa) Index: enter the index number of the PO i.e. IGPNSTR bb) Account: enter 720702
r) Hit Add s) Tab to Transaction Description: enter “From IGP___ (enter the index
number of the PO i.e., IGPNSTR) “Inv #IG00___” (your invoice number) i.e. IG00234
t) Tab to Transaction Amount: enter the amount to distribute to the IGPDF__ index number i.e. $146,461.
u) Use the pull down menu to choose –Decrease v) Account Information: only enter the index and account. Blank out the
other fields and they will re-populate. cc) Index: enter the index number of the Differential Account i.e.,
IGPDFXX dd) Account: enter 720702
w) Hit Add x) Tab to Transaction Amount: enter the amount to distribute to VBADIFI
i.e., $61,026 y) Leave the pull down menu at the choice –Decrease z) Account Information: only enter the index and account. Blank out the
other fields and they will re-populate. ee) Index: enter VBADIFI ff) Account: enter 720702
aa) Hit Add bb) Tab to Transaction Amount: enter the amount to distribute to VCADIFI
i.e., $24,410 cc) Leave the pull down menu at the choice –Decrease dd) Account Information: only enter the index and account. Blank out the
other fields and they will re-populate. gg) Index: enter VCADIFI hh) Account: enter 720702
ee) Hit Add ff) Tab to Transaction Amount: enter the amount to distribute to
VCMDIFI i.e., $12,205 gg) Leave the pull down menu at the choice –Decrease hh) Account Information: only enter the index and account. Blank out the
other fields and they will re-populate.
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ii) Index: enter VCMDIFI jj) Account: enter 720702
ii) Hit Add jj) Notice the Net: amount will be 0.00 and the Debit and Credit amounts
will be equal. Otherwise there is a typo somewhere. kk) Hit Return to Header ll) Hit Complete and Approve mm) Click on Print Request at top of screen nn) Enter email address, name and mail code oo) Hit Print – the journal will be sent to your email.
Keep a log of your differential distribution journal numbers so you know which number to use next.
Determining the Differential Income Amount to Distribute
The differential income is calculated at 45% rate. Divide the total invoice amount by 1.45. Subtract that from the total amount to arrive at the amount to distribute as follows:
a.) 50% to the PI’s differential income account b.) 25% to VBADIFI c.) 10% to VCADIFI d.) 15% to VCMDIFI
For example if the total invoice was $786,550, dividing that by 1.45 would result in $542,448. Subtracting 542,448 from 786,550 would give $244,102 which is the amount to distribute as follows:
50% IGPDFXX $122,051 25% VBADIFI $61,026 10% VCADIFI $24,410 15% VCMDIFI $36,615
Additional Tips: The purchase of UCSD inventorial equipment is not allowed on funding from external purchase orders. Occasionally purchase of an item with unit cost of $5000 or more is required as a component of the goods being sold. When purchasing such an item for resale use commodity code L0109 account code 638042 with a note that this item is to be resold under (name of entity, external purchase order number) and then it will be allowable on the funding from the external purchase order.
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COST SHARING SYSTEM
Cost Sharing System (CSS) - http://blink.ucsd.edu/finance/awards/cost-sharing/system/index.html To use the CSS it’s best to follow the directions provided in Blink. There is a detailed tutorial available providing guidance on how to use this system as there are various types of Cost Sharing. Cost sharing commitments must be carefully recorded to meet the tracking and reporting requirements of federal regulations. Allowable cost sharing expenses must follow the guidelines of the contract/grant. Meaning, if it’s not allowable on the contract/grant, it’s not allowable on the cost sharing account. This is NOT an “unrestricted” account even though the “fund source” is considered one. Generally, the Fund Manager sets up the budgets (enters index, dates, amounts) for the anticipated cost sharing shortly after the award begins in order for the system to capture expenditures throughout the period of performance when cost sharing is from University sources. Establishing of Other budgets for non-expenditures (in-kind supplies, equipment, ship time, etc.) can be established at this time too. In some cases the set up is done towards the end of the award due to various changes in the end date. For example: project has multiple years with budgets/proposals being done each year and possible no-cost extensions. Waiting until later seems to work better in capturing all the information without having to modify/delete/add information constantly in the system as things change. Requesting Cost Sharing funds:
• Fund Manager (FM) emails Fiscal Manager requesting the funds. (Currently, funds are supported by the Green Foundation and/or the Earth Section funds, managed by the Fiscal Manager.)
• The Fiscal Manager informs the FM of the “fund type”, i.e. 19933A, 47533A, etc. and the FM sets up an index for these funds. This index is ultimately entered into the CSS.
