Sponsored by Office of Research Administration Marcia … · 2009-06-23 · Research Administrators Forum ... project constitutes a “receivable” on that award ... Grants Accounts

Research Administrators ForumResearch Administrators Forum

Sponsored by Office of Research Administration

Marcia SmithAssociate Vice Chancellor Research Administration

June 10, 2009

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Upcoming RAUpcoming RA--ForumsForums

Thursday, July 9, 10:00 - 11:30 amThursday, August 13, 10:00 - 11:30 am Thursday, September 10, 10:00 - 11:30 amThursday, October 8, 10:00 - 11:30 amThursday, November 12, 10:00 - 11:30 amThursday, December 10, 10:00 - 11:30 am

ARRA Proposal and ARRA Proposal and Award StatisticsAward Statistics

Virginia AndersVirginia AndersORAORA

Office of Contract and Grant Office of Contract and Grant AdministrationAdministration

$854,616,668.00$854,616,668.0018411841$367,414,877.00$367,414,877.00828828$487,201,791.00$487,201,791.0010131013TotalTotal

$8,077,624.00$8,077,624.001414$7,555,892.00$7,555,892.001313$521,732.00$521,732.0011Renewal/Competitive Renewal/Competitive ContinuationContinuation

$2,777,955.00$2,777,955.0066$2,777,955.00$2,777,955.0066$0.00$0.0000REVISION REVISION ––Competitive Competitive RevisionRevision

$3,928,015.00$3,928,015.001313$3,272,138.00$3,272,138.001111$655,877.00$655,877.0022REVISION REVISION -- NEWNEW

$10,024,211.00$10,024,211.004040$6,432,806.00$6,432,806.002727$3,591,405.00$3,591,405.001313RevisionRevision

$731,413,279.00$731,413,279.0011291129$338,306,050.00$338,306,050.00689689$393,107,229.00$393,107,229.00440440NewNew

$98,395,584.00$98,395,584.00639639$9,070,036.00$9,070,036.008282$89,325,548.00$89,325,548.00557557SupplementSupplement

(Date created since (Date created since 04/01/2009)04/01/2009)

ALLALLNonNon--ARRAARRAARRAARRA

Proposal typeProposal type

Proposal ActivityProposal Activity

ARRA Award Transaction Count and DollarARRA Award Transaction Count and Dollar

$6,916,240.00$6,916,240.002020TotalTotal$319,550.00$319,550.0011UROLOGYUROLOGY$180,856.00$180,856.0011SCHOOL OF NURSINGSCHOOL OF NURSING$361,358.00$361,358.0022

PEDIATRICSPEDIATRICS--PAIN PAIN PROGRAMPROGRAM

$203,280.00$203,280.0011PATHOLOGY LABORATORY PATHOLOGY LABORATORY

MEDICINEMEDICINE

$372,405.00$372,405.0011PATHOLOGY DEPARTMENT PATHOLOGY DEPARTMENT

ADMINISTRATIONADMINISTRATION

$693,500.00$693,500.0033NEUROPSYCHIATRIC NEUROPSYCHIATRIC

INSTITUTEINSTITUTE

$1,889,958.00$1,889,958.0011NEUROLOGYNEUROLOGY--LONILONI$1,298,930.00$1,298,930.0055

MICROBIOLOGY, IMMUNO & MICROBIOLOGY, IMMUNO & MOLECULAR GENETICMOLECULAR GENETIC

$234,000.00$234,000.0011MEDICINEMEDICINE--CARDIOLOGYCARDIOLOGY$236,458.00$236,458.0011HUMAN GENETICSHUMAN GENETICS$240,402.00$240,402.0011EPIDEMIOLOGYEPIDEMIOLOGY$885,543.00$885,543.0022

DENTAL RESEARCH DENTAL RESEARCH INSTITUTEINSTITUTE

AmountAmountCountCountDepartmentDepartment

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S2S Grants (Cayuse) S2S Grants (Cayuse) Version Upgrade Version Upgrade

Cindy Gilbert, ORA Office of Cindy Gilbert, ORA Office of Contract and Grant AdministrationContract and Grant Administration

Gloria Su, ORA Office for Research Gloria Su, ORA Office for Research Information SystemsInformation Systems

