Post Award Overview UF

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Post Award Overview_at_ UF
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Welcome

• Todays Instructors
• Web Site
• Available for use before/after this class
• http//www.hr.ufl.edu/training/myUFL/Toolkits/Gran
  ts.htm
• Audience Info
• Main CnG?
• IFAS Sponsored Programs (ISP)?
• Engineering CnG?
• PIs?

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What Questions Will We Answer Today?

• What research administration terms should I know?
• Must-know terms
• Lingo Bingo
• Legacy translations
• Whats the difference Pre/Post Award?
• How is Post Award managed at UF?
• What are essential concepts in Post Award?
• What is the Post Award Life Cycle?

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What Questions Will We Answer Today?

• What is the NOA and what does it tell me?
• Is my NOA funding equal to Cash?
• How is my NOA setup in PeopleSoft?
• PeopleSoft Contract
• How do I find my Contract number?
• Including Award Profile, Award Funding, Award
  Modification
• PeopleSoft Project
• How do I spend money on my award?
• Project ChartField

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What Questions Will We Answer Today?

• How was my project budget allocated?
• Using Budgets Overview
• Whats my projects available balance?
• Monthly reports and reconciling
• Can I change my budget allocations and how?
• How does my award get closed?
• Your comments/questions
• Evaluation

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What Research Administration Terms Should I
Know? Instructor Edy Zettler
See Page 2 in Course Outline
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Research Administration Terms

• See Glossary provided at
• http//isp.ifas.ufl.edu/glossary.php
• Terminology Issues
• Grants have their own language
• Different use of terms (inside and outside of UF)
• Old terms used from previous accounting systems
• Heavy use of acronyms

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LINGO BINGO

• Throughout this class, you may hear or see many
  acronyms
• As you encounter them, mark them off your LINGO
  BINGO sheet
• At the end of the session, we will see how many
  people got BINGO (5 in a row horizontal,
  vertical, or diagonal)
• Winners will receive a fabulous prize!

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Research Administration Terms

• NOA
• Notification of Award (aka Notice of Award)
• The bridge between Pre-Award and Post-Award
• A summary of all the information about a
  particular award
• The information comes straight from the terms of
  the signed agreement
• Used as the basis for entering the award into
  PeopleSoft

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Research Administration Terms

• PI
• Principal Investigator (aka Project Manager or
  Project Director)
• Lead researcher
• Ultimately responsible for the conduct of a
  sponsored project ie
• Intellectual Content
• Fiscal accountability
• Administrative organization
• Adherence to policies and regulations

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Research Administration Terms

• PIs may be
• Faculty members
• Qualified Professional and Scientific staff
  members
• For a more extensive list of who is eligible to
  submit a proposal for outside funding, see DSRs
  Proposal Development Web Page
• http//www.rgp.ufl.edu/research/handbook/research
  er_handbook/section2.html

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Research Administration Terms

• ProjectThe work
• PI Perspective
• The scientific scope of research being conducted
• Fiscal/Grants Specialist Perspective
• 8 digit number assigned by PSFT recorded on
  the NOA

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Research Administration Terms

• Master /Sub ProjectGroup of related projects
• PI Perspective
• Main objective divided into multiple projects.
  Some examples of why it might be segregated
• Tasks By Department and/or Lead Researcher
  Billing schedule FA rate

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Research Administration Terms

• Master /Sub Project
• Fiscal or Grants Specialist Perspective
• Funding flows through master
• Budget can then be transferred to subs by
  reducing master budget

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Research Administration Terms

• Fixed Price Award
• A project that receives its funding as a set
  price
• Scheduled payments
• One time payment
• Paid per task or by of completion

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Research Administration Terms

• Cost Reimbursable Contract
• A project that receives its funding as
  expenditures are incurred
• Spend it or lose it
• Billing schedules are determined by the award
• Billing is most commonly done
• Monthly Quarterly Annually

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Research Administration Terms

• Direct Costs
• The costs directly associated with the
  activities of the project. i.e.
• Salary of PI and other investigators
• Lab Supplies
• Equipment Purchased for this project
• Travel
• Animals
• Patient Support

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Research Administration Terms

• Indirect Costs or FA aka IDC, Overhead,
  Administrative Costs
• The costs that are indirectly associated with the
  activities of the project
• Paying for Facilities (Places)
• Building Building maintenance Lights Insurance
  

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Research Administration Terms

• Indirect Costs or FA aka IDC, Overhead,
  Administrative Costs
• Paying for Administration (People)
• HR to run payroll
• Employer provided Benefits
• Grants Specialists
• Legal Counsel
• Banking

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Research Administration Terms

• Indirect Costs or FA aka IDC, Overhead,
  Administrative Costs
• At UF, sponsors have agreed to pay over and
  above the calculated direct costs
• Federally Negotiated Standard FA Rate is 46.5

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What Is This Thing Called Legacy?

