Finance Town Hall

November 12, 2012

The Catholic University of America

1

Agenda

Introduction Finance Division Organizational Chart Finance Office Updates Budget Office Update Wire Transfers New Vendor and Direct Pay Forms Contract Process at CUA Hardware and Software Purchasing Facilities Organization Building Administrators Requesting Facilities Services Questions

2

Finance Division Organizational Chart

3

Cathy WoodVice President for

Finance & Treasurer

Zia Mafaher Chief Info. Officer

Information Technology

Enterprise Apps. Systems

Web Dev/Res & Academic Apps.

Instructional Technology

Information Security

Business Systems & Support

Christine Sportes AVP/Chief Human Resources Officer

Employee Relations &

EO/Title IX Coord

Payroll

Employment & Training/Dev.

Benefits

Compensation & HRIS

Debbie Jackson Sr. Dir. Strategic Procurement &

Contracting

Procurement

Contracting

Sheri Hardison AVP Finance &

Assist. Treasurer

Accounting & Financial Reporting

Accounts Payable

Treasury Services

Sponsored Accounting

Budget

Brian Johnston AVP/Institutional

Research & Assessment

Jerry Conrad AVP Facilities Operations

Planning & Construction

Environmental Health & Safety

Facilities Maint. & Ops.

Facilities Admin. & Services

Energy & Environ. Systems

Ed Schaefer Executive Project Coord

Carol Evans Executive Assistant

Baker Tilly Internal Auditor

Finance Office Updates

Sheri Hardison

Associate Vice President for Finance &Assistant Treasurer

The Catholic University of America

4

Budget Office Update

5

General Areas of Focus

General Budgeted Fund 11

New Program Fund 12

Auxiliary Enterprise Fund 15

Reserve Funds 18, 19

Capital Project Funds 39, 53

Budget Committee Support

Position Control

Budget Analysis

Budget Transfers

ROI Analysis of New Programs

Budget Office: 230 LHYCourtnay Williams, Director, ext. 6731• President’s Office• Finance (including HR)

• AuxiliariesFred Blair, Senior Budget Analyst, ext. 6355• Provost and Academic areas• Law School• Facilities and CPIT

Kaeren Parker, Budget Analyst, ext. 5553• Institutional Advancement• Enrollment Management (including Athletics)

Vacant, Senior Budget Analyst

Budget Office Staff Directory

Roles and Responsibilities

6

Oversee the annual operating and capital budget development and business planning processes

Monitor functional area revenue and expense budgets

Report on business activity to stakeholders

Assist departments as needed with:

o Budget preparation and developing business plans

o Financial analysis

o Profit/loss statements

o Review new programs

o Return on investment analysis

Upcoming Budget Deadlines

January 11, 2013 – Submission of all FY2014 reserve fund (18 and 19) budgets

January 11, 2013 – Submission of FY2014 Fund 12 budgets – projected revenue, expense and enrollment

February 8, 2013 – Budget Office will send out FY2014 budget information and instructions

March 31, 2013 – Submission of all FY2014 Fund 11 budgets and attachments to Budget Office

7

Wire Transfers

Updating uses and processes for wire transfers

Domestic payments – No more wire transfers

International payments – Wire transfer can still be used but with some new procedures

Change driven by internal control considerations and tax reporting requirements

8

Domestic Payments

Domestic Payments will be done via ACH• Current vendor application must be on file for all requests before

payment will be processed

• Fill out bank account and routing information in ACH section of Vendor Form

• Request payment via standard Accounts Payable processeso Direct Payment Form for eligible expenseso Payment from Purchase Order

• Plan ahead so that purchase can follow procurement and contract policies

• Ensure budgeted funds are available

9

Wire Transfers - International

International wire transfers• Send International Wire Form to Accounts Payable (not Treasury

Services)

• Current Vendor Form must be on file in Accounts Payable for payment to proceed

• Contract Policy must be followed, as applicable

• Will be processed as a wire transfer by Treasury Services

• Allow 2 – 4 days for wire processing (assumes current Vendor Form)

• Payment voucher will be entered into the system

• Payment voucher will need to clear system budget checks

10

Benefits from Changing Wire Transfer Procedures

Benefits from changing these processes• Budget Control – Transactions will have to pass system budget checks• Stewardship of University funds – Procurement and contract processes

will be followed• Reporting – More detailed information available on report drilldowns

and queries• Tax compliance – Tax reporting more automated• Efficiency– Ability to process multiple payments in a single batch• Cost – ACH transactions are cheaper to process than wire transfers

11

ACH Payments

ACH electronic funds transfer/EFT/direct deposit Much faster receipt of funds than check Available to all vendors Notification of funds being deposited into bank account No lost checks Also available to faculty and staff for reimbursements

