CON Office of Research and Financial Management

Report
College of Nursing
Administrative Affairs
Office of Research
Financial Management
Unit Research Administrator Roles
and Responsibilities
• The URA reports directly to the Chief
Operating Officer (COO) of the College who
is responsible for all fiscal and operational
aspects of the college (dotted line reporting
to Dr. Cindy Munro, Associate Dean of
Research).
• The URA’s primary responsibility is to protect
and preserve the fiscal and human resource
assets of the university/college.
• Adjunct to the PI to assist with
adherence to federal and state laws,
granting agency requirements, and
university policies and procedures.
• Works alongside the PI to insure the
successful fiscal management of all
project funds.
• Assist development of pre-award
budget proposal setup.
URA
• Serve as liaison with:
– University Division of Sponsored Research (DSR)
• This is pre-award budget
– University Research Financial Management
(RFM)
• This is post-award financials, close outs, etc.
– Other USF and external offices based on
functionality.
The best practice for the PI
is to
ASK FIRST
we are here to help!
How does your URA assist with
Proposal Development?
• Review program announcement to
ensure proposal compliance with
sponsor and university requirements.
• Assist with budget development
including:
–
–
–
–
Calculation of direct costs, cost share, etc.
Assist in preparing budget justifications .
Review sub-recipient budgets.
Questions scope of work, unmet needs,
etc.
AWARD MANAGEMENT
(You’ve got the money now what?)
• Assist PI and University’s Division of Sponsored
Research (DSR) with insuring that the project
scope and deliverables match the budget,
invoicing and reporting requirements.
• Review award document including terms and
conditions for proper disposition of funds.
• Schedule meeting to review the CON Checklist
for New Grant Award. (Appendix A)
• Prepare Grant Budget Release and Subaccount
Establishment Forms to request project
chartfields and allocate funds to appropriate
budget categories
http://www.research.usf.edu/dsr/forms.asp
AWARD MANAGEMENT, cont.
• Assist PI with proper HR steps needed for
recruitment of new project staff.
– Liaison with COO and CON HR staff
– Only the Dean can make offers of employment
• Assist PI with adjustments to payroll distribution
– Feeds into PERT – personnel effort report
– http://usfweb2.usf.edu/uco/research/pertgeneral.asp
• Process, on behalf of PI, budget transfers.
AWARD MANAGEMENT, cont.
• Assist PI with approvals:
– Change in PI or personnel
– Budget revisions
– Extensions (cost and no-cost)
– Assist new faculty with transfer of existing awards
to USF
FINANCIAL MANAGEMENT
-day to day monitoring
• Set up and maintain financial project files.
• Prepare monthly reconciliation.
• Perform quarterly projections (and as
needed).
• Review and monitor vendor invoices.
• Review, prepare and/or approve travel
authorization and expense reports.
• Collaborate with CON HR office on hiring
project staff.
FINANCIAL MANAGEMENT, cont.
• Review purchase requisition request and P-card
transactions
• Monitor inter-departmental charges.
• Perform financial compliance services on project
expenditures.
• Assist PI with financial reports to sponsor (which are
prepared by RFM).
• Assist COO with file management and audits.
COLLEGE SPECIFIC
• The CON has two (2) URA positions that
support sponsored projects, Research Incentive
Accounts (RIA), Internal USF and CON pilot
awards, CON start-up commitments , Research
Foundation, and USF Foundation researchbased concession accounts. (Appendix B)
• Project Ledgers/Reconciliation:
– A copy of the university ledgers will be provided
to PI once per month (signature from PI is
required and after second attempt document
will be placed in mailbox). (Appendix D)
– CON Reconciliation Report will be provided at
the end of the month. (Appendix C)
College of Nursing
RECONCILIATION REPORT
For Month/Year: July 2012
APPENDIX C
PROJECT TITLE:
PRINCIPAL INVESTIGATOR:
SPONSOR:
BUDGET PERIOD:
RECONCILATION RUN DATE:
CHARTFIELD:
Budget Codes
83000
83100
83300
83400
83410
83420
83430
83500
83550
83600
83700
83750
83800
83850
83860
83900
07/01/2012
07/01/2012
HSC
Oper Unit
through
through
625000
Dept ID
Budget Categories
Salaries/Wages/Fringe
Wages-Admin Clerical
Food (CAS)
Expense (Non-CAS)
Travel-Domestic
Expense (CAS)
Software Lease, License, Maint
Subcontracts > $25K
Subcontracts < $25K
Tuition/Stipends
Participant Costs
Patient Care Costs
Equipment, General Use (CAS)
Equipment Res Computers
Equipment Res Lab
Non-Grant Related
6/30/2013
7/31/2012
20000
Fund
Total YTD
Expenditures
Budget
000000
Product
0000000
Initiative
6201234567
Project
Estimated
Total
Encumbrance Commitments Commitments
Remaining
Spending
Authority
% Budget
Uncommitted
Subtotal Direct Costs
83950 Indirect Costs
TOTAL COSTS
Revenue Collected:
$
Comments:
Prepared By:
Date
Reviewed By: Anne Phillips, COO
Date
Reviewed By:
Date
Principal Investigator
APPENDIX D
College of Nursing Ledger Sign Off
Month of ________________
Name
Sign & Date
First
Attempt Date
Second
Attempt Date
Date Placed
in Mail Box
Project Projections:
• For most awards, at-a-glance projections will be run monthly
along with the monthly ledger reconciliation process.
