Thursday, January 29th, 2015 RA Town Hall

Controller’s Office
Research Administration Town
Thursday, January 29, 2015
10:00-12:00 PM
HSW-301 w/ a live broadcast to Genentech Hall, Byers
Auditorium at Mission Bay & Room 116 at the Fresno
Campus & Live Webcast
Contracts and Grants Accounting
Peili Zhu
Stephanie Morgan
Nilo Mia, Regnier Jurado, Rick Blair
Rick Blair
Rick Blair
Joyce Abe
Michael Grafton
Dual Usage of Research
Export Controls
Uniform Guidance
On & Off Campus F&A Changes
Cost Share Guidance Clarification
NOT-OD Updates
Award Hot Topics
Controller’s Office
Export Controls
Controller’s Office
What is an Export?
An “export” occurs anytime an item or information is
transferring or taking
tangible items and
information outside of
the U.S.
Releasing information in
any format accessible
including visual and oral
disclosure, technical data,
technology to a non U.S.
person, in the U.S. or
technical assistance,
training, repair, or
other services for, or
on behalf of, foreign
nationals or entities,
whether in the U.S. or
Controller’s Office
Export Control and Responsible Agencies
The U.S. government maintains three primary sets of export control regulations that may
impact University research.
• The Department of Commerce Export Administration Regulations (EAR) regulate
exports of commercial items with potential military applications and dual-use items.
These regulations include: Commerce Control List (CCL), Denied Persons List, Entity
• The Department of State International Traffic in Arms Regulations (ITAR) regulate
exports of items and services specifically designed for military applications. These
regulations include the U.S. Munitions List (USML)
• The Treasury Department’s Office of Foreign Asset Controls (OFAC) prohibits
transactions with countries subject to embargoes and trade sanctions. Sanctioned
countries include: Iran, Syria, China, North Korea, Sudan and Russia. These
regulations include the Specially Designated National List (SDNL).
Controller’s Office
Fundamental Research Exclusion
information that qualifies as “fundamental research” is not
subject to export control regulations.
Transactions involving
embargoed sanctioned
countries and
Research involving
creation or use of
Fundamental Research does not include:
Exports of software,
technology, biological
material, chemicals
and hardware
Defense articles and
export restricted
technology and
data received from
a sponsor
These activities are not protected and our subject to export control.
Controller’s Office
What might need a license?
 Chemical processing equipment (ECCN 2B350)
 Software
 Technology (Development, Production, Use)
 Foreign worker in US facility (deemed export)
 Biological agents and genetic elements (1C351-1C360)
 Chemicals (ECCN 1C350-354)
 Biological processing equipment (ECCN 2B352 - such
as BSL 3 and 4 facilities)
Controller’s Office
Commerce Control List (EAR)
0-Nuclear & Miscellaneous
1-Materials, Chemicals, Microorganisms
and Toxins
2- Materials Processing
A= Systems, Equipment and
B=Test inspection/Product
5- Part 2 Information Security
6-Sensors and Lasers
E=Technology/Tech Data
7-Navigation and Avionics
9-Aerospace and Propulsion
The last 3 characters tell you the numerical order and “reasons for control”
000-099-National Security
100-199-Missile Technology
200-299-Nuclear Proliferation
900-999-Unilateral Foreign Pol.
980-989-Crime Control
990-999-Anti-terrorism or UN
Controller’s Office
Example ECCN:6A001
Category 6-Lasers/Sensors
001-National Security
U.S Munitions List (ITAR)
Category I
Firearms, Close Assault Weapons, and Combat Shotguns
Category II
Materials, Chemicals, Microorganisms, and Toxins
Category III
Category IV
Launch Vehicles, Guided/Ballistic Missiles, Rockets,
Torpedoes, Bombs, and Mines
Category V
Explosives and Energetic Materials, Propellants,
Incendiary Agents,
Category VI
Vessels of War and Special Naval Equipment
Category VII
Tanks and Military Vehicles
Category VIII
Aircraft and Associated Equipment
Category IX
Military Training Equipment
Category X
Protective Personnel Equipment
Category XI
Military Electronics
Category XII
Fire Control, Range Finder, Optical, Guidance, and
Control Equipment
Category XIII
Auxiliary Military Equipment
Category XIV
Toxicological Agents, Including Chemical Agents,
Biological Agents, and Associated Equipment
Category XV
Spacecraft Systems and Associated Equipment
Category XVI
Nuclear Weapons, Design, and Testing Related Items
Category XVII
Classified Articles, Technical Data, and Defense Services
Not Otherwise Enumerated
Category XVIII
Directed Energy Weapons
Category XX
Submersible Vessels, Oceanographic, and Associated
22 CRF 121.1
Controller’s Office
Procurement and Export Control
 Purchase requisitions- first in line in identifying export controlled items.
