Business Services Center Staff Training Manual 2015 ThegoaloftheCollegeofLiberalArtsandSciencesBusinessServicesCenteristo
provideefficient,effectiveandprofessionalfinancialservices,whileadheringto
Federal,State,andUniversityregulationsandpolicies.
1 Contents
Accounts ........................................................................................................................................................ 4 Kuali Account Structure ................................................................................................................................ 7 Account Ownership ....................................................................................................................................... 7 Account Types ............................................................................................................................................... 7 WebFocus and Reporting .............................................................................................................................. 8 Current Reports .......................................................................................................................................... 10 Kuali Financial System (KFS) .......................................................................................................................... 9 Departmental Budget ................................................................................................................................. 13 Payroll ......................................................................................................................................................... 13 Foundation (Accounts/RFD/Scholarships) .................................................................................................. 16 Travel & Reimbursements .......................................................................................................................... 17 Purchasing ................................................................................................................................................... 21 Grants and Contracts .................................................................................................................................. 24 CLAS Policies ............................................................................................................................................... 26 Other things departmental administrative staff handle: ............................................................................ 28 Resources .................................................................................................................................................... 31 Consulting……………………………………………………………………………………………………………………………………………..32 Commonly Used Abbreviations……………………………………………………………………………………………………………..34 2 3 Accounts
Types of Accounts The College has several different kinds of accounts with funds that can be categorized as Base/Permanent (or recurring) and Current/Onetime (or one off) funding. The beginning number of an account helps identify what the general purpose of the account may be: 2‐Ledger (2xxxxxx) ‐ State or Tuition Funded Accounts. These accounts generally contain a mix of Base and Current Funds. Each department will have a main 2‐Ledger account which will be funded by the College for the main operations of the department. This main account will house the budget and expense for the faculty and staff, temporary labor and operating expenditures for the department. Department Heads and their staff are responsible for the GENX and TEMP Labor components of these accounts. Since the College’s financial health depends on the sound administration of these accounts, it is expected that Head and staff plan expenditures wisely, practice fiscal responsibility, and do not exceed the allotment provided. Revenue object codes are not allowed on 2 ledger accounts. If you need to make a deposit to a 2 ledger account, you will need to offset transactions on an expense object code. (See below for an example of a Departmental Budget document) TEMP – The TEMP labor budget is composed of graduate payroll, special payroll labor, and student payroll (Object codes 5231, 5240, 5250). This budget is formed through the Annual Budget Process in conjunction with the staffing plan process GENX – The GENX budget is to be used for non‐payroll departmental needs. These funds are most commonly used for office supplies, research endeavors of faculty and staff, and other general departmental necessities. 4‐Ledger (4xxxxxx) ‐ These accounts are either funded by a fund return of the research operations of the Department or from entrepreneurial activity. The most common accounts in this category are Departmental IDC or Summer Session Accounts. For those accounts, which are considered revenue generating (Sub‐Fund Group: OPOTF or entrepreneurial), there is an annual budget review and submission process handled by the Business Services Center. 5‐Ledger Accounts ‐ These accounts are generally federally funded grants and contracts and are often awarded to individual faculty members rather than departments. (For questions pertaining to Grants and Contracts please contact the CLAS Grants & Contracts Manager – Allison Goldsnider, [email protected] 860‐486‐6772) 6‐Ledger Accounts ‐ These accounts are predominantly state or other grants and contracts. There may also be some 'gift' accounts which house scholarships or donations that were given specifically to the University rather than the UConn Foundation. 7‐Ledger – These funds are used for capital equipment purchases. Currently each department has a main Capital Equipment 7L account. As capital equipment purchases are made, Business Services will reallocate the intended account for the capital equipment purchase to the Department 7L account. We will then transfer the intended account funds to the Dean’s Office and then fund the deficit in the specific department 7L. The Department and intended primary account will see the same expense. 4 Foundation Funds ‐ These funds can be split into (2xxx) non‐endowed and (3xxx) endowed funds. For endowed funds the principal is invested and generates endowment income that can be used to spend based on the fund purpose (e.g., scholarship, chair, etc.). Non endowed accounts have no guarantee of future income and once spent might not be replenished. Foundation funds can be spent directly through the Foundation or as a reimbursement to a university account. It is important that Foundation funds be utilized frequently as donors receive reports directly from the Foundation indicating whether their funds have been utilized. (For details on how to process, please see Foundation processing section and/or contact the Business Services Center) 5 Budget Document
An example of the CLAS Budget Document maintained for each departmental main account:
6 KualiAccountStructure
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Fiscal Officer (FO) ‐ This is typically an admin that processes or oversees transactions on the account. Account Supervisor ‐ This is typically the faculty member that owns the account. For Departmental Accounts, this will be the Department Head. For Faculty Accounts, this will be the faculty member. Account Manager ‐ This is the individual in the next layer of the hierarchy. If the account is owned by the Department, it will be the Dean. If the account is owned by a Faculty member, this will be the Department Head. AccountOwnership
Kuali has an account attribute called Department Account Owner Code. This field will tell you who is responsible for the account finances. These fields are important in distinguishing accounts where the Account Supervisor has more than one role, for example Department Head and Faculty member. These fields also drive the reports distributed by the CLAS Business Services Center. The most common codes are listed below.  DEP‐Department  FAC‐Faculty  CTR‐Center AccountTypes
The ‘Account Type Owner Code’ attribute of a KFS account indicates the purpose of that account. These codes are used to classify the fund type across the college, within a department, or types at faculty level. The most common account types are listed below.  AMF‐Academic Material Fees o These funds are departmental 4‐Ledger revenue generating accounts. The revenue generates from student fees when they enroll in classes that have established AMF fees. This is most common in areas that run lab sections. The materials used in these classes and labs are charged to this account. The balance at the end of the year should be zero.  ACS‐Academic Support o These accounts are typically miscellaneous accounts at the department’s discretion for particular projects, conferences, or other departmental activities. These accounts typically go through the Budget Call process and are set up with a budget as if all anticipated revenue has already come in. An example of an account in the department is Summer Session. o Summer Session Accounts  Summer, Winter and May Sessions provide the Department with an opportunity to supplement the Department’s operating budget (besides giving students an opportunity to take classes that may not have been available to them during the regular academic year). Typically a course will require 8‐9 fee paying students in 7 order to break even. Any profit above and beyond the costs of the course will be returned to the Department based on the fee model. May/Winter Session has a different model than Summer. It should be noted that Summer Session is typically more profitable to the Department than Winter/May Session. The Storrs Academic Department approves all courses offered by the Regional Campuses during any of these sessions and receives a portion of the revenue or loss from each one of these courses as well (currently 10%). 
