Docstoc

Post-Award-Fit-Gaps

Document Sample
Post-Award-Fit-Gaps Powered By Docstoc
					                                                                                               7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Business Process   RAS     Issue ID RAS Requirement          Functional        Discussion Notes                                                                                 Questions / Info Needed          Current USC   RAS System /
                   v1.1                                      Requirements                                                                                                                                        System(s)     Module
                   ID
Set up award /         2.1 3.1.1    Enable accounts to       See RAS           Sponsor communication comes electronically in the form of PDFs, often as an attachment.          Would there be an              GL              KC-Award
account                             be quickly established   Assessment                                                                                                         expectation to read the PDF
                                    and modified by          Document -        When an award and account are being set up, the system should import data from the               and automatically import data PCR (DCG         KC - Award
                                    importing data from      Section 3.1.1.x   associated proposal that was created within the system. This should include award                or to be able to upload the    system)         Budget
                                    other modules and                          information (sponsor, periods, etc.) and budget information. Account establishment data          PDF?
                                    data transmitted                           may be minimal or there may be a need to be able to overwrite the defaults that come in.                                        GL-SPA chart    KC-Time &
                                    from sponsors (e.g.,                                                                                                                        Need a list of what data would                 Money
                                    importation of                             For some projects there are standard terms and conditions that should be available for           be able to default from the
                                    budgets, award                             import, but for others (foundations, privates) the terms vary and may require manual entry.      preaward/proposal side.                        KFS
                                    periods, etc.).
                                                                               Satellite accounts: Currently the master account is set up, then satellite accounts can be set   How does the incremental
                                                                               up. The amount of funding for the satellite account budget is being pulled from the master.      funding process differ when it
                                                                               It is important to do the master first to keep track of roll-ups and reporting.                  comes to account setup?

                                                                               The system should allow import of information from preaward.                                     Can account numbers be
                                                                                                                                                                                generated automatically? Can
                                                                               The system should allow upload of information from Payroll. Which data and why?                  all necessary data for the
                                                                                                                                                                                account come from the award
                                                                               The system should allow users to review/modify rates from proposal defaults: IDC, tuition        set up and/or default account
                                                                               rates, graduate assistant rates, fringe rates.                                                   data tables?

                                                                               The system should allow users to set up awards when no proposal has been submitted.




                                                                                                                     Page 1
                                                                                               7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Business Process  RAS     Issue ID RAS Requirement           Functional        Discussion Notes                                                                                 Questions / Info Needed   Current USC   RAS System /
                  v1.1                                       Requirements                                                                                                                                 System(s)     Module
                  ID
Set up award /        2.1 3.1.2    Verification and          See RAS           Regulatory requirements that must be reviewed prior to account setup: IRB (human subjects),                                iStar-IRB     KC-Award
account                            tracking that all         Assessment        IACUC (animal subjects), CITI (Collaborative IRB Training Initiative), CTABB (Clinical Trials
                                   regulatory                Document -        Analysis Budget and Billing), Responsible Conduct in Research, Conflict of Interest, Grants                                iStar-IACUC
Manage regulatory                  requirements have         Section 3.1.2.x   management (training), export control, human embryonic cells, radioactive materials,
compliance                         been satisfied prior to                     biohazardous materials, E-Verify.
protocols                          account
                                   establishment.                              Currently some of this information is gathered on the PAR and some is on DCG's list.

                                                                               Some are standard and are checked on for everybody. Others are project specific and are
                                                                               identified from the preaward/proposal information. But regulatory requirements can change
                                                                               between proposal and award or can change during the course of an award.

                                                                               Users need to be able to go in and revise the initial information if the situation changes. It
                                                                               would be great to have some of this prepopulated from other systems that are collecting
                                                                               information on regulatory requirements (what is needed, the status, and whether they've
                                                                               been met).

                                                                               Export control has projects with personnel restrictions and restrictions on physical items.
                                                                               DCG needs to be able to check for compliance against rules for those personnel restrictions.
                                                                               Users need the ability to indicate when there are personnel restrictions on an account so that




                                                                                                                      Page 2
                                                                                         7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Business Process   RAS     Issue ID RAS Requirement       Functional     Discussion Notes                                                                                Questions / Info Needed   Current USC    RAS System /
                   v1.1                                   Requirements                                                                                                                             System(s)      Module
                   ID
Set up award /         2.1 3.1.3    Simplified budget                    Assumption: This is a case when the actual budget from the sponsor comes in at a different                                GL             KC-Award
account                             modification by                      amount (higher or lower) from the initial proposed budget.
                                    school administrators                                                                                                                                          PCR (DCG       KC - Award
Manage award                        based on terms of                    Currently DCG communicates with the department to get a modified budget, and DCG enters                                   system)        Budget
finances                            award.                               it into the system. Departments create a spreadsheet that gets sent to DCG, and then DCG
                                                                         has to key that in to the financial system. The system should help to eliminate the multiple                              GL-SPA chart   KC-Time &
                                                                         entry of the same data.                                                                                                                  Money

                                                                         The system should provide the ability to automate calculations of F&A and do basic auditing                                              KFS
                                                                         of the changes as a control.

                                                                         The system should provide the ability to route/approve to have another set of eyes look at
                                                                         the modifications. The routing would need to be able to be set up differently for each school
                                                                         depending on internal processes at the school.

                                                                         The system should provide the ability for departments to go in directly and make changes to
                                                                         the budget; however, the system would need to be able to apply terms and conditions--
                                                                         especially the limit on amounts and types of changes allowed by award terms and conditions.




                                                                                                              Page 3
                                                                                        7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Business Process   RAS     Issue ID RAS Requirement      Functional     Discussion Notes                                                                                 Questions / Info Needed        Current USC    RAS System /
                   v1.1                                  Requirements                                                                                                                                   System(s)      Module
                   ID
Set up award /         2.1 3.1.4    Facilitate approval                 Usually cost sharing is identified at the proposal stage, but sometimes cost share can be        How is in-kind cost-share      GL             KC-Award
account                             and establishment of                added retroactively when an award is set up (e.g., when a PI is funded from an increasing        tracked?
                                    cost share accounts.                number of sources).                                                                                                             PCR (DCG       KC - Award
                                                                                                                                                                         What information is required   system)        Budget
                                                                        Users must be able to identify the type of cost share: Mandatory, Voluntary Committed,           by the Office of Financial
                                                                        Voluntary Uncommitted. The system should capture the standard set of cost share types.           Analysis?                      GL-SPA chart   KC-Time &
                                                                                                                                                                                                                       Money
                                                                        NIH salary cap--when the personnel salary exceeds the cap, some schools count this as cost       What is USC's policy for how
                                                                        share. (Note: schools on academic calendar have to treat academic and summer periods             to handle charging a rate                     KFS
                                                                        differently.)                                                                                    other than the institutional
                                                                                                                                                                         rate for F&A? How does that
                                                                        Equipment can be cost shared.                                                                    affect cost-share?

                                                                        Tuition can be cost shared.                                                                      Need to explore how the ICT
                                                                                                                                                                         recovery fee fits with cost
                                                                        Foregone F&A can be cost shared. Note: Foregone F&A when used as mandatory committed             share.
                                                                        cost share has to be tracked separately. Not all schools separately track foregone F&A as cost
                                                                        share. It is very school-dependent in terms of how to cost share reduced F&A and how to
                                                                        track it (also for salary cap).

                                                                        Set up a cost share account when there is a requirement to track the cost share because of
                                                                        sponsor requirements. Usually this is more a matter of identifying an existing account that
                                                                        will cover the cost share rather than setting up a new cost share account for awards. The
                                                                        system should indicate which account(s) will be used for cost share.

Set up award /        2.1 3.1.5    Record all relevant                  No discussion. This global requirement will be broken down across specific data needs                                                          All
account                            award data for later                 expressed in other requirements. User feedback on using the system will also help identify
                                   viewing, processing,                 any missing data.
                                   and reporting.