Contact the supplier/manufacturer (recommended)
 Since ITAR inventory is restricted from foreign national access even where
intended for use in fundamental research, it is important for Procurement
to identify any ITAR items that are the subject of a purchase transaction.
 Software classified as EAR99 and is being flagged for general “boilerplate”
purposes, would have to be evaluated for as these items would be subject
to OFAC and EAR regulations.
 If software that is controlled under an ECCN (e.g. due to cryptographic
functionality), then UCSF will need to address the access control
implications associated with any potential proprietary technical data that
is not in the public domain.
 Where an item is identified by a vendor as being governed by ITAR (or
where Procurement has independent information that the item is ITARgoverned), Procurement shall immediately notify Export Control
Administrator of such intended procurement, enabling Administrator to
determine whether, in fact, the department or laboratory is equipped to
restrict such item as necessary under the ITAR regulations. The
procurement process of such ITAR items may be not be completed until
such time as the Administrator has approved of the procurement.
Controller’s Office
Procurement and Export Control
 When an “export control” notification accompanies the software license or
agreement to license, refer licensor’s export control language to the Export
Administrator to determine the actual level of control; if there is a specific
level of control, the Administrator will determine and communicate related
access and transfer restrictions.
 The following language may be used in Procurement purchase orders or
Master Sales Agreements to help identify ITAR item(s):
• “Vendor/Supplier will provide the export control classification (USML Category No) associated
with the commodity being purchased or licensed, to the extent that this item is controlled
under the International Traffic in Arms Regulations (ITAR).”
 The following language may be used to alert the PI or requisitioning Lab
personnel to the ITAR issue:
Based on information provided from the vendor of this instrument (or other named item),
this item is export controlled under the International Traffic in Arms Regulations [identify
control level]. ITAR items require that foreign national researchers and staff be restricted from
accessing such equipment. As such, UC’s Export Administrator is currently evaluating all
export control access implications The Procurement team is monitoring the situation closely,
and will, along with Administrator communicate the final outcome of this evaluation.
Controller’s Office
ITAR Certification
Controller’s Office
Restricted Party Screening (RPS)
Who should be screened in Visual Compliance?
Vendors, foreign sponsors, MOU, MOA, service partners,
institutional collaborators
Where should screening be done?
HR, Purchasing, Finance, Shipping, Sponsored Research,
Student Services, Security and Export Control
When should screening be done?
Prior to Business activities / transactions start
Do I have to screen every person / every entity?
Controller’s Office
Thank you for your time
Please email [email protected] with questions or comments.
 UCOP, Export Control
 Office of Foreign Assets (OFAC)
 Bureau of Industry and Security
 Department of Commerce
Dual Usage of Research
Peili Zhu, Biosafety Officer
Environment, Health and Safety
UC San Francisco
Controller’s Office
Dual Use Research In The Life Sciences
Good science can be put to bad uses
Dual use research (DUR) is research conducted
for legitimate purposes that generates
knowledge, information, technologies, and/or
products that can be utilized both for
benevolent and harmful purposes
Controller’s Office
Dual Use Research of Concern (DURC)
Most life sciences research conceivably could be
considered DUR in that it has some potential to
generate information that could be misused
Controller’s Office
Dual Use Research of Concern (DURC)
There is a subset of research that has the
greatest potential for generating information
that could be readily misused in ways that
threaten public health and national security.
