FEBRUARY 12, 2014 Research Administration Forum. Agenda FY2013 Annual Report Procurement Services Announcements Project Accounting Updates New Uniform.

FEBRUARY 12 , 2014

Research Administration Forum

Agenda

FY2013 Annual ReportProcurement Services

AnnouncementsProject Accounting UpdatesNew Uniform Guidance from

OMBIAMS

DICK SELIGMANASSOCIATE VICE PRESIDENT,RESEARCH ADMINISTRATION

FY2013 Annual Report

Federal Agencies65.10%

Federal Flow-through

26.37%

Foreign Entities2.66%

Educational/Research Institutions0.63%

Non-ProfitOrganizations

1.92%

For-ProfitCompanies

3.07%

State and LocalAgencies

.25%

California Institute of TechnologyContract and Grant Funding, by Sponsor Type - FY2013

$309,298,873

Chart 1

DOE9.11%

NASA5.22%

NIH21.02%

OtherFederal.24%

NSF28.15%

DOI (USGS).89%

FederalFlow-through28.83%

Air Force1.88%

Army1.26%

DARPA1.65% Navy1.57% Other.18%

California Institute of TechnologyFederal Contract and Grant Funding - FY2013

Total Federal Funding:$282,940,666

Total DOD Funding:$18,495,969

Chart 4

FY2013No. of

Transactions

% Change in No. of

TransactionsFunds

Awarded% Change in Dollars from Previous Year

Biology 210 12.9% 53,359,219 0.9%

Chemistry & Chemical Engineering 184 0.0% 51,026,141 -0.6%

Engineering & Applied Science 280 -4.4% 46,338,330 -5.6%

Geological & Planetary Sciences 173 -4.9% 22,070,978 29.4%

Humanities & Social Sciences 15 -57.1% 4,329,609 -20.8%

Physics, Math & Astronomy 377 14.9% 127,595,970 -7.0%

Other 5 -44.4% 4,578,626 -42.7%

Totals 1,244 2.2% $309,298,873 -3.6%

Geological &Planetary Sciences

7.14%

Chemistry & Chemical

Engineering16.50%

Biology17.25%

Other1.48%

Physics, Math& Astronomy

41.25%

Humanities &Social Sci-

ences1.40%

Engineering &Applied Sci-

ences14.98%

California Institute of TechnologyContract and Grant Funding, by Division - FY2013

$309,298.873

Chart 6

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013$

$50

$100

$150

$200

$250

$300

$350

$400

$

$50

$100

$150

$200

$250

$300

$350

$400

10-Year Contract and Grant Funding: FY2004-FY2013Compared to FY2004 Dollars Adjusted for Inflation

(Inflation Rate Based Upon Average Annual Consumer Price Index)

Total Award Funding FY2004 Dollars Adjusted for Inflation

Mil

lio

ns

of

Do

llar

s Millio

ns o

f Do

llars

Chart 8

ARRAIPAC

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

50

100

150

200

California Institute of TechnologyContract and Grant Funding, by Division - FY2004-FY2013