• Next steps - link existing direct deposit data in payroll system to AP reimbursement process

12

ACH - How You Can Help

Provide potential vendor names and specific contacts to Accounts Payable

Fill out a Vendor Form to receive your next expense reimbursement via ACH

13

New Vendor Form

New Vendor Form is available on the Accounts Payable website under ‘AP Forms and Procedures’

Vendor Application Form (PDF)

14

New Vendor Form

15

Click ‘External Vendor’ or ‘CUA Employee/Student’

External vendor

16

New Vendor Form (cont’d)

New Vendor Form (cont’d)

CUA Employee/Student

17

Direct Payment Request

The Direct Pay Form can be used for: Honorarium Membership Dues American Express Petty Cash Employee Non-Travel Reimbursements Department Restricted

Annuities (Treasury Services) Royalties (CUA Press and Office of Sponsored Programs) Employee Deduction Payment (HR only) Athletic Game officials (Athletics) CUA Press Reader’s Report (CUA Press)

18

New Direct Pay Form

19

New Direct Pay Form (cont’d)

20

Contract Process at CUA

Peg O’Donnell

Office of General Counsel

The Catholic University of America

21

What is a contract? Six easy steps to process a contractSignature authorityPolicy violationsResources

Contract Process Overview

22

What is a Contract?

A binding agreement between two or more parties enforceable by law.• Offer: I will do X if you do or don’t do Y. • Consideration: $ does not have to change hands. • Acceptance: OK

o Example: Health Insurance contracts don’t involve exchange of dollars between University and Insurance Company, but may involve Catholic mission issues.

23

Terms of Contract

Every contract should make clear: • Who are the parties • When it is to be performed• What is being purchased • How much will be paid and when

24

Contract Terms (cont’d)

Confidential Information Why we disfavor auto-renewal clauses Why it’s a red flag to hire a former

employee as independent contractor in same calendar year

 CUA does not pay sales tax

25

Six Easy Steps to Getting your Contract Signed

Step One Read the entire agreement. Ask: • Does it reflect what you seek to purchase or agree

to?• Does it require the University or your department

to do something that the University or Department is unable to do or refrain from doing something you want to do or must do?

26

Six Easy Steps (cont’d)

Step Two If using a CUA standard contract, fill in the

blanks in the Contract Agreement CUA standard independent contract is a good

example: asks for parties, dates, what work is to be performed, payment.

Provide concise but detailed description of work to be done.

http://counsel.cua.edu/cuaspecific/contractreview/

27

Six Easy Steps (cont’d)

Step Three: Send contract to appropriate office for review. Academic Appointments Provost Business Contract Procurement Academic Affiliation General

Counsel Research Contracts Assoc. Provost Independent contracts Procurement Employee hires HR

28

Six Easy Steps (cont’d)

Step Four: If any changes are needed

OGC provides text for legal changes.

Purchasing will negotiate all changes in the terms of a contract.

29

Six Easy Steps (cont’d)

Step Five: Send to Appropriate Party for Signature

Read the Contract and Signatory Authority Policy. Seek clarification if not sure: when in doubt, ask

OGC or Procurement.

Don’t sign the contract yourself!

30

Step Six Retain signed copy of contract for your fileProcurement maintains signed copies of all business contracts. Other contracts are kept in the office of the

official who signed the contract. Keep for length of agreement + three years. Keep longer if contract or policy specifies.

Six Easy Steps (cont’d)

31

Signatory Authority

NO ONE MAY SIGN OR OTHERWISE EXECUTE A CONTRACT THAT BINDS THE UNIVERSITY OR ITS SUBUNITS UNLESS HE/SHE HAS THE DELEGATED SIGNATURE AUTHORITY IN WRITING.

PRESIDENT, PROVOST, AND VP FOR FINANCE ARE THE ONLY PARTIES WITH AUTHORITY TO DELEGATE.

32

Signatory Authority (cont’d)

CONTRACTS SIGNED BY EMPLOYEES WITHOUT DOCUMENTED SIGNATURE AUTHORITY MAY BE DEEMED VOID.

THE SIGNOR MAY BE PERSONALLY LIABLE FOR THE OBLIGATIONS ASSUMED UNDER SUCH CONTRACTS &

MAY BE SUBJECT TO DISCIPLINARY ACTION INCLUDING TERMINATION OF EMPLOYMENT

33

The P-Card may only be used for limited types of purchases: Office products and supplies Books and subscriptions Approved dues for organizations Conference registrations Events catering Printing and copy services

P-Cards Purchases are Contracts

34

University regulations require that purchases of goods and services in excess of $2,500 be competitively bid. • Orders between $2,500 and $5,000 require a

minimum of three oral quotes. • Orders of $5,000 or more require a minimum of

three written quotes. This policy may apply to contract renewals as well.