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S2S Grants (Cayuse) Version S2S Grants (Cayuse) Version UpgradeUpgrade

Scheduled for June 19 (evening) in Production EnvironmentTraining Environment Already UpgradedDetailed Release Notes Available Friday, June 12 on S2S Grants Resources Site http://www.research.ucla.edu/ocga/S2SGrantsInfo/index.htm

http://www.research.ucla.edu/ocga/S2S

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S2S Grants (Cayuse) Version S2S Grants (Cayuse) Version UpgradeUpgrade

Changes:Professional Profile PreviewPerformance SitesRe-ordering of Key PersonnelExpand/Collapse List of Key Personnel and SitesFed/Non-fed Budget FormSubmission Indicator for Subawards

NSF May 21, 2009: Effective Immediately, New FOAs will Accept FastLane Submission Only … No Grants.gov

S2S Grants (Cayuse) Version Upgrade

Research Administrators Forum

June 10, 2009

New Forms SupportedNew Forms Supported

A generic “Non‐federal” opportunity type is now available which provides a number of optional forms which can be utilized to create proposals when the sponsor has not provided specific forms or format.This proposal type utilizes the “Fed/Non‐fed” budget form.

New Forms SupportedNew Forms Supported

New New ““SubmittedSubmitted”” Subawards IndicatorSubawards Indicator

A blue lightening bolt icon is now available to indicate that a subaward proposal has been “submitted”

New New ““SubmittedSubmitted”” Subawards IndicatorSubawards Indicator

Navigate to the Proposal Summary page to update the Proposal Status to “Submitted”

Updates to Senior/Key PersonnelUpdates to Senior/Key Personnel

Two new senior/key personnel view options

List

Expanded

Updates to Senior/Key PersonnelUpdates to Senior/Key Personnel

New sort functionality allows prepares to change the order of key personnel by simply pushing up/down arrows

Updates to Professional ProfilesUpdates to Professional Profiles

New “Quick Info” window added, displaying the name, institution and department of the individual

Updates to Professional ProfilesUpdates to Professional Profiles

Performance Site info has been added to the Professional Profile and can now be auto‐filled on the SF424 Performance Site and Senior/Key Persons forms.

ARRA Reporting RequirementsARRA Reporting Requirements

Evelyn BalabisEvelyn BalabisORA ORA

Office of Extramural Fund Office of Extramural Fund ManagementManagement

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ARRA REPORTING ARRA REPORTING REQUIREMENTSREQUIREMENTS

Spend, Spend, Spend!

No final detailed reporting requirements from the sponsor

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ARRA DEPARTMENT/ PI ARRA DEPARTMENT/ PI REPORTING REQUIREMENTSREPORTING REQUIREMENTS

Department / PI reporting responsibilities:

ARRA Project / Activity ReportARRA Employment Report

Narrative DescriptionEmployment Status Form

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Project / Activity ReportProject / Activity Report

Description of Overall PurposeExpected outputs, outcomes or resultsFirst Tier subcontracts

DeliverablesUnits of Measure

Awards that Fund Multiple Projects (Formula grant)

Purpose, outcomes, & results can be stated in broad terms.

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Project / Activity ReportProject / Activity Report

Evaluation of the Completion Status of the Project or Activity

Based on performance progress reports and other relevant non-financial informationOptions

Not StartedLess than 50% completeFully complete

For awards funding more than one project provide the best estimate of completion

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Employment ReportEmployment Report

Narrative Description of the Employment of the Recovery Act work

Cumulative for each calendar qtrAt minimum address or describe the

Impact on the recipients’ workforce and if known the impact on the subrecipient workforceTypes of jobs or positions created and retained in the US and outlying areas

• These are new positions created and filled or previously existing unfilled positions that are now filled as a result of Recovery Act Funding

These descriptions may rely on job titles, broader labor categories or the contractor’s existing practice for describing jobs as long as the terms used are widely understood and describe the nature o the work and and estimate of the jobs created and retained.