• Legacy is a term used to describe the older UF
  accounting systems
• CORE (Prehistoric Times)
• SAMAS (State Automated Management Accounting
  System) July 01,1986 to December 31,1999
• FLAIR (Florida Accounting Information Resource
  System) January 1, 2000 to June 30, 2004

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Legacy Translations/Selected Examples
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Whats the Difference Pre/Post Award?
Instructor Nancy Wilkinson
See Page 4 in Course Outline
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Pre/Post Award?

• Research Administration broad professional
  field serving many sectors
• Field
• Pre Award, Post Award, Compliance, Intellectual
  Property, Electronic Research Administration
  (ERA), Facilities and Administrative Costs
  Proposal Preparation and Negotiation Clinical
  Trial Management

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Pre/Post Award?

• Research Administration broad professional
  field serving many sectors
• Sectors
• Universities Non Profits State Federal
  Government Corporations Hospitals Foreign
  Entities

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Pre/Post Award?

• Pre Award
• Responsibilities

Accepts Award
Negotiates Award
Proposal Review/Submission
Program Information
Generally means the activity prior to award
establishment in the accounting system
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Pre/Post Award?

• Post Award
• Responsibilities

Closes Award Financially
Tracks Accounts Receivables
Prepares Submits Invoices
Monitors Expenses
Releases Funding
Generally means the activity after UF accepts the
award
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How Is Post Award Managed?
Health Sciences CLAS Education Fine Arts, etc.
Health Sciences CLAS Education Fine Arts, etc.
DSR
Main CnG
Pre Award
College of Engineering
College of Engineering
Eng CnG
OER
Eng CnG
Post Award
College of Agriculture School of Natural
Resources School of Forestry IFAS Institute of
Food and Agricultural Sciences
College of Agriculture School of Natural
Resources School of Forestry IFAS Institute of
Food and Agricultural Sciences
ISP
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Post Award Management

• Organizational Charts and Contact info for
• Main Contracts and Grants
• www.fa.ufl.edu/directory.aspx?unitcg
• Engineering CnG
• eng.ufl.edu/cng
• ISP Post Award
• isp.ifas.ufl.edu
• May be found at this web site
• www.hr.ufl.edu/training/myUFL/Toolkits/Grants.htm
  

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What Are Essential Concepts in Post Award?
Instructor Nancy Wilkinson
See Page 6 in Course Outline
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Essential Concepts

• Sponsored Programs rules for spending the
  funds
• Held in a restricted area in the Accounting
  system at UF
• Federal OMB Circulars A-21 A-110 A-133
• Non Federal each sponsor determines
• Is the proposed budget item or expense
• Reasonable, Necessary, Allowable, Allocable?

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Essential Concepts

• OMB Circular A-21
• Direct Cost (proposed or expensed) assigned with
  a high degree of accuracy
• Reasonable
• Necessary
• Allocable
• Proportional use can be documented and the
  methodology for assigning costs is justifiable

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Essential Concepts

• OMB Circular A-21
• Itemized listing of unallowable costs
• Consistently treated in like circumstances (CAS)
• http//fa.ufl.edu/cg/capolicy/chargingcosts-i.asp

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Essential Concepts

• Inappropriate
• Assigning charges to the project with the largest
  balance
• Spending dollars to ensure no balance remains
  regardless of benefit to the project
• Purchase of equipment in last quarter
• Stockpiling of supplies near project conclusion
• Rotating costs to a variety of projects (e.g.
  monthly)
• Non-Federal Sponsors generally similar

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What Is the Post Award Life Cycle?Instructor
Tiffany Schmidt
See Page 7 in Course Outline
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Post Award Life Cycle

• NOA
• Award setup and Budget release
• PI performs and Unit assigns expenses
• CG monitors and invoices for project activity
• Financial and Technical Reporting
• Closeouts

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Notification of Award (NOA)