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EQU‐Capital Equipment o These 7‐ledger accounts are for the purchases of capital equipment with a price of at least $1,000. GIF‐Gifts o These 6‐ledger accounts are typically scholarship or other gift accounts. There are specific purposes and restrictions related to each account. The accounting office has information related to these restrictions. IDC‐Indirect Cost Return o The Indirect Cost Allocation is the return a Department will receive based on the expenditures of grants and contracts (against indirect cost charges) in the prior year (through June 30th). The allocation is typically transferred to the Department around December of the next fiscal year. A Grant must be defined as research in order for the return to be part of the Department’s allocation. The current model for Indirect Costs is that the Department, Dean and Principal Investigator (PI) each receive 10% of the prior year’s IDC expenditures. If the Grant or Contract is run through a Center or Institute, the home Academic Department will still receive the IDC return. IDC returns are allocated to 4‐Ledger accounts and do not have expiration dates. These funds are unrestricted. INS‐Instruction o This 2‐ledger account Department account is funded by the College for the main operations of the department. The Department is responsible for managing the TEMP and GENX consolidations of this account in accordance with their approved budget provided by the CLAS BSC. REV‐Revenue Accounts o These 4‐ledger accounts are for the purpose of generating revenue. These accounts typically go through the Budget Call process and are set up with a budget as if all anticipated revenue has already come in. Examples of these accounts in the department are Stockroom accounts. We will set up a budget for the account based on what was received in past years and what we anticipate the account will bring in that year. ROL‐Rollover o For those funds that remain unspent in the departmental instruction operating budget (GENX) or the rollover account at the end of a given fiscal year (June 30th, xxxx) the College will reduce these funds by 25% and return the remaining 75% to the departmental rollover account in the next fiscal year. The rollover account is separate and distinct from the main operating account as it allows the CLAS Business Services Center to monitor the unspent portion of each Department’s operating budget from year to year. All other accounts will rollover with their full balance. Please note that funds from the 2‐ledger accounts will not rollover till mid‐August to accommodate final expenditures from the previous fiscal year. 8 
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ROY‐Royalty o These funds are generated from entrepreneurial activity. SSV‐Salary Savings o These 2 ledger funds are generated when faculty members charge their academic year salary to a grant or research account. The purpose of this account is to code the faculty teaching replacement needs directly here. Faculty members may also have SSV accounts in their name if the agreement in that department involves sharing a portion of the savings with the faculty member. FCR‐Faculty Research o These are unrestricted faculty research accounts. Funds in these accounts are often agreements made between the Dean and the faculty member or the Department Head and faculty. GRC‐Grants and Contracts o These restricted 5 and 6‐ledger accounts are faculty grant accounts. URF‐ Travel/Research Foundation o These are typically small and large grant accounts awarded through the University of Connecticut Research Foundation. WKS‐ Work Study o Each Department is assigned a 5‐ledger work study account to charge costs for their work study students. This account will typically run a deficit as expenses are funded 75% from Central Administration throughout the year. The remaining 25% is to be funded by the hiring department. WebFocusandReporting
The CLAS Business Services Center has developed reports to assist Faculty, Staff, and Department Heads in understanding their current budget position. Report examples can be found at: http://bsc.clas.uconn.edu/reports‐php/. Reports are PDF documents generated from [email protected], and should not be considered SPAM. The Department Head receives reports that are separate to his/her role as a faculty member. These are distributed on a bi‐weekly basis to all active account supervisors within the College. The Business Services Center continues to review reports in order to create efficiencies and to capitalize on new capabilities of the university system. As reports change communication will be sent via email. Important things to consider:  Reports reflect all pending transactions that are in the financial system, even if they are yet to be approved.  If your report indicates that the account end date has passed, any funds remaining revert back to the area that originally provided the funds.  Accounts in deficit should be addressed as soon as possible.  4‐Ledger revenue accounts have been established as if all estimated revenue has been received; they do not reflect the Cash Balance.  For grant accounts the Indirect Cost portion (Object Code 9900) has already been excluded.  Payroll reports reflect information for the identified fiscal year only. 9 CurrentReports
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Department‐ Distributed weekly o Departmental Account Balances‐ Listing of all departmental accounts broken into columns based on the Account Type field. This report is a summary of all resources available to the department. o Departmental Account Transactions‐ Transactions that have occurred on any departmental accounts in the last 2 weeks. If there have been no transactions in this time period, the report will not be distributed. o All Account Listing‐ Listing of all accounts within the department sorted by Account Supervisor. This report includes both departmental and faculty owned accounts. Faculty‐ Distributed bi‐weekly o Faculty Statement of Accounts‐ This report is a summary of balances in all accounts for which a particular faculty member is listed as the Account Supervisor. o Faculty Statement of Accounts by Object Code‐ This report shows a summary of all expenses on an account broken down by object code. o Faculty Account Transactions‐ Transactions that have occurred on any account for which a particular faculty member is listed as the Account Supervisor in the last 2 weeks. If there have been no transactions in this time period, the report will not be distributed. Departmental Staff Responsibilities  Work with BSC Financial Assistant to address any deficit accounts or accounts with approaching end dates. KualiFinancialSystem(KFS)
http://kfdm.uconn.edu/ ‐ Here you will find important updates, useful information, forms, and links to training materials. Important/main screens  Balances by Consolidation – shows the balance of an account (includes anticipated revenue and transfers, if applicable) o Department Operating Account‐ You will want to focus on the consolidation variances  GENX= ‘6000 pool’ – these are the funds used for supplies, research expenditures, etc.  TEMP (CMPN drill down)= post doc, student labor, special payroll, grad payroll – this will give you the temp labor budget and actual temp labor transactions and encumbrances o All other 2 ledger or 4 ledger = Total Expense Variance ‐ this will include anticipated revenue and transfers that have occurred o 5 or 6 ledger= Total Expense Variance ‐ NOPX Variance  You can also exclude the indirect costs here, eliminating the step of subtracting NOPX variance from Total Expense Variance 10 You have the ability to include pending entries (things that have been submitted but not yet approved), exclude transfers, indirect costs (for grants), and include fund balance roll forward Cash Balance – shows the cash balance of 4L accounts o Used if you need to find the 'Cash Balance' of your 4 ledger revenue generating accounts o Will need to subtract encumbrances to reach your 'spendable balance' o Beginning Balance +/‐ net change in cash = Available Cash Balance Available Balances – account summary by object code o Does not calculate an account balance, but is a good option if want to look at a particular object code  You can 'drill down' on all numbers that are underlined to see what transactions make up this number  When you continue to ‘drill down,’ it will show transactions by month. You can then drill down further to see specific transactions that have occurred.  Only shows total payroll expense by pay period, does not show individual expenses o Object code grouping  Users may choose to see object codes grouped together and totaled by type  The groupings are as follows:  Assets, Liabilities and Fund Balance – Also provides a calculation of the account’s current fund balance  Revenue  Expenses  Expense Available Balance ‐ what is available to be spent based on the budgeted expenses. This will always exclude transfers and indirect cost. Doc Searches – find certain documents in Kuali to see if they have been approved or require additional action o Doc Search‐ Search by initiator, doc number, doc type, date range o Detailed Search – use account number, organization code, etc. for a more thorough search o