• The Fiscal Manager prepares the journal to transfer the funds. In-Kind Contributions – Manual Transactions (There are four areas within this section and the following are just a couple of what we have/had recently.)
• Recording of cost sharing of Supplies/Purchase Orders charged to other non-federal accounts (using - NonPayroll Transactions).
o The PI identifies the expenses or purchase order of the items that are used. o Once the expenses identified by the PI appear on the ledger, the Fund Manager enters these
transactions into the CSS. o Once the dollar amount of the cost sharing is fulfilled, print-outs of the operating ledger
transaction detail and when applicable, pkg slips of the items, serve as source documents and are stapled to the dept copy of the Cost Sharing Contribution Report which the PI signs.
• Recording of cost sharing items that are not reflected on University accounts (using – Miscellaneous Transactions).
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o Need the document from the source quantifying use/cost. o Label the document with a number for reference purposes. This will be entered into the
CSS. o Once the dollar amount of the cost sharing is fulfilled, these documents are stapled to the
dept copy of the Cost Sharing Contribution Report. o These documents should also be attached to the original signed copy of the Cost Sharing
Contribution Report and forwarded with FER to OPAFS. At award end, the signed Cost Sharing Contribution Report is submitted to OPAFS along with the FER.
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PI BANKING OF 19900 SALARY FUNDS
1. PI should consult with Fund Manager to make sure there are appropriate funds available to charge his/her salary. This doesn’t always happen this way. Many times they send an email directly to Wayne Farquharson (MSO).
2. Request for banking of funds should be made 1-2 months prior to the month(s) the PI would like to bank, when possible. This would reduce having to prepare PETs.
3. If they notify Wayne first, then Wayne forwards email to Michell Parks (Acad. Coord.), Delia Constant (HR/Payroll Coord.) and Janet Matsumoto (Fiscal Manager).
4. Janet forwards email to appropriate Fund Manager so they will be aware in case they didn’t know. If there are any issues at this time, the Fund Manager will contact the necessary individuals.
5. Michell prepares PAN to change distribution from IGP0065 to IGPCLR1 for requested period of time.
6. Janet creates a recharge rate in the salary database if one is not already there. 7. Delia, prepares timesheet for the PI for the approved period of time and updates employee roster. 8. Once the timesheets have reached Lenore Eyer (salary recharge/data entry), she will input hours
against specific contract/grant accounts, per the timesheet for the PI. 9. The salary recharges are reviewed by the Fund Managers before processing.
Post award management of Banked funds 1. PI makes request to Wayne. 2. Wayne notifies Janet to have a new sub-index set up. 3. Janet will contact Susie Pike Humphrey (SIO Admin) to see what kind of funds she would be
providing. 4. Janet sets up index starting with IGPxxBK; gives number to Fund Manager who then gives the
number to the PI and manages the account. 5. Janet is responsible for acquiring the funding from Susie who prepares the journal to transfer the
funds. 6. Janet will over see the PI’s bank funds and communicate with Fund Managers as needed. 7. Any overspending on the PI’s banked funds becomes the responsibility of the Fund Manager and
PI to have the expense moved to his/her unrestricted funds.
Allowable use of Banked Funds
1. Salary for self or others. 2. Supplies 3. Travel (domestic & foreign) 4. Entertainment (no alcohol) 5. Subscriptions/Memberships 6. Books 7. Computers
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************************************************************** Banking (per email, WF 6/2/05)
Banking o A researcher/professor may "bank" a portion of his/her state funded salary for use at a future date. Banking is done on a dollar for dollar basis. If you bank two months of your salary or $16,000, and decide to use the funds to pay your salary at a future date, you'll receive $16,000, not the value of two months of your current salary. If you chose to pay the salary of a non-academic, you must pay the benefits from the $16000.00. When necessary, accommodations will be made to provide funds for non-traditional expenses. The bank is held at the Directors Office.