                                                                                                             Page 4
                                                                                          7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Business Process   RAS     Issue ID RAS Requirement       Functional     Discussion Notes                                                                                       Questions / Info Needed       Current USC     RAS System /
                   v1.1                                   Requirements                                                                                                                                        System(s)       Module
                   ID
Set up award /         2.1 3.1.6    Record sponsor                       There are standard restrictions that should default in as part of setting up an award. The             May need more follow-up on    GL              KC-Award
account                             restrictions and                     system must allow users to remove, add, or edit those on an award by award basis. DCG                  the how KC manages FAR
                                    utilize data to the                  needs to be able set up new default templates for sponsors in KC.                                      information.                  PCR (DCG        KC - Award
Manage award                        greatest extent                                                                                                                                                           system)         Budget
finances                            possible, e.g.                       Restrictions on automatic carry-forward need to be flagged and prevented on an award and               Where is there a
                                    automated restriction                its account.                                                                                           dictionary/glossary of the FAR GL-SPA chart   KC-Time &
Manage award                        of unallowable                                                                                                                              available?                                    Money
non-financials                      budget changes                       Rebudgeting is not allowed on advance funding.                                                         https://www.acquisition.gov/
                                    and/or expenditures.                                                                                                                        far/                                          KFS
                                                                         Some awards have restrictions on rebudgeting: no rebudgeting allowed, only certain
                                                                         categories can be rebudgeted, limits apply to how much change can be made.

                                                                         Some awards have restrictions on expenditures: certain types of purchases are not allowed
                                                                         (e.g.,. no equipment, no international travel), prior approvals have to be submitted within a
                                                                         certain time frame prior to incurring the expense (e.g., requests for foreign travel need to be
                                                                         in 30, 60, or 90 days prior to the trip and if it is past the date, they should not be able to enter
                                                                         the requests--force them to talk to the approvers (DCG)).

                                                                         Federal Acquisitions Regulation (FAR): for awards at an amount over 650,000 (this year,
                                                                         amount varies), there is often a clause that indicates a commitment to using certain types of
                                                                         small businesses. FAR relates to subcontracting as well as any other Purchasing. The system
                                                                         needs to reference the FAR clauses that apply for an award (e.g., drop down that can be
                                                                         selected to reference or pre-populate with all clauses that apply).




                                                                                                                 Page 5
                                                                                         7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Business Process   RAS     Issue ID RAS Requirement       Functional     Discussion Notes                                                                                   Questions / Info Needed   Current USC   RAS System /
                   v1.1                                   Requirements                                                                                                                                System(s)     Module
                   ID
Set up award /         2.1 3.1.7    Data field in award                  Intellectual Property (IP) addresses who owns what (property, data, etc.), what rights USC       Can NDAs be kept as a record Manual       KC - Award
account                             agreement records to                 has, who has the right to patent, who submits/pays for patent, different types of IP. The       in the system outside of a
                                    indicate nature of IP                system needs to capture notification requirements (e.g., if something is discovered that is IP, proposal/award?               Inteum?      Inteum
                                    terms of award,                      who you have to notify and when), who owns IP (yours, mine, or ours). IP terms are recorded
                                    including terms                      in the award.
                                    between project
                                    collaborators. Record                No accounts would be set up until the NDA and IP terms have been hammered out. This
                                    and link any                         happens during the negotiation process.
                                    associated non-
                                    disclosure                           NDA and IP will have different sunset clauses beyond the end of the award. That needs to be
                                    agreements and                       noted as well.
                                    material transfer
                                    agreements.                          Clinical trials: Often this is another person's IP that we are handling as part of a project. In
                                                                         these situations, there are Non-Disclosure Agreements (NDAs). Some clinical trials are
                                                                         industry driven where we follow their protocols. There are some clinical trials that a USC PI
                                                                         instigates, so IP is different in that case (USC owns). Sometimes there is a sponsor with
                                                                         private/public collaborations and subcontractors and PI -- there are variable situations with
                                                                         respect to IP and with respect to NDAs. The details need to be recorded for both IP and NDA.

                                                                         USC Stevens handles all the patenting process and legalities once the IP has been identified (if
                                                                         it belongs to USC).

                                                                         USC Stevens also gets involved with MTA (material transfer agreements). They do the review




                                                                                                               Page 6
                                                                                         7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Business Process   RAS     Issue ID RAS Requirement       Functional     Discussion Notes                                                                                   Questions / Info Needed     Current USC    RAS System /
                   v1.1                                   Requirements                                                                                                                                  System(s)      Module
                   ID
Set up award /         2.1 3.1.8    Interface with                       This should be a real-time interface - send account info over and it shows up in the financial                                 GL             KC-Award
account                             financial system to                  system. Currently DCG has to request that SPA do a system dump to get money in the Master
                                    establish new                        that can then be moved down to the satellites. Account set up needs to have the money                                          PCR (DCG       KC - Award
Manage award                        accounts, budgets,                   immediately placed in master and satellite accounts without having to set up each satellite                                    system)        Budget
financials                          and future budget                    budget manually.
                                    changes.                                                                                                                                                            GL-SPA chart   KC-Time &
                                                                         Modifications and increments of funding added to an award need to be able to transfer to the                                                  Money
                                                                         financial system the same way--again real-time without extra manual steps.
                                                                                                                                                                                                                       KFS
                                                                         DCG enters an effective date for the award as to when the money can be spent (when the
                                                                         account is active). Under FDP, not a problem for the first year to spend early (up to 90 days).

                                                                         When award is established, the account and budget can be set up with the full amount if a
                                                                         specific obligated amount is not indicated on a period by period basis. Sometimes the
                                                                         sponsor gives the full amount up front with the expectation stated of what amount will be
                                                                         spent each year. Example: For a clinical trial project with enrollment tables, the budget will
                                                                         have all enrollment initially budgeted. We would like to be able to restrict initial year budget
                                                                         to what is expected to be spent.

                                                                         Limitation of Funds (FAR clause) - when the project has spent a certain percentage of the
                                                                         award, USC has to send a notice to the sponsor. This is usually used in terms of incremental
                                                                         funding so they know when to send more money but it also gives the sponsor a sense of the
Set up award /        2.1 3.1.9     Automate award                       USC currently uses a standard NOA that is created by DCG. We need to verify that the same How does KC handle creating                         KC-Award
account                             notifications to                     information is getting sent out to the PI and RA in the automated system. Currently the NOA the content of the
                                    investigators and                    is sent out manually in a paper form.                                                          notifications for different
                                    research                                                                                                                            types of recipients - can the
                                    administrators.                      Electronic (email) notifications should go out to PI/department for the master account.        content be easily customized?
                                                                         Satellite accounts would like to see the full award information. However, there may be a
                                                                         need to separate what information goes to the satellites versus what information goes to the
                                                                         master. E.g., send terms and conditions out to the satellite, but not the full budget. We need
                                                                         to able to control what content goes to whom based on their role on the project (PI/master,
                                                                         satellite).




                                                                                                               Page 7
                                                                                        7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Business Process  RAS     Issue ID RAS Requirement       Functional     Discussion Notes                                                                                Questions / Info Needed       Current USC   RAS System /
                  v1.1                                   Requirements                                                                                                                                 System(s)     Module
                  ID
Award negotiation     2.1 3.1.10   Provide electronic                   End of negotiations there is a PI acceptance memo that indicates the exceptional terms and      Acceptance form is PDF -
and acceptance                     process for                          conditions that have been negotiated - this is not standard and only used in teh case of        signed and sent back to DCG
                                   investigators to                     exceptional t/c. There is informal (yet critical) T&C discussion with the PI during the
                                   approve unusual                      negotiations phase.
                                   terms and conditions.
                                                                        Able to route and approve electronically with electronic signature. Same terms on the memo
                                                                        would go on the notice of award that goes out to everyone so that everyone can see the
                                                                        special terms and conditions.

                                                                        Sometimes related to signing additional documents - certifications or signing away IP rights.
                                                                        There may be a link to those documents needing to be created and signed when those kinds
                                                                        of terms and conditiions that apply.

                                                                        Who has access to see the negotiation notes that indicate the staus?

                                                                        Could there be a way to communicate electronically and respond to requests for information
                                                                        about the terms and conditions discussions during negotiation?

                                                                        how does the PI tell DCG not to sign off on a t/c that they notice is unusual and should not
                                                                        sign off yet?

                                                                        could t/c review be part of the award approval process? so that everyone is looking at the
                                                                        same information and signing off of approval. A place for conversation about the award offer
                                                                        and t/c?

                                                                        NIH - DCG does not see the notice of award. it goes straight to account establishment.

                                                                        PI should be required to sign off on negotiated award prior to execution (at the end of the
                                                                        process). Copies should go to the department admin. Units should also be able to set up
                                                                        whether chairs/deans have to sign off as well.