Such research has been termed Dual Use
Research of Concern (DURC) and is the focus of
the US Government oversight policies
Controller’s Office
US Government Definition of DURC
Life sciences research that, based on current
understanding, can be reasonably anticipated
to provide knowledge, information, products,
or technologies that could be directly
misapplied to pose a significant threat with
broad potential consequences to public health
and safety, agricultural crops and other plants,
animals, the environment, materiel, or
national security.
Oversight of DURC
The dual use potential of certain life sciences
research has been recognized as an important
biosecurity issue for a number of years
Managing the risks associated with DURC is a
responsibility shared by:
Journal editors and publishers
Institutional officials
Local oversight bodies
The Federal government
Controller’s Office
US Government Policies for DURC Oversight
These policies:
Aim to preserve the benefits of life sciences
research while minimizing the risk of misuse
of the knowledge, information, products, or
technologies provided by such research; and
Complement existing regulations and policies
governing the safe and secure use of
pathogens and toxins
Controller’s Office
Research Subject to the Policies
 Does research involve one or more of 15
agents or toxins listed in the Policy?
 Does research aim to produce one of seven
listed experimental effects?
 Does research meet definition of DURC?
Research Subject to the Policies
Requires additional Federal
and local oversight and risk
mitigation strategies to
address dual use concerns
The US Policy for Oversight of Life Sciences
DURC (March 2012)
 Requires Federal departments and agencies to
review their research portfolios, both
intramural and extramural, to:
 Identify all research under the policy with
DURC potential
 Mitigate the risks posed by any DURC
The US Policy for Oversight of Life Sciences
DURC (Sept. 2014)
 Institutional oversight of DURC is a critical
component of a comprehensive oversight
system that involves:
 Principal Investigators (PIs)
 Institutional Review Entity (IRE)
 Institutional Contact for Dual Use
Research (ICDUR)
 United States Government (USG)
Overview of the Process for Institutional DURC
PI identifies research that involves any of the
15 listed agents
Institutional Review Entity (IRE):
 Determines whether the research involves any of the 7
experimental effects;
 If so, conducts a risk assessment to determine whether the
research is DURC;
 If so, weighs the risks and benefits and develops a draft risk
mitigation plan
What Research is Subject to the Policy?
Research that directly involves any of the following
15 agents and toxins*
Avian influenza virus (highly pathogenic)
Bacillus anthracis
Botulinum neurotoxin (in any quantity)
Burkholderia mallei
Burkholderia pseudomallei
Ebola virus
Foot-and-mouth disease virus
Francisella tularensis
Marburg virus
Controller’s Office
What Research is Subject to the Policy?
Reconstructed 1918 Influenza virus
Rinderpest virus
Toxin-producing strains of Clostridium
Variola major virus
Variola minor virus
Yersinia pestis
* Except attenuated strains of the agents that
are excluded from the Select Agent list and
inactive forms of botulinum neurotoxin
Controller’s Office
What Research is Subject to the Policy?
Experimental effects
Enhances the harmful consequences of the agent
or toxin
Disrupts immunity or the effectiveness of an
immunization against the agent or toxin without
clinical and/or agricultural justification
Confers to the agent or toxin resistance to
clinically and/or agriculturally useful prophylactic
or therapeutic interventions against that agent or
toxin or facilitates their ability to evade detection
Controller’s Office
What Research is Subject to the Policy?
Experimental effects
Increases the stability, transmissibility, or the
ability to disseminate the agent or toxin
Alters the host range or tropism of the agent
or toxin
Enhances the susceptibility of a host
population to the agent or toxin
Generates or reconstitutes an eradicated or
extinct agent or toxin listed in the policy
Controller’s Office
Determine if the Research Meets the Definition
If the research with any of the 15 agents
involves any of the 7 experimental effects,
conduct a risk assessment to determine if it
meets the following definition:
Controller’s Office
Determine if the Research Meets the Definition
Life sciences research that, based on current
understanding, can be reasonably anticipated to
provide knowledge, information, products, or
technologies that could be directly misapplied to
pose a significant threat with broad potential
consequences to public health and safety,
agricultural crops and other plants, animals, the
environment, materiel, or national security.