• Notification of Award and award documents (Award
  Packet) are received by Post Award Office (At UF
  AKA CG or CnG)
• The CG (Post) Specialist responsible for set up
  reviews the NOA and award documents for accuracy
  and completeness

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Award Set Up

• Financial System/Spending Authority Granted
• CG Specialist sets up award, contract and
  associated project(s) in the financial system
  (PeopleSoft)
• Required financial reports and invoices as well
  as technical reports are scheduled
• Budget is released in PeopleSoft this provides
  spending authority

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PI Performs/Unit Assigns Expenditures

• PI performs scope of work
• Unit personnel (Department, Center, School) work
  with PI to assign appropriate expenditures to the
  project
• Unit personnel reconcile projects on a regular
  basis to make certain all appropriate charges are
  reflected

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Contracts and Grants (CG) Monitors

• CG monitors expenditures for compliance
• Appropriate Expenditures must
• Meet the sponsors terms and conditions
• Fall within the begin and end dates of the
  project period
• Comply with all applicable rules and regulations
• Benefit the scope of work
• Be reasonable, necessary and allocable

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Financial Reports and Invoices

• CG prepares and submits financial reports and
  invoices
• Prepares financial reports and invoices based on
  the expenditures booked in the financial system
• Invoices and financial reports are submitted in
  the format(s) required by the sponsor and at the
  intervals identified in the award documentation

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Technical Closeout/Submission of Deliverables
and Reports

• Within 90 days after the end of an award
  (sometimes sooner) all final deliverables and
  reports must be submitted
• Reports may include property, patent and
  technical reports
• Remember that late reports/deliverables may hold
  up payment and in some cases jeopardize future
  funding opportunities

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Financial Close Out Verification/Submission of
Final Expenditures/Financials

• CG sends a letter to the PI asking for
  verification of final expenditures
• Signed letter is returned, final figures verified
  
• CG prepares and submits all final financial
  documents
• Final financial documents must be submitted no
  later than 90 days after the award end date
  (sometimes sooner)
• Process may vary for Cost Reimbursable and Fixed
  Fee type awards

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What Is the NOA?Instructor Edy Zettler
See Page 9 in Course Outline
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What Is the NOA?

• The bridge between Pre-Award and Post-Award
• A summary information about a particular award
• The information comes straight from the terms of
  the award
• Used as the basis for entering the award into
  PeopleSoft

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NOA Terminology
See Page 9 in Course Outline
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NOA Terminology
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NOA Terminology

• http//www.hr.ufl.edu/training/myUFL/Toolkits/Gran
  ts.htm
• NOA Handout
• NOA Terms Handout
• http//isp.ifas.ufl.edu/noaTerminology.php
• Important NOA Terminology

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Key Concept

• Is my NOA funding equal to Cash?
• Budget Spending Authority (Award value)
• Rarely does BUDGET REVENUE
• UF is fronting the cash for your budget and
  expenses
• Until the sponsor pays us, the revenue IN ARREARS
• Exception advanced payment

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How Is My NOA Setup in PeopleSoft?Instructor
Nancy Wilkinson
See Page 10 in Course Outline
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How Is My NOA Setup in PeopleSoft?

• PeopleSoft Contract
• Umbrella
• Multiple Projects
• Demographic information
• Billing and receivables information
• PeopleSoft Project (B. Sevier)
• Component of the Contract
• Releases funds
• Identifies expenses

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PeopleSoft Contract

• Contract Number created when a new/renewal
  proposal is awarded
• Identifying number used to coordinate
• All subprojects
• Billing/invoicing
• Payments

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PeopleSoft Contract

• Use Award Profile as the primary view for the
  Contract Number
• If you do not know your contract number, it can
  be found on your NOA, or use the simulation
  exercise How Do I find My PeopleSoft Contract
  Number?
• SIMULATION 1

See Page 1 in Simulations Handout
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PeopleSoft Contract

• Viewing Award Profile PeopleSoft Contract
• SIMULATION 2
• myUFL view of the NOA

See Page 6 inSimulations Handout
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myUFL Notice

• To Cook,Cherie M Howard,Forrest W
• Subject Project Funding Awarded Notification
• Effective Date 10/15/2007
• Project 00069877
• Contract 00066558
• PI Howard,Forrest W
• Project Title Comparison of Two Merit
  Products
• Award Date 08/31/2007 thru 08/30/2008
• A budget transaction has occurred on the above
  referenced project. The details of this
  transaction are found below. If you have any
  questions regarding your transaction, please
  contact your Contract Grants accounting office.
• Direct Cost 2400
• Indirect Cost 600
• Trans Total 3000