Competitive Bids

35

http://counsel.cua.edu/cuaspecific/contractreview

http://policies.cua.edu/finance/finance/Contracts/Contract.cfm

http://policies.cua.edu/finance/purchasing/Procurement/Full-Procurement.cfm

http://policies.cua.edu/employment/other/indemnification.cfm

Resources

36

Hardware and Software PurchasingRaylene Dufresne

Director Instructional Technology

The Catholic University of America

Overview

What is currently provided

Purchasing technology with University funds

Items of Interest

Process

Tablets

38

What is currently provided

39

Hardware• All faculty and staff receive a Windows desktop computer• All faculty and staff can access a network printer

Software• Faculty and staff computers have a standard set of software• Computer labs have a standard set of software• The list of software in each set is available on the University website

computing.cua.edu/support/computer-software

Purchasing Technology with University Funds

Additional computing equipment must be purchased using a requisition, or through CPIT• Procurement cards, University AmEx cards or personal funds are not

authorized for purchase of University computing equipment and related items

Hardware must meet minimum requirements specified on the university website

computing.cua.edu/support/recommended-hardware.cfm

40

Items of Interest

Purchases through CPIT are easier and faster CPIT will determine if hardware and software purchases are approved to

work on network and with other appliances CPIT will check the configuration of the hardware and software to see if

they will work with each other Hardware owned by University will receive an asset tag Taxes – University does not pay them or reimburse them Warranty – some purchases require that a warranty be purchased Notebook computer purchases

• A professional version of the operating system is requiredo e.g., Purchase Windows Professional, not Windows Home Premium

• Windows 8 is not supported at CUA • Software may have site license available

41

Process

To start a technology purchase, fill out a support request ticket at help.cua.edu• Consultation

o Questions about purchaseo CPIT will research configuration and requirements

How to purchase: CPIT (recommended) or requisitiono For most purchases, CPIT is faster and often less expensiveo Large purchases must be made with a requisitiono All technology purchases must go through CPIT for approval

42

Process (cont’d)

Computer setupo University desktop computers are deployed using hard drive imaging that

provides a standard set of softwareo CPIT installs Microsoft Office and antivirus software on University-owned

notebook computers Certain notebook models are deployed using hard drive imaging, but most are

not

Hardware Supporto CPIT performs in-house hardware repairs for University desktop

computerso CPIT provides basic hardware repairs for University-owned notebook

computers – more complex hardware problems require a warranty repair by the vendor

43

Tablets

Purchasing a WiFi only model is recommended• The University will not pay for any cellular communication plans or

charges for tablets

Apps• The University will not pay for tablet software applications ("apps")

o University procurement cards/credit cards must not be used to purchase applications or “gift cards” that allow such purchase, and must not be registered on the tablet vendor's online store.

• The University is investigating the business case for volume app purchases for Apple IOS tablets

44

Facilities Operationshttp://facilitiesoperations.cua.edu/

The Catholic University of America

Overview

Introduction Building Administrator System

Designation Division interaction Responsibilities

Requesting Services Maintenance Special Event Support Projects

46

Environmental Health & Safety

Emergency Evacuation Drills

Hazardous Waste Management

Radioactive Materials Management

Bloodborne Pathogens

Fire Protection Systems Inspection/Testing

Asbestos Management

Hazard Evaluations

Risk Management & Insurance Administration

Indoor Air Quality Evaluations

Safety Training

Energy & Environmental Systems

Central Plant

Steam Generation

HVAC Systems

Distribution Lines

Controls

Electrical Services

Elevators

Utilities Planning

Utilities Procurement

Energy Management

Utility Projects

Project Commissioning

Compliance

Utilities Master Plan

48

Facilities Planning & Construction

Project Management

Facilities Design

New Construction &

Renovation Management

Master Planning

Capital Improvement Plans

Space Planning

Facilities Asset Management

49

Facilities Maintenance

Building Maintenance• Plumbing• Painting• Structural

Grounds Maintenance• Mowing/edging/weed control• Snow Removal• Road/sidewalk repairs• Pest Management

Fleet Maintenance• Tag renewals• DC Inspections• Scheduled Maintenance

Custodial Services• Routine Cleaning• Special Event Support• Waste & Recycling

50

51

Facilities Administration & Services

Preparation, tracking and reporting of all departmental operating budgets.

Provides centralized project financial control to minimize the impact on project execution and operations.

