Award Management

Monthly Financial Reports

To help PI’s with the management of their funds, OES Fund Managers provide monthly financial reports depicting the current financial status of an award. Reports are usually e-mailed by the 25th of the following month.

The financial information contained in these reports are derived from the financial accounting system (UCLA general ledger). In addition to costs that are posted to the general ledger, the financial reports include payroll and non-payroll expense projections (any recurring monthly expenses such as TIF, DLAM charges, insurance, telephone charges, etc.) for the budget period. Any further projections (expenses such as future travel, subject disbursements, scanning encumbrances, etc.) can be manually added upon request. A financial report will be sent to the PIs regardless of the amount of expenditure activity during the reporting period.

Financial Reports Explained

A financial report is an excel file consisting of several worksheets, each providing financial information.

Below are details on the most commonly used tabs.

Summary report (summary by sub)

sum by sub

1) Fund Details: FAU, Fund Name, PI name, Fund Manager Name, Budget period, Project Period, Recharge ID, F&A rate and the report run date.

2) Appropriation: Awarded amount as of the latest ledger close date. This column can also be referred to as the budget. If funds have been transferred to other departments/collaborators or if your award has a multi-campus agreement, the appropriated amount will be reduced by those amounts. The appropriation should be distributed across the subs, according to your budget. If your appropriation column shows all funds in sub 8, please reach out to your fund manager with the approved budget and ask that the funds be appropriated accordingly.

a) Awarded/Budgeted Direct cost

b) Awarded/Budgeted Indirect cost

c) Awarded/Budgeted Total cost

3) Expenses: Expenses incurred as of the latest ledger close date, broken down by sub category.

a) Expensed Direct cost as of latest ledger close date

b) Expensed indirect cost as of latest ledger close date

c) Expensed total cost as of latest ledger close date

4) Appropriation under current expenditure: Any changes made to the budget/appropriation after the latest ledger close date, which are currently in process as of the report run date.

5) Expenses under current expenditure: Any changes to the expenses after the latest ledger close date, which are currently in process as of the report run date.

6) Encumbrances and Memo-liens: Any open purchase orders/subawards, also known as liens, which represent funds committed toward a future payment on any order that has been placed using BruinBuy. Open memo liens represent an unofficial commitment for spending requests that have not been approved or encumbered.

7) Future expenses/projections: Any projected payroll or non-payroll expenses up to the budget end date or a future date requested by the PI. Payroll related expenses hit sub 00 or 02 (academic or non-academic salaries), 03 (TIF or GAEL), and 06 (benefits). This information is pulled from UCPath. Any other upcoming expenses that you are aware of can be provided to the fund manager, who can manually add the projection for these expenses to the report.

a) Projected/Future direct cost up to the budget end date or a future date requested by the PI.

b) Projected/Future indirect cost up to the budget end date or a future date requested by the PI.

c) Projected/Future total cost up to the budget end date or a future date requested by the PI.

8) Projected balance for each sub categories

a) Projected direct cost balance

b)Projected indirect cost balance

c) Projected total cost balance

Non-Payroll Projections tab

All non-payroll projections will be included in this worksheet.

Closed Expenses tab

All expenses that hit in the month that is being reported on will appear in this worksheet.

Open Expenses tab

Any expense that occurred after the latest ledger close date and any open purchase orders or sub-awards will be included in this worksheet.

Payroll Expenses tab

All payroll for the reporting month will be included in this worksheet. The information is provided for academic, sub 00, and staff, sub 02, plus associated benefits, sub 06.

Payroll Projections tab

All payroll projections to the budget end date or the employee appointment end date (whichever comes first) will be included in this worksheet. The information is provided for academic, sub 00, and staff, sub 02, plus associated benefits, sub 06.

Financial Report Schedule

Financial reports are sent to the PI and the administrator once a month. Fund managers can begin running financial reports the day after the ledger closes. They have until the monthly report due date to complete and forward them to the PI and the administrator. The financial report schedule is as follows for fiscal year 2018-2019:

schedule

What is a Distribution Change Request?

A distribution change request changes the fund(s) an employee is paid from, the amount of effort an employee is charged to the fund(s), or both.

These changes involve two sets of forms: one set for academic personnel, and another set for staff, GSRs, and Post docs.

Keep in mind that distribution change requests for academic personnel are only allowable for future months. Retroactive distribution changes—that is, changes to past months—are only allowed in cases of late award setup or a late transfer of funds (TOF) from the home PI’s account.