See Page 11 in Course Outline
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PeopleSoft Project Instructor Brian Sevier
See Page 11 in Course Outline
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PeopleSoft Project

• What is the project?
• For the PI or Faculty member?
• The scientific scope of work
• For the Fiscal Administrator or Unit Business
  Manager?
• The numeric identifier that we use to allocate
  spending authority (BUDGET) and track expenses.
• This is the PeopleSoft PROJECT number(s) that
  your CG office always asks you for

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PeopleSoft Project

• We can find info about My PeopleSoft Project
• PI
• Unit (Dept ID)
• myUFL System notifications (who gets them)
• SIMULATION 3

See Page 14Simulations Handout
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PeopleSoft Project

• Where can I find the FA (IDC) rate base for my
  project?
• Why is this important?

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PeopleSoft Project

• Base types (commonly used)
• TDC Total Direct Costs
• ALL direct costs are subject to the rate
• Salary, supplies, equipment, tuition, etc.
• MTDC Modified Total Direct Costs
• Certain direct cost items are not subject to the
  rate (e.g., Equipment, Tuition, Subcontracts gt
  25k)
• Rate applies to (depends on the sponsor)
• Base the appropriate rate
• Current Federally negotiated rate is 46.5

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PeopleSoft Project

• Where can I find the rate information for UF?
• http//rgp.ufl.edu/research/idcrates.html
• http//fa.ufl.edu/cg/capolicy/indirectcostrates.as
  p

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PeopleSoft Project

• Continue FA Rates on My PeopleSoft Project
• SIMULATION 3 continued

See Page 21 inSimulations Handout
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How Do I Pay for Project Expenses
Incurred?Instructor Brian Sevier
See Page 13 in Course Outline
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How Do I Pay for Project Expenses Incurred?

• The process varies by Unit
• The ChartField string is the key
• Some units use a request form to document the
  expense and appropriately apply it to the correct
  funding source
• Dont forget, your unit fiscal administrator is
  often in charge of contract and grant, state, and
  federal funding help them out

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How Do People Get Paid on the Project?

• What is an Earnings Account Code (aka EAC or
  HRAC)?
• This is a unique code, that abbreviates the
  ChartField string into a 7-digit value
• These are system generated values based on ISP
  releasing your budget into PeopleSoft
• This number is used to process the payroll
  distribution

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How Do People Get Paid on the Project?

• What are payroll distributions?
• It is the mechanism to assign the costs (earnings
  fringes) of an employee to an accounting
  location
• A distribution has be to be completed before an
  employee can be paid
• Distributions can be accomplished between units
  and colleges
• The payroll distribution is driven by date, and
  ultimately feeds the effort reporting system

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PeopleSoft Project ChartField

• What is a ChartField String
• In addition to a unique project number,
  PeopleSoft uses a string of other numbers
  called chartfields to identify
• Which department/unit does the project belong to?
• Does the award come from the Federal government?
• What is the purpose of the award?
• What agency or source provided this award?

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PeopleSoft Project ChartField

• ChartField string components
• DEPTID (8-digit Unit identifier)
• 60480000 (IFAS Fisheries)
• Source of Funds SOF (7-character alphanumeric
  code)
• G 000 xx 0 (G000010NIH)
• See the OFS code on your NOA

• Fund (3-digit code)
• 201 Federal
• 209 Non-Federal
• Program Code (4-digit code)
• 1100 Instruction
• 2200 Research (also 2100 after conversion)
• 3300 Outreach / Public Service / Extension
• See the checkboxes on the DSR-1

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PeopleSoft Project ChartField
60480000 G000670 209 2200
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PeopleSoft Project ChartField

• How do I find this information that is assigned
  to my project?
• Navigate to Project Chartfield
• SIMULATION 4

See Page 24 inSimulations Handout
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How Do I View My Budget?Instructor Tiffany
Schmidt
See Page 15 in Course Outline
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How Do I View My Budget?

• My proposal budget used category descriptions, so
  what do Account Codes mean?
• What are KK Levels?
• How do I get my projects available balance
  (right now)?

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What Are Budget Account Codes?

• Budget account codes map the descriptive
  proposal categories into functional accounting
  categories
• Your expenses will be tracked in the accounting
  system using these budget accounts
• See Handout on Budget Account Code mapping
  (sample subset on next slide)

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Sample Budget Account Codes
See Page 15 inCourse Outline
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What Are Commitment Control (KK) Levels?