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SALARY RECHARGE COSTS TRANSFER Scope This procedure covers the Salary Costs Transfer form. Activity Preface This activity is performed whenever a correction is needed on an employee’s prior month’s Salary Recharges already posted to the Ledger. Responsibility The Fund Manager is responsible for completing the form and attaching the necessary back-up documents. The Salary Recharge personnel are responsible for processing this request via the Salary Recharge System. Approval Signature of Preparer Signatures for “Department Certification and Approval” from Fiscal Manager, Management Service Officer, and Principal Investigator(s) Procedures 1. Complete Salary Cost Transfer form: (page 93) A. Prepared by B. Signature and Date C. Extension D. Department: IGPP E. Employee Name F. Transfer From (Credit) Index/Fund/Account Code (621354 or 621355) G. Transfer to (Debit) Index/Fund/Account Code (621354 or 621355) H. Pay Period Ending
I. Hrs (if NGN, put NGN – account code 634020 or if NetOps, put CIS - account code 637600)
J. Amount K. Repeat E-J for NGN and CIS
L. Reason For Transfer must include: I. How the error occurred. II. What benefit the transfer will provide to the receiving fund III. What action is being taken to prevent transfers from happening in the future. (i.e. “Employee referenced the incorrect task number. This transfer moves salary and NGN and CIS to the task that receives the benefit of the effort. Employee was asked to ensure he/she reflect the correct task number on future time sheets.” IV. If cost transfer is more than 120 days from ledger entry, you must address “untimeliness”.
M. Department Certification and Approval. Form needs to be certified by Fiscal Manager, Management Service Officer, and Principal Investigator(s) (with authorized signatures for all of the funds involved).
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2. Revise original Time Sheet: A. Obtain Original Time Sheet from Time Keeper.
B. Cross-out old Index and write in new Index. C. Write in new Hrs by new Index.
D. Write “Recharged Adjustment”, date, and initial on the bottom of original Time Sheet. E. Keep a “copy” and attach to completed Salary Costs Transfer form. Return revised
Original Time Sheet to Time Keeper to file.
3. Print a copy of the Salary Recharges sheet for the month that you are correcting for that particular employee. Write “Original Recharge Before Adjustment”, date, and initial on the bottom of the sheet. Attach to Salary Costs Transfer form.
4. Give Salary Costs Transfer from to Salary Recharges personnel to enter in Salary Recharges
System. 5. Print a copy of revised Salary Recharges sheet. Write “Adjusted Recharge”, date, and initial on
the bottom. Attach to Salary Costs Transfer form. 6. Keep a “copy” of Salary Costs Transfer form and back-up documents and file in Open Campus
Services file folder for the funds involved. Give “Original” to Salary Recharges personnel to file in “Salary Recharges by Index & Monthly Adcom Reports” binder.
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SALARY RECHARGE/DATA ENTRY (read about the CIS before data entering, next section)
Preliminary Tasks
Each month Delia provides the time sheets and a worksheet listing of names and hours worked for the month for people who have biweekly time sheets. Janet provides the DOPES. Check off the line number on the DOPES for everyone you have a time sheet for while ensuring the percentage on the DOPES matches the percentage or hours on the person’s time sheet. If not matching, inquire with Delia. If any time sheets are missing follow up with Delia to obtain them. If you have time sheets for people not on the DOPES, ask Delia to give you those time sheets again once the person appears on the DOPES. Entering Recharges Archive Previous Month Note: Do not hit this button at any time except when about to enter a new month. If you hit it accidently, don’t hit stop. Let it run its course and Terri Varnell x48484 will come move the files from the archives back to the active area. If you hit stop, then Wayne Chen has to restore the files from the back-up which takes many hours and is a big pain. • Open ‘SR_RatesFY__’ file • Select ‘Archive Records (Close Month)’ under ‘Recharges’ • ‘OK’ • Select ‘New Month’ under ‘Recharges’
(for hours, use total hours from Payroll Calendar) • ‘Enter’ (Enter data using TAB key only and use ENTER on number pad) Example: for January 2011 201101 168 201102
Enter Recharges • Choose ‘TIME DATA ENTRY All w/CIS’ (right side of application in blue column)
• NOTE: Any time you stop entering information (ie. stopping for the time being or checking
something out), click the grey box “Update CIS Charge for reporting”, then “OK”, otherwise the information will not update.
• Eyeball each timesheet to note what percent time you’ll be recharging and that holiday is counted for
if applicable. • NOTE: Academic rates do not include Sick Leave, so charge any sick leave hours as direct to the
index number as if they were worked.
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• Click ‘Next’ button until name on first timesheet comes up • Click on ‘+’ for each entry line you will need for each person. Make sure the flag is A
• Use REG for Regular Hours, NonProductive Time, CTE, PTCE and Flat Rate • Use OT for SOT and POT Hours • Use RLA for RLA hours • For ACR (summer salary for 1/9th appointees) use 174 hours regardless of the actual hours in that
particular month. (The total amount recharged should equal the monthly salary and benefits on the DOPE.)
• Use CIS for those not paid on the clearing account that you want to charge NetOps for (see CIS(NetOPs) instructions.doc for details.)