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Action List The Action List is the screen in which you receive all action requests (aka tasks) for your e‐docs. It provides summary information about each document that requires your attention (type, title, route status, action requested, initiator, date created). You can open a document by clicking on ID number. This is how you will review and take certain actions on the document. Once you take action it will disappear from your list, go to the next person in the route log. Different types of actions you can take on documents:  Approve‐verify transaction is acceptable  FYI‐a courtesy request allowing you to view the transaction  Acknowledge‐verify and acknowledge the transaction 11 You can also edit the preferences of your action list so that it works best for you. You can change the action list page size, create different colors for different action list entries, and edit which fields are displayed in your list. You’ll want to check your list daily to look for documents that require your attention to ensure that transactions are processed efficiently. Object Codes Object codes are used to classify revenue and expenses against an account. They help to track transactions and deposits so you can see where funds are spent and received from. You can tell what type of object code it is by what number it begins with: 1 ‐ Assets 2 ‐ Liabilities 3 ‐ Fund Balances/Transfers 4 ‐ Revenues 5, 6, 7, or 8 ‐ Expenses Internal Billings/Service Billings/Customer Invoices Internal billings are used to bill for goods or services provided by one University department to another University department. It reflects income to the provider and expenses to the customer. The “Income” accounting line should have a revenue object code, while the “Expense” accounting line should have an expense object code. These documents will route to the Fiscal Officer of the accounts for approval. Service billings are also used to bill for goods or services between departments. However, you must have special access to initiate this document in Kuali. These transactions are generated by the Service Department and are based on a formal pre‐agreement between the service provider and the department being billed. These documents will not route to the Fiscal Officer and will automatically be approved. Examples of these transactions are catering charges and maintenance charges. Customer invoices are used to invoice an outside customer. On this document, you will identify the customer, describe the transaction, and enter the accounting lines. These documents will increase the account balance because they assume that the funds will be received. *There should be NO revenue on 2, 5, and 6 ledgers Cash Receipts/Deposits If you have cash or checks that need to be deposited into a University account, you will use a Cash Receipt e‐doc in Kuali. This document can be found under “Transactions” and then “Financial Processing” in Kuali. Cash Receipts are used to record cash and checks for deposit into bank accounts by the Bursar’s Office. The CR e‐doc routes to the Cashier for approval after the deposit has been brought/sent to the Cashier’s Office. Please remember that 2, 5 and 6 Ledger accounts cannot have revenue. Cash or checks deposited into 2L accounts will need to be deposited against an expense. You shouldn’t submit cash receipts for 5L or 6L. 12 DepartmentalBudget
Temp Labor and Operating Budget This management is for a Department instruction account (2xxxxxx). A department should manage their temp labor throughout the year to make sure that it does not run into deficit. Please remember that temp labor is made up of Special Payroll, Graduate Payroll, and Student Labor. The budget sheet that is mentioned in the Accounts section of this manual shows where a department can refer to information regarding their temp labor or operating budget. The operating budget is the amount that a department receives for things like office supplies, co‐
sponsoring, etc. Budget Call 4 ledger account budgets are established through a Budget Call process in the spring of each year. This process is managed by the CLAS Business Services Center with some involvement from departmental financial staff. Revenue budgets are established based on a combination of program activities and historical trends. Expense budgets are established to allow spending as if all anticipated revenue has come in plus any cash balance that rolled over from the previous fiscal year. The budgets are reviewed quarterly to ensure that each account is on target to reach the budgeted amounts. Payroll
Regular Payroll Regular Payroll is used for permanent positions or end date appointments over 1 year. Examples include but are not limited to: Professors (Distinguished Professors, Professors, Associate Professors and Assistant Professors) Professional Staff (Program Assistants, Financial Assistants, Grant Managers, Lab Techs. etc.) Post Docs Research Assistants These positions start with a Search which is submitted and moves through several levels of approval in the Recruiting Solutions system – http://hr.uconn.edu/recruiting‐solutions‐9‐1/. Continuations of current positions do not require a new search. Once a potential hire has been identified and approved, an offer can be extended to them through an official offer letter which has been approved in Recruiting Solutions. After the letter has been signed and returned the Payroll Authorization (PA) must be completed. There are times when an audit search would be an appropriate instead of a new search. Audit searches are done when a candidate is already known/identified and the search does not need to be advertised for a period of time. This typically happens for graduate students that become postdocs, or visiting assistant professor in residence. 13 The PA should be signed by the Department Head and sent to your contact in the Business Service Center (BSC) along with any necessary backup (I‐9, W‐2, FW‐2, direct deposit form and TAS form). The signature on the PA must be original so a hard copy will need to be provided, although the signatures on the offer letter do not need to original. Special Payroll Special Payroll is used for short term, seasonal, part‐time or temporary appointments lasting less than 1 year. Examples include but are not limited to: Adjunct Professors Academic Specialists Graduate Student Technicians Public Service Specialist Special Payroll Lecturer A full list of titles is located at the following link: http://hr.uconn.edu/special‐payroll‐manual/ All special payroll appointments with the exception of gratis (non‐paid) appointments start with submission of a Special Payroll Authorization Request (SPAR) which should be submitted through the following website: https://web2.uconn.edu/hr/sp/. Once submitted the SPAR will route through several levels of approval including the Unit Head (Dean) and HR. With each approval and the initial submission, an auto‐generated email will be sent to the applicable people notifying them of the request. After HR approves the request will need to be finalized and the offer letter can be extended to the potential employee. Once the offer letter has been signed and returned the PA will need to be completed along with any additional necessary back up (I‐9, W‐2, FW‐2, direct deposit form and TAS form). A full list of required documentation based on the appointment and the particular scenario can be found here: http://www.payroll.uconn.edu/PY/for_departments/special_requireddocs.html. The PA should be signed by the Department Head and sent along with the necessary backup to your contact in the BSC. Again as with Regular Payroll, the PA signature must be original but the offer letter signatures do not. All PAs need two original or “wet” signatures before they are sent to payroll. Things to note: for instructor positions such as adjunct faculty of instructional specialist, background checks will not be conducted which costs an average of $85 per person and the cost is the department’s responsibility. Background checks only need to occur one time starting Fall 2014, and then for any new hire thereafter. However if an employee had a break in service longer than a year, a background check will be needed again. Grad Payroll Graduate Payroll, unlike Regular and Special payroll, does not begin with the entering a request into a system for approval. Once a candidate is selected an offer letter can be extended to them (this process comes after the graduate students have accepted an offer from UConn to attend our grad program). Upon acceptance of the offer and receipt of the signed letter back from the student, a PA must be 14 entered into Genesys. Please note that if you are in a non‐academic area (do not offer a degree or certificate), the PA will need to be processed by the home department. Additional information on processing and required documentation can be found at the following link: http://payroll.uconn.edu/PY/for_departments/graduate.html. Regional Grad Payroll Process A new process of processing graduate payroll for students teaching at the regional campus started Fall of 2013. Coding of a graduate student will be done on both the academic home account and the regional account for where the student is teaching. A calculator tool has been developed to aid with what percentages should occur on each account. As previously done, the difference between the adjunct rate and applicable grad rate will be supported by the Dean’s Office as a Regional Match. Administrative Process: 1) Regional Campus contacts Storrs Academic Department requesting GA help 2) Storrs department identifies an appropriate candidate and informs the regional campus.* 3) Storrs department completes the GA payroll paperwork allocating correct percent coding according to calculator too to applicable account numbers. 4) Academic home department prints authorization and faxes it to the Regional campus for signature and initially of coding used 5) Regional campus faxes signed document back to academic home department and department signs as a blue ink signature (regional campus needs to retain their original for auditing purposes) 6) A copy of the payroll will need to be provided to the CLAS BSC [email protected] so the Dean Regional match portion can be recorded on the departmental budget sheet. 