                                                                                                              Page 8
                                                                                        7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Business Process   RAS     Issue ID RAS Requirement      Functional     Discussion Notes                                                                               Questions / Info Needed   Current USC   RAS System /
                   v1.1                                  Requirements                                                                                                                            System(s)     Module
                   ID
Set up award /         2.1 3.1.11   Facilitate efficient                This can happen during negotiations, dept/PI sends in request that goes to DCG. DCG doesn't
account                             request, approval,                  set up unless the unit has signed off that they are willing to incur the risk.
                                    and setup of advance
                                    funding/bridge                      System allows PI/dept to create and submit request (amount and budget), it gets routed and
                                    funding.                            approved, then sent to DCG for account set up.

                                                                        Some sponsors give letters of advance authorization to guarantee a certain level of support.
                                                                        clinical trials sometimes give payment for setup -- if the award is withdrawn, then that
                                                                        original amount is not taken away (happens on industry trials). This may affect how HRA is
                                                                        integrated with KC.

                                                                        For new awards, account numbers stay the same when the award comes through. For
                                                                        continuation between periods, there is usually a new account. Could the proposal
                                                                        submit/approval process help support this--have same people sign off?

                                                                        Incrementally funded keeps the same account number. Ties to the incremental update
                                                                        provided to the sponsor that asks for the next increment. Communicate to DCG for advance
                                                                        funding once the sponsor indicates funding is expected.

                                                                        Advance funding budget is put in and then pulled out when the award funding comes through-




                                                                                                             Page 9
                                                                                           7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Business Process   RAS     Issue ID RAS Requirement         Functional     Discussion Notes                                                                             Questions / Info Needed   Current USC   RAS System /
                   v1.1                                     Requirements                                                                                                                          System(s)     Module
                   ID
Set up award /         2.1 3.1.12   Facilitate entry of                    See above notes (copy and paste)
account                             terms and conditions,
                                    their timely review,
                                    and also provide easy
                                    access to PIs to view
                                    terms, conditions,
                                    and restrictions of
                                    awards, sub awards,
                                    and subcontracts,
                                    and record approval
                                    of any unique terms
                                    (e.g., terms related to
                                    intellectual property).




Manage award          2.1 3.1.13    Archive of award                       Policies apply on how to save records. Electronic data versus hard copy data may have this
non-financials                      documents.                             change. Federal policies apply as well as university policies on record retention.

                                                                           Not uploading things that we should - an educational/training piece in terms of what to
                                                                           upload. Distinguishing the official files that are getting archived versus notes. (General
                                                                           Council could point out the legal lines.)

                                                                           Retention/archiving is for audit purpose. Some documents associated with the award need to
                                                                           be kept longer than the other award docs (NDA).

                                                                           All files are moving toward electronic - scans of hard copy files.




                                                                                                                 Page 10
                                                                                          7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Business Process   RAS     Issue ID RAS Requirement        Functional     Discussion Notes                                                                                Questions / Info Needed             Current USC   RAS System /
                   v1.1                                    Requirements                                                                                                                                       System(s)     Module
                   ID
Administer and         2.1 3.1.14   Tracking outgoing sub- t              A-133 is by the prime award number. We have to be able to connect the federal primar
track subcontracts                  awards by prime                       award number to the sub-awards that go out.
                                    award to USC.
                                                                          This is primarily a concern for federal awards to be able to have that prime award number
                                                                          available for audits.

                                                                          Require the capture of federal pass-through numbers for prime award.

                                                                          CFDA number should also be connected to the sub-award.

                                                                          See notes on setting up sub-awards: dept requesting PO, goes to DCG for review, etc.

                                                                          Certain awards have restrictions on requesting a sub-award - does a requst have to go to the
                                                                          sponsor or not, thresholds on amount, changes in who was originally identified as teh
                                                                          subaward, cancelling a sub-award. This is laid in terms and conditions. Can there be flags so
                                                                          that if a sub-award request is made, the requestor is reminded of the applicable
                                                                          subcontractor T/Cs?

                                                                          Fully executed sub-award agreement available electronically? Would like to have thsi
                                                                          available for the department to view. Currently sometimes attached as backup for the PO?
                                                                          What is happening with KFS-PURAP -- what is being captured for the PO?
Award negotiation                                                         When notice of award is unsatisfactory, one issue may be a need for prior approvals due to      Will there be the ability to pull
and acceptance                                                            the scope of changes to the budget.                                                             information from the
                                                                                                                                                                          negotiation piece into the
                                                                                                                                                                          account setup? The
                                                                                                                                                                          negotiation module tracks
                                                                                                                                                                          communication between DCG
                                                                                                                                                                          and the sponsor and the
                                                                                                                                                                          negotiation record is linked to
                                                                                                                                                                          the proposal and award via
                                                                                                                                                                          Medusa. Information to
                                                                                                                                                                          create the award will default
                                                                                                                                                                          from the proposal.




                                                                                                               Page 11
                                                                                                    Award Accounting Processes

ID   Business Process RAS     Issue ID   RAS Requirement             Functional           Discussion Notes
                      v1.1                                           Requirements
                      ID
     Manage award         2.7 3.8.1      Routing and approval of     See RAS Assessment Payroll and Non-Payroll Expense Transfers: The primary difference with sponsored projects accounts (5x- accounts) is that
     financial                           budget changes, salary      Document - 3.8.1.x there are more people who have to review the request to make the transfer.
     transactions                        and cost transfers, and
                                         award extensions.                                System should expedite the requested changes in a timely manner.

                                                                                          System should provide a way to see the status/tracking of the transfers requested. Currently people have to keep manual
                                                                                          records to track, and there is no way to see where the paper copy of the document currently is.

                                                                                          System should provide confirmation that request has been received. Currently this is done manually, and it takes effort to
                                                                                          track down whether something has been received and there is no way to prove it got received.




     Manage award         2.7 3.8.2      Accurately post and         See RAS Assessment The system has to be able to accommodate different kinds of F&A rates. Calculations are done based on the object codes
     F&A                                 account for recovery of     Document - 3.8.2.x involved for each different type of F&A.
                                         F&A, including ability to
                                         specify multiple indirect
                                         cost rates (including
                                         collection of
                                         undercharged F&A after
                                         budget changes are
                                         completed).



                                                                                                                Page 12
                                                                                                 Award Accounting Processes

ID   Business Process RAS    Issue ID RAS Requirement            Functional           Discussion Notes
                      v1.1                                       Requirements
                      ID
     Manage award            3.8.2.1   Post/account for recovery See RAS Assessment F&A rates can vary from year to year.
     F&A                               of F&A for multiple /     Document - 3.8.2.x
                                       flexible rates                               System has to accomodate for different rates for certain periods.

                                                                                      OMB A21 - For federal awards, the rate charged is the rate that is in effect at the time of the award. So if rates change
                                                                                      during the lifetime of the award, the rate on the award itself stays at the same awarded rate.

                                                                                      ICT would like to be able to charge any rate/fee schedule for 22 accounts (gift accounts). Currently can only charge 15% or
                                                                                      0% on 22 accounts.

                                                                                    Allow to charge a lower overhead on select types of charges -- need flexibility for regular 5x accounts as well. Charge by
     Manage award            3.8.2.2                                                An extra fee is object class to select which types F&A rate. For example, a 5% rate is
                                       Post/account for recovery See RAS Assessment object code or sometimes charged in addition to of expenditures to calculate F&A on.charged to the Army for the extra
     F&A                               of F&A for accounts with Document - 3.8.2.x administrative work that goes into managing their awards. Currently this is a manual process, but it could be auotomated by
                                       F&A plus a fee                               adding an additional type of F&A rate available.

                                                                                    The system should have the ability to negotiate an additional rate for any type of award--generally an administrative type of
                                                                                    fee.
     Manage award            3.8.2.3   Track and provide         See RAS Assessment Currently keep spreadsheets that forecast the F&A recovery amount, and when account statements don't match the
     F&A                               reporting on budgeted     Document - 3.8.2.x amounts, it raises red flags.
                                       F&A and actual F&A
                                       charged.                                       Currently if budget does hits the amount budgeted in F&A, then the system stops charging F&A. Need to keep charging F&A
                                                                                      even when the budget threshold has been hit so that the dept/school doesn't lose track or have to keep separate
                                                                                      spreadsheets to keep F&A in mind. At least get a red-flag that the F&A charge didn't go through due to unavailable funds.