Controller’s Office
Risk Assessment and Risk Mitigation
For projects that are determined to meet the
definition of DURC, the IRE must develop a
risk mitigation plan to apply any necessary
and appropriate risk mitigation measures
Controller’s Office
Management of DURC-Associated Risks
DURC risk mitigation strategies may include:
Changing the design or conduct of the
research or not conducting certain aspects of
Applying specific biosecurity and/or biosafety
Developing a plan for monitoring the research
for findings with additional DURC potential
Controller’s Office
Management of DURC-Associated Risks
DURC risk mitigation strategies may include:
Developing plan for responsibly
communicating the results of DURC
In rare instances, when appropriate,
restricting communication of experimental
details or other specific information
Controller’s Office
Key Responsibilities of Investigators
Identify and refer to the IRE all research
involving one or more of the agents or toxins
listed in the Policy, along with an assessment
of whether the research involves any of the
seven listed experimental effects
Work with the IRE to assess the dual use risks
and benefits of the research in question and
develop risk mitigation measures
Controller’s Office
Key Responsibilities of Investigators
Conduct DURC in accordance with the risk
mitigation plan
Be knowledgeable about and comply with all
institutional and Federal policies and
requirements for oversight of DURC
Continue to assess research to determine if, at
any time, the research becomes subject to the
Controller’s Office
Key Responsibilities of Investigators
Ensure that laboratory personnel conducting
research with any of the 15 listed agents have
received education and training on DURC
Communicate DURC in a responsible manner,
throughout the research process, not only at
the point of publication
 Ensure that communication is in compliance with
the risk mitigation plan approved by the
appropriate Federal funding agency
Controller’s Office
Key Responsibilities of US Government Funding
Require policy implementation at all
institutions subject to the Policy.
When notified by an institution of research
meeting the scope of the Policy:
 Notify the institution when the USG funding
agency disagrees with any part of the IRE’s review
 For research determined to be DURC, work with
the institution to finalize a risk mitigation plan
Controller’s Office
Key Responsibilities of US Government Funding
Respond to questions from institutions
regarding DURC oversight and compliance
with the Policy
Respond to reports of non-compliance and
work with the institution to address such noncompliance
Controller’s Office
Companion Guide
Available at:
Controller’s Office
Contact the UCSF Biosafety Officer,
Peili Zhu, if you have any questions or
Tel: 514-2824
E-mail: [email protected]
Controller’s Office
Uniform Guidance Topics
 Administrative & Computing Charges
 Change In Foreign F&A Rate
 Participant Support Cost vs. Research
Subject Payments
Nilo Mia
Regnier Jurado
Controller’s Office
Rick Blair
Uniform Guidance: Administrative and
Computing Device Charges
Allowable Costs
Computing Devices §200.453 & 200.453(c)
 Allowable direct cost when the device is essential,
allocable and used to advance the aims of the project,
but may be used for other purposes as well.
How is computing device defined?
 Computing devices are defined as machines used to
acquire, store, analyze, process, and publish data and
other information electronically, including accessories
(or “peripherals”) for printing, transmitting and
receiving, or storing information. §200.20
Controller’s Office
Direct Charging of Computing Devices
 Computing devices < $5,000 that are essential and
allocable, but not solely dedicated to the performance of a
federal award, may be charged 100% to an award or may
be allocated to several awards. Computing devices > $5,000
are considered equipment and must be appropriately
described in the proposal budget.
 No prior agency approval is required however, computing
devices should be itemized in the proposal budget.
 In addition, the project must not have reasonable access to
other devices or equipment that can achieve the same
purpose. Devices may not be purchased for reasons of
convenience or preference. (Essential to aims of project)
Controller’s Office
Allowable Costs
Direct Costs - Administrative and Clerical
 Allowable direct cost when administrative and clerical
staff services are:
 Integral to the project. Essential to the project’s goals and
objectives, rather than necessary for the overall operation of
the institution;
 The individual(s) can be specifically identified with the
project or activity;
 Such costs are explicitly included and awarded in the budget
or have written approval by the sponsor. Approval may be
requested through the proposal or in writing after the award
is made.