ARRA REPORTING REQUIREMENTSARRA REPORTING REQUIREMENTSStatistical Data on ARRA supported New Statistical Data on ARRA supported New

Jobs and Retained jobsJobs and Retained jobs

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ARRA DEPARTMENT/PI ARRA DEPARTMENT/PI REPORTING REQUIREMENTSREPORTING REQUIREMENTS

Data Elements

Description of Project / ActivityEvaluation of Completion StatusNarrative Description of Employment ImpactEmployment Status Form

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CENTRAL ARRA REPORTING CENTRAL ARRA REPORTING REQUIREMENTSREQUIREMENTS

Subrecipient Requirements (>=25K) Submission to UCLA no later than 5 calendar days after the quarter ends

Name of Entity receiving SubawardType of Entity

• State Government• County Government• Public/State Controlled Inst of Higher Ed• For Profit Org• Small Business

Amount of SubawardTransaction Type – Grant, Cooperative Agreement, LoanCFDA NumberAward TitleLocation of SubrecipientDUNS number of SubrecipientJobs Created & RetainedNames & Total Compensation of the 5 most highly compensated OfficersTechnical Report

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SUBRECIPIENT ARRA REPORTINGSUBRECIPIENT ARRA REPORTING

Data ElementsUCLA PI namePrime SponsorAward TypeSponsor Award NumberCFDA NumberProgram SourceAward TitleSubrecipient NameSubrecipient TypeAmount FundedPeriod of PerformanceDUNS NumberLocation (street address, city, state, zip)Congressional DistrictSubaward Date Signed

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Financial Reporting

Ledger basedWill report expenses, encumbrances and salary commitmentsSubaward information will be on a separate reportWill not report unallowables

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Financial Reporting Data ElementsName of Federal AgencySponsor Award NumberDUNS NumberEIN NumberCFDA NumberRecipient Legal NameFund NumberProject / Grant PeriodReport FrequencyTotal Amount of ARRA Funds ReceivedTotal Amount of ARRA Funds ExpendedNAICS Code

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Reporting Due Dates to the sponsor – 10 Calendar Days after the quarter ends.

July 10th

October 10th

January 10th

April 10th

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ALL REPORTS ARE DUE TO EFM BY THE LAST DAY OF THE QUARTER

June 30th

September 30th

December 31st

March 31st

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ARRA help line: 310-794-0548ARRA reports from the department/PI should be submitted through the following central email account:

[email protected]

mailto:[email protected]

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Central email account Subject Line:

ARRA;Fund #;PI Name;Qtr End Date

Attachments:ARRA Project/Activity ReportARRA New/Retained Jobs Report

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Accounts ReceivableAccounts Receivable

Maurice TaylorMaurice TaylorORAORA

Office of Extramural FundOffice of Extramural FundManagementManagement

2What is Accounts Receivable?What is Accounts Receivable?

Any outstanding payment on a sponsored project constitutes a “receivable” on that award

In other words, an award is awaiting “receipt” of payment

The University has $868 million in award dollars60% is paid through the Letter of Credit

Letter of Credit is essentially a line of credit between the University and the federal government. EFM “draws-down”funds several times a month in accordance with a complicated formula

40% is potential for accounts receivable

3Accounts ReceivableAccounts Receivable

During the cycle of an award expenditures are made and payments are received from the various sponsors

EFM is responsible for the billing and payment follow-up to ensure payment is received for all costs incurred


EFM needs:

Departments to read the terms and conditions of the award!

Departments to manage the award through-out the entire life cycle.

reconcile ledgers monthly

Ensure that technical, progress and other deliverables are met


Payments received are either recorded to Revenue or Accounts Receivable

Non-invoiced payments are recorded directly to revenue

Invoiced payments are recorded to accounts receivable

6Here is the list of Revenue and Receivable Here is the list of Revenue and Receivable Accounts by Sponsor and Award TypeAccounts by Sponsor and Award Type

112679257000Private Contracts and Grants

112678258000Private Contracts and Grants

112664220950Local governments

111505221100Federal Grants

111500225000Federal Contracts

111200218200State

Receivable AccountRevenue AccountSponsor

7Financial System Applications MenuFinancial System Applications Menu

8What the financial revenue column What the financial revenue column for a new award looks like in the for a new award looks like in the Financial SystemFinancial System

Nothing shows in the Financial (revenue) column because there has been no billing yet.

Nothing shows in the Financial (revenue) column because there has been no billing yet.