7) The Payroll Authorization and applicable back up is then sent to payroll for processing. 8) In the fall and spring semesters the CLAS BSC will process a transfer to the Storrs Academic department for the Dean Regional Match. *If a GA or adjunct replacement is not identified by the department replacement needs are finalized by the regional campus with funding communication initiated with CLAS Associate Dean for Regional Campuses. This administrative arrangement does not preclude the regional campus from hiring a TA directly at the regional campus as an adjunct in addition to their GA duties (so long as the appropriate approval has been received). Student Payroll When starting the process for hiring students the first step would be to acquire all the necessary information about the job. This would include the type of position it is and the classification. Positions can include research, administration, maintenance, athletics, etc. Within the position there are different levels and pay rates that correspond. Information about pay rates, job descriptions and classifications is available at the following link: http://studentjobs.uconn.edu/employment‐guide/. 15 The next step would be to post job advertisements for a minimum of two weeks on the student employment website under JobX. If you are rehiring student employees, advertising is not needed. Once a candidate has been chosen for the position and the student has accepted, processing of payroll authorization is required. Before authorizations can be entered, required paperwork needs to be submitted by the student to the Office of Student Financial Aid Services – Student Employment no later than the 1st day of employment:  I‐9s  W‐4s  Original unexpired documents showing identity and eligibility of employment A list of forms and documents as well as acceptable identity documents are located at the following links, respectively: http://studentjobs.uconn.edu/forms/, http://studentjobs.uconn.edu/faqs/ The next is to enter the PA into Winja at the following link: http://winja.uconn.edu/stupay1frames.html. Information needed for authorizations include:  Does the student have work study funds?  Funding source (KFS Account #)  Start/end date  Hourly pay rate  Student’s SSN Once entered into the system the student may begin working and is responsible to submit bi‐weekly timecards to their supervisor for approval which will later need to be entered into Focus. Work Study: Effective August 23, 2013, hiring departments and/or faculty will need to cover 25% of work study student costs for the students they hire. The remaining 75% will continue to be covered by Federal money. For FY14 only, CLAS departments and Faculty will only need to cover 5% of the 25% of the work study costs. Beyond FY14, we will be responsible for the full 25%. Please note that federally funded grants cannot be used to pay this cost. The current 5% reallocation coverage process is that CLAS BSC sends out a listing bi‐weekly of students with pay period information, the 25% amount, and the 5% amount that needs to be moved. There will be a line for administrators to indicate the new KFS account to be charged. The file should be returned to CLAS BSC so a large processing file can be posted for these reallocations. Foundation(Accounts/RFD/Scholarships)
The University of Connecticut Foundation is an external corporation with a mission to solicit, receive and administer gifts and financial resources from private sources for the benefit of all campuses and programs of the University. The Foundation is managed separately and has separate funds. 16 Accounts There are two types of Foundation accounts, endowed and non‐endowed. An endowment is a fund established by a donor to provide support and these accounts are reinvested to generate additional funds. You can check the balance of Foundation accounts by visiting the Accounts Profiles site and searching for the account number. The Account Details Page will tell you the spendable balance as of a certain date and when the last disbursement from this account occurred. Revenue into Foundation There are a few ways to go about making a donation to the Foundation: ‐Send a check with a note indicating the designation (department and account) ‐Foundation can take a credit card charge over the phone ‐You can donate with a credit card on the Foundation Website RFD (Requests for Disbursement) RFDs are used to pay or reimburse vendors, individuals, or KFS accounts. To pay or reimburse directly, you’ll need the original receipts and/or invoices. If the vendor is not in the system, you’ll need to obtain a W9 in order to set the individual or company up as a vendor. The full RFD policy and RFD Training Manual can be found at http://bsc.clas.uconn.edu/wp‐
content/uploads/sites/867/2014/08/RFDTrainingManual.pdf. Scholarships Scholarship Disbursement Requests forms are processed by the Office of Student Financial Aid Services. Once you have the award letter or e‐mail confirmation that was sent to the student, you can fill out the Request form. Once the form has been completed, send to the CLAS BSC for primary signature. We will review and sign before sending to Financial Aid. Be sure to include a copy of the award letter or e‐mail with the Scholarship Disbursement Request form. Visit http://financialaid.uconn.edu/scholarships/disbursement/ for a copy of the Form and useful reminders. University Fellowships A fellowship is a non‐compensatory payment that is processed through Financial Aid and are paid through a student’s fee bill. Please see http://bursar.uconn.edu/fellowships for more information. Fellowship Adjustment Information Below is the process for doing adjustments to a student’s fellowship amount.  If you previously entered a fellowship, and it was approved and you want to CANCEL the fellowship, you need to enter another transaction to the same fellowship, same term, and same student for a ZERO dollar amount. Then the person who approves fellowships needs to approve the zero value posting.  If you previously entered a fellowship, which was approved, and you now want to increase or decrease the amount, enter another transaction to the same fellowship, same term, same 17 
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student for the new total amount you want the student to receive; not the difference. Then the person who approves fellowships needs to approve the new posting. If you previously posted a fellowship and you want it canceled and it hasn’t yet been approved, please contact the approver and ask them to deny the entry. Please do not contact Financial Aid and ask them to modify the amount as the fellowship system and Student Financials need to agree so that we can reconcile the two systems Travel&Reimbursements
Traveling occurs throughout the academic and calendar year. The new Travel and Entertainment policy is a great resource for traveling of faculty, staff, and students. Travel can be reimbursed In‐State, Domestic, and foreign.  In‐State o Pre‐trip:  Can apply for union funds if applicable:  http://travel.uconn.edu/union‐travel‐procedures/ o Post‐trip:  Must have all original receipts along with completed Post‐Trip WebForm (available at travel.uconn.edu).  Domestic o Pre‐Trip:  Pre‐Trip WebForm (only required if requesting advance, Bradley Parking permit, travel is international or if department requires Pre‐Trip Submission for all travel)  Employees cannot approve their own expenses or expenses of a relative.  Approvals are subject to the next highest organizational level. The hierarchy of approvals is available in the Travel and Entertainment Policy.  The Pre‐Trip WebForm: http://travel.uconn.edu/instate‐travel/  Funds must be available in the account that is being charged on the approval form.  Travel advances are available to faculty, staff, and students. Travel advances are limited to 75% of estimated costs, excluding those costs that are eligible to be paid directly (such as airfare, hotel, and rental car and conference registration fees). Airfare, hotels, rental cars, and trains can be booked prior to travel through contracted booking agency Sanditz with travel approval form number, employee number, and funding source. Registration can be purchased using the department purchasing card.  Ability to apply for Union funds, if applicable  If a travel advance was requested, the traveler must certify the advance, and then an email will be generated and sent to processor group to initiate advance. 18 
If parking permits are being given to the traveler: they will be mailed to the traveler when the Pre‐Trip has been received by Travel Services. Post‐Trip:  All original, itemized and paid receipts must be obtained and the Post‐Trip WebForm must be completed.  Reviewing the travel to be submitted through Kuali, keep in mind: o All original, itemized and paid receipts must be obtained and given to travel.  Paid means a zero balance is shown, or will have transaction showing last 4 digits of credit card o Any awards that funded the travel must have a letter attached to the backup. o Travel advances must be on a separate accounting line. o Per Diem rates can be verified at: http://travel.uconn.edu/ under the Tools section. o Reimbursement for meals through receipted method may not exceed the allowable daily per diem o When reimbursing mileage – travelers may not receive reimbursement for travel for the travel from their home to their official duty station o Airfare and rental cars are required to have a price comparison obtained at the time of booking, or else reimbursements will be capped to the lowest reasonable fare for reimbursement. o Per Diem should align with the location traveled to and can’t be claimed for single day travel. o If travel was international, required a parking pass or an advance, the pre‐