 Costs are not also recovered as indirect costs.
Controller’s Office
Examples of Administrative and Clerical
 Allowable
 Management and organization of large complex group and annual
 Project/activity website development.
 Management of teleconferences and other communications.
 Coordination of scientific meeting presentations and publication of
 Management of internal data and reagent sharing or shipping.
 Tracking project progress and meeting NIH reporting requirements of
 Management of the participation of the Advisory Panel.
 Management of sub-recipient agreements.
 Unallowable
 Monthly general ledger reconciliation.
 Monthly budget status reports.
 Purchasing.
Controller’s Office
Additional Guidance
(To Be Vetted)
 Administrative and clerical threshold needed to ensure
“reasonable” amounts and levels of effort are
contributed to the project or activity and that the work
is intimately related to work under the agreement.
 Personnel costs must be integral and essential to the
performance of the award or activity.
 Administrative and clerical support must not be incidental
which is defined as individual annual effort less than 10%
or less than $3,000 dollars budgeted per year.
 Instances where individual(s) is on 3 or more awards and
cumulative annual effort charged to federal sources is
equal to or greater than 75%, budgets must be evaluated
for appropriateness with university and federal guidelines.
Controller’s Office
Uniform Guidance: Change In Foreign F&A Rate
Change in Foreign F&A Rate
Proposals are being submitted at 10%
until NIH provides new guidance
Subawards under existing awards will
remain at 8%
Uniform Guidance: Participant Support Cost vs.
Research Subject Payments
Participant Support Costs
Participant Support Costs must be separately identified from
other Research Subject Payments as participant support costs
cannot be assessed F&A under the new the Uniform Guidance
 Participant Support Costs are items such as stipends or
subsistence allowances, travel allowances, and registration
fees paid to or on behalf of participants or trainees (but not
employees) in connection with conferences, or training
 A new GL account 57824 has been created to track these costs
 Research Subject Payments, also known as patient
incentives and respondent fees, are small payments made
to individuals who are participating in a research project as
a “human subject”
 Use existing GL Account 57823
 A new MTDC Base Code “R” will be effective March 1
Controller’s Office
Uniformed Guidance Resources
UCSF Website
Office of Sponsored Research-Uniform
Controller’s Office
On & Off Campus F&A Changes
Controller’s Office
UCSF Operating Principles
The following provides principles and guidance related to F&A (indirect) costs
for faculty who are moving from off- to on-campus locations:
 We do not expect support for researchers’ efforts to be negatively
impacted by a change in their work location. As a result, researchers will
not be asked to “make up” for any change in indirect rates through a
reduction of their direct cost budgets.
 Efforts will be made to negotiate a change in the indirect rates to reflect
the proper location of the work. Our goal is to capture as much of the
indirect costs as possible.
Controller’s Office
UCSF Operating Principles
 If a negotiation to the new, higher on-campus rate is not possible as it
would require an increase in total funds awarded, then we will attempt to
negotiate a reduced on-campus rate that is equal to the budgeted offcampus rate and rent (note, this keeps the budget whole). If the sponsor
will not agree to this rebudgeting of costs, the budget will not be revised
until there is a competitive break that will allow for inclusion of the new
on-campus rate (note, this leaves unspent budget on the table equal to
the rent).
 This reduced on-campus rate will be calculated on an award by award basis by
CGA with 3 days lead-time for the request. Submit request to the Assistant
Controller – CGA.
 Following competitive breaks, awards are expected to include the oncampus indirect rate. Waivers for exceptions must be supported by the
Controller’s Office
UCSF Operating Principles
 Where the award budget plans for the change in rates, the new rate will
be implemented effective the date of the move. If the budget did not plan
for the proper date of the move (i.e., the budget planned for the move in
January and it occurred in October) and the actual F&A charges exceed
the budgeted F&A plus rent for the months in question, the department
RSA may ask for F&A adjustment from the Assistant Controller – CGA. The
adjustment will be granted to ensure there is no negative impact from this
change in work location.