• Level 3
• Released into Direct, Indirect categories only
• Less restrictive (e.g. FDP)
• Re-budgeting typically unnecessary (unless MTDC
  base or for TRAVEL) for spending authority
  follow budget set forth by agency
• Level 5
• Released by budget accounts
• Must spend within those accounts
• To re-budget, must determine if this is allowable
  by the Sponsor

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How Do I Get My Projects Available Balance?

• Right now!
• Budgets Overview
• Provides real time information on budget,
  expenditures, encumbrances and available balance.
• Navigate to Budgets Overview Inquiry Name
• SIMULATION 5
• Create new inquiry (only needed the first time)

See Page 29 inSimulations Handout
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Whats my Available Balance?

• PeopleSoft Roles that you must have (see your
  Unit Security Administrator (DSA))
• UF_ER_USER
• UF_FI_FUNC_USER
• UF_GL_FISCAL_FUNCTIONS
• Navigate to Whats my Available Balance?
• SIMULATION 6

See Page 44 inSimulations Handout
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What's My Available Balance?

• Delivered Reports will vary with each project
  depending on the financial/HR activity
• Reports are available in PDF or Excel

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What's My Available Balance?

• Grant Summary
• Summary of budget, encumbrances and expenses
• KK to GL Summary Comparison
• Examines charges in KK and GL to determine if
  there is a variance

• Open Encumbrance Summary
• Lists all encumbrances and the available balance
• Payroll Cost Distribution Run Date Detail
• Provides individual names and charges for those
  paid from this project

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What's My Available Balance?

• PI Summary
• Limited version of Grant Summary report
• Please be careful using this report since we have
  found problems with the data

• Projected Payroll Cost Distribution
• Provides a forecast of salary charges on this
  project through June 30 (end of current fiscal
  year)
• Transaction Detail
• Useful view to examine details of expenses rather
  than the vendor name

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Budget Transfers

• Items to Consider
• Is the budget transfer allowable by the terms and
  conditions of the award?
• Does the sponsor require prior approval and if so
  were the necessary approvals obtained?
• Does my project have IDC?
• See Handout for sample calculations
• Which CG office manages my project?
• What form do I use?
• See your CG office website or contact them

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Budget Transfers

• What Information Does CG Need to Process Your
  Request?
• Why is budget available in the category you are
  transferring from?
• Why is budget needed in the category you are
  moving budget to?
• Has there been a change in scope?
• Has there been a significant change in the effort
  of the PI or other key personnel?

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Budget Transfers

• Once Requests are Approved
• The transfer is processed in PeopleSoft
• An auto generated notice is sent from PeopleSoft
• Similar to the myUFL award notification

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Award Closeout Instructor Nancy Wilkinson
See Page 17 in Course Outline
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How Is My Award Closed?

• Sponsor requirements
• Financial
• Technical
• Variance by award type
• Cost Reimbursable
• Fixed Price
• Generates residual

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Award Closeout

• Reporting
• Technical
• Financial
• Patent
• Property
• Subcontractors too!!
• Requirements are captured at the award setup
  stage using PeopleSoft milestones

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Award Closeout

• What happens to the remaining available balance
  upon expiration?
• Cost Reimbursable (CRB)
• As the name implies, UF will only be reimbursed
  for expenses that benefited the award
• Unspent balances are returned to agency (often
  referred as deobligated)

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Award Closeout

• Fixed Price
• If revenue paid by the sponsor exceeds the total
  expenses, this becomes a residual balance
• Residuals (if applicable) are distributed
  according to individual College/School and core
  office criteria and policies

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Award Closeout

• CnG working group
• Main CnG ISP Engineering CnG
• Considering
• Milestones
• Time line
• Notices
• Roles/Responsibilities
• Differences in CRB/Fixed
• Working group will provide recommendations shortly

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Questions Comments

• LINGO BINGO Winners
• Please dont forget to complete the evaluation!

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Planned Post Award Courses

• Financial Compliance Overview
• Post Award Budget Management
• OMB Circular A-21 (includes CAS)
• OMB Circular A-110
• Invoicing and Receivables
• Close Out (post award)
• Cost Sharing
• Effort Reporting and Monitoring
• Auditing (including OMB Circular A-133)
• Subrecipient Monitoring (post award)

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Post Award Overview_at_ UF