• Click on ‘Index’ field • Enter Index • For MPL (except JIMO) use ‘ZZ’ for last two characters • For non-productive time use:
• NPTVAC=Vacation • NPTHOL=Holiday • NPTSL=Sick Leave • NPTMJURY=Jury Duty • NPTCTU=Comp time use
• Tab to ‘Hours’ field and enter hours • Always round to nearest quarter hour • Use actual hours for POT – do not convert • RLA:
• Convert number of days to hours by counting X’d days on timesheet and multiply by 8 • Select RLA category (60%, 140%) under ‘Hrs. Type’
• 60 = 2 watch Indicated on the time sheet by a single X • 140 = 3 watch Indicated on the time sheet by a double XX
• Enter RLA days:
Use number of working days for month + weekend days employee on RLA
• STIPENDS / Tuition Remission: • Enter Index • Hours Type = REG • Enter amount from DOPES (pay + benefits) under FLAT CHARGE • Select ‘Stipend’ under FLAT TYPE • To record Tuition Remission, choose REG use “Flat Rate” field and put in amount of tuition
remission and choose GSTR as type • Enter PI Rep’s initials in ‘Notes’ field - use CAPS
For indices other than IGPP’s, use the index prefix in the Notes field
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* Once entered, eyeball the entry. Make sure the hours left over are either 0 or the number of hours equal to the percentage that is supposed to be direct charged. Make sure each entry has a NPTHOL line when appropriate. Remember academics don’t use NPTSL but charge any sick time directly to an index as if worked. • Stamp timesheet with ‘POSTED’ stamp • Enter Bi-Weekly recharges
• Charge regular, sick leave, holiday and vacation hours directly to index • Click DONE when finished with last timesheet. As you go, check off the GSR’s on the tuition remission list. * Once all are entered, hit done. Go to Menu. Click on Update CIS Charge for reporting. Then click OK. Select Approval Report C in right hand column. Enter * in the employee field. Hit enter. Eyeball the report. Index numbers stand alone with only one entry may be due to a typo. Make sure initials for each index number are the same on each line. Make sure all flat recharges indicate the type. Make a note of all the index prefixes that are not IGPP and a note of all PI Reps initials to notify.
Recharge Review • Prepare PDF Files for PI Rep’s and Outside Dept fund managers to review for approval.
• Select Approval Report C. Double-Click on the notes section and enter a PI rep’s initials and hit return. Click the Continue button. Then select Print in the dialog box. Click on PDF button in the lower left of the dialog box. Select Save as PDF from the drop down menu. Save in an easy to retrieve area and name it the initials followed by the month. Hit the Save button. Repeat until you have a PDF file for each PI rep.
• Return to menu and select Approval Report pg break by index C. Create PDF’s by repeating above steps using index prefix that are not IGPP in the notes section. Name the file the Index Prefix followed by the month and IGPP SlryRchg.
• Email each PDF file to the appropriate contact requesting approval with a deadline to give feedback. Let them know that unless notified of changes prior to the deadline, the recharge will be as shown.
• Email fund managers that have access to the database themselves that salary recharges are read to review and give a deadline for changes. Their deadline should be at least two days past the PI reps’ deadline to give them time to review changes made by PI reps. • For MPL, fax MPL prefixed timesheets for their records: 822-0665, • Keep the email requests for changes for your records.
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Salary Recharge Journal Instructions: * Open ‘SR_RatesFY__’ file * Select ‘Create IFIS file salary & NGN’ under ‘Recharges’ * Follow the prompted instructions * Name it MO_YR * Make sure the current FY folder is selected as place to save * When the created file is open hit the ‘Continue’ button. * Select File and Print. * Then open FinLink * Select ‘Prepare a Journal Voucher’ under ‘Transactions’ * Enter Journal Information
* Journal Number -get from the salary recharge binder * Description - ‘IGPP Salary Recharges’ * Effective Date - enter last day of the month of ledger this will appear on * Document Total is filled in after data is imported so skip this for now * Choose RCH from the template drop down menu * Enter Text Information as ‘IGPP Salary and NGN for Month-Year’
* Submit * Select ‘Import Data’ * Select ‘Choose File’ * Find Correct File and hit Choose *****VERY IMPORTANT -- MAKE SURE TO CLICK “NO COLUMN HEADERS” otherwise your first entry will be omitted from the journal********** * Submit * The Header screen returns with the Debit and Credit Amounts displayed. * Add Debit and Credit amounts together and enter in the Document Total * Select Change – this accepts the document total * Hit Complete and Approve * Print Journal From salary recharge rates, print out ‘Detail Report-AdHoc by Employee/Index’
• Select ‘C’ on the ‘Detail Report-AdHoc by Employee/Index’ button under most right column
• Enter an * in the Employee section and hit Return • Hit the ‘Continue’ button • Select Print • File Recharge Detail and Journal and Detail by Employee in binders
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CIS (NETOPS) Timekeeper Information
IGPP Filemaker information for CIS(NetOps) Recharge Rates COMPUTER INFRASTRUCTURE SUPPORT (CIS)
Handled through Filemaker using Salary Recharge Program
IGPP Computer Infrastructure Support (CIS/NetOps) costs are for employee computer support including hardware, software, desktop and security. The charge is directly linked to the effort for all IGPP employees and is a mandatory cost. A CIS rate will be set up at the beginning of the fiscal year for all employees paid from any source of funding, and then a rate established for new employees when their appointment begins.