Mil

lio

ns

of

Do

lla

rs

PMA

EASBIO

CCE

GPS

HSS

Chart 9

PMA without NuS-TAR, Advanced LIGO, or IPAC

CCE without JCAP

FY2013No. of

ProposalsAverage Dollars Requested/Year

Total Dollars Requested

Biology 292 108,194,349 317,134,439

Chemistry & Chemical Engineering 221 58,719,957 153,074,692

Engineering & Applied Science 275 83,749,162 267,522,885

Geological & Planetary Sciences 131 14,150,844 34,596,637

Humanities & Social Sciences 21 13,715,862 60,988,185

Physics, Math & Astronomy 204 48,644,872 142,654,809

Other 2 10,333,333 35,000,000

Totals 1,146 $337,508,379 $1,010,971,647

2004 2005 2006 2007 2008 2009 2010 2011 20120%

10%

20%

30%

40%

50%

60%

43%

49%

44%

41% 42% 42%

39%

42%40%

Success Rate of All Caltech Proposals

Chart 12

2004 2005 2006 2007 2008 2009 2010 2011 20120%

5%

10%

15%

20%

25%

30%

35%

40%

45%

50%

0%

5%

10%

15%

20%

25%

30%

35%

40%

45%

50%

35% 35%

26%

33%

31%

26%

31%

25%

23%

26%

23%

19%

22% 22%21%

23%

20% 20%

NIH-Caltech NIH-National

NIH Success Rates

Chart 13

2004 2005 2006 2007 2008 2009 2010 2011 20120%

5%

10%

15%

20%

25%

30%

35%

40%

45%

50%

0%

5%

10%

15%

20%

25%

30%

35%

40%

45%

50%

32%

42%

37%

30%

35%

44%

33%

29%

36%

24%23%

25%26%

25%

32%

23%24% 24%

NSF-Caltech NSF-National

NSF Success Rates

Chart 14

TINA LOWENTHAL DIRECTOR OF PROCUREMENT SERVICES

PEGGY BURKE TRAVEL ADMINISTRATOR

Procurement Services2014 Announcements

2014 Announcements

Catering ServicesTechMart UpgradeNASA Restrictions on Orders to ChinaTravel

Past Due Travel Reports Hotel Agreements

Catering Services

DOE Audit Reasonableness and Allowability of Conferences,

Meals, and Refreshments Some costs were determined unreasonable and an

opportunity to reduce cost was presented Questioned costs returned to the DOE

Issue Catering Services are processed via a Payment

Request No determination of price reasonableness is required

Catering Services

Solution Modify Payment Request Policy…slightly Catering Services

Paid for by federally funded account, regardless of dollar amount, must be processed via a Purchase Requisition

Transactions (including P-Card) exceeding $10,000 require competition/multiple bids

Non-federally funded transaction are processed as usual

New Policy (effective January 2014)Catering Services: Payment to a company or an individual providing food, drink and food service. Typically at social events and in a professional capacity. Not applicable to federally funded projects. A Purchase Order is required for federally funded projects.

TechMart Upgrade

New User Interface: Classic to PhoenixEffective March 30, 2014Final Preview Session: Tuesday, March 4th

Online Resources: https://procurement.caltech.edu/departments/purchasinghome/techmarthome

Email: [email protected]

NASA Restrictions on Orders to China

Caltech is restricted from using NASA funding “to enter into or fund any grant or cooperative

agreement of any kind to participate, collaborate, coordinate bilaterally in any way with China or any Chinese-owned company, at the prime recipient level or at any subrecipient

level, whether the bilateral involvement is funded or performed under a no-exchange of

funds arrangement.” (GIC 12-01)

NASA Restrictions on Orders to China

Group Responsibility

End-users Understand the restriction on Chinese Suppliers/Nationals.

SOS and Purchasing Buyers

• Review orders for 1) NASA funding source and 2) Chinese Supplier

• Place order on hold if 1) and 2) are true• Report to Export Compliance

Contracting Officers Include applicable provision in Subawards that are subject to 14 CFR § 1260, 1273, & 1274

Supplier Management Flag Chinese Suppliers in Oracle/TechMart with the Chinese flag

Export Compliance Review orders and provide further instruction

Past Due Travel Reports

Late Trip Reporting

Late Notice Letters

30 DaysFriendly Reminder

Sponsored trips should have already been submitted

60 DaysLast Friendly Reminder

Past Due Notices and Reports

Why am I copied on past due travel reports?

If you are the traveler or preparer and you have not submitted your report, you will receive notices at 30 and 60 days after the trip end date. Division Heads and Project

Accounting are notified of all past due reports quarterly

Where can I find a listing of past due reports?

First check your travel log. Look at the trip end dates. If there are any that are over 30 days old you need to close those reports and send them to Travel Services

How can I see all of the past due reports for my department/division?

A new report called “Campus Travel Aging Report” has been developed in Cognos that will allow users, who have access, to view past due reports for a specific

department or division

Campus Travel Aging Report

DIVISION NAME FIN FIN FIN FIN

TRAVELER NAME BROWN, JOE BLACK, SAM SMITH, JACK JONES, BOB

DAYS OVERDUE 168 195 99 240

TRIP NUMBER CT123456 CT123466 CT129001 CT130003

TRIP STATUS ACTIVE ACTIVE ACTIVE ACTIVE

TRAVEL LETTER STATUS       STOPPED

TRAVEL COMMENTS       TRAVEL REC'D 12/04/13

TRIP START DATE 12-Aug-2013 24-Feb-2013 22-Oct-2013 3-Jun-2013

TRIP END DATE 16-Aug-2013 12-Feb-2013 24-Oct-2013 5-Jun-2013

 TRIP AMOUNT   $2,027.29   $8,217.14   $140.00   $207.84 

PTA'S  ABC.123.1- NSF.12345 XYZ. 789 1- DOD.221 SMITH4421-1.2-GB.0006 PENTAGON 7.1 DOD.123

SPONSORED? YES YES   YES

PREPARED BY JONES, JOHN REED, WILMA WILLIS, JANE WHITE, CARL

PREPARER EMAIL JONES, [email protected] REED, [email protected] WILLIS, [email protected] WHITE, [email protected]

DESTINATION PARIS, FR DUBLIN, IR DALLAS, TX CERN, SW

30 DAY SENT 17-Sep-2013 13-Mar-2013 25-Oct-2013 6-Jul-2013

60 DAY SENT 17-Oct-2013 13-Apr-2013 25-Nov-2013 6-Aug-2013

Cognos Report

Will all the past due reports appear in Cognos?