                                                                                      Leftover F&A at the end of the project--would like to be able to use that money, e.g. move it to another budget line item.

                                                                                      System does the calculation for you to see how F&A rate spending is going, and indicate when there is potential to spend
                                                                                      extra money other ways or when there is inadequate F&A budgeted, and that change needs to happen.

                                                                                      Need ability to determine if F&A is being recovered in accordance with the expenses




                                                                                                            Page 13
                                                                                                 Award Accounting Processes

ID   Business Process RAS    Issue ID RAS Requirement            Functional            Discussion Notes
                      v1.1                                       Requirements
                      ID
     Manage award            3.8.2.4   When a budget change is   See RAS Assessment Budget changes - need to have the ability to track the impact of the budget chanage on corresponding F&A, e.g., the system
     F&A                               made, calculate the       Document 3.8.2.x   checks to determine how F&A in the budget needs to change when money is moved from one budget category to another
                                       corresponding change to                      (especially from a code that doesn't charge F&A to one that does).
                                       F&A that needs to be
                                       made.
     Manage award            3.8.2.5   Allow for sharing a       See RAS Assessment Determine x percent of F&A received is going to go to specified account(s) as part of the automated system.
     F&A                               percent of F&A with       Document 3.8.2.x
                                       specified accounts as                        Create an ability to put money in the hands of the PI to charge things appropriately.
                                       incentives.
                                                                                       Could create an incentive for PIs to increase research if they know that money could be coming their way for their other
                                                                                       projects (non sponsored).

                                                                                      For example, deans sometimes do this negotiation. This is an extra administrative burden for research administrator or dean
                                                                                      currently.
     Manage award        2.7 3.8.7     Timely (preferably real-    See RAS Assessment Financial transactions need to follow sponsor rules (e.g., purchases 30 days prior to end of grant) in terms of what gets
     financial                         time, but no later than 24 Document 3.8.7.x    charged and when.
     transactions                      hours beyond posting a
                                       transaction) and accurate                      Users need to be able to have access to terms & conditions as financial transactions are being done in order to stay in
                                       accounting of all financial                    compliance.
                                       transactions related to an
                                       award, sub award, or
                                       subcontract.




                                                                                                             Page 14
                                                                                                Award Accounting Processes

ID   Business Process RAS     Issue ID   RAS Requirement         Functional           Discussion Notes
                      v1.1                                       Requirements
                      ID
     Manage award         2.7 3.8.8      Encumber pending        See RAS Assessment Issue: Change requests that are in pending status don't show up as encumbrances in budgets, so it appears there is more
     financial                           charges based on        Document 3.8.8.x   money available to spend than is actually there. For example, a change order is submitted to increase a subcontract, but the
     transactions                        purchase orders,                           encumbrance doesn't show up until all approvals are done--this means for a time the money appears to be available even
                                         procurement card                           though it is already intended to go to the subcontact.
                                         purchases and other
                                         foreseeable expenses.                        Request: As soon as a change request is submitted, have it show up as encumbered before all the signatures and approval
                                                                                      have gone through.

                                                                                      Ability to input something that will be done in the future to 'ear-mark' or hold up funds. Currently can hold funds in WEBBA,
                                                                                      but it's complicated and have to manual 'unhold' funds when the time for the actual expense comes along.

                                                                                      Ability to see the future expenses and stop expenses so that money doesn't get spent in the wrong way. Maybe have the
                                                                                      option to choose to encumber funds immediately. Encumbered does not automatically mean the money can be spent
                                                                                      without the necessary approvals. Set up and do a 'soft' lien for items that are planned.

                                                                                      Currently shadow systems are set up to track this type of future expenses that are known.

                                                                                      Also the ability to encumber the F&A involved with those encumbered ('soft lien') expenses.




                                                                                                            Page 15
                                                                                                    Award Accounting Processes

ID   Business Process RAS      Issue ID RAS Requirement              Functional          Discussion Notes
                       v1.1                                          Requirements
                       ID
     Perform financial     2.7 3.8.13   Financial projections for    Se RAS Assessment   Sometimes the person managing the award/account knows exactly how money will be spent, so just need a forward
     projections                        both individual projects     Document 3.8.13.x   calculation. But it would also be useful to generate multiple scenarios.
                                        and for groups of projects
                                        for individual                                   Payroll--would be helpful to have at least a payroll report indicating how people have been paid on projects, but also be able
                                        investigators,                                   to project payroll out into the future. The proposal provides some information on projected effort.
                                        departments, centers or
                                        schools. Ability to modify                       PIs need tools to see their burn rate and projections. This needs to be quick and easy.
                                        budgets based on
                                        projections.                                     Ability to include in projections what proposals are outstanding and what would the spending plan look like if the awards
                                                                                         come in for those proposals.

                                                                                         Ability to group/view allocations and burn rates across multiple projects/accounts that user is responsible for.

                                                                                         Ability to perform projections at the PI level and at the higher unit level.

                                                                                         Encumbrance requirements would help with some of this by indicating the pending encumbrances immediately.

                                                                                         A system is desired that can provide a 'crystal ball' kind of view, e.g., be able to see the burn rate on a project over time.




                                                                                                                Page 16
                                                                                              Award Accounting Processes

ID   Business Process RAS     Issue ID RAS Requirement              Functional     Discussion Notes
                      v1.1                                          Requirements
                      ID
     AR & Billing         2.8 3.9.1    Module that is capable of                   To do an invoice, there has to be a work-up on the account. 1. System determines the expenditures for the month and
                                       contract billing, grant                     invoice is generated. 2. Have to pull information to determine what to bill--makes sure we don't miss any expenditures from
                                       letter of credit drawdown,                  prior months.
                                       and receipt of cash (i.e. an
                                       A/R module).                                Be able to identify the application of IDC based on line item activities.

                                                                                   Be able to extract that information from multiple fiscal years. Data needs to include the master and satellites, if applicable.
                                                                                   Need to report on master and on individual satellites.

                                                                                   Need to tie in invoices to accounts and receivables and payments as they come in.

                                                                                   Multiple types of scheduling for invoiceing and financial reports- monthly, quarterly, semi-annual. Ability to do multi-
                                                                                   scheduling on an award basis (terms and conditions dictate). Award can have single account or master and satellites.

                                                                                   Receipt of cash = check.

                                                                                   Amount that is received is not always equal to invoice. E.g., retention fee that is withheld until the end. Note: This has to be
                                                                                   included on aging report.

                                                                                   Currently use SPA system that extracts data from GL - KFS needs to be able to provide the same data.. "Overhead matrix"
                                                                                   Billables that are subject to indirects and those not subject to indirects. Those parameters are set up at the beginning. Rates
                                                                                   have to be set up and recorded as well from the beginning as part of the account set-up.

                                                                                   The SPA process needs to be documented and reviewed. Need to get a list of the AR reports that Cindy uses regularly.

                                                                                   Need an edit process for invoices that are populated by the system. Ability to note what the edits are and why, including
                                                                                   keeping the track of versioning.

                                                                                   Would still need the ability to dump the data in spreadsheets to do review of data for no-cost extensions or other situations.
                                                                                   Need to be able to review the data and 'massage' numbers.




                                                                                                          Page 17
                                                                                         Award Accounting Processes

ID   Business Process RAS     Issue ID RAS Requirement          Functional     Discussion Notes
                      v1.1                                      Requirements
                      ID
     AR & Billing         2.8 3.9.2    Record sponsor billing                  Currently DCG sets up the award with info from NOA--electronic and hard copy come to SPA to review and confirm the
                                       contact information.                    billing information. If find any errors, then Cindy corrects. Information reviewed: name, phone & address of contact, billing
                                                                               due dates, and billing methodology. This information flows into the spreadsheets that SPA uses. Currently billing
                                                                               information is manually populated into that SPA chart.

                                                                               Equipment management needs to know allowables and have to report to the feds at the end for expenditure reports
                                                                               (different contacts, same setup concept).

                                                                               Most bills/invoices are submitted electronically. those that are printed use the contact information to fill out on form to
                                                                               show through envelope window.

                                                                               Manual invoices and automated invoices are created.

                                                                               Invoice numbering - SPA has a numbering schema that provides a system-generated number, but also have to accomodate
                                                                               with manual sequential numbering required by agency. If agency has a requirement, then their number replaces the SPA
                                                                               numbering.

                                                                               need to be able to tell the system whether to print or not print an invoice.