Project Research Advance:
• Request for research advances should be made 4 weeks in
advance.
• Direct deposit is the preferred method to receive funds.
Office Supply Purchases
• Purchases for all standard office equipment and supplies will
be made once a week.
• Supply request should be made by email to your URA by
Wednesday evening for a Monday delivery.
Designated Work Times
In order to maintain an effective work environment
and meet college and university deadlines, your Unit
Research Administrator has designated days for
specific services.
Appointments and Pre-Award Budget Preparation
• Cathryn Branch – Monday
• Janice Walker – Wednesday
Closed Door
• Cathryn Branch – Thursday
• Janice Walker – Tuesday
For emergencies, see backup URA for assistance or speak with the COO.
REFERENCE RESOURCES
•
•
•
FacultyOne-Stop is HIGHLY recommended for all Nursing facultyand provides
USF Researchers with one-stop quick references for each phase of the research
administration life cycle with links to forms, tools and training.
http://www.research.usf.edu/train/facultyOne.asp
OMB Circular A-21 federal circular establishes principles for determining
reasonable costs applicable to grants, contracts, and other agreements with
educational institutions. Applies to all federally funded grants, contracts, and
cooperative agreements at USF. Designed to provide that the costs charged to
the federal government be determined in accordance with generally accepted
accounting principles. See section for information on allowability of specific
costs on federal awards. http://www.whitehouse.gov/omb/circulars_a021_2004
OMB Circular A-110 Federal circular A-110 addresses uniform administrative
requirements across federal agencies and sets standards for obtaining
consistency and uniformity among federal agencies in the administration of
grants to and agreements with institutions of higher education. Recipients shall
apply the provisions to sub-recipients performing substantive work under grants
and agreements that are passed through or awarded by the primary recipient, if
the sub-recipient is also subject to the circular.
http://www.whitehouse.gov/omb/circulars_a110
•
•
•
•
OMB Circular A-133 This federal circular establishes standards for obtaining
consistency and uniformity among federal agencies for the audit of states, local
governments. USF is subject to A-133 and the auditing protocols and
requirements.http://www.whitehouse.gov/omb/circulars/a133_compliance_sup
plement_2011
Federal Acquisition Regulation The Federal Acquisition Regulation (FAR) is the
primary regulation for use by all federal executive agencies in their acquisition of
supplies and services with appropriated funds.
http://farsite.hill.af.mil/vffar1.htm
USF Travel Policy The Travel Policies and Procedures Manual provides the user
with policies and procedures applicable to authorized travel for official
university business. Travel policies and procedures apply to all university
departments. Employees may be required to abide by other travel procedures
required by a grant or contract, or other travel rules and requirements
established by the department.
http://usfweb2.usf.edu/uco/travel/TravelRulesRequirements.asp
Cost Accounting Standards (CAS) Oversight This web link will direct you to the
area on the Office of Sponsored Research website which discloses to the federal
government the processes, methodologies, and policies by which costs are
determined, allocated, and assessed. This document explains such items as
treatment of unallowable costs, determination of direct and indirect cost
categories, cost transfer policies, mechanisms for effort reporting,
etc.http://www.research.usf.edu/dsr/cas.asp
•
•
•
CCHIP's The CCHIP (Clarification or Change in Procedure) concept
was created to provide a means to distribute procedural updates or
reminders relative to the fiscal management of research awards. The
below listed CCHIPs were developed within Research Financial
Management and have been reviewed and endorsed by the both the
Research Management Council and the Associate Deans for
Research.http://usfweb2.usf.edu/uco/research/CCHIP.asp
Research Participant Costs To encourage participation, research
studies often pay their study subjects. There are several regulatory
issues related to these payments, including confidentiality and
privacy, tax reporting, and appropriate controls over the asset(s) used
to make payments. This policy specifically addresses gift cards as a
form of payment.
USF Business Processes (COMPASS) Training on USF policies and
procedures. http://compass.custhelp.com/app/home
USF WEBSITES:
• USF Human Resources (staff and admin
hires)http://usfweb2.usf.edu/human-resources/
•
USF Health Faculty Affairs (faculty
hires)http://health.usf.edu/facultyaffairs/index.htm
•
USF Comptroller (travel, purchasing, accounting)
http://usfweb2.usf.edu/uco/
•
USF Division of Sponsored Research http://www.research.usf.edu/
•
USF Research Financial Management
http://usfweb2.usf.edu/UCO/research/
OUR GOAL
• Striking the Balance between service and
compliance
– Preserve and protect the university and college
– Advisement, Dean and Research Dean of CON
– Utilize federal resources as they are intended
•
•
•
•
Reasonableness (business sense)
Allowability (Circular)
Consistency (everyone does it)
Uniformity (does it the same)
– Assist the PI in award management
– Personal growth and development
Questions

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