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What the Financial System looks like when EFM submits a request for payment.

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Invoice SampleInvoice Sample

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While the amount of invoice shows in the Financial (revenue) column, it doesn’t mean UCLA has received payment. We must go to the general ledger and look at the details under the A/R account – the account that begins with a “1.” To access the General Ledger, we can click account 218200…

Click here

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Change the Account number to the A/R account, which is 111200 for the State, and click “Get Report” button

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Now click the “Click here to go to Detail General Ledger for account transactions”link

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Adjust your dates to the invoice date. In this case it is January 2009 to May 2009 and click the “Get Report” button.

16Here is the invoiced amount, for which payment has not been received (payments show in brackets). Balance column shows pending payment from sponsor.

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What the Financial System looks like when What the Financial System looks like when EFM submits requests for payment on an EFM submits requests for payment on an award and there remains a balanceaward and there remains a balance

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Here we see the total amount of award is 191,000, and we have invoiced so far for a total $50,695.48.

We need to check the A/R account to see what payments have been received. We first access the

general ledger by clicking on account “218200”

Click here

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Change the Account number to the A/R account, which is 111200 for the State, and click “Get Report” button

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Adjust your dates. In this case we are going to change the dates to May 2008 to May 2009 and click the “Get Report” button.

23Here we see several invoices have been submitted (“PVTINV”) in Description column) and several payments received (indicated in brackets in the amount column.) The balance the sponsor owes us is $24,521.23.

A/R Balance

Non-bracket items are A/R Set-ups

*$50,695.48

24What Money received without a What Money received without a request from EFM looks like in the request from EFM looks like in the Financial SystemFinancial System

If the sponsor submits a payment without an invoice, it is credited directly to the revenue account of the fund (financial column) In this case, the amount is the Financial column DOES represent cash received

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$60.000 shows in the Financial (revenue)

column because we’ve received payment.

Let’s click this revenue account to gain access to the Detailed General Ledger…

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Adjust your dates. In this case we are going to change the dates to September 2008 to May 2009 and click the “Get Report” button.

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We see that two payments for $30,000 each have been received.

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Like the fund summary report, you can only view one month at a time in the Contracts and Grants Accounts Receivable report. If you want to view more than one month, you must go through the Detail General Ledger and type in the account number that begins with “1”

31How do I Search A/R By Sponsor?How do I Search A/R By Sponsor?

From the A/R report under CG Reports tab, select “Sponsor Code”

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Type in Sponsor code. If you do not know the code, you can search by

typing Sponsor name the “find” box.Here we want to know the receivables

for Jet Propulsion Laboratory as of May, 2009. Click the “Get Report”

button

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Results were two printed pages…

34How do I Search A/R By PI?How do I Search A/R By PI?

From the A/R report under CG Reports tab, select “PI”

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Type in PI code. If you do not know the code, you can search by typing PI’s last

name, and selecting result from the drop down menu. Here we want to

know the receivables for Dr. Michael Lu as of May, 2009. Choose a time period.

Click the “Get Report” button

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Dr. Lu has $91,316.95 outstanding in receivables.

37How do I Search A/R by Department Code?How do I Search A/R by Department Code?

From the A/R report under CG Reports tab, select “Department”

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Type in Department code. Here we want to know the receivables for NPI,

which is department code 2000. Choose a time period. Click the “Get

Report” button

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Results were five printed pages…

40How do I search the A/R by an How do I search the A/R by an Account Number?Account Number?

From the Account Summary report under the SUMMARY tab, select “Account”

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Type in the code. Here we type in the Receivable account for the State. Click

the “Get Report” button

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Results were seven printed pages…

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How do I Search the A/R for a particular How do I Search the A/R for a particular fund for more than one month?fund for more than one month?

We go to the Detail tab, and look through the Detail General Ledger…

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Type in the fund number and the A/R account, which is 112679 – Private

Grants and the time period. Click the “Get Report” button

Fund

Time Period

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Results were five printed pages…

46Accounts Receivable Report by Department is Accounts Receivable Report by Department is also available from the Summary Tabalso available from the Summary Tab

47What Happens When A Sponsor What Happens When A Sponsor DoesnDoesn’’t Pay?t Pay?