                                                                               Currently there is an edit process on invoices that Cindy can do. Auditors need to see that billing matches the GL.

                                                                               Electronic billing - sponsor agencies have billing systems that the information has to be manually entered into and then
                                                                               attach the invoice as well. Some agencies require receipts as well (doesn't have to be original). Some want hard copy as
                                                                               well as the electronic version. SPA needs to have access to the scanned images of receipts, p-card transactions, etc. in order
                                                                               to satisfy the sponsor requirements. Currently have to request p-card receipts from the department. Approx 10% of
                                                                               agencies need receipts. Some agencies need personnel title and percent effort. Note: most of these are not the feds.

                                                                               SPA needs to see any information that is available to SBOs - JV's, scanned images, etc.




                                                                                                     Page 18
                                                                                          Award Accounting Processes

ID   Business Process RAS     Issue ID RAS Requirement           Functional     Discussion Notes
                      v1.1                                       Requirements
                      ID
     AR & Billing         2.8 3.9.3    Generate aging reports.
                                                                                Need an aging report to monitor what's been invoiced and what's been paid or not paid.

                                                                                Current system has AR aging is only tracking on the unpaid side, not the paid. Would like to track the paid as well as the
                                                                                unpaid--that would allow SPA to see the cycle of agency to catch problems early. Need to be able to select dates for the
                                                                                report.

                                                                                Aging report has a comment field to track collection dates and notes. Need to track the collection tasks with date/time
                                                                                stamps and comments as well as capturing who made the contact as individual line items to show the full history. Also have
                                                                                that information be searchable. Currently this is all done manually.

                                                                                Would like to have a template of the collection letter that can be prepopulated and generated. Have the letters generated
                                                                                based on rules and do an automatic send out and populate the collection line with the date/time and info about the letter
                                                                                that was sent out.

                                                                                Need to have the sponsor contact for billing and for collections.

     AR & Billing         2.8 3.9.4    Record history of what                   KC records the amount awarded and transfers the award budget to KFS. Expenditures are tracked in KFS. Expenditures are
                                       was awarded compared to                  then considered billable amount.
                                       what was expended.
                                                                                Award and amount available to spend are often different. Original awarded amount may not all be available at the
                                                                                beginning.

                                                                                Have to track amount awarded, obligated amount (spendable amount), dates for each, budgeted amount (will be the same
                                                                                as obligated) that is managed in the GL.

                                                                                May be circumstances where billing does not include all of the expenditures--some may have been unallowable and have to
                                                                                be moved to another account (need to make sure we don't bill for that). Have to have option whether to bill for all
                                                                                expenditures, or to edit some expenditures out, or to bill on milestone or other payment schedule.

                                                                                billed amount has to populate a field for expenditures.

                                                                                Currently the SPA system has this ability to show the different amounts -- need a sample of reports.




                                                                                                      Page 19
                                                                                           Award Accounting Processes

ID   Business Process RAS     Issue ID RAS Requirement            Functional     Discussion Notes
                      v1.1                                        Requirements
                      ID
     AR & Billing         2.8 3.9.5    Record history of original                Need to have a cumulative figure for the budget amount awarded, but also the history/composition of that amount.
                                       budget compared to
                                       revised budgets.                          Need to see the cumulative history of the awarded budget from the sponsor. Need to see a record of every change and also
                                                                                 what the final budget is.

                                                                                 Need to see the cumulative history of the internal/working budget as well as what the current/final budget is.

                                                                                 Need to track what changes are made, who made them, when they were made.

                                                                                 Need to be able to track/calculate threshold of budget change allowed. e.g., 25% threshold-changes are allowed to be made
                                                                                 without prior approval. System should track budget changes and perform the calculations of changes versus the original
                                                                                 budget. Percent can be based on aggregate of the budget or line items of the budget.

                                                                                 Ability to have the system to indicate the advanced funded budget for this account. SPA can only draw down on actual
                                                                                 funding, not advanced funding. Need to able to trace what is advanced funding and exclude it from billing.

                                                                                 Ability to monitor the chagnes throughout the life of a budget. Auditors need this information--they look at actual contract
                                                                                 and compare to the GL and evaluate/review any differences. Supporting documentation should be available when it was
                                                                                 sent from teh agency for approval.

                                                                                 Data from electronic budget change process needs to be captured for reporting as well.

                                                                                 Central administration is the only one with view to the AR and billing information. Not needed out at department.




                                                                                                       Page 20
                                                                                         Award Accounting Processes

Questions / Info Needed             Current USC   RAS System /   Fit/Gap?   Gap
                                    System(s)     Module                    Resolution
                                                                            Recommen
Is there a requirement for 'wet                                             dation
signatures' (i.e., original
documents)? For example,
Payroll currently requires an
original document. Is there a
potential to use scanned
signatures rather than
transferring original documents
from hand to hand?

Will Purchasing receipts be
maintained in Kuali in electronic
form so that there isn't so much
need to dig for receipts? Are the
registered vendors going to
provide electronic versions of
receipts?

Does the KFS e-doc number get
referenced in an expense
transfer? Would that e-doc have
all the required information so
users don't have to spend time
tracking down physical receipts?


Identify the different types of
F&A rates involved.




                                                                                                  Page 21
                                                                                         Award Accounting Processes

Questions / Info Needed             Current USC   RAS System /   Fit/Gap?   Gap
                                    System(s)     Module                    Resolution
                                                                            Recommen
How is oversight done on setting                                            dation
up F&A? How are SPA, DCG, the
Office of Research, and Office of
Financial Analysis involved?




                                    Manual




Need to discuss university-wide
IDC analysis with Office of
Financial Analysis.




                                                                                                  Page 22
                                                                                           Award Accounting Processes

Questions / Info Needed               Current USC   RAS System /   Fit/Gap?   Gap
                                      System(s)     Module                    Resolution
                                                                              Recommen
                                                                              dation




Note: This is a policy/process that
was suggested and would need
follow-up and input/review from
the USC research administration
and community.




                                                                                                    Page 23
                                                                               Award Accounting Processes

Questions / Info Needed   Current USC   RAS System /   Fit/Gap?   Gap
                          System(s)     Module                    Resolution
                                                                  Recommen
                                                                  dation




                                                                                        Page 24
                                                                               Award Accounting Processes

Questions / Info Needed   Current USC   RAS System /   Fit/Gap?   Gap
                          System(s)     Module                    Resolution
                                                                  Recommen
                                                                  dation




                                                                                        Page 25
                                                                               Award Accounting Processes

Questions / Info Needed   Current USC   RAS System /   Fit/Gap?   Gap
                          System(s)     Module                    Resolution
                                                                  Recommen
                                                                  dation




                                                                                        Page 26
                                                                               Award Accounting Processes

Questions / Info Needed   Current USC   RAS System /   Fit/Gap?   Gap
                          System(s)     Module                    Resolution
                                                                  Recommen
                                                                  dation




                                                                                        Page 27
                                                                                      Award Accounting Processes

Questions / Info Needed          Current USC   RAS System /   Fit/Gap?   Gap
                                 System(s)     Module                    Resolution
                                                                         Recommen
Need KC/KFS teams to review                                              dation
and evaluate the SPA system to
ensure all functionality is
included in new systems.