 CGA has obtained a list from facilities for some moves, where we cannot
obtain this information an email from the RSA to CGA representing the date of
the move is sufficient documentation to update the award records. The email
should be submitted no later than 2 weeks prior to the move.
Controller’s Office
Cost Share Guidance Clarification
Controller’s Office
Cost Sharing Guidance Updated
CGA and RMS have updated the cost sharing guidance to
help distinguish between voluntary committed and
uncommitted cost sharing
 A new Cost Sharing Summary job aid and additional
FAQs has been posted to the CGA website
 The new guidance clarifies for voluntary committed
cost sharing to occur, the effort had to be both
quantified in the accepted budget and the award
notice had to be silent on cost-sharing requirements
Controller’s Office
Does Cost Sharing Make the Proposal More
Under the Uniform Guidance, cost sharing on
federal proposals will not be a factor during the
merit review of a proposal except when allowed
in the program announcement
The only time cost share increases the chance for
funding is when cost sharing is required or where
the request for proposal or funding
announcement explicitly states that cost sharing
is a review criterion
 Some sponsors, such as NSF, actually prohibit cost
sharing unless specifically required by a solicitation
Controller’s Office
Cost Sharing is a Burden
Committed cost sharing requires carefully
tracking and reporting by department and CGA
If the department is unable to fulfil the cost
sharing commitment, the sponsor may have the
right to reduce or cancel the award
The cost sharing portion is included in the
organized research base for computing or
allocating F&A costs, i.e., when UCSF negotiates
our F&A rate, it lowers our F&A rate
For more details, please see the updated job aid
and updated FAQ’s at
Controller’s Office
NOT-OD Updates
Controller’s Office
NOT-OD-15-032 New Biosketch Format
NOT-OD-15-039 Late Application Submission
NOT-GM-15-102 NIGMS Revised Funding
NOT-OD-15-044 NIH Rollout of ASSIST
NOT-OD-15-048 FY-2015 NRSA Stipends
New NIH Biosketch Format
Becomes Mandatory May 25, 2015 and
New Section C requirements
Use of SciENcv to build and maintain multiple
NIH Biographical Sketch Format webpage
Controller’s Office
Late Application Submission Policy
Effective starting with January 25, 2015 due dates
2-week Window of Consideration from published
due dates on PA, RFA and PAR
RFAs that specify that No Late Applications will be
New Investigator R01 applications with special due
dates that have already been extended
NIGMS Revised Funding Guidelines
Effective for applications due on/after January 2,
Limits the number of NIGMS research grants
awarded to Investigators with substantial, longterm, unrestricted support
Howard Hughes Medical Institute Investigators
Holders of endowed chairs supporting undefined
Recipients of gifts that support research
NIH Rollout of ASSIST during 2015
ASSIST will be opened as an option to submit
most competing applications for grant programs
and cooperative agreements
Reminder: UCSF uses a system-to-system
solution (eProposal) to submit through the
federal portal
ASSIST may be considered as an option as it becomes
available for FOAs that are not supported by
Rollout by activity code will commence at the end of
January 2015 with small research grants (R03) and
exploratory/developmental grants (R21)
FY-2015 NRSA Stipends Levels
Effective October 1, 2014
For Kirschstein NRSA Awards
NIH Individual Fellowships (F series)
NIH Institutional Training Grants (T series)
The following remain unchanged:
Tuition and Fees calculation and caps
Training Related Expenses on Training Grants
Institutional Allowance for Individual Fellows
Award Hot Topics
NOT-OD-15-049 Salary Cap Change
NIH Subaccounts Update
STIP Attribute
Who & How To Update The RSA Contact Information
Controller’s Office
Salary Cap Change
Controller’s Office
For Fiscal Year 15, the Executive Level II salary level will
increase to $183,300 effective January 11, 2015
 Use the new NIH salary cap for new, renewal, supplement,
or resubmission proposals now
 To use the new salary cap on a new budget in eProposal, select
“$183,300 – FY2015 NIH Salary Cap 01/11/15-Forward” from
the Salary Cap dropdown list on the budget setup page and
