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Controller’s Office Research Administration Town Hall Friday, August 22, 2014 9:00-11:00 AM HSW-301 w/ a live broadcast to Genentech Hall, Byers Auditorium.

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Presentation on theme: "Controller’s Office Research Administration Town Hall Friday, August 22, 2014 9:00-11:00 AM HSW-301 w/ a live broadcast to Genentech Hall, Byers Auditorium."— Presentation transcript:

1 Controller’s Office Research Administration Town Hall Friday, August 22, 2014 9:00-11:00 AM HSW-301 w/ a live broadcast to Genentech Hall, Byers Auditorium at Mission Bay & Room 116 at the Fresno Campus & Live Webcast Send questions to: Contracts and Grants Accounting

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

3 Controller’s Office Introduction of New Assistant Controller for Contracts and Grants Accounting 3

4 Controller’s Office DocuSign Rollout: Subcontract Invoices 4

5 Controller’s Office Topics 1.Why DocuSign 2.Pilot Progress 3.How DocuSign Works 4.New Invoice Approval Process 5.Training 6.Getting Access 7.Getting Ready 5

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

7 Pilot Progress 7 4-month pilot with 4 departments Institute for Neurodegenerative Diseases Memory and Aging Center OBGYN Prevention Sciences 144 completed, signed invoices as of 8/14/14 Tentative campus go-live date: mid Sept/early Oct **Amount of 8+ invoices likely due to year-end and transitioning both AP and departments to the new process

8 How DocuSign Works  DocuSign is a cloud-based application – all routing and signing occurs within the DocuSign interface  DocuSign is behind MyAccess  Flexible workflow  Email notifications when actions are required  Allows for automated reminders and expirations  All users in workflow can view real-time tracking status 8

9 New Invoice Approval Process Process Summary 1. AP sends invoice to Post Award Analyst via DocuSign (Post Award Analyst identified through RAS per current process) 2. Post Award Analyst assigns approver(s) based on department- specific workflow (e.g Post award analyst plays Workflow Owner role)  Approvers are PIs or their delegates; finance person and/or RSA may be additional approvers  May also assign a “receive a copy” role during the approval process or to receive a final signed copy for their records 3. DocuSign routes invoice automatically to the approver(s) for signature 4. Approver(s) sign invoice via DocuSign 5. AP, Post Award Analyst, approver(s), and reviewer(s), if applicable, all receive a link to the completed, signed document, to be viewed or downloaded 6. AP processes signed invoice within SLA of 3 business days 9

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

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

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

13 Resources and Support 13 Controller’s Office Website Job aids for workflow owner and approver Recordings of these brown bags/webinars FAQs For questions and ongoing support, email or call (415) General UCSF DocuSign Resources (not specific to subcontract invoices)

14 Controller’s Office Town Hall Survey Report 14

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

16 Controller’s Office Compliance Update: Effort Reporting 16

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

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

19 Controller’s Office Effort Reporting  The Effort Reporting System is accessed through MyAccess  Should you have issues with signing on or with other technical issues, please contact the Help Desk, 415-514-4100, option 2  Delegation requests should be made ASAP  Other questions should be directed to 19

20 Controller’s Office Short Term Investment Pool (STIP) in the New COA 20

21 Controller’s Office STIP Topics  STIP Recovery in the new COA  Calculating the Cumulative STIP Balance  Updated Closeout Steps 21

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

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

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

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

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

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

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

29 Controller’s Office Post Award Hot Topics 29

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

31 Controller’s Office Project ID Set-Up and Management 31

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

33 Controller’s Office Project ID Set-Up Requirements 1)If a co-principal investigator needs to have his or her budget and expenditures tracked separately, a new project with the PI ID of the co-principal investigator needs to be set up 2)If there is more than one facilities and administration (F&A) rate on an award, for example a minority supplement, then a new project needs to be established NOTE:If a project moves from off-campus to on- campus, and vice versa, a new project does not need to be set up; instead, the new rate will be added with an effective date of the move 33