trip form should be attached to the DV. o Bradley parking receipts can only be reimbursed for students and guests. o The amounts on the post‐trip web form and the DV need to match, any discrepancies need to be explained in notes on the DV. o Any group meals need to have the guests’ names and affiliations. o Meals should be removed from lodging bill if per diem is being claimed. o The rental of SUVs is out of policy and requires a comp or additional approval. o If alcohol or any other charges are deducted from a meal receipt, make sure to adjust the tax and tip as well. o Review DV and ensure that all attachments are included prior to submitting.  International Pre‐trip:  Please be advised to review the Fly America Act if NIH grant funds are being used for travel.  Travel insurance can be used through the University.  Follow steps for other pre‐trip procedures that are indicated in Domestic travel. Post‐Trip:  Review domestic travel information for post‐trip procedures. Doctoral Travel Funds  Can be given as well: Application is available here: 19 http://grad.uconn.edu/financial‐resources/internal‐funding‐opportunities/doctor‐student‐
travel‐award/ Disbursement Voucher for Travel:  Use the naming convention for the proper description of the travel  Invoice number/date – Travel approval number and last day of expenses respectively.  If there was a travel advance issued and the appropriate documentation is received for the advance an accounting line is needed.  All receipts need to be scanned as documentation and attached to the DV and then sent to travel with the DV coversheet. Reimbursements (please refer to KFS training workshops and manuals)  Non‐Employee Reimbursements  Circumstances of non‐employee reimbursements: Search Candidates, Speakers/Honorariums, Performance, Services, etc. o A vendor in Kuali needs to be created for any non‐employee that is going to be reimbursed through the University. Individual or Business. o Vendor application form and some circumstances a W‐9 and W‐8BEN may need to be filled out as well as a Vendor document in Kuali. o Different reason codes will need to be used:  M – Services Rendered  K – Various fees  X – Subscriptions  P – Candidate Searches o *Note: These are not all the possible reason codes o Appropriate documentation and receipts will also be needed. o The naming convention can also be used for the description of the DV.  Out of pocket Reimbursements o Emergency allowable expenses of $499 and under. These purchases must be for University use only and use when other methods of purchasing are not viable. o Website for specific allowable and non‐allowable purchases: http://accountspayable.uconn.edu/out‐of‐pocket‐purchases/ o Documentation for the allowable purchases is needed as backup for the reimbursement through the Kuali system. o Original receipts/documentation in needed for Accounts Payable.  Travel reimbursements o Use information from Travel section on this document o Training guides for Kuali entry: http://financesystems.uconn.edu/wp‐
content/uploads/sites/933/2014/12/Travel‐Reimbursement‐Guide1.pdf 20 Purchasing
Procurement Card (Procard) The University Purchasing Card is a tax exempt credit card used to create a more efficient purchasing process. Holders of the procurement card are specifically delegated and are required to go through training with Purchasing department. There are many benefits to the procurement card:  Items that are purchased are delivered much quicker  Workload time can be reduced versus using university system  One monthly statement to reconcile at a time The items that a card holder is able to purchase with a procurement card need to be for University business only. Any personal items are not allowed as well as purchases from any vendors that are located on Husky Buy. There is a list of specific purchases that are non‐allowable per University policy. This is located at the following link: http://purchasing.uconn.edu/purchasing‐card/purchasing‐card‐user‐manual/. Purchases that are allowable with the University procurement card can be viewed at the following link: http://purchasing.uconn.edu/purchasing‐card/purchasing‐card‐user‐manual/. There is a $4,999.99 limit per item and a $10,000 monthly limit for purchases. Typical items include:  Conference registration  Subscriptions  General office/lab supplies  Food for business purposes (take out only and may require a Business Meal Pre‐Approval form)  Software At the end of each month the Cardholder will receive their statement, detailing all charges for that month. Once received the Cardholder should verify all charges and fill out the Procard Log. The Procard Log and all required back up should be submitted to their Procard Record Manager within 10 business days from receipt of bank statement. Additionally the Record Manager is responsible to reallocate all charges within 5 business days of receipt of the Procard Log from the card holder. The Record Manager is also responsible to ensure no tax has been charged on the card (or it has been refunded if so) as well as storing the Procard Log and receipts as they are the official record holder. B0‐46 This is a form that can be used for purchases at the University of Connecticut Co‐op which charges items directly to a KFS account. A properly filled out form should be brought to the Co‐op which will fill the order and give you a copy of the B0‐46 along with a receipt. It is important to keep this copy as you will later be responsible for attaching it to the Batch Generated DV that will be initiated by the Co‐op to pay for the purchase. 21 Please note not all items at the Co‐op are eligible for this purchasing method, from more details please visit the following link: http://accountspayable.uconn.edu/uconn‐co‐op‐purchases/. Purchase Order (PO) A PO should be established for purchases above $2,000 or when an actual amount is uncertain but may exceed this limit. Services of a technical nature, for which competitive bidding may be desirable, must be secured thru a Purchase Order unless otherwise advised by the Purchasing Department. These are generally services for which the scope of the vendor's work can be clearly defined, and the service "deliverable" for which payment will be made is unambiguous, easily identified and non‐negotiable. If a PO is to be used, it must always be approved prior to the services being rendered or goods being received. In order to secure a PO you will need to submit a Requisition (Req) in Kuali. The requisition will route to the applicable FO(s) and once approved will be assigned to the proper Purchasing Agent based on the Commodity Code selected. The Purchasing Agent will take the approved Req and create the actual PO. To submit a Req you will need a quote from the vendor unless the Vendor is part of Husky Buy. Vendors that are part of Husky Buy can be found under the Shop Catalogs link in Kuali. When using vendors that are part of Shop Catalogs, you will be taken away from the Kuali page and to an external page that is very similar to the websites you may visit when making personal purchases online. Once the items are selected you will be routed back into a Req in Kuali which you will complete as you normally would do – with the exception of needing a quote. Typical purchases on POs are:  Computers  Equipment  Catering $2,000 < $10,000 Purchases over $10,000 may require securing quotes from multiple vendors as well as filling out a Sole Source Justification form (when not using a vendor under contract). The sole source justification form and additional information can be found at the following link: http://purchasing.uconn.edu/procurement_forms/. Payments against POs are made by submitting invoices to Accounts Payable (AP), indicating the PO number at the top. The invoice will be entered by AP on a document called a Payment Request (PReq) which will route to the FO(s) on the accounts listed on the PO. In certain circumstances based on the amount of the purchase and the vendor, “receiving” may be required before the PReq is made available to the FO to approve. In these cases a receiving report must be filled out. A receiving report is where you verify the quantity of the items received, damaged and/or returned. The receiving report can be found by opening the PO in Kuali and clicking the “receiving” button at the very bottom of the page. Out of pocket Out of pocket expenses are emergency allowable purchases made by university faculty under $499. These purchases must be for University use only and this process may only be used when other ways of purchasing and reimbursement are not viable (failure to follow normal University Purchasing timelines does not constitute a valid reason for reimbursement). 22 Some instances of out of pocket reimbursements are:  Supplies needed for research  Emergency repairs  Entertainment of guests to the university where attendees do not solely consist of University employees Please note that sales tax paid out of pocket will not be reimbursed if charged to a grant/contract (5/6‐L) account. There are also instances and items in which out of pocket expenses cannot be reimbursed, examples of this include:  Books purchased through the co‐op  Personal items. There is also a specific list on the Purchasing Department website that lists all the non‐allowable items. This list is located at the following link: http://accountspayable.uconn.edu/out‐of‐pocket‐purchases/. Allowable out of pocket purchases may be reimbursed through a initiating a DV in Kuali and will need to include the original full itemized receipt as well as an original receipt showing it was been paid if this is not clearly stated on the itemized receipt. Any out of pocket expenses made during travel dates should be submitted as evidenced by the original receipt as part of the travel reimbursement DV for the traveler. Co‐op Purchases at the Co‐op should be made using your Procard, a B0‐46 or a PO. Therefore, if the item needs to be returned the Co‐op can issue a credit back to the department via a BO‐46 or Procard refund. A cash reimbursement will not be approved. Additionally the University will not reimburse out of pocket expenses from the Co‐op (except in rare emergency situations – failure to follow normal University Purchasing timelines does not constitute a valid reason for reimbursement). Items purchased at the Co‐op with State or Federal monies must have a legitimate business reason. If a B0‐46 is used the Co‐op will initiate a Disbursement Voucher (the description will read “Disbursement Voucher ‐ Batch Generated DV ”) which will route to the applicable Fiscal Officer (based on the account listed on the form). The department is responsible for scanning and attaching the department’s copy of the B0‐46 to the DV prior to approving the edoc. Items that are no allowed to be purchased at the Co‐op can be found at the following link: http://accountspayable.uconn.edu/uconn‐co‐op‐purchases/ Gift Card Purchases Gift cards can only be purchased when there is clear justification that it is being awarded as part of a competitive process or contest. Such justification should be attached to any edocs in KFS.  Gift cards to the Co‐op should be purchased using a BO‐46  Gift cards to other places can be purchased as well, and an itemized, paid receipt should be retained. 23 