No, at this current time, it only includes trip reports that have P-Card charges

How often is the report updated? Nightly

How can I get access to run the report? Contact IMSS to request access

Hotel Agreements

Must be signed by a Purchasing Agent or Contracting Officer

Attrition Clause: fee/penalty for a portion of unused rooms

Understand the termsCommunicate with the hotel representative

[email protected]

URMILA BAJAJDIRECTOR

PROJECT ACCOUNTING

Project Accounting Updates

Project Accounting Updates

NIH Salary Cap for FY2014 is $181,500 (Executive Level II), increase of 1% from FY2013 cap ($179,700)

Caltech’s on-line Payroll Distribution Confirmation (PDC) system User Acceptance Testing (UAT) is in the final phases Implementation with FY2014 A (Oct 2013-Mar 2014)

PDC period

Project Accounting Updates

Reminder: following costs cannot be charged as direct costs on Federal research awards Benefit premiums (health, dental and group life

insurances) for post doctoral fellows (Aug 1, 2013 and onwards)

Caltech Benefits for Postdoctoral Scholars policyhttp://researchadministration.caltech.edu/documents/568-postdoc_benefits_policy_statement_final_7-18-13_.pdf Personal memberships to professional organizations Caltech Business Expenses Guidelines http://finance.caltech.edu/documents/173-caltech_business_expense_guidelines_rev_01-04-13.pdf

New Uniform Guidance from OMB

DAVID MAYODIRECTOR

SPONSORED RESEARCH

OMB Uniform Guidance

What is it? Codified at Title 2, Part 200 of the Code of Federal

Regulations (“2 CFR 200” or “Uniform Guidance”) Issued: 12/26/2013 Replaces A-21, A-110 and A-133 (as well as other

circulars)

OMB-UG - Applicability

When does it start? Each federal agency must issue draft implementation

no later than June 2014 Agencies must fully implement no later than

12/26/2014When does it apply to Caltech?

Only after agencies implement Audit requirements will apply to Caltech starting

10/1/2015

OMB-UG - Applicability

Questions that still need to be answered by OMB Will all agencies implement on the same date? Will UG apply only to new awards? If UG applies to existing awards, when will that occur?

Unsubstantiated rumors UG will apply to all new awards issued 12/26/14 or

later UG will apply to existing awards once a new funding

increment is issued

200.101(b)(1) Applicability Procurement Federal Financial AssistanceSection Topic Cost-

Reimbursement Contracts and Subcontracts

Grants and Cooperative

Agreements (except those to the right)

Agreements for Food

Commodities

Agreements for Loans, Loan Guarantees,

Interest Subsidies and Insurance

Subpart A Acronyms and Definitions Yes Yes Yes YesSubpart B General Provisions

(except COI)Yes Yes Yes Yes

Subpart B General Provisions (COI)   Yes Yes  Subpart C Pre-Award Requirements   Yes Yes  Subpart D Post-Award – Financial

Management  Yes Yes  

Subpart D Post-Award – Property   Yes Yes  Subpart D Post-Award –

Procurement   Yes Yes  

Subpart D Post-Award – Reporting   Yes Yes  Subpart D Post-Award – Subrecipient

MonitoringYes Yes Yes Yes

Subpart D Post-Award – Record Retention

  Yes Yes  

Subpart D Post-Award – Closeout   Yes Yes  Subpart E Cost Principles Yes Yes    Subpart F Audit Requirements Yes Yes Yes Yes

Per 200.101(b)(2): The red sections are incorporated by reference into all cost-reimbursement contracts issued by a federal agency to a non-federal entity. If CAS requirements apply to a federal award, they will take precedence over the Circular, except for Subpart F. Long list of exempted programs at 200.101(d).

The Circular doesn’t apply until implemented by each federal agency; agencies must implement the green sections by December 26, 2014. However, there is no mention of when the Circular will automatically incorporate itself into cost-reimbursement contracts – perhaps upon each agency’s implementation?