For staff, GSRs, and postdocs, retroactive distribution changes should only be used to correct payroll expenses charged to an incorrect funding source and should not be used as a tool for managing funds.

Academic Personnel

Non-Compensation Plan Members

1) Fill out a Non-Comp form.* The full name of the form is “Non-Compensation Plan Faculty/Other Academic Appointees Salary/Funding Adjustment Form.”

2) Request the employee’s current fiscal year distribution from your fund manager. If any finance funds are changing, request this from your Finance fund manager. The distribution will come as an Excel spreadsheet.

3) Copy the original distribution and paste it right below the original, so that two distributions appear on the same spreadsheet. Label the top one “Current” and the bottom one “New” and make the requested changes to the “New” distribution. Be sure to highlight any changes you make.

4) If the changes are retroactive, fill out a Cost Transfer Justification form. For further information about how to fill out a Cost Transfer Justification form, see the Cost Transfer Justification section.

5) Send all items (Non-Comp form, distribution, and Cost Transfer Justification form, if applicable) to Unita Morris.

6) Unita will route the documents to the appropriate fund managers for approval. After all the documents are approved, she will submit the documents to the Academic Personnel office for processing. Once processed, you’ll see the changes to the employee’s effort reflected on your financial reports.

*Non-Comp Forms are also used for new appointments, changing percentage of time worked, and fund rollovers.

Compensation Plan Members

Changes to Contract and Grant Funds Only

This is the same process as for Non-Compensation Plan Members, except you’ll fill out a contract and grant change request (CGCR) instead:

1) Fill out a CGCR form.

2) Request the employee’s current fiscal year distribution from your fund manager. If any finance funds are changing, request this from your Finance fund manager. The distribution will come as an Excel spreadsheet.

3) Copy the original distribution and paste it right below the original, so that two distributions appear on the same spreadsheet. Label the top one “Current” and the bottom one “New” and make the requested changes to the “New” distribution. Be sure to highlight any changes you make.

4) If the changes are retroactive, fill out a Cost Transfer Justification form. For further information about how to fill out a Cost Transfer Justification form, see the Cost Transfer Justification section.

5) Send all items (CGCR, distribution, and Cost Transfer Justification form, if applicable) to Unita Morris.

6) Unita will route the documents to the appropriate fund managers for approval. After all the documents are approved, she will submit the documents to the Academic Personnel office for processing. Once processed, you’ll see the changes to the employee’s effort reflected on your financial reports.

Changes to Finance Funds (either finance funds only OR a mix of finance funds and contract and grant funds)

1) Submit your request via the online distribution change request (DCR) system. The online DCR system allows you to download the faculty member’s current fiscal year distribution.

2) Copy the original distribution and paste it right below the original, so that two distributions appear on the same spreadsheet. Label the top one “Current” and the bottom one “New” and make the requested changes to the “New” distribution. Be sure to highlight any changes you make.

3) If the changes are retroactive, fill out a Cost Transfer Justification form (link to forms page). For further information about how to fill out a Cost Transfer Justification form, see the Cost Transfer Justification section.

4) Upload all items (distribution, salary savings letter, and Cost Transfer Justification form, if applicable).

5) Unita Morris will send you a completed DCR form for review and PI’s signature.

6) Obtain appropriate signatures and send back to Unita.

7) The DCR will be routed to the appropriate fund manager(s) for approval.

8) Once approved, Academic Personnel will process the changes. When processed, you’ll see the changes to the employee’s effort reflected on your financial reports.

Note: Due to UCPath conversion errors and delays in processing corrections, retro transfers will be allowed this fiscal year (18-19) if they are due to these issues. Also note that the DCR process is currently suspended until 2019-20 FCW completion. If you have any questions regarding to this suspension, please contact Unita Morris at x52522.

Staff, GSRs, and Postdocs

1) Fill out a Staff DCR form. The full name of the form is “Staff/Postdoc/GSR Distribution Change Request.”

2) If the changes are retroactive, fill out a Cost Transfer Justification form. For further information about how to fill out a Cost Transfer Justification form, see the Cost Transfer section.

3) Email completed Staff DCR and Cost Transfer Justification form (if applicable) to StaffDCR@mednet.ucla.edu.

a. Attach only one form per e-mail to facilitate tracking

b. In the subject line, include the employee name, effective date, and the office that will process. If only finance-managed funds are involved, the subject line should include “Finance”. If only C&G or C&G and finance-managed funds are involved, the subject line should include “OES”.

e.g., Joe Bruin – 12-1-18 – OES

4) The staff DCR will be routed to the appropriate fund manager(s) for approval.