For most employees on the clearing account, the CIS will follow their reported effort. There are some employees that fall into unique categories (not on clearing account, paid on fellowships, partially state funded, etc.) so we maintain a spreadsheet by individual and with an index number to be charged for that month provided by the PI or PI Rep.
CIS(NetOps) Recharge Details Categories: 1=Staff, Researchers, Professors, Visiting Researchers, Project Scientists, Specialists, Academic Coordinators, PDS-Employees, PDS-Fellows, PDS-Paid Directs, Grad Students, Salaried Visiting Grad Students. (NetOps Recharge = $248) 2=Undergrads, Visiting Scholars, Volunteers, Administrative personnel, Computer personnel, personnel less that 50%. (NetOps Recharge = 0) CIS is a flat amount. CIS is not like NGN on the clearing account, where downtime is factored in and applied. The flat amount is split proportionately between index#s with productive time. CIS is applied to productive REG hours. CIS does not apply to OT, RLA, Comp earned, Shore Leave earned, GSRTF, Awards, or any NPT time. Flat amount = $248 Other notes about CIS amounts:
1) When an employee first starts or appointment ends/terminates, CIS is assessed accordingly to start or end date of that month. For instance, if the employee only works 25% of the month, then only 25% of $248 would be charged.
2) CIS is assessed to everyone on payroll except those listed in Category #2. 3) Sabbatical: Charge CIS as normal during sabbatical.
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4) Cruises: Charge CIS as normal during cruises (short term or regular appts). 5) Graduate Students:
*For GSRs, CIS will follow where effort is charged. *For Grad Students on TA’s, Fellowships, Academic Connections, the full $248 CIS will be charged and the PI or PI Rep will provide Janet with index.
Rates and Filemaker: For Staff and Academics, CIS proposal rate list shows as $249/mo rate (Filemaker rounding issue), but people know it should be $248. CIS recharge rate is correct at $248. Hourly rate for both is $1.43, $248 / 174 hrs. Filemaker is set up to always charge the flat amount of $248, on a few entries due to rounding, you may see a staff/academic charge of $247.99 or even $248.01. On the various recharge reports, you will see the $1.43/hr stated for the CIS rate and the number of hours being charged, but multiplying the hourly rate by the number of hours will not reflect the same charge as in the reports. In the background, the system has calculated the CIS based on productive time (a flat amount proportionately charged to productive hours) so it’s not just a calculation of the hourly rate x number of hours. Set up of rates: At beginning of new fiscal year set up a CIS rate for all appropriate employees (effective July 1 of new year) as downloaded from the DOPEs. Need to refer to CIS spreadsheet to determine who needs CIS rate for those not on the clearing account. As new employees are hired, set up CIS rate. Flag = C CAS Code = T for Technical, A for Administrative DOS Code = CIS Rate Effective = 7/1/-- Monthly Base = $248 No Oct or Jan factors Benefits Factor = 1.0 No Projected Downtime factors CAS code: Double-check for Administrative employees that you have coded CIS with “A”. Monthly Process: Right before time entry, be sure to have the spreadsheet “Individuals Not Paid Through Clearing Account”. Janet will provide this each month as things may change. Regular time entry and CIS entry requires going between timesheets and the CIS spreadsheet (as not all CIS people have a timesheet), so best to have the timesheet stack and the CIS spreadsheet side-by-side
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when performing key entry. It has been found to be easier to enter CIS at the same time salary recharges are entered. There is no negative affect if entered at different times, timekeeper can decide. Once at the Salary Recharge Menu, there are four columns: RATES, RECHARGES, REPORTS, REPORTS WITH CIS. To enter CIS charges, go to far right-hand column labeled REPORTS WITH CIS, and click on to first blue button labeled TIME DATA ENTRY ALL W/CIS. *do not go into the “Time Data Entry All” under the Recharges column, as that will not include or calculate CIS; that section is for other departments without CIS. Keep in mind, CIS is programmed to be effort driven and a flat amount so it takes into account non-productive time and multiple index#s. While entering time and CIS in the Time Data Entry All w/CIS, you can click on to the View Detail button as you go to see how the CIS (or any other info) is coming out. (Will need to check this with Terri as it doesn’t always work right. Sometimes it will show “everyone’s” information, not just the individual record you are working in.) 1) For those on the clearing account (and salary recharged), CIS will follow salary.