OMB-UG – Selected Items

Solicitations (200.203) Must provide for at least 60 days to prepare/submit

proposalsConflict of Interest (200.112)

All agencies must implement COI regulations Agency implementations must require disclosure of

conflicts; there is no other requirement Best case scenario – all agencies follow NSF/NIH lead Worst case scenario (likely) - each agency will

implement its own requirements

OMB-UG – Selected Items

Cost Sharing (200.306) Voluntary Committed Cost Sharing is not longer

“expected” Agencies may not use cost sharing as a review

criterion unless so stated in solicitation Only cost sharing included in the budget must be

tracked and reported No changes to Caltech procedures should be

necessaryTime and Effort Reporting (.430(i))

New requirement to document distribution of salary No changes to Caltech procedures should be

necessary

OMB-UG – Selected Items

Subawards and Procurements (200.317-.326; .330-.333) More rigorous minimum requirements for

Issuing Subawards Performing risk assessment Imposing additional requirements for high-risk subrecipients Prior agency approval for use of fixed-price; capped at $150K

Monitoring performance of Subrecipients Issuing procurement contracts

May require additional approval of federal agency if sole-sourced or brand-named and in excess of $150K

Will require additional Caltech procedures, but may also allow for streamlining of some existing procedures

OMB-UG – Selected Items

Participant Support Costs (200.75) Previously only recognized by NSF Will now be recognized by all federal agencies

Protected budget category – may not rebudget into or out of without explicit agency approval

Exempt from F&A assessment

Direct costs for items such as stipends or subsistence allowances, travel allowances, and registration fees paid to or on behalf of participants or trainees (but not employees) in connection with conferences, or training projects

OMB-UG – Selected Items

Administrative/Clerical Costs (.413c) The costs must be included in approved budget, or

otherwise have prior written approval of agency; The costs must not also be recovered as F&A; The costs must benefit the award to which they are

charged; The costs must be integral to the project or activity.

Old standard – Major Project: significantly greater than the routine level of such services provided by academic departments

What is OMB’s intent with the word “integral”? Will likely require no change to Caltech procedures

OMB-UG – Selected Items

Visa costs Only costs for short-term visas (those with end dates)

may be charged to federal awards; costs for immigration visas (those with no end date) are not allowable costs

Donated assets Can either be cost shared or depreciated, but not both

Certification of fiscal reports and invoices Subjects certifiers to criminal, civil or administrative

penalties for fraud, false statements, false claims or otherwise. (U.S. Code Title 18 and Title 31)

OMB-UG – Selected Items

Internal Controls More stringent rules regarding internal controls Will provide less flexibility in Caltech’s handling of

unallowable costs and other financial non-compliance. Will provide less flexibility in how long Caltech can

take to correct non-compliance issues, including those identified via audit

MARY GIBSONASSOCIATE DIRECTOR,SPONSORED RESEARCH

Interdivisional AuthorizationManagement System

(IAMS)

IAMS

IAMS is an acronym for Interdivisional Authorization Management System. This system initiates and reviews an electronic

application for collaborative research efforts between JPL and Campus that will be funded by an Interdivisional Authorization (IA).

Full Process Life Cycle

The IAMS online IA system moves your IA request completely through the request, review, approval and funding process, with complete visibility and tracking. You know where your IA task is at all times!

JPL Initiates RequestCaltech Inputs Campus Details JPL Export Control ReviewCaltech Export Control ReviewCaltech Office of Sponsored Research Review JPL /Caltech Collaboration JPL PI Declares Complete

IAMS

The IAMS process is initiated by the JPL PI. Once the application is initiated the IAMS system will send an auto-generated email notification to the Caltech PI (CPI) containing a link and instructions for how the CPI may enter the workflow and complete the proposal.

You can access IAMS while connected to the Campus or JPL networks at https://iams.ext.jpl.net.

If you are logging in from the Campus network, choose Caltech Authentication and when prompted enter your Campus access.caltech username and password. You must login and then be authenticated in the system to gain full access to the IAMS system.

IAMS

Go to the following website for more information on how to access and use the IAMS system:

 http://researchadministration.caltech.edu/osr/IAMS The following materials can be found on the site:   Interdivisional Authorization Management System (IAMS)

Frequently Asked Questions (FAQ) Interdivisional Authorization Management System (IAMS) Quick

Start User Guide IAMS Procedures Manual (February 6, 2014)

IAMS

For Campus users who need assistance with technical system issues, contact the JPL IT Service Desk – ext. 4-HELP (818) 354-4357; http://jplit.jpl.nasa.gov

 For procedural questions, contact Mary Gibson

(626) 395-2494; [email protected]

For export compliance questions, contact Adilia Koch

(626) 395-4469; [email protected]