5) The approved transaction will be entered into UCPath. Once the transaction is processed, the fund manager will forward a confirmation e-mail with a screenshot of the transaction to the administrator. If you do not receive confirmation within 5 business days, please follow up to ensure that your request is being processed.

Notes:

  • Fund changes that accompany other actions (such as hiring, termination, FTE changes, etc.) must be submitted to HR via a PAR (Personnel Action Request).
  • If the Staff Distribution Change Request form has typos, the fund manager will work with the administrator to correct and will proceed with entering the transaction once errors are resolved.
  • If there are significant errors (i.e., problems with funding), the fund manager will route the request back to the administrator and the process will start over at step 1 above.

Fund Rollovers

Fund Rollovers are a special kind of distribution change request used when a project receives a different fund number every year. If you wish to keep employees on the new fund number at the same effort levels, a fund rollover form is the fastest way to do this. Fund rollover forms (with the exception of the form used for non-comp plan members) do not require approval signatures from the PI or the administrator.

Keep in mind that fund rollovers must be filled out at least 2 weeks in advance. If the changes are retroactive (e.g., due to late award setup or a late TOF from the home PI’s account), the usual paperwork must be used instead (CGCR, DCR, or Staff DCR).

Academic Personnel

Non-Compensation Plan Members

Fill out a Non-Comp form.

1) Email completed form to your fund manager.

2) Your fund manager will upload the form to the Academic Tracking system for processing by Academic Personnel. Once processed, you’ll see the changes to the employee’s effort reflected on your financial reports.

Compensation Plan Members

1) Fill out the Fund Rollover form for Academic Salaries.

2) Email completed form to your fund manager.

3) Your fund manager will upload the form to the Academic Tracking system for processing by Academic Personnel. Once processed, you’ll see the changes to the employee’s effort reflected on your financial reports.

Staff, GSRs, and Post docs

1) Fill out the Fund Rollover form for Staff, GSR, and Postdoc Salaries.

2) Email completed form to staffdcr@mednet.ucla.edu

3) Once the transaction is processed, your fund manager will forward a confirmation e-mail with a screenshot of the transaction to the administrator.

BruinBuy

Before you can access BruinBuy, you must have an OASIS Logon ID and active password to complete the introductory course. Your Departmental Security Administrator (DSA) must submit a System Access Request (SAR) form to IT Services at least two weeks prior to training. Upon approval, you must complete IT Services’ Online Security training class as well as the in-person verification. In addition, participants must have an active employee email address established in the Campus Directory, and DACSS access with function-AP730, as granted by their DSA. The next step is to take the BruinBuy PAC Preparer training course.

Once you obtain BruinBuy access, additional training materials are located on BruinBuy.

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Hold and Incomplete (H&I)

Invoices listed as Hold (H) & and Incomplete (I) go unpaid due to a number of reasons. Once an invoice has been placed on H or I status, you must identify the reason for the processing delay. Funds that are on the H&I list are encumbered and are not released until the PO has been resolved or the PO has been zeroized entirely. It is very important that H&I invoices are resolved in a timely manner to maintain strong relationships with UCLA vendors.

Invoices on H status

H status refers to invoices that have been authorized for payment by Accounts Payable, but are unpaid for one of two reasons:

1) The department has set a receiving lock which prevents funds from being released on an order until the department manually enters into the system the items that were received in a satisfactory state (the receiving process). Once the department documents receiving, the funds are released automatically, and the invoice is paid. Accounts Payable (AP) does not need to be contacted to release the payment.

2) An invoice may also be placed on H status applies with an Electronic Data Interface (EDI) invoice for such vendors as OfficeMax and Fisher. H status is automatic when one of the following two scenarios occurs:

  • An invoice is created for a greater quantity than listed on the purchase order (PO). The system will automatically generate a mismatch queue with the greater quantity and place it on H status.
  • Two invoices are created on the same date, for the same PO, for the same item(s) and the PO only has enough quantity of item(s) to pay one invoice. The system will automatically process one of the invoices for payment and place it on P status (pending). The second invoice will also be processed, but it will be placed on H status.