Enter hours off timesheet as normal in Time Data Entry All w/CIS screen; Filemaker will automatically calculate CIS charges. CIS is proportionately applied among productive hours worked. (page 50) For no hours worked: If an employee has no productive time for the month (i.e. whole month vacation reported, CIS still applies since employee is still on payroll. The entry will need to be done on the CIS rate. (page 50) For less that 100% on pay status (i.e. starts or terminates within the month):
a) Using Reg record, enter index and hours as normal. b) Select CIS record(s) maybe multiple records.
c) Enter “NPTI” for index and the remaining balance of hours (page 52) For a “FLAT” amount to be recharged:
a) Use the REG record (does not have an hourly rate but does have CIS rate). b) Enter index to be charged. c) Enter “1” in “hours” field (need to enter or CIS will not show). d) Enter total amount to be recharged (sal/ben from the DOPEs) in “Flat Chg” field. e) Select “Award” in “Flat Type” field.
(page 53) 2) For those 100% on general fund, a CIS entry will be required using the CIS rate and index# specified by PI or PI Rep.
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Use CIS rate; index specified by PI or PI Rep; any number can be entered and it will generate the flat charge, we’ve decided to just enter “1”. (page 54) If someone is splitting their CIS charge among several indexes, enter proportionate number of hours on each index (page 55) or by percentage (page 56). *A note, some of these 100% general funded employees have timesheets and some do not. You must check the CIS spreadsheet to see that you are including those non-timesheet people. 3) For those split-funded between clearing account and general funds, CIS for clearing account portion will follow salary; for general funds portion, a CIS entry will be required using the CIS rate and index# specified by PI/PI Rep. If no index is provided, all of it will follow the clearing account portion. 4) For those on the clearing account that choose not to have their CIS follow salary (i.e. lack of funding, not in proposal, etc.)
a) Enter hours off timesheet as normal in Time Data Entry All w/CIS screen, REG record. b) Select CIS record(s) maybe multiple records depending on original REG records.
c) Enter the hours in negative to cancel out original information. d) Enter index number you want to be charged and the number “1” in the “hours” field, if there’s
only one index. (page 57) Otherwise, you’d have to split it proportionately as needed. Adjustment for CIS only. An index was fully charged $248 for a prior month and they now want it split 50/50. (page 58)
a) Using the CIS record, enter a negative 50 in the hours field (representing 50%) to the original index charge.
b) Using the CIS record, enter 50 in the hours field (representing 50%) to the new index. c) Using the CIS record, enter “NPTI” for the index and enter a negative 50 in the hours field. d) Using the CIS record, enter “NPTI” for the index and enter 50 in the hours field.
Using the NPTI for index forces the system for adjustment purposes. NOTE: DATE FIELDS MUST BE EXACT Salary Cost Transfers with CIS records. Index change for a prior service period. (page 61 and 62)
a) Enter the normal debit and credit adjustments for the index numbers involved using the appropriate “service period” for the adjustment.
b) Enter a CIS record i. Use the same service period ii. Use the index, NPTI iii. Enter the full amount of hours for that month (this will force the system so that the appropriate
amount is assessed for the CIS).
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Steps once timesheets and CIS spreadsheet are entered:
a) After entering time and CIS, you must exit Time Data Entry All w/CIS, go under column labeled Reports with CIS and click on to the top grey box labeled UPDATE CIS CHARGE FOR REPORTING. This must be done before running any other reports. You click on to this after initial entry, and then again after further/additional changes/entries are entered in the time entry section.