                                                                                               Page 28
                                                                               Award Accounting Processes

Questions / Info Needed   Current USC   RAS System /   Fit/Gap?   Gap
                          System(s)     Module                    Resolution
                                                                  Recommen
                                                                  dation




                                                                                        Page 29
                                                                                             7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

ID   Business    RAS     Issue ID RAS Requirement                 Functional     Discussion Notes                                                                          Questions / Info   Reports Identified as Needed
     Process     v1.1                                             Requirement                                                                                              Needed
                 ID                                               s
     Report on       5.1 6.1.1    Customized and automated        See RAS        Ability to customize reports in the form required by a sponsor.                                              Awards by School
     research                     reports on funded research      Requirements                                                                                                                Awards by Division
     activity                     activity, as reflected in       Assessment     Reporting to various audiences: internal (central, school, dept, and PI levels) as well                      Awards by Department
                                  proposals, awards, and          Document -     as external.                                                                                                 Awards by PI
                                  expenditures, classified by     Section
                                  individual investigator,        6.1.1.x        Wherever any data is entered in a field, that field is reportable.                                           Accounts by School
                                  academic unit,                                                                                                                                              Accounts by Division
                                  interdisciplinary                              Integrating data that posts in the GL and in shadow systems. Ability to pull data                            Accounts by Department
                                  collaboration, sponsor.                        from multiple systems to create reports.                                                                     Accounts by a PI
                                  Examples include account
                                  summaries, funds available,                    Have a set of canned reports that users can select from: a standard set of reports                           Transactions grouped by category
                                  drill-down to detailed                         available as automated reports (e.g., just select from a list or push a button).                             for individual accounts
                                  account activity, roll-ups of
                                  satellite accounts to their                    Ability to create custom reports when the desired report is not available in canned                          Aggregation multiples accounts
                                  associated master account,                     reports.                                                                                                     under a single grouping (e.g.,
                                  transactions grouped by                                                                                                                                     program)
                                  category such as travel,                       Abililty to start with canned reports and modify as necessary to create a custom
                                  materials and supplies.                        report.                                                                                                      Funds available for single and
                                                                                                                                                                                              groups of accounts.
                                                                                 Ability to drill down within reports all the way down to the individual
                                                                                 expenditure/transaction levels.                                                                              Aggregating research accounts with
                                                                                                                                                                                              other accounts (e.g., gift accounts,
                                                                                 Ability to report account budgets/expenditures by object code--obj codes rolled up                           departmental accounts) in a single
                                                                                 and/or translated into words.                                                                                report.

                                                                                 Ability to see summary of the account from its inception--not just the monthly report                        Cost-share reporting
                                                                                 of transactions.
                                                                                                                                                                                              Report on funds left over from
                                                                                 Ability to report by time dimension: by fiscal year, project to date, etc.                                   sponsored project--show the
                                                                                                                                                                                              original project and how much is
                                                                                 Ability to report on split of credit for F&A calculations.                                                   left over. Aggregate that for




                                                                                                                   Page 30
                                                                                             7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

ID   Business      RAS     Issue ID RAS Requirement                Functional    Discussion Notes                                                                        Questions / Info       Reports Identified as Needed
     Process       v1.1                                            Requirement                                                                                           Needed
                   ID                                              s
     Create            5.1 6.1.2    Projections of important                     Currently space usage and post-docs is done locally, with data maintained locally and Need to go back to
     financial                      metrics such as proposal                     used for budgeting.                                                                   the Office of
     projections                    yield, award volume, school                                                                                                        Research and ask for
                                    and department                               DCG uses proposal yield and award volume (quantity) for workload distribution.        clarity on
                                    projections, expected                        Dept would need these reports for budgeting.                                          "projections"
                                    continuation funding,
                                    accounting of post docs,                     Projections are focused on future predictions.                                          Talk with SPA about
                                    space usage, recovery of                                                                                                             their audit report
                                    indirect cost, forecasting for               Currently combining data that is maintained locally with data central systems to        running for F&A that
                                    PIs, burn rates, projecting                  create these reports.                                                                   is recovered and
                                    time required for various                                                                                                            unrecovered.
                                    award processing steps                       Time periods being set by semester, fiscal year, budget year, award period.
                                    based on historical data.
                                                                                 NASA - has 25, 50, 75, 100 expectation of burn rate (quarterly goals).

                                                                                 Burn rate report - would like to be able to calculate and see if burn rate is high or
                                                                                 low for meeting spending goals. This at the award level.

                                                                                 Projections on proposal yield would be useful by PI (success rate).

                                                                                 Account for projects that accrue income (not just success rate for proposal) in
                                                                                 projections.

                                                                                 Currently get a PI RIC (Recovered Indirect Costs). These are produced in house. SPA
                                                                                 has to do an audit. Departments combine information available in the ASRs, but then
                                                                                 have to go to SPA to get the audit details. There isn't a place to just go and see
                                                                                 what's been charged and what's been written off. No way to see if your spending
                                                                                 will be short or overspent without human intervention and calculations. RIC only




                                                                                                                  Page 31
                                                                                           7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

ID   Business    RAS     Issue ID RAS Requirement               Functional     Discussion Notes                                                                      Questions / Info     Reports Identified as Needed
     Process     v1.1                                           Requirement                                                                                          Needed
                 ID                                             s
     Report on       5.1 6.1.3    Search tool to identify       See RAS        Ability to search for award by amount awarded.                                        What data elements Award summary report
     research                     awards by keyword, title,     Requirements                                                                                         should be included
     activity                     sponsor, academic unit,       Assessment     Ability to search by award type (project code) (e.g., continuation, supplemental,     on a summary report
                                  investigator, award period.   Document -     amendment, new)                                                                       for an award?
                                  Produce summary report        Section
                                  on each identified award.     6.1.3.x        Ability to search by shortcut/nickname title.

                                                                               Ability to search by FOA or RFA (announcement).

                                                                               Ability to search by type of award (work area) (e.g., contract, clinical trials,
                                                                               fellowship, training, instruction etc.)

                                                                               Ability to search by sponsor award number.

                                                                               Ability to search for awards by subcontract.

                                                                               Ability to search for award by master/satellite.

                                                                               Ability to search for pass-through awards.

                                                                               Ability to search by type of funder (e.g., federal, state, foundation, corporation,
                                                                               international gov't).

     Report on      5.1 6.1.4     Reports needed to fulfill     See RAS        STAR Metrics - Science and Technology for America's Reinvestment: Measuring the       Follow up with the    NSF Survey
     research                     government requirements       Requirements   effect of research on innovation, competitiveness, and science.                       Office of Financial
     activity                     on impact of research, such   Assessment                                                                                           Analysis to determine
                                  as “STAR Metrics”, and        Document       NOTE: Discussion with Jeri Muniz during RATF meeting on 1/9 indicated that USC is     what government
                                  track associated data.        Section        interested in participating in this reporting, but does not currently do it.          reporting
                                                                6.1.4.x                                                                                              requirements they
                                                                                                                                                                     have to meet.




                                                                                                                  Page 32
                                                                                            7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

ID   Business      RAS     Issue ID RAS Requirement               Functional    Discussion Notes                                                                           Questions / Info   Reports Identified as Needed
     Process       v1.1                                           Requirement                                                                                              Needed
                   ID                                             s
     Create            5.1 6.1.5    “What-if” analytical tools so               Looking at historical data for trending - similar grants, same grant previous years - in
     financial                      that users may generate                     order to do projections for budgeting.
     projections                    reports based on given
                                    assumptions and historical                  What-if scenarios for rescoping, rebudgeting if get an award that comes in at a lower
                                    data.                                       or higher amount than requested.

                                                                                Estimating PI time committments and the allocation issues that would arise if all the
                                                                                requested funding is granted.

                                                                                Estimating/planning space allocations if requested grant funding comes in - what's
                                                                                needed in terms of space, what's already committed, what would be needed -
                                                                                different scenarios. Number of people by square footage.

                                                                                What-if scenarios for funding that does not come in - what impact does that have on
                                                                                a budget?

                                                                                What kind/amount of funding is required to continue work for future years,
                                                                                especially with respect to payroll? Different scenarios need to be evaluated.

                                                                                Similar to projection reports but with the added capability to try out different
                                                                                scenarios.

                                                                                What if scenarios for funding that relates to research assistants, grad students, PhD
                                                                                students, post-docs - implecations for hiring and recruitment and meeting payroll for
                                                                                those already hired. Also impacts the tuition for students that is supplied by grants.




                                                                                                                  Page 33
                                                                                         7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

ID   Business    RAS     Issue ID RAS Requirement              Functional    Discussion Notes                                                                            Questions / Info   Reports Identified as Needed
     Process     v1.1                                          Requirement                                                                                               Needed
                 ID                                            s
     Report on       5.1 6.1.6    Interface with an enterprise               Need to identify which tools are available. Functionally this will get tested as each
     research                     business intelligence tool,                report is identified and created - verifying that necessary data is available.
     activity                     providing access to all data
                                  elements deemed relevant                   Ability to run reports from an overview/university level - cumulative, cross-sectional
                                  to research administration                 types of reporting, historical trending, strategic reporting. Ability to select the types
                                  needs, which may include                   of data needed and how to run analytics on that data.
                                  data from several systems
                                  of record.                                 Analyze success rates (amounts, number of grants) in order to evaluate how much
                                                                             cost-sharing to support within a department.

                                                                             Reporting on collaboration for awards.