Invoices on I (Incomplete) Status

I status refers to invoices that cannot be authorized for payment for various reasons, including the following:

  • The PO is closed
  • The PO has not been posted
  • The billing on the invoice does not match the billing on the PO
  • The quantity or price on the invoice cannot be matched with the PO’s quantity or price
  • Only partial or insufficient documents were submitted for payment (such as missing pages or photocopies)

Procurement Card Orders (Pcard)

The Procurement Card, or Pcard, simplifies the purchase of most routine, low-cost goods and services for which a Purchase Order (PO) is not an accepted form of payment. For more details, visit Purchasing & Accounts Payable’s Procurement Card website (link to: https://purchasing.ucla.edu/purchasing/procurement-card).

To place a Pcard order, fill out the Pcard form. After you’ve completed it:

  • For contracts and grants: Send the request to your fund manager for review and they will forward it on for processing.
  • For unrestricted (Finance) funds: Send the request to Candy Yu for review.

Payments to Subawards

If your project includes a collaboration with other institutions, you will need to issue a subaward to that institution (see subaward setup in award setup section). Once the subaward has been posted to your fund, the sub will be able to submit invoices for work completed to the PI. If the PI approves, s/he should sign the invoice, along with the subaward invoice certification form (link to form). Both forms should be e-mailed to your fund manager, who will then do receiving in BruinBuy. The hard copy of the signed invoice should be forwarded to Accounts Payable, who will release payment to the subawardee.

Accounts Payable
Wilshire Center, 5th Floor
MC: 143348

Invoices typically take about 2-4 weeks to be processed. If you have an invoice outstanding for more than 30 days, you can fax it to AP at (310) 794-8020 and mark it “Rush Payment – 30 days past due”

Computer-Related

For computer-related purchases that will be used across multiple projects, list all applicable FAUs on the IT Quote Proposal form (note: link to form) to allocate the cost between all projects the items will be used for. If the purchase will be used solely for one project, this will require strong justification.

You will need a strong business justification to make computer-related purchases at the end of a project period (last 90 days). All charges to a project, particularly in the final months of the project period, must be necessary to completing project aims. Purchases may not be made to spend down an unobligated balance remaining at the end of the project.

90/30 Days Prior to Project End

90 days prior to project end: you need a strong business reason to make computer-related and equipment purchases.

30 days prior to project end: you need a strong business reason to make supply purchases.

All charges to a project, particularly in the final months of the project period, must be necessary. Purchases may not be made to spend down an unobligated balance remaining at the end of the project.

Travel Express

Travel Express is UCLA’s online reimbursement system for business travel and entertainment expenses.

For more information about how to use the system, enroll in the online Express Training course. Note that this training is not mandatory to gain access to the Express system, but may help you familiarize yourself with the system.

To fill out a Travel Reimbursement Request, visit the Travel Express website and click “Create New Expense”.

express

Be sure to include information in the description about how the travel is applicable to the project(s) it is being charged to and review the following travel reimbursement policies:

What is a Cost Transfer?

A cost transfer is an after-the-fact reallocation of costs from one fund to another. There are two types of cost transfers: those that transfer payroll costs (direct retros) and those that transfer non-payroll costs (NPEARs). Sponsors scrutinize cost transfers closely for indications of cost misallocation. Cost transfers should not be a tool for managing sponsored awards. Be sure to review your monthly reports regularly. If an expense has been charged to a funding source in error, complete a Cost Transfer Justification Form (link to forms page) and send a copy signed by the PI to your fund manager so that they may move the expense to the correct funding source. In cases where personnel have been charged to a funding source in error, you’ll also need to submit a distribution change request form.

Expense transfers require strong business justifications, e.g. late award set up or a late TOF from the home PI’s account.

Cost transfers of expenses older than 120 days are even more greatly scrutinized and require Extramural Fund Management (EFM) approval. Be sure to include a strong justification of why the transfer is being made in an untimely manner. If the justification is not sufficiently strong, your fund manager or EFM will ask for further clarification.

For further details, refer to the Cost Transfer Justification Form section.

Direct Retros

Direct retros transfer payroll costs from one FAU to another. When you submit a retroactive distribution change request, the office that processes the request will process the direct retros (e.g., Academic Personnel Office processes them for academic personnel; fund managers process them for staff, post docs, and GSRs).

Once processed, you will see the changes reflected on your financial reports.

Before the UCPath transition, payroll cost transfers were called UPAYs or PETs (payroll expense transfers).

Non-Payroll Expenditure Adjustment Request (NPEAR)

Non-payroll expenditure adjustment requests (NPEARs) transfer non-payroll costs. They should only be used to correct non-payroll expenses charged to an incorrect funding source and should not be used as a tool for managing funds.