b) Upload requires a separate journal from salaries but same process. Under column labeled Recharges, click on to blue button CREATE IFIS FILE – CIS and follow instructions. Follow same upload instructions that salary/ngn follows. Information specific to CIS Master index for income journal = IGPNTWK, account code 693900 This index is already entered in the dept info section (entered by Janet at beginning of fiscal yr) and will come up automatically in reports each month; this is the index that the system will use for the offsetting clearing account line. Account code = 637600 IGPP Network Operations Recharge This account code is already entered in the dept info section (entered by Janet at beginning of fiscal yr) and will come up automatically in reports each month; this is the account code used for all CIS recharges. FOP = 62034A 438610 434030 Rule Class = F603 This is already entered in the dept info section (entered by Janet at beginning of fiscal yr) and will come up automatically in reports each month, but be sure to double check that CIS does show the rule class, and that salary is showing it’s rule class of F654. Journal # = FRGPA--- This is the journal # we assign to journals when uploading to WebIFIS or entering in to green screen IFIS; CIS journals have their own log sheet with available numbers that are also used for the Plotting/Licensing journal. RCH Template Make sure that the WebIFIS is set to use the RCH template or recharges will not charge correctly. *A note when uploading the CIS journal: once you are in the steps of importing the IFIS file-CIS, it will come up with error messages showing a Sequence #, Rule Class of F603, the YR/MO, $0.00, index, acct code 637600, and the ledger date with a note below that says AMOUNT INVALID. These lines are for lines in Filemaker that only have Salary and NGN, but no CIS (system seems to have placeholder lines). Check through the errors but as long as they are as stated above, it should be ok. If the error states anything other than invalid amount, definitely research as that is not the same. (page 59) (currently IOD info as I didn’t print a copy of ours. Will do this with September data.) This will also happen when working on the Salary/Ngn uploading; error messages will come up on Rule Class F654 index’s with no CIS, showing as $0.00, Amount Invalid. As long as the journal net amount is zero, there are no errors.
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Example#1 On Clearing Account 100%
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Example#2 No Productive Hours Reported
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Example#3 Less than 100% on Pay Status
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Example#4 Flat Recharge Amount
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Example#5 Non-clearing Account 100%
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Example#6 Split-Fund Based on Hours
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Example#7 Split-Fund by Percentage
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Example#8 On Clearing Account with CIS on Different Index
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Example#9 Adjustment for CIS Only
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Example#10 Journal Processing File
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Example#11 Cost Transfer Entry
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Example#11a Cost Transfer Adjustment
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DATA SYSTEM RECHARGE FACILITY
Jon Berger runs the facility. Usage is recharged at $20/MB. The facility is managed under two funds;
1) Fund 62033A is the operating fund. Index is IGP4323. 2) Fund 78633A is the equipment replacement fund. Index is IGP8803.
At the end of each fiscal year, the remaining balance of the operating fund must be within two months of operating cost or else a rate adjustment proposal will be submitted to general accounting for the next fiscal year. Annually in June, the fund manager prompts Jon to provide the following information:
1) budget of projected expenses for the upcoming fiscal year 2) projected income for the upcoming fiscal year in the form of a list of awards that use the
facility with their number of megabytes of monthly use Based on the above information, the fund manager produces an Excel worksheet as follows: The first tab of the worksheet details the projected balance of the facility at the end of the fiscal year. This is determined from the budget of projected expenses and projected income provided by Jon, as well as the projected depreciation amount from the depreciation schedule (described later) and the prior year carry forward balance from the June ledger. This first tab also contains a breakdown of the projected expenses into monthly operating cost which helps to monitor the progress of actual expenditures throughout the year in order to ensure the projected balance goal is met. The second tab gives the projected income from each award as well as each PI. It details the breakdown of each award that uses the facility with its start and end dates of usage. It also contains a list of each PI’s annual usage. Some PI’s have several awards that use the facility. Jon periodically asks for and may adjust this information. The next 12 tabs serve as monthly recharge statements. Each statement indicates the journal number to use and a lists each award that uses the facility that month and the number of megabytes of use. This information is subject to change and is updated as necessary throughout the year. These recharge statements are used as source documents in preparing the monthly recharge journals as well as back-up documentation for the ledgers. Prior to ledger close, each month the fund manager submits the data system recharge journal.
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• Pull up the worksheet and click on the tab for the month being recharged and print out the recharge statement.
• In Financial Link, choose Transactions and click on Prepare a Journal Voucher. o Journal Number: Select the number from the recharge statement. o Description: enter “IGPP Data System Recharges” o Effective Date: Enter last date of the ledger month you want the recharge to occur
in. If blank it will default to today’s date. o Document Total: Enter double amount of the transfer o Approval Template: Pull down menu to choose RCH o Text Information: Enter “IGPP Data System Recharges for Month” o Hit Submit o Click on Transaction Detail o Journal Type: enter F603 o Transaction Description: enter “IGPP Data System Recharge” o Detail Transaction Date: Skip over. It will default from the header screen. o Reference Number: enter the month of the recharge o Transaction Amount: enter the amount of the recharge o Leave the default as ‘D’ for Debit o Enter index number of award to be recharged o Tab over to the account number and enter 637620 o Hit Add o Repeat for each index to be recharged. o The final transaction will be to record the income into the operating fund.