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For purposes of gift card purposes there is no distinction between undergraduates versus graduate students being the recipient. The names of the recipients, PeopleSoft numbers and the amounts of gift cards need to be recorded and attached to any edocs in KFS. This information is shared with Financial Aid. GrantsandContracts
The grant process is comprised of two main categories, pre‐award and post‐award. Pre‐award is the process of submitting proposals to granting agencies to secure funds for a project and/or research. Post‐award is the process by which the grant or contract is administered at the university receives the funds from the sponsoring agency. Grant Management Services Grant Management Services is a new developed team in CLAS that helps assist with all aspects of Grants and Contracts. Contacts: Allison Goldsnider: [email protected] Kyle Lewis: [email protected] Pre‐Award The Grants and Contracts Specialist will assist the faculty Principal Investigator (PI) in preparing a budget, internal forms and the proposal application itself. The Grants and Contracts Specialist will work directly with the PI and the Office for Sponsored Program’s Grants Manager to ensure the proposal application adheres to University and Sponsor’s polices, guidelines, and deadlines. Match requests As a matter of policy, and where funds permit, the college partners with the Vice President for Research and other university entities to provide matching funds for programs that require them (NSF Major instrumentation, for example.) The PI on such a grant should contact the Associate Dean for Research at a relatively early stage to inform the Dean's Office about the scale of the proposal and the amount of matching funds required. The college and/or the VPRGE will provide a letter of support indicating their commitment to provide the mandatory match when the proposal is submitted. Please allow a reasonable amount of time for us to generate this letter. The college typically supports mandatory matches on industry projects provided that such projects yield public, publishable results. Note that the college does not, as a matter of policy, provide supplementary funding or "matching funds" on standard individual or small‐group research grants. In rare cases, the college will assist in making up shortfalls in budgets caused by reductions from the proposed budget made by the agency at the time of funding. Such assistance will only be provided in partnership with the VPRGE under the following situations: 
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the supplemental funding makes a crucial incremental contribution to the project the request is supported by the department head 24 
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the total supplemental funding requested from the college and VPRGE is 5% of the total grant amount or less; The PI and Department Head together contribute resources at least equal to 1/2 of the amount requested from the college and VPRGE combined. The Department Head should contact the Associate Dean for Research on behalf of the PI and explain the nature of the requested funds, the amount requested, and the PI and Departmental contribution. If the AD for Research and the Dean agree to support the request, they will ask for assistance from the VPRGE. Post‐Award The University is required to comply with numerous regulations issued by the sponsor. It is necessary to ensure that expenditures, whether they are related to personnel, equipment, supplies or other categories, are properly allocated to the various grants and contracts. The University recognizes the importance of minimizing the administrative burden on the faculty and encourages the use of departmental administrative staff in carrying out routine administrative activities related to grants and contract management, such as ordering supplies, processing salary distributions, travel expenses, re‐
budgets and cost transfers. At the same time, the nature of the sponsored project support is such that grant and contract administration cannot be performed without the guidance and oversight of the faculty/investigator. The investigator best understands the scope of the project, the effort committed to it by faculty and staff, and the relationship of that project to other projects with which resources may be shared. Other CLAS Grants and Contract Specialists: Chemistry – Laura Corrigan, 486‐0499 Marine Sciences – Elise Hayes, 405‐9085 Psychology – Thakane Molapo‐Quarshie, 486‐0562 Gisele Russo, 486‐6705 Time and Effort Reports Also denoted as T&E, these are done 3 times a year: Fall, spring, and summer. The reports are produced by OPS ~2 months and may either be sent directly to the department or the grant specialist within CLAS. The T&E’s are now being done a bit differently in order to reflect actual time expended on grant projects, no matter if the employee was paid or not from the grant account. Any % effort that has been included on the report, as provided by OSP, should either indicate the amount noted on the original proposal or the % of salary charged to the grant. If the percentage(s) does not accurately reflect the effort expended, please write the revised number in the column labeled, “Actual Percent Effort”. Please remember that the total % Effort must = 100%! It is extremely important that each T& E is reviewed, verified and signed by the person who has first‐
hand knowledge of the amount of time spent on each project (e.g., the named employee or the PI) during the relevant semester. Cost Transfers Used to request that a posted expenditure be moved to or from a sponsored project account. 25 When completing the cost transfer request form, please address all of the following items. For any item that you consider non‐applicable to a particular request, indicate N/A next to the item. 
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Justification – provide a detailed explanation that justifies the need to transfer an expense that had been previously approved on another account. Include in your justification why the charge was originally charged to the account from which it is being transferred and how the expenditure benefits the new account. Required Documentation ‐ At the time you submit your request on‐line, provide OSP with copies of the documents used to process the expense and copies of receipts that support the charge. The copies can be either faxed to 486‐3726 or scanned and sent as an email attachment to your Grant Managers. Requests cannot be processed without the documentation. Timeliness – process all cost transfers within 90 days of the original charge and within 90 days of the end date of the project The following list represents acceptable reasons for cost transfers between accounts: 
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Expenditure was inadvertently charged to incorrect account number and/or sub code Clerical error in account number sub code Expenditure originally charged to one account, but item(s) later used for purpose/project other than originally intended Expenditure being transferred to new account number representing new budget period for the same award Expenditure originally charged to one account, but item(s) later determined to benefit more than one project, therefore portion of cost is allocated appropriately After review of account financial statements, expenditure determined to be not allowable/allocable to this account Rebudgets Used to request that the expenditure budget for on a sponsored project account be revised to meet project needs. When a new account is set up for a grant or contract, the Grant Manager establishes the budget within the parameters of the Financial Records System (FRS) to most closely match the approved budget and any restrictions or limitations imposed by the sponsor. During the course of a project, the Principal Investigator may find it necessary to move funds between budget categories in order to meet project objectives. In some cases, this action requires OSP or sponsor approval No Cost Extensions Used when there is a need to request extra time to complete work on a sponsored project without additional funds being provided by the sponsor. While sponsors expect Principal Investigators (PI) to complete projects by the stipulated end date, occasionally extra time is needed. A no‐cost extension gives the PI extra time to complete the scope and objectives of the project without additional funds being provided by the sponsor. Although requests may not be made for the sole purpose of spending remaining funds, you may expend remaining funds during the no‐cost extension period. In the event your request is not approved, costs incurred after the end date would not be allowable. 