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

35 Controller’s Office Project ID Set-Up with Subcontracts Answer: You can do whatever you want … 35

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

37 Controller’s Office 37 Navigating RAS Subcontract Functionality 1. Go to Award Profile page 2. Go to Subcontract Summary for a list of award subcontracts. a. Link is located at the bottom half of the Award Profile page; this information is linked to the Subrecipients tab b. You can go directly to the Subrecipients tab, fifth from the left on the profile page to see details of specific subcontracts, but it is easier to navigate from the Subcontract Summary

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39 Controller’s Office 39 Common Features on All Subcontracts 1. The top of the subrecipient page indicates the number of total award subcontracts, both external vendors and intercampus subcontracts 2. The page cites the current subcontract award number, usually four digits followed by SC, but not always  New subcontracts will be cite the project ID and department ID  Subcontracts in place prior to the new chart of accounts cited the expenditure DPA and the prior fund 3. Click the Subrecipient Document Page link to see the originally executed agreement and subsequent amendments  The number of lines at the bottom of the subcontract page should correspond to the number of documents in the Subrecipient Document Page link 4. Click the document icon to review the specific executed agreement

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41 Controller’s Office 41 Unique Features: External versus Intercampus 1. The external subcontractor with another business entity is treated as a vendor in the accounts payable system  Go to the Subrecipient Voucher Detail Page to see the specific disbursements, by account number, to the vendor 2. Intercampus subcontracts occur between all ten campuses and the UC Office of the President  There are no disbursements, only financial transfers between subsidiary entities with the University of California Later on, we will discuss the specific accounting treatment of the financial transactions


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46 Controller’s Office 46 External Subcontract Accounting Treatment 1. The source code for financial transactions, in the form of disbursements to an external vendor, is 426 2. If the subcontract is set up in the incorrect project, then the following must occur: a. The subcontract, including documents and voucher transactions, must be “moved” to the correct project b. The source code 545 cost transfer journal does NOT allow for a transfer between awards or projects; corrections are made by the accounts payable unit on source code 426 entries c. If the original disbursements are closed, then Contracts and Grants Accounting will work with the department to transfer errors with another transaction type


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51 Controller’s Office 51 Intercampus Subcontract Accounting Treatment The source code for financial transactions, in the form of a subsidiary transfer to another University of California business unit, varies, depending upon whether the prime award is an external sponsor or an internal University of California program: 1. If the prime award is an external sponsor, then the payment to the sister campus is done on a source code 570 intercampus financial journal, usually based upon submission by the sister campus of an intercampus request for reimbursement (IRR) for actual expenditures 2. If the prime award is another University of California program, the entire subcontract award amount is transferred on a source code 574 intercampus financial journal  For sponsored projects, such as special state appropriations, there should be a corresponding inter location transfer of funds (ITF) budget authorization that posts to the general ledger; for non- sponsored funds, the ITF is processed as an offline transaction, but does not post to the non-sponsored project

52 Controller’s Office Navigation to Subrecipient Report by Department: Grants UCSF Reports Subrecipient Report by Department 52

53 Controller’s Office 53 Subrecipient Report By Dept

54 Controller’s Office 54 Subrecipient Report By Dept

55 Controller’s Office RSA Update in RAS  Departments have the ability to change the RSA for any project in PeopleSoft  Go to the Project Detail Page and make the change under the Department Information section  The RSA named on the PRIMARY project is the name that is displayed as the award RSA  To change the award RSA, change the PRIMARY project RSA 55

56 Controller’s Office RSA Update in RAS 56

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

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

59 Controller’s Office Escalating IDC Rates California Institute for Regenerative Medicine (CIRM) New rates have been negotiated beginning July 1, 2012: 1)Off-Campus: 14.70% 2)Dolby Regeneration Medicine Building:37.64% 3)On-Campus:07/01/12 – 06/30/1356.60% 07/01/13 – 06/30/1457.20% 07/01/14 – 06/30/1558.40% 07/01/15 – 06/30/1659.00% 59

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

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

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

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

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

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

66 Controller’s Office NIH Subaccount Conversion  Timing  New Awards and Renewals - are being issued as subaccounts  Existing Awards – conversion has been delayed until the period of October 2015 to September 2016 66

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

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

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

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

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

72 Controller’s Office QUESTIONS? 72

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