If you identify a non-payroll expense charged to an incorrect funding source (e.g., when reviewing your monthly reports), fill out the Cost Transfer Justification form and send a copy signed by the PI to your fund manager so that they may move the expense to the correct funding source.

To ensure your NPEAR was processed correctly, please check your monthly reports to make sure that the expense was moved to the correct funding source.

Cost Transfer Justification Form

The cost transfer justification form is located here.
Cost Transfers Process
Below is a list of the questions that must be answered prior to a cost transfer being processed, along with examples of acceptable responses. Example responses should not be copied and pasted and should be tailored to your specific request.

Question 1: How did the error occur and why is the transfer being requested?
  • Expense was appropriately charged to the project; however, it exceeds the approved budget for this expense category
  • The individual was working on this project but his/her time was reassigned upon receipt of a new award
  • Error was a clerical one (transposition of numbers)
  • PI re-evaluated how an item was used once it was purchased
  • Transfer being made to accurately reflect effort devoted to the project
Question 2: Who approved the transfer of funds?
  • PI
Question 3: How does the transfer benefit or impact the new funding source being charged?
  • Payroll will accurately reflect effort on the project
Question 4: Explain delay if transfer is >120 days after the original transaction date and/or >90 days after the fund end date.
  • PI recently communicated effort adjustments on projects
  • Late execution of award
  • No cost time extension approval delay by sponsor

Common Mistakes

  • Stating that the administrator or fund manager approves the transfer
  • Cost is transferred to a project fund to use up the remaining balance for a fund that is ending as a cost management strategy
  • Cost is transferred to a project fund to avoid or eliminate cost overrun on another sponsored project fund
  • Cost of other PI’s project is transferred to my project fund to financially support important research of my colleague
  • To eliminate cost overruns
  • To spend down unused funds
  • For reasons of convenience
  • For reasons that do not comply with sponsor regulations or award guidelines
  • Shortage of staff. This indicates lack of internal controls overall; who was managing a sponsored fund during this period?

What is a Research Payment Request?

When research projects include payments to study participants, you will need to submit a research payment request, after the study has received IRB approval to obtain a research payment. Research payments can be made in the form of gift cards or cash as described below.

Types of Disbursements

Semel uses three of four campus-approved disbursement types:

1) Preferred Gift Cards, which can be returned and credited if unused, should be delivered within 10 business days. See the guide here.

2) Non-Preferred Gift Cards, which cannot be returned, should be delivered within 4 weeks.

3) Cash

*Please note that the departmental limit for any single request is currently set at $2,500.

How to Make a Request

flow

1) Complete the appropriate form and forward to your fund manager, along with the supporting documents.

2) The form will be reviewed and signed by the Fund Manager or Finance Representative who will then forward it to the Cash Manager (Joe Hucke).

3) Joe will review and sign it for the Department then scan to Payment Solutions and Compliance.

4) Payment Solutions & Compliance will review and e-mail the requestor to schedule delivery of gift cards/cash.

5) Dunbar will deliver gift cards/cash.

*Please note that Petty Cash Funds are no longer available for issuing human subjects payments.

Forms to Include in a Request

Research Payment Request

  • The Payment Solutions & Compliance office requires that all requests use their most recently updated form, which can be found here.
  • Make sure all Authorized Personnel and the PI has signed off in the appropriate signature fields.

Approval Notice

  • A copy of the approval notice related to this IRB.
  • It must show the IRB number and the currently active approval period.

Consent Forms

  • A copy of the consent forms related to this IRB.
  • It must show the IRB number and the currently active approval period at the bottom.

Human Subject Replenishment Spreadsheet

  • For every request after the initial request for each IRB, please fill out the subject spreadsheet form.
  • This spreadsheet helps reconcile previous orders in order to determine how much has been requested previously, how much has been paid out to subjects, how much you have leftover, and how much you will have once you receive the new disbursement request.

Helpful Tips

Make sure all fields in the request form are filled out, specifically, in the following:

IRB: You must have a current IRB prior to submitting any requests.

Department Name & Code: Semel NPI (2000) or Psychiatry (1655)

Delivery Address: This is the address where the cash will be delivered by Dunbar.

Authorized Personnel: If possible, include two authorized personnel, since Dunbar will only deliver to the named personnel on the form. (BruinCard ID # is the Employee Number)

Disbursement Type: You can only choose one type per request; our department does not process BruinCard deposits. For Cash you must indicate the denominations. Cash requests should be delivered within 10 business days.