In some instances, a sponsor reneges on their contractual agreement and defaults on payment even though payment requests were timely and deliverables were met; the department is liable for these expenses

The DEPARTMENT is responsible?

The DEPARTMENT is responsible?

48Reasons For Sponsor DefaultReasons For Sponsor Default

Out of businessSponsor did not include UCLA expenses on report to prime (in cases when UCLA is the subrecipient)Carry-forward issuesCash flow issues

49Accounts Receivable TeamAccounts Receivable Team

Maurice Taylor – Supervisor, ext. 42843Olga Sanders – Prin. Analyst, ext. 42837Kaaren Davis – Senior Analyst, ext. 46988Shelia Oatis – Admin Analyst, ext. 63204

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ERS Management ReportsERS Management Reports

Jackson Jeng Jackson Jeng ORA ORA

Office for ResearchOffice for ResearchInformation SystemsInformation Systems

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OverviewOverviewBACKGROUNDEffort Reporting is a research compliance responsibility of the Institution as well as the researchers.Exposure to compliance riskLimitations in the current ERS system

SOLUTIONERS Management ReportsIncrease visibility, manageability, & cert. rate Minimize compliance riskAvailable through ORA Research Portal

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ERS Management Reports ERS Management Reports –– Release 1Release 1

FEATURES:

Interactive web‐based report

View certification rates by:

Fiscal Year/Quarter/Org. Hierarchy

Effort Reporting Status

On all researchers within Department

ACCESS:

ORA Portal (http://portal.research.ucla.edu)

Security: require UCLA ID authentication

Demo today, available within next week

http://portal.research.ucla.edu

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ERS Management Reports ERS Management Reports –– Future Future ReleasesReleases

Future enhancements:

All years cumulative view

Report counts and rates side‐by‐side

On‐time vs. late certification

Feedback and Comments Welcome

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System Demo

Gloria SuORIS

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OPRS HRPP OnOPRS HRPP On--Line IRB Approval Line IRB Approval Materials; Update on Western IRBMaterials; Update on Western IRB

Alisa Irwin Alisa Irwin ORA ORA

Office for the Protection of Office for the Protection of Research SubjectsResearch Subjects

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IRB Approval Materials Online IRB Approval Materials Online Beginning July 1Beginning July 1

IRB approval materials will be posted online –hard copies will no longer be mailed or available for pick-up

PI and study contacts will receive email notification from the IRB when materials are available

Documents will be posted on the ORA online research center portal

Location: Compliance > IRB Protocol Review Status Report

Human Research Protection Program

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UCLA Western IRB Migrating to UCLA Western IRB Migrating to OPRS in JulyOPRS in July

Effective July 1: UCLA Western IRB (WIRB) administrative functions will be managed by OPRS

New UCLA WIRB email address: [email protected]

New UCLA WIRB contact: Alisa Irwin, Medical IRB Assistant Director, (310) 825-4849

More details to be announced via OPRS Human Research News…

Human Research Protection Program


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Update on Update on webIRBwebIRB

Carrie FisherCarrie FisherORA ORA

Office for Protection Office for Protection of Research Subjectsof Research Subjects

What is webIRB?

Web-Based IRB Submission, Review and Tracking System

How does it support Investigators and Research Staff?

Complete and submit IRB applications online


Track status of submissions

Receive feedback and approvals online


Receive automatic reminders when Reports are due


Homepage with access to information on all studies

What’s been going on for the past year?

• July, 2008 Beta Test Feedback:

Simplify the applicationProvide guidance on how to answer itemsAllow mechanism to identify and route applications for expedited and exempt reviewProvide additional content for SB studiesMeet AAHRPP standards

What’s been going on for the past year?

• Rewrote and Programmed the Application

• Working on Workflow Configuration, Interfaces User Authentication, Data Transfer, Security, Load Testing, Documenting Procedures

Where are We Going from Here?

• Functional Testing#1: June 22 – July 2 (IRB Staff)#2: July 20 – 31 (Investigators & Research Staff)

• August - November: IT Issue Resolution

• Winter: Begin Training and Go-Live

Questions?

Volunteers for Functional Testing

[email protected]


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Questions and DiscussionQuestions and Discussion