Change the Transaction Description to “IGPP Data System Income” Transaction Amount becomes the total of all the recharge amounts Pull down the menu to choose ‘C’ for Credit Enter index number IGP4323 Blank out the blocks until you get to the account number and enter 693900 Hit Add Select Return to Header. Hit Complete and Approve. Select Print Request.
• File the journal with the recharge statement as backup. Distribute the recharge statements to the fund manager of each award for back-up to the
ledgers. At ledger close each month the fund manager reconciles the ledgers for the two funds. When there is a charge to the equipment replacement fund, the item is added to the depreciation schedule. The updated depreciation amount is used to update the information on the first tab of the worksheet described above. This helps to monitor the balance projected at fiscal year end. Review the amount of the monthly expense of the operating fund and compare it to the first tab in the worksheet that reflects the projected monthly operating cost to see monitor the progress of the facility.
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After reconciling the January ledger, if the actual expenditures are not in line with the projected expenditures, notify Jon Berger asking him to remedy the situation so that by the end of the year, the balance is within two months of operating costs. Depreciation Schedule: Equipment purchased to run the data system is depreciated on a 5-year basis. A depreciation schedule is maintained to track the depreciation of all equipment. This schedule lists all equipment purchased in the most recent 5 fiscal years. The list is by fiscal year the UCID number, Description, PO#, Cost per Ledger, Depreciation Amount per month, Date depreciation began, Cumulative Depreciation up to the end of the previous fiscal year, the Depreciation to charge this fiscal year ant the Remainder to Depreciate. This schedule is updated as charges hit the equipment replacement fund so that at the end of the fiscal year it is ready for use as the source document of the depreciation journal. In July of each year, the fund manager submits the depreciation journal.
• In Financial Link, choose Transactions and click on Prepare a Journal Voucher. o Journal Number: I use the same number each year. FBIGP013 o Description: enter “IGPP Data System FY__ Depreciation” o Effective Date: Enter June 30 of the fiscal year. o Document Total: Enter double amount of the transfer o Approval Template: Pull down menu to choose GEN o Text Information: Enter “Depreciation Transfer from IGPP Data System Operating
Fund 62033A to its Equipment Replacement Fund 76833A for fiscal year ____” o Hit Submit o Click on Transaction Detail o Journal Type: enter FB08 o Transaction Description: enter “FY__ Depreciation” o Detail Transaction Date: Skip over. It will default from the header screen. o Reference Number: enter “FY__” o Transaction Amount: enter the amount of the depreciation from the depreciation
schedule. o Pull down the menu to “+” o Enter index number IGP4323 o Tab over to the account number and enter 720500 o Hit Add o Change the pull down menu to “-“ o Enter index number IGP8803 o Blank out the fund block and tab over to the account number and enter 723050 o Hit Add o Select Return to Header. o Hit Complete and Approve. o Select Print Request.
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When the journal arrives in the email, attach a pdf file of the depreciation schedule to the journal and forward it to general accounting prior to the deadline in the fiscal year closing requirements guidelines provided each year by general accounting. File the journal with the depreciation schedule in the award file for the data system recharge facility.
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Sample#1 PI Exception Form
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Sample#2 SIO Project Scientist Co-PI Notification
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Sample#3 Establishing Index with Award Information
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Sample#4 Award Information
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Sample#5 Award Checklist
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Sample#6 Award Allocation Worksheet
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Sample#7 New Award Journal – OPAFS Format
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Sample#8 IGPP COA Database – Awards
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Sample#9 IGPP COA Database - Proposals
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Sample#10 FER, Financial Expense Report
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Sample#11 FER, EBS Cumulative Expense
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Sample#12 FER, EBS w/Account Code Summary
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Sample#13 FER Op Ledger Trans Detail w/Fund-Org Questionable Account Codes
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Sample#14 Express Card Missing Receipt Declaration Form
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Sample#15 Fabrication Request Form
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Sample#16 Equipment Inventory Modification Request Form (EIMR)
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Sample#17 Request for Reimbursement to the UCSD Travel Card Form
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Sample#18 Recharge Tracker Form (Justif & Apprvl for Recharging Food/Beverage
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Sample#19 Use of Alcohol and/or Malt Beverage form
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Sample#20 PO for Services Invoice
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Sample#21 Salary Recharge Costs Transfer Form