26 Pre‐Award or Advance Account Request (http://policy.uconn.edu/?p=971) Used to request a KFS account to be established prior to the start date of a project or receipt of the award notice. A pre‐award account will be used for federal grants where costs are allowed up to 90 days prior to the official start date of the award under expanded authorities granted to the University. Federal contracts and non‐federal grants and contracts are not covered by expanded authorities. Therefore, the University does not have the authority to use the 90 day pre‐award action. Advance accounts will be established for those federal and non‐federal awards not eligible for pre‐award coding. Costs can only be incurred on advance accounts as of the sponsor approved start date. Tuition on Grants Graduate Assistants who have payroll coded to a 5 or 6 Ledger grant will need to have their tuition recovered and charged to the grant. It is the grant manager’s responsibility to track and bill the grants for any graduate student paid from a grant. GA tuition recovery is processed in KFS via an Internal Billing Document. The GATV Calculator Tool, GATV Report, and Internal Billing backup documentation form can be found here: https://web2.uconn.edu/bursar/gatv/. Fringe Adjustments When moving salary between an operating account and a grant account make sure to account for the difference in fringe rate. When moving salary from a 2 ledger to a grant account, the fringe that will be charged to the grant will be charged at the Sponsored Program rate. The additional fringe that was charged to the 2 ledger will be moved to a University clearing account. Fly America Act (http://research.uconn.edu/wp‐content/uploads/sites/351/2015/02/Uconn‐Fly‐America‐Travel‐
Presentation.pdf) Any airfare coded to a 5 ledger federal grant account must be on a US flag carrier airline. CLASPolicies
(http://clas.uconn.edu/faculty‐staff‐resources/) Tenure Track Searches (https://uconnclas‐
departmentheads.pbworks.com/w/page/68004971/Policies%20For%20Tenure%20Track%20Faculty%20
Searches) If the Dean authorizes a tenure track search in the Department, the College will provide up to $2,000 for search expenditures as well as the cost of advertising. When a hire is made, the College will reimburse the Department for the Moving Expenses (according to the Moving Expense policy) and will pay up to $1,750 for a new computer, printer, and software for the hired faculty member. 27 Copies of the advertising invoices and proof of expense on the main account will be needed in order for CLAS BSC to provide funds. These commitments will be listed on the departmental budget sheet. The university has been driven to increase diversity efforts for searches and the following message was sent out to areas in late November of 2013 to explain how this will be enhanced: Dear Colleagues, Embracing and promoting diversity are central tenets at the University of Connecticut. Our faculty, staff and students have engaged in deep discussions and examinations of our efforts to promote diversity and these discussions have been positive, of course, and we’ve made progress. To that end, we must reiterate both our institutional commitment and individual involvement, understanding that we can all contribute to the mission of increasing diversity at our university. We’ll continue to implement new programs and measures for successful outcomes. One new program involves a review of the approval process for recruitment and interview requests for all current and pending searches. Details and timelines are provided below: 1. By DATE, bi‐weekly updates of the pool of applicant and the diversity information will be made available to Department Heads, Search Chairs, and members of the Search Committee and Deans for each search. This information (developed by HR) will also be available on real‐time basis for each search by following the instructions shown here: http://web2.uconn.edu/hrnew/RS91/docs/asdr.pdf. 2. By DATE, the Department Head and Search Chair will be asked to implement a proactive marketing plan for recruitment, including but not limited to: a. Posting of faculty positions in on‐line job sites and email list‐serves for disciplinary professional organizations and minority caucuses, see http://web2.uconn.edu/uconnjobs/faculty/test.php for a comprehensive list compiled by ODE (i.e., American Chemical Society, Society of Women Engineers, Hispanic Association of Colleges and Universities, etc.). b. Direct contacts by Department Head and Search Chair with graduate directors and department heads in disciplinary areas of top Ph.D. granting institutions, top Ph.D. granting institutions for women, top Ph.D. granting institutions for under‐represented minority students, Ph.D. granting HBCUs and Ph.D. granting HSIs (Please see attached file). c. Direct contacts by Department Head, Search Chair, members of the search committee and departmental faculty with their colleagues throughout the U.S. to encourage Ph.D. students and post‐doctoral fellows, with an emphasis on members of underrepresented groups, to apply for faculty positions. d. Other best practices identified by your committee and department 3. By DATE, the Search Chairs will provide bi‐weekly updates (due on the 1st and 3rd Monday of each month) of the progress in implementing the above steps to the Office of the Provost  The bi‐weekly updates can be sent as a brief email to ([email protected]) with the following information: o Status of implementation of item #2a o Status of implementation of item #2b o Status of implementation of item #2c o Status of implementation of item #2d 28 4. As is the current policy, each search must seek approval for all candidate interviews. This review takes into consideration the search committee’s good faith efforts to diversify the candidate pool, as measured by a proactive recruitment strategy (note examples shown in items #2a‐d), and whether the candidates selected for interviews have satisfied the qualifications for the position. 5. The Office of the Provost and the Dean will work collaboratively with ODE as final approval is provided for campus interviews. Thank you very much for your support for this new initiative. Course Buyouts A course "buyout" occurs when a faculty member reduces his or her teaching load in return for providing a sum of money to the college. The funds used to procure the buyout originate from an external source (usually a federal granting agency or a foundation). Course reductions associated with funds from an internal program, such as Honors, are not considered buyouts under this policy. The college treats externally funded, competitively awarded fellowships (e.g., Fulbrights, Sloans, NEH Fellowships) differently than it does buyouts. (See the policy on such fellowships.) Fellowships typically offer a single semester or one full year with no teaching. Buyouts offer individual course reductions as part of a larger, and usually longer term, research project. For more specific information related to Course Buyouts, please see CLAS Course Buyout Policy. Salary Savings 20% of the salary savings resulting from a course buyout using external funds are retained by the College, 80% is returned to the department. The department is fully responsible for replacing the PI’s teaching obligations from its share of the salary savings. Regional campuses will comply with the above rules, with the caveat that they will act as the “department” and will receive 80% of the savings. If, however, the academic department has a policy in place for splitting the savings between it and the PI, the regional campus will receive the departmental percentage and the PI will receive his/her portion as well. The regional campus will be solely responsible for replacing (at least) the full teaching load of the faculty member receiving the fellowship for one semester or a full academic year, as appropriate. Graduate Application Process and Admissions PTR Process Visa Process for Foreign Hires Staffing Plans Otherthingsdepartmentaladministrativestaffhandle:
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Throughout Year o Lecture Series o Coordinate Outside visitors o Development (Foundation) o Departmental Honor Society – Dinners, meetings, enrollment 29 o
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Manage expenditures: PO’s, purchases, procard reviews, travel, and all Kuali information. Submit SPARs for adjuncts and myriad others relevant to dept/grant needs Manage grants: Review budgets and spending with PI’s, process appropriate paperwork  Relevant to grants. Event planning: Rooms, catering, honorariums (vendor setups etc.) Foundation budgets and spending Scholarships budgets, spending, forms Building maintenance: Routine and emergency repairs and planning, coordinating Utilizing the document production center Answering phones Advise under/graduate regarding information University correspondence Review job descriptions Secure funds from other sources Process Payroll renewals 