General Ledger Account charges and recharges: There are two charges for 1) the Gift Cards or Cash, and 2) the Dunbar delivery charge. You may use different FAUs. As of 12/1/18, the on-campus Dunbar charge is $10.35, off-campus delivery charges are $16.01.

Safe Type: You must include the safe type and serial number. The following is the Department’s current requirement: $0-$500 Lock Box $500-$1,000 Safe $1,000 + Bolted Safe

IRS Requirement: If any research participants receive more than $600 in a calendar year, you must provide Michelle Vides (mvides@finance.ucla.edu) in Accounts Payable a list of all participants who meet this threshold so that a 1099 can be issued.

Department Required Attachments: A current IRB must be attached along with study consent forms. Consent forms, must include the Protocol ID line on the bottom and the amount of payment for participation. If the IRB will be expiring within two months, you must indicate that you are working on the continuing renewal and if it is expiring within one month, you must wait until you have a new IRB approval and consent form. Also, for replenishment requests, you must provide your Fund Manager or Finance Representative the Subject Spreadsheet along with all receipts for all cash you have disbursed before requesting any additional funds. You will need to provide this spreadsheet after distributing all funds too, even if you do not request additional funds.

Payment Solutions and Compliance

1125 Murphy Hall
Mail Code: 708901
Phone number: 310-794-5333
Office Hours: Monday – Friday, 9am to 4pm

What is Effort Reporting?

Effort is defined as the amount of time spent on a particular activity. This includes the time spent working on a sponsored project in which salary is directly charged or contributed/cost-shared.

Effort reporting is the method of certifying to the granting agencies that the effort required as a condition of the award has actually been completed. Effort reports pertain to any funds that are Federally sponsored (certain LA County contracts may require certification as well) that PIs and staff are paid from.

Why is Effort Reporting required?

Federal regulations require that any individual committing effort on a federal or federal flow-through contract or grant certify that the salary charged or cost shared by the institution is reasonable in relation to the effort expended on that project. Uniform Guidance 2 CFR 220.430 – Compensation-Personnel Services (formerly OMB Circular A-21) sets the criteria for acceptable methods of charging salaries and wages to federally sponsored projects, and requires that institutions follow acceptable methods for documenting the distribution of effort for all project personnel. See “Standards for Documentation of Personnel Expenses” in the provided link for more information on the Uniform Guidance.

The Effort Reporting System (ERS) is the interface that UCLA has chosen for documenting its distribution of effort on federal projects and staying compliant with 2 CFR 220.430. Mandatory certification of effort by principal investigators and staff in the ERS system is therefore a matter of federal compliance for UCLA.

Who is allowed to certify an Effort Report?

This is an often overlooked question, and it is important to note the following:

  • Principal Investigators/faculty are required to self-certify their own effort reports (even on Cost Centers belonging to another PI)
  • Staff can certify their own effort reports or the PIs can certify for them on lines pertaining to their own Cost Centers

Where can I go to begin certifying my reports?

Certifiers already familiar with the certification process outlined in the next section may log into the ERS system at ers.it.ucla.edu/EffortReporting/ using their UCLA Logon (BOL) to begin certifying.

I am off-campus and can’t access the ERS System

if accessing the ERS System from off-campus a Virtual Private Network (VPN) will need to be used. For more information on downloading/setting up a VPN on your machine, please see Bruin OnLine.

Certification Instructions

When logged in to the ERS system the following should be displayed on the screen (if not, please adjust accordingly):

1. Display Saved Search: My Certifications AND My Projects (check both)
2. Show Status: ALL-Open
3. Reporting Periods: ALL

ERS_Top

At the bottom of each report click “CERTIFY EFFORT REPORT” button. The system will automatically take you to the next ERS report that needs to be certified.

ERS_Certify

For Multiple Certifications by several PIs, please click on the check box and manually move to the next ERS report.

ERS_Multiple

What if I have unfunded effort (cost sharing) on a federal project?