                                                                             DCG gets reports for things like all funding for cancer-related research in a given time
                                                                             frame. Flexibility required to identify the data needed for individual proposal tables
                                                                             that have to be filled out as part of submission.

                                                                             Access rules still need to apply to the data that is included on reports that are being
                                                                             generated.

                                                                          Systems might include: KFS, WEBBA, Workday (HR), OTIS/T2 (timekeeping), AIS
                                                                          (DCG), FSMS (faculty salary management), regulatory compliance (IRB, IACUC, COI),
                                                                          Effort Certification (eCert), SCera data, Facilities managment, Baxter (faculty bio
                                                                          info).
     Report on      5.1 6.1.7    Download feature so that See RAS         Ability to get the report in PDF version and in Excel version as well as CSV and XML
     research                    any reports can be accessed Requirements (standard Kuali options).
     activity                    via download and import. Assessment
                                                             Document -
                                                             Section
                                                             6.1.7.x




                                                                                                               Page 34
                                                                                             7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

ID   Business    RAS     Issue ID RAS Requirement                 Functional     Discussion Notes                                                                     Questions / Info         Reports Identified as Needed
     Process     v1.1                                             Requirement                                                                                         Needed
                 ID                                               s
     Report on       5.1 6.1.8    Comprehensive searching         See RAS        Ability to search and report on any data field that is there.
     research                     and filtering capabilities.     Requirements
     activity                                                     Assessment     Ability to add search filters using data fields.
                                                                  Document -
                                                                  Section        Abilty to search on multiple criteria/fields.
                                                                  6.1.8.x

     Report on      5.1 6.1.9     Assure that sensitive data is   See RAS        Currently access is handled based on program code and access level.                   Where are access
     research                     only accessible to those        Requirements                                                                                         rules defined?
     activity                     that are authorized to view     Assessment     Security access rules should match the data access for other functional parts of the Especailly when data
                                  such data.                      Document -     system.                                                                               is coming from
                                                                  Section                                                                                              multiple systems the
                                                                  6.1.9.x        Ability to have proxy access (e.g., admin assistant under direction of PI). Issue the level of access for a
                                                                                 proxy needs to have access to do the work that is being requested of them, but their single person may
                                                                                 standard login may not have the necessary access.                                     vary greatly. How do
                                                                                                                                                                       we reconcile access
                                                                                                                                                                       to the data from
                                                                                                                                                                       different systems on
                                                                                                                                                                       a single report?

     Report on      5.1 6.1.10    Provide data with minimal       See RAS      Whatever actually gets processed in the system can be refreshed by systems to be
     research                     latency; one day would be       Requirements available the next day.
     activity                     ideal.                          Assessment
                                                                  Document - Indicate the time-stamp for the data on the report.
                                                                  Section
                                                                  6.1.10.x




                                                                                                                    Page 35
                                                                                         7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

ID   Business     RAS     Issue ID RAS Requirement             Functional     Discussion Notes                                                                       Questions / Info   Reports Identified as Needed
     Process      v1.1                                         Requirement                                                                                           Needed
                  ID                                           s
     Design and       5.1 6.1.11   Provide tools for users to                 Ability to create and maintain templates based on what the funder requires.
     manage                        create their own report
     report                        templates, which can then                  Ability to create and maintain templates that are used for internal reporting (dean,
     templates                     be shared with others, with                chair, PI, other) the way that they want to see the data.
                                   no or minimal programmer
                                   involvement.                               Templates - layout and display, which data elements are included from a list of data
                                                                              elements that are available, and any calculations required to get the data to put on
                                                                              the form.

                                                                              Easy to use and easy to learn.



     Report on       5.1 6.1.12   Link accounts for multi-year                Ability to do the roll-ups when more than one account is used for an award to be
     research                     awards for reporting                        able to report at the award level cumulatively.
     activity                     purposes.
     Report on       5.1 6.1.13   Track foregone F&A, as well See RAS         Reporting in multiple levels -- by account, by PI, by department, by division, by
     research                     as cost-sharing              Requirements   school, university wide.
     activity                     commitments.                 Assessment
                                                               Document -
                                                               Section
                                                               6.1.13.x




                                                                                                               Page 36
                                                               7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Current USC System(s)   RAS System /   Fit/Gap?   Gap
                        Module                    Resolution
                                                  Recommen
                                                  dation




                                                                               Page 37
                                                               7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Current USC System(s)   RAS System /   Fit/Gap?   Gap
                        Module                    Resolution
                                                  Recommen
                                                  dation




                                                                               Page 38
                                                               7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Current USC System(s)   RAS System /   Fit/Gap?   Gap
                        Module                    Resolution
                                                  Recommen
                                                  dation




                                                                               Page 39
                                                               7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Current USC System(s)   RAS System /   Fit/Gap?   Gap
                        Module                    Resolution
                                                  Recommen
                                                  dation




                                                                               Page 40
                                                               7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Current USC System(s)   RAS System /   Fit/Gap?   Gap
                        Module                    Resolution
                                                  Recommen
                                                  dation




                                                                               Page 41
                                                               7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Current USC System(s)   RAS System /   Fit/Gap?   Gap
                        Module                    Resolution
                                                  Recommen
                                                  dation




                                                                               Page 42
                                                               7db34453-450d-4ef3-a81e-cb5eb4e0f5f5.xlsx

Current USC System(s)   RAS System /   Fit/Gap?   Gap
                        Module                    Resolution
                                                  Recommen
                                                  dation




                                                                               Page 43
ID   Business Process  RAS     Issue ID RAS Requirement                Functional           Discussion Notes                                                                     Questions / Info Needed Current USC      RAS System /
                       v1.1                                            Requirements                                                                                                                      System(s)        Module
                       ID
     Closeout an award     3.1 3.10.1   Record and provide key         See RAS              Key information used for closing out an account:                                                             GL - SPA Chart   KC-Award
                                        information necessary to       Assessment           - Account number - used to look up account info in the SPA chart                                             WEBBA            KC-Award Budget
     Closeout an                        closeout an account, such as   Document -           - Equipment title - available on SPA chart, gives details of equipment disposition                                            KC-Time & Money
     account                            title to equipment, and        Section 3.10.1.x     at the end of the project                                                                                                     KFS
                                        identification and             as well as Section   - Unobligated balances - amounts budgeted but never spent, available via
     Manage                             reconcilement of               3.1.x                WEBBA
     equipment                          unobligated balances.          (Award/account       - Subcontracts
                                                                       setup)               - Patient care costs and/or budget - note: this is not subject to IDC
                                                                                            - Purchase orders - need to see what is open, what amount is left, and
                                                                                            determine if there are outstanding invoices
                                                                                            - Payroll - need to verify people have been paid as necessary from the account
                                                                                            up to the project close
                                                                                            - Satellite accounts - consolidate back to the master account with correct IDC
                                                                                            calculations (may have to adjust manually)
                                                                                            - Reimbursement requests - verify that all requests have been submitted
                                                                                            - Pending expense transfers - need to be able to see if there are expenses that
                                                                                            have been submitted but not posted yet

                                                                                            The system must collect this information.

                                                                                            The system must allow users to search for this information. Users need to be
                                                                                            able to search for all types of transactions throughout the life of the award
                                                                                            (e.g., by name/company for reimbursements). Users need to be able to search
                                                                                            for transactions in any status once the transaction has been submitted in the
                                                                                            system (KFS and KC).




                                                                                                                  Page 44
ID   Business Process   RAS     Issue ID RAS Requirement                 Functional           Discussion Notes                                                                Questions / Info Needed Current USC   RAS System /
                        v1.1                                             Requirements                                                                                                                 System(s)     Module
                        ID
     Manage IP              3.1 3.10.2   Request and record              See RAS              The information and guidelines for disclosure of patentable inventions is usually What data is included on            KC-Award
                                         disclosure of any potentially   Assessment           included in the NOA and varies by sponsor. The system needs to capture this       the NIH form? What data             KC-Report Tracking
                                         patentable inventions at        Document -           information when the award is set up.                                             is needed on other forms?
                                         close-out.                      Section 3.10.2.x                                                                                       Verify that the data is
                                                                         as well as Section   NIH requires a specific form be created and submitted. Other sponsors have        being collected and is
                                                                         3.1.x                other forms.                                                                      available.
                                                                         (Award/account
                                                                         setup)               PI initiates intellectual property and patents with USC Stevens.                Does KC need to
                                                                                                                                                                              communicate with the
                                                                                                                                                                              USC Stevens system? If
                                                                                                                                                                              so, how?