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Monthly o Department meetings (minutes/agendas) As Needed o Staff Searches o Telecommunications (such as requesting telephone service for new hires) o PTR January o Search Requests for next year to Dean February o Merit Elections April o April 1st – Spring Sabbatical Leaves to CLAS (due to Department Head) o April 15th ‐ UCPEA Accomplishments due to supervisors o Staff evaluations o Letters to regional Directors/Dual appointment sites for merit feedback May o May 1st – Spring Sabbatical Leaves to CLAS (Due to the Dean) o May 1st ‐ UCPEA Evaluations to CLAS o May 1st – Merit submission by Faculty o May 15th – Merit submission by Committee May‐June o Annual Report/Merit Calculations June o June 30th – Merit submission by Department Head o Annual report tallies July‐August o Review information and resources needed for new incoming Faculty September‐October o Undergraduate Course Scheduling/Track enrollments* (Sept/Oct main time; Spring/Summer for confirmation) 30 
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October o October 1st – Fall Sabbatical Leaves to CLAS due to Department Head o Graduate Course Scheduling November o November 1st ‐ Fall Sabbatical Leaves to CLAS due to Dean Resources
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Listserv Signing up for the different Listservs among the University is a great way to keep on top of new updates within other areas of the University. The Listserv website is very easy to use and to manage your subscriptions. ListServs to sign up for:  CLAS Staff ListServ  UConn Employees ListServ – Daily Digest  Accounts Payable ListServ  KFS ListServ  Special Payroll List Serv You can also communicate important announcements or reminders with your department through a Listserv. There should already be one set up for your department that will allow you to contact everyone from the department at once. Useful links Accounts Payable: http://accountspayable.uconn.edu/uconn‐co‐op‐purchases/  Pro Card: http://purchasing.uconn.edu/purchasing‐card/  Accounting: http://accountingoffice.uconn.edu/  Useful forms: http://accountspayable.uconn.edu/account‐payable‐forms/ PSA Information: http://psa.uconn.edu/faq.html Purchasing: http://www.purchasing.uconn.edu/  Pro Card: http://purchasing.uconn.edu/purchasing‐card/purchasing‐card‐user‐
manual/ OSP: http://osp.uconn.edu/post.php o Cost Transfers, No‐cost Extensions forms Payroll: http://payroll.uconn.edu/  Graduate Assistant: http://payroll.uconn.edu/PY/for_departments/graduate.html  Payroll Periods, Pay rates, Paperwork needed from payroll  Grad School: http://www.grad.uconn.edu/  Special: http://payroll.uconn.edu/PY/for_departments/special.html 31  Classified: http://payroll.uconn.edu/PY/for_departments/classified.html BSC Home Page: http://bsc.clas.uconn.edu/  CLAS BSC Auto report examples: http://bsc.clas.uconn.edu/reports‐php/ Travel Services: http://travel.uconn.edu/ Student Employment: http://studentjobs.uconn.edu/ Central Stores: http://www.stores.uconn.edu/ Winja: http://payroll.uconn.edu/PY/winja/winja.html  Where authorization for undergraduate students are entered Parental Leave and Tenure Clock Extensions: http://hr.uconn.edu/lt_aaup_parental_leave/ Faculty Consulting: http://consulting.uconn.edu/ By‐Laws of the University of Connecticut: http://policy.uconn.edu/?p=122 Access Forms/Links Workflow: https://workflow.apps.uconn.edu/opAdmin/opadmin/mainAction.action  Ability to view/look up Travel Approval Requests submitted by faculty members KFDM: http://kfdm.uconn.edu/  WebFocus and KFDM Kuali: http://kuali.uconn.edu/ Student Employment: Ability to post job openings https://uconn.studentemployment.ngwebsolutions.com/Cmx_Content.aspx?cpId=188 Hobsons http://grad.uconn.edu/faculty‐staff/hobsons‐applyyourself/ Travel workflow http://bsc.clas.uconn.edu/travel/ Foundation Reporting and RFD system http://bsc.clas.uconn.edu/foundation/ OSP http://grad.uconn.edu/financial‐resources/internal‐funding‐opportunities/outstanding‐
scholars‐program‐osp‐fellowships/ InfoEd http://research.uconn.edu/research‐it/infoed/infoed‐how‐tos/ Winja http://payroll.uconn.edu/PY/winja/winja.html Alternate access for payroll items Genesys http://genesys.uconn.edu/ Procard http://purchasing.uconn.edu/purchasing‐card/purchasing‐card‐online‐forms‐2/ PeopleSoft http://www.peoplesofthelp.uconn.edu/student/cs01cs90.html If Department Heads change the following will need to be changed:  MUD Table (SPAR, recruiting solutions, and travel workflow)  CLAS BSC Report distribution list  CLAS contact lists 32 
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Dept Head contact listserv KFS account numbers Change Foundation Account Reporting Distribution Consulting
Defined as faculty doing something for money outside UConn (review papers, give a talk, etc.). The On‐
Line Consulting Form must be filled out, this can be accessed from the Consulting Website: http://consulting.uconn.edu/ . The form is approved on a Fiscal Year basis. If the work spans Fiscal Years, a new form will need to be filled out. - Chain of approval: Faculty > Dept. Head > Dean > Provost - Accelerated Approval: Automatically determined by system based on criteria. Only requires Dept. Head approval. - Proxies: Form can be submitted on behalf of faculty but they are still required to log‐in and approve and reconcile their request. The Consulting website provides additional information such as the Consulting Policy, Sanctions when policy is not followed and other updates. Other Important Factors and Considerations  If faculty only to receive a travel reimbursement (no honorarium), they do not need to complete the on‐line consulting form.  Furthermore, they are paid directly – UConn has no liability.  If work is happening at another CT state agency, this is a dual employment scenario not Consulting.  Faculty need to ensure that the work is not intended to occur on a grant.  Consulting has no implications on 12/12ths.  Consulting has no implications on sabbatical leaves, except that the consulting work must be separate from the purpose of their sabbatical. Consulting Limits As a general rule, faculty are unable to consult during time due to UConn.  Are able to give equivalent of 1 work day per week (39 days per academic year, 52 days per year, and these days can be consecutive) Consulting Policies and Guidelines  Faculty can only be hired for their expertise in their field, and not for their association with UConn. In fact, faculty must attest that they do not represent UConn.  Faculty can’t disclose any proprietary information.  Can’t use labs or other equipment for consulting without preapproval (separate form) Are able to use UConn email. o Faculty can pay for use of equipment out of own pocket or out of honorarium.  Faculty must have no financial interest in the agency with which they are consulting, and if there is interest it must be disclosed.  All Consulting request must be reconciled in the on‐line system by 9/15. 33 
Faculty leaving the state for consulting still need to complete a travel approval in the online workflow system. Other Consulting Situations If there is ever any question about whether the policy can be followed, the Office of Audit, Compliance & Ethics should be contacted. There are situations where the consulting agency “surprises” the faculty member with an honorarium. It is considered best practice to fill out the Consulting Form even if an honorarium is not expected for this reason. It can always be cancelled/reconciled in the event that nothing is received. If the consulting form is not filled out and the agency gives the faculty member an honorarium, the faculty member is not allowed to keep it because it has not been preapproved. There are sanctions for keeping the funds. In this scenario, faculty can donate the funds to the UConn. CommonlyUsedAbbreviations
KFS – Kuali Financial System MUD Table – Master University Department Table Org Code – 4 digit number to identify a department/ academic area used primarily in KFS Work Department number ‐ 5 digit number used primarily for payroll purposes, has two letters at the end (ex: 22000AA) VAP – Visiting Assistant Professor APiR – Associate Professor in Residence CHAD – Database system internal to CLAS used for commitments, reports and employment data GENX –General Expense Consolidation Code in KFS, for the operating budget TEMP – Temp Salaries Consolidation Code in KFS (student, special and graduate payrolls) PI – Primary Investigator IDC – Indirect Cost Summer Session – 4L revenue receiving account for courses taught during, winter, May and summer terms RFD – Request for Disbursement, payment to KFS or direct vendor from a Foundation account 34 FELIX – Foundation reporting system used to look up Foundation account balances SPAR‐ Special Payroll Authorization Request UBOX – Unit box, 4 digit number used for campus mail AP – Accounts Payable HR – Human Resources FO – Fiscal Officer PA – Payroll Authorization KFS Abbreviations Edoc‐ Electronic document DV – Disbursement Voucher, method by which payment is remitted to individuals/ vendors BA – Budget Adjustment, used for transfers among 2L accounts TF – Transfer of Funds, used for transfer among like 4L accounts SSBA – Single Sided Budget Adjustment, used to adjust budgets in 4L accounts, sides do not have to equal DI – Distribution of Income and Expense, used for moving expenses from one account to another Billing, method by which a revenue receiving account can bill other KFS accounts GEC – General Error Correction, used for making corrections on other edocs, can change account, object code etc. PCDO – a charge made on the procard REQ – Requisition, entered with a quote to begin the purchasing process PO – Purchase Order, generated from REQ, once created, invoice is sent to A/P for further processing PREQ – Payment Request, after purchase order and receiving (if applicable) are completed, a request to remit payment to vendor that is routed to and approved by the Fiscal Officer CR – Cash Receipt, method by which funds are deposited as revenue or against existing expenses into KFS accounts 35 SB – Service Billing, automatic billing edocs that are processed by areas such as dining services and central stores 36