continue creating your budget as you normally do
 To update an existing budget in eProposal from the current NIH
salary cap of $181,500 to the new NIH salary cap of $183,300:
 Select “$183,300 – FY2015 NIH Salary Cap 01/11/15-Forward” from
the Salary Cap dropdown list on the budget setup page
 Click “Save Changes to Budget Setup”
 Click on the “Detailed Budget” tab
 Click “Calculate and Save Changes”
Controller’s Office
 The new salary cap may be used for existing awards as
described in the NIH announcement
 If the increased salary cap is adopted on existing awards, you will be
allowed to rebudget funds to accommodate the new cap, however no
additional funding will be provided by the sponsor
 Following our normal practice, UCSF will use an effective date
of February 1, 2015 (beginning of the first full calendar
month) for payroll processing using the new salary cap
 If you wish to use the new cap on existing awards, please update
payroll distribution by submitting an SRS ticket to Human Resources or
by accessing MPM for faculty distribution changes by the 2/16/2015
processing deadline to avoid PETs for the month of February
 The new NIH salary cap will be available in the MPM as CAP 24
– Remember, when increasing the salary cap, you will need to reduce or remove the
differential (OTC Over-the-Cap) for the associated account
Controller’s Office
NIH Subaccounts Update
Upcoming changes to the U.S.
Department of Health and Human
Services (DHHS) payment policies
Controller’s Office
All DHHS Awards will be Re-Issued
 Per NOT-OD-14-093, May 16, 2014, all awards issued by the DHHS
(NIH, HRSA, CDC, AHRQ) will be re-issued on subaccounts to track
spending by award. Currently, all awards are in a pooled fund
 In order to process these awards for individual billing, we need to
create new A#s for continuations and supplements that would
otherwise have kept the same A#
 Our current practice is to issue new A#s for renewals, so there is no
change to the renewal process
 Sub-In agreements are billed individually, so we do not need to
create new A#s for Sub-In continuations and supplements when the
parent award migrates to a subaccount
 The current practice of issuing new A#s for Sub-Ins when the parent
award is competitively renewed will continue
Controller’s Office
Effective Dates
All non-NIH DHHS awards with budget periods
beginning 10/1/14 or later have been or will be
issued on subaccounts
NIH delayed implementation to budget periods
beginning 10/1/15 or later, per NOT-OD-14-103
on 7/11/14
CGA will send a list of all awards migrating to
subaccounts to Department post-award staff and
Controller’s Office
Award Migration
We expect the awards to migrate as follows
Controller’s Office
STIP Attribute
Controller’s Office
Monitoring STIP
A new attribute titled “STIP_REQ” was created in
Research Administration System
Controller’s Office
Monitoring STIP
As of January, 61 awards
spanning 11 sponsors
were given this attribute
Going forward, the CGA
Award Set-up team will
add the new attribute to
new awards
Remember, STIP may
only be transferred to
sponsored awards with
this attribute
Controller’s Office
Bill & Melinda Gates Foundation
Bristol-Myers Squibb Foundation, Inc.
California HealthCare Foundation
Doris Duke Charitable Foundation
Gordon and Betty Moore Foundation
Hitachi Foundation
Nora Eccles Treadwell Foundation
Pew Charitable Trusts
Research to Prevent Blindness, Inc.
Sidney Kimmel Fdn for Cancer Research
William and Flora Hewlett Foundation
Who & How To Update The RSA
Contact Information
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
Controller’s Office
RSA Update in RAS
Controller’s Office
CGA Staffing Announcements
Controller’s Office
Controller’s Office
Controller’s Office
We Are Here To Serve You
 Research Management Services (RMS) for federal grants,
fellowships, cooperative agreements and all non-profit sponsors
 Government and Business Contracts (GBC) for federal contracts and
all state, city, county, and foreign government/organization
 Industry Contracts Division (ICD) for all industry sponsors (industry
is the prime sponsor)
 CGA Service Desk for post-award issues
[email protected]
Also a CGA service quality survey at
Controller’s Office

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