Serves as a consolidated service center for all facility requests. Receives and directs all requests to appropriate shop or facilities

department. Assists with the coordination, scheduling and communication for

projects, repairs and support functions. Maintains the Building Administrator System

Building Administrator System

Definition:• Serves as the building liaison for communications between the building

occupants and Facilities Operations and/or the Department of Public Safety.

Designation:• Typically, Building Administrators are designated as follows:

o Building with a primary function (academic, administrative, student life) - highest ranking administrator

o Mixed use building - highest ranking administrator for most common function

• An administrator may delegate appropriate responsibilities to another associate in the building with written notification to Facilities Administration and Services via email (CUA-FAS@CUA.EDU)

• The officially designated Building Administrator retains the accountability and authority for responsibilities, even when tasks are assigned to other staff for action.

52

Building Administrator Interaction

EHS & Building Administrator Interaction

• Facility Safety Inspections – CUA staff & Regulatory Agencies

• Asset Management: Acquisition, Biennial Inventory and Property Disposal

• Emergency Evacuation Drills.

53

54

Facility Safety Inspections

• In-house by CUA Staff: Advanced notice provided• Outside entities: Limited advanced notice

o DC Fire Marshal, DC Fire Department, Insurance Company Loss Control Visits.

• Report addressed to Building Administrator o Two areas:

Building Administrator Items Facility Maintenance Items

Building Administrator Interaction

Facility Safety Inspections – Example items which typically fall under the Building Administrator's purview. Forward the information to the responsible Department.

DC Fire Code Section F 110.1 • Hazardous conditions likely to cause or contribute to the spread of fire.• Interference with operation of fire protection equipment.

• Sprinkler head 18” clearance, obstructed fire extinguisher or pull station• Obstruction to or likely to interfere with egress of occupants or operations of

the fire department.• Accumulations of rubbish, waste, paper, boxes, or excessive storage of any

combustible material.• Hazardous conditions arising from improperly installed electrical wiring,

equipment or appliances (overloaded electrical outlets)• Overcrowded conditions where the occupant load is exceeded.• Locked, blocked or inoperative designated fire exits.• Appropriate building signage.

Building Administrator Interaction

Facility Safety Inspections – Example items which typically fall under the Facilities Maintenance's purview.

• Work Orders submitted by EHS• Building Administrator copied for notification and follow-up

Examples:• Inoperable emergency exit.• Broken fire door closer. • Inoperable emergency lighting.• Mechanical/building system deficiencies.

56

Building Administrator Interaction

Asset Management• Acquisition

o Property tag needed for purchases over $1,000. o All computer equipment (I-pads, tablets, PC’s, Mac)o No action needed, a staff member will contact your department.

• Biennial inventoryo Conducted during the even fiscal year – (next will be FY14 conducted in summer

of 2013)o Notices to Building Administrator in Spring 2013 to initiate logistics.o Items not reconciled require a Public Safety report to distinguish if lost or stolen.

• Disposal o Email EHS, cua-ehs@cua.edu, with quantity and brief description of items,

regardless of the presence of a property tag. EHS will reply or may make site visit to determine best option.

o Items should remain in secure location until time of disposal. o Enter a facilities work order for final disposal. The physical move will be

scheduled and you will be notified of your share of the cost.

57

Building Administrator Interaction

Emergency Evacuation Drill’s• Academic/Administrative buildings – Annually• Residential + multi-use buildings (i.e., Caldwell/Seton) – each

semester• Notification to Building Administrator.

o Watch Captains and RA’s informed. o Watch Captains roll – coordinated by Dept. of Public Safety – semester

meetings conducted. o Emergency Notification – Information conduit via Watch Captain

List of Watch Captains to be emailed to Building Administrators.

58

Building Administrator Interaction

Building Administrator Responsibilities

59

• Provides communication to occupants regarding the reporting of maintenance, custodial, utility, safety and security concerns.

• Assists with the coordination, scheduling and communication for projects and repairs.

• Encourages occupants to report all Facilities related issues directly to the Facilities Service Center by using the on-line forms at http://cua-request.qbicsystems.info or by calling x5121.

• Building Administrator Web page: http://facilitiesoperations.cua.edu/bas/index.cfm

Project Pre-Approval and Initiation

60

Dept initiates request in

QBIC

DFSA reviews request

Pre-Approved

Capital Project?

Does dept have

funding available?

Is the request an

emergency?

Does it have funding?

AVP assigns PM

PM initiates

PAF

AVP assigns PM to develop a budgetary estimate

Do available funds cover budgetary estimate?

Yes

No

No

No

Project Stops

AVP discusses with VPFT

VPFT Pre-approves?

PM initiates

PAF

Yes

Yes

Yes

Yes

Yes

No

No

No

Does AVP feel project should proceed for

other reasons?

Yes

NoProject Stops