If you reported unfunded effort to a federal agency via RPPR it will not be automatically included in your effort report. Instead this effort needs to be manually added to your report following the steps and accompanying snapshot below:

  • If you can already see the fund on which you have unfunded effort in your report:
    1. Enter the unfunded effort % in Column D: “Cost Share Effort % to Certify”
    2. Subtract said effort % from your Non-Sponsored Activities (also in Column D)
    3. Enter a comment as to the purpose of the adjustment being made and click the save button
  • If you cannot see the fund on which you have unfunded effort in your report:
    1. Click the “ADD ADDITIONAL SPONSORED PROJECT” button and select the unfunded effort project FAU that is missing from your report
    2. On this new line, enter the unfunded effort % in Column D: “Cost Share Effort % to Certify”
    3. Subtract said effort % from your Non-Sponsored Activities (also in Column D)
    4. Enter a comment as to the purpose of the adjustment being made and click the save button

Additional Resources

For further reading and guidance on effort reporting and the ERS System, the below provided summary/guide may be of interest:

The above information is being sourced from EFM ERS Support whose training materials and guidance are another great resource for further information.

Have Further Questions?

Feel free to reach out to Semel Institute’s ERS coordinator Michael Rastadmehr (MRastadmehr@mednet.ucla.edu) with any questions.

What is a Prior Approval Request?

Prior approval is the process in which a grantee must obtain written approval from an authorized official before undertaking an activity that has the potential to impact a project’s scope.

Types of Prior Approval Requests

There are four types of prior approval requests that are supported via eRA Commons:

No Cost Extension Requests (NCE)

Request for an extension of time to a project period and/or budget period to complete the work of the grant under that period, without additional sponsor funds. Please note, if you have never requested an NCE and you are within 90 days of the project end date, you do not need to submit a prior approval. Instead, the authorized official can process the NCE through the “Extension” link under “Status”.

Request for withdrawal of an application

A PI or authorized official may initiate the request to withdraw and application from consideration of award, but only the authorized official can submit this request.

Carryover

Request to carry a balance remaining at the end of a budget period into a later budget period. This requires an explanation of unobligated funds, budget, budget justification and scientific justification for the request. Only an authorized official can submit this type of request and this type of request is only necessary for awards that are not Streamlined Non-Competing Award Process (SNAP) eligible.

Request for Change of PD/PI

Biosketches and Other Support documents are required when adding a new PI. Only an authorized official can initiate and submit this type of request.

Other Types

Other types of prior approval requests that may be necessary but cannot be submitted via eRA Commons include:

Reduction in PI/Key Personnel

If a key person must reduce their time by more than 25% of what they committed to, a request must be made in advance of the change, which provides the rationale for the change and how the project’s scope is impacted. The request letter must be signed by the PI and authorized official and submitted to the PO and GMO.

Rebudgeting Over 25%

If funds need to be rebudgeted across budget categories by more than 25% of the total costs of an award, a prior approval request must be submitted. The request letter must be signed by the PI and authorized official and submitted to the PO and GMO.

Guidelines

NIH Statement of appointment form (2271 form) must be signed by Grace De Jesus before submitting to Academic Trainee Office. Please review NIH websites in regards to statement of appointment, amendments, and X-Train: XTrain Quick Reference Guide

Time Commitment

Trainees are required to devote full-time effort to the training program however, they may receive additional supplement salary:

NIH recognizes that trainees as students may seek part-time employment coincidental to their training program to further offset their expenses. Funds characterized as compensation may be paid to trainees only when there is an employer-employee relationship, the payments are for services rendered, and the situation otherwise meets the conditions of the compensation of students. In addition, compensation must be in accordance with organizational policies consistently applied to both federally and non-federally supported activities and must be supported by acceptable accounting records that reflect the employer-employee relationship. Under these conditions, the funds provided as compensation (salary, fringe benefits, and/or tuition remission) for services rendered, such as teaching or laboratory assistance, are not considered stipend supplementation; they are allowable charges to Federal grants, including PHS research grants.

However, it is expected that compensation from research grants will be for limited part-time employment apart from the normal full-time training activities. Part-time is considered by NIH as up to 20 hours per week. Compensation may not be paid from a research grant that supports the same research that is part of the trainee’s planned training experience. Under no circumstances may the employment interfere with, detract from, or prolong the trainee’s approved NRSA training program.

Funds may be rebudgeted only as follows: 1) Trainee-related expenses: Rebudgeting of funds awarded in a lump sum for trainee-related expenses does not require NIH awarding office prior approval. 2) Trainee costs: For rebudgeting purposes, trainee costs include funds awarded in the stipends or tuition/fees and health insurance budget categories. These costs may not be used for other purposes except under unusual circumstances and then only with the prior approval of NIH awarding office.