                                                                                                                                                                              Does DCG have additional
                                                                                                                                                                              data needs with respect
                                                                                                                                                                              to inventions?




                                                                                                                    Page 45
ID   Business Process  RAS     Issue ID RAS Requirement                Functional         Discussion Notes                                                                   Questions / Info Needed Current USC   RAS System /
                       v1.1                                            Requirements                                                                                                                  System(s)     Module
                       ID
     Closeout an award     3.1 3.10.3   Management tool to             See RAS            The system should send email notifications for expiration of account 90 days                                             KC-Award
                                        generate notifications that    Assessment         prior to the expiration date on the account. The notifications should go to the                                          KC-Report Tracking
     Closeout an                        account will expire soon and   Document -         research admin and PI. Send second notification at 60 days prior to account                                              KFS
     account                            final reports are due, route   Section 3.10.3.x   expiration and a third notification at 30 days prior.
                                        final reports to research
                                        administrators for review,                        The system should send email notifications for final report due dates 90 days
                                        and record when final                             prior to the date that the report is due to the sponsor. Notifications should go
                                        reports are completed and                         to the research admin and PI. The system should send a second notification at
                                        submitted.                                        60 days prior to the report due date, a third notification 30 days prior, and a
                                                                                          fourth notification on the due date. The system should track when the report
                                                                                          has been submitted, and notifications should halt once the report has been
                                                                                          submitted.

                                                                                          Users need to be able to run a report that indicates past-due reports.

                                                                                          The system should allow users to attach/upload a copy of the reports (financial,
                                                                                          technical, and all other reports) that are submitted to the sponsor. Users
                                                                                          should be able to access the reports that have been attached (according to
                                                                                          security/access rules for the award).

                                                                                          Reports do not usually need to be routed for approval, but reports could be
                                                                                          routed to research admins in order for them to scan or upload the reports into
                                                                                          the award record.




                                                                                                                Page 46
ID   Business Process  RAS     Issue ID RAS Requirement                 Functional         Discussion Notes                                                                  Questions / Info Needed Current USC     RAS System /
                       v1.1                                             Requirements                                                                                                                 System(s)       Module
                       ID
     Closeout an           3.1 3.10.4   Notify RAs and central          See RAS            Research administrators work with PIs to determine if a no-cost extension is      Follow-up with SPA: How GL              KC-Award
     account                            administrative units if         Assessment         needed or additional funds are expected when an account is being closed. The      does the overall account GL-SPA Chart   KC-Award Budget
                                        extension is expected, and      Document -         research administrators need to be able to notify DCG and SPA of the intention    termination process work WEBBA          KC-Time & Money
     Closeout an award                  assist in proper timing of      Section 3.10.4.x   to request a no-cost extension (at project end) or that additional funds are      in KFS?                                 KC-Report Tracking
                                        freezing of POs, termination                       anticipated (at the end of a project period). The system should facilitate this                                           KFS
     Manage                             of account, and other                              communication and allow tracking of extension requests.
     subcontracts                       required closeout tasks such
                                        as processing of subcontract                       Purchase orders are closed, not frozen. At account closure, the balance of a PO
                                        invoices.                                          is changed to reflect what was spent in order to release any funds that were
                                                                                           unspent. New POs are opened if necessary with new accounts for subsequent
                                                                                           project periods. In the current process, units have to get approval from DCG
                                                                                           prior to Purchasing being able to close out a PO.

                                                                                           Currently the financial accounting system automatically puts the account in "T"
                                                                                           status 30 days after the expiration date. The system should indicate any
                                                                                           pending transactions that have been initiated but not processed/posted so that
                                                                                           those can be reviewed prior to account termination.

                                                                                           The account expiration notification should indicate common closeout tasks that
                                                                                           need to be done, perhaps as a bullet list of common things to do to remind
                                                                                           recipients about no-cost extension requests, reconciliation, etc.
     Closeout an award     3.1 3.10.5   Cross-departmental,             See RAS            The NOA can provide some information about who is responsible for each of                                                 KC-Award
                                        collaborative, award            Assessment         the different types of closeout reports (e.g., technical from DCG and financial                                           KC-Report Tracking
                                        closeout checklist that all     Document -         from SPA, IP from USC Stevens).
                                        departments and PIs can         Section 3.10.5.x
                                        view, along with who is                            The system has to have a place to track what is due and who the responsible
                                        responsible for which item                         party is. The system also has to have a place to track what has been submitted
                                        and status of completion,                          (i.e., check off a task as complete).
                                        with automated
                                        notifications where possible.                      See 3.10.3 above for more detailed discussion notes on notifications.




                                                                                                                 Page 47
ID   Business Process   RAS     Issue ID RAS Requirement               Functional         Discussion Notes                                                                  Questions / Info Needed Current USC   RAS System /
                        v1.1                                           Requirements                                                                                                                 System(s)     Module
                        ID
     Closeout an            3.1 3.10.6   Employ controls so that       See RAS            This requirement addresses a concern about payroll and tuition charges, for       How will Workday process              KFS
     account                             terminated accounts are not   Assessment         example. Currently, Payroll will charge payroll expenses to the account they      payroll against sponsored             Workday
                                         charged, and notify RAs so    Document -         have available, even if it is expired. The same holds true for tuition charges.   accounts to prevent
     Manage financial                    that new accounts can be      Section 3.10.6.x                                                                                     charging against
     transactions for                    used.                                            Suggestion: When a payroll request is created that has an end date that falls     terminated accounts?
     sponsored                                                                            after the expiration data of the account charged, then flag that request in the
     accounts                                                                             Payroll system for review prior to letting the charge go through.

                                                                                          When the account is being terminated but additional funding is anticipated,
                                                                                          units usually try to set up advanced funding so that there is an account to
                                                                                          charge payroll against if the prior account has been terminated. Notifications
                                                                                          need to go out from DCG to the RAs as soon as new accounts are set up.




                                                                                                                Page 48
ID   Business Process  RAS     Issue ID RAS Requirement             Functional     Discussion Notes                                                                  Questions / Info Needed Current USC   RAS System /
                       v1.1                                         Requirements                                                                                                             System(s)     Module
                       ID
     Closeout an award     3.1 3.10.7   Account for all equipment   See RAS        Currently information about equipment is maintained by equipment                  How does CAMS capture                 KC-Award
                                        purchased, including        Assessment     management, who keeps records for all equipment over $5,000. Units may            equipment for sponsored               KFS-CAMS
     Manage                             equipment purchased by      Document -     keep an additional inventory sheet for equipment bought that falls under the      projects and what reports
     equipment                          subcontractors.             3.10.7.x       $5,000 threshold, using local spreadsheets built from information provided on     are available?
                                                                                   forms that PIs have to fill out to aid in tracking this type of equipment.
     Manage
     subcontractors                                                                USC needs to be able to track who holds the title to the equipment--note that
                                                                                   title ownership may change from university to sponsor or vice versa.
                                                                                   Ownership terms are usually noted in the NOA. This information should be
                                                                                   captured during award setup.

                                                                                   Users need to be able to look up and view/report the equipment for sponsored
                                                                                   projects.

                                                                                   Equipment Management provides research administrators with a notification of
                                                                                   equipment list for an award at the end of the award. Units would like to be
                                                                                   able to see the result of the physical inventory done by Equip Management as
                                                                                   an attachment to an award.

                                                                                   Users would like to be able to run a report on equipment within a unit that was
                                                                                   purchased on sponsored accounts and equipment purchased on all accounts.

                                                                                   Currently, if equipment is purchased by subcontractors, equipment can still be




                                                                                                         Page 49
Fit/Gap?   Gap
           Resolution
           Recommen
           dation




                        Page 50
Fit/Gap?   Gap
           Resolution
           Recommen
           dation




                        Page 51
Fit/Gap?   Gap
           Resolution
           Recommen
           dation




                        Page 52
Fit/Gap?   Gap
           Resolution
           Recommen
           dation




                        Page 53
Fit/Gap?   Gap
           Resolution
           Recommen
           dation




                        Page 54
Fit/Gap?   Gap
           Resolution
           Recommen
           dation




                        Page 55

				
DOCUMENT INFO
Shared By:
Categories:
Tags:
Stats:
views:0
posted:5/18/2012
language:
pages:55
fanzhongqing fanzhongqing http://
About