Unless otherwise restricted, rebudgeting into or within the stipends and tuition, fees, and health insurance categories is allowable without prior approval of the NIH awarding office. 3) Trainee travel: For rebudgeting purposes, trainee travel is not considered a trainee cost and, therefore, may be rebudgeted into any other budget category without prior approval of the NIH awarding office.

Set-Up and Adjustments

Use account #431587 for training related expenses (benefits, supplies, travel & administrative salary) and account 781587 only for Stipends and Tuition/fees.

You must identify an Unrestricted FAU which will cover any unallowable expenses, such as Life Insurance, Worker’s Comp, and Disability. FAU should be a funding source from the mentor. The FAU will also be charged if the grant does not cover the cost of regular benefits.

To make adjustment to the appointment, obtain approval from Grace de Jesus on the adjustment form. Once approved, submit the form to the Academic Trainee Office.

Close-Out

Before submission of Termination Notices to NIH via X-Train, the administrator should prepare a hard copy to be reviewed and submitted to OES office (Grace de Jesus). They will run a Stipend summary worksheet to ensure the dates of training and that the total stipends paid matches the Campus General Ledger. The total stipend on the Termination Notice and Campus General Ledger should match before EFM submits to NIH.

Information & instructions for completing a Termination Notice: Instructions for Completing a Termination Notice.

Submitting a NIH Research Performance Progress Report (RPPR)

The NIH Progress report is known as the Research Performance Progress Report (RPPR) and is typically due 45 days before the end of the budget period for SNAP-eligible awards and 60 days before the end of the budget period for non-SNAP awards. The report updates NIH on the scientific and financial progress of an award.
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  1. The Admin/PI should send an e-mail to their fund manager and cc Liz Lizaola with subject line “PI Last Name, Fund #, DUE DATE” at least 2 weeks in advance of the due date.
  2. Liz will check if the award is under Streamlined Noncompeting Award Procedures (SNAP), which allows the PI to submit directly through the Commons. If the award is not subject to SNAP, it must be routed to the authorized official.
  3. As soon as the RPPR is ready, send a pdf along with the eDGE tracking form to the fund manager and Liz – no later than 3 business days prior to the due date.
  4. The fund manager will review the participant section to check that effort was reported correctly and any budget-related questions, i.e., unobligated balance and funds sent to foreign sites.
  5. Liz will review non-budget sections, incorporate fund manager feedback and provide feedback within 2 business days of receipt.
  6. Once the RPPR has been finalized, a pdf should be sent to Liz and the fund manager. Liz will then forward the eDGE form to Proposal Intake and notify them that the RPPR is: 1) being submitted by the PI (for SNAP) OR 2) routed to them for submission (for non-SNAP).

For interim RPPRs, complete the eDGE tracking form. And if needed, see detailed instructions on completing an RPPR.

There are three types of RPPRs:

  1. Annual RPPR– Use to describe a grant’s scientific progress, identify significant changes, report on personnel, and describe plans for the subsequent budget period or year.
  2. Final RPPR– Use as part of the grant closeout process to submit project outcomes in addition to the information submitted on the annual RPPR, except budget and plans for the upcoming year.
  3. Interim RPPR– Use when submitting a renewal (Type 2) application. If the Type 2 is not funded, the Interim RPPR will serve as the Final RPPR for the project. If the Type 2 is funded, the Interim RPPR will serve as the annual RPPR for the final year of the previous competitive segment. The data elements collected on the Interim RPPR are the same as for the Final RPPR, including project outcomes.

Non-NIH Progress Reports

For non-NIH sponsors, please review the terms and conditions listed on your award notice to determine the due dates for technical/narrative and financial reports. If reports require review by central offices, please submit to your OES fund manager 5 days before the sponsor deadline to allow sufficient time for review.

Narrative reports that do NOT contain financial information and are purely scientific can be prepared and submitted directly by the PI with your signing official cc’d.

Narrative reports that DO contain financial information must be prepared by the PI/administrator together with your assigned OES fund manager. Your fund manager will then forward to the assigned EFM accountant for review. Once EFM approves of the financial information included in the report, the PI may submit the report directly to the sponsor, with your signing official and EFM accountant cc’d.

Financial reports reports must be prepared by the PI/administrator together with your assigned OES fund manager. Your fund manager will then forward to the assigned EFM accountant for review. Once EFM approves of the financial information included in the report, the assigned EFM accountant will submit the report directly to the sponsor OR approve of the PI submitting, with the EFM accountant cc’d.

Single Fund Number Exception

Coming Soon!

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