Defining Your Operational Structure

This chapter provides overviews of the implementation process and the Inter/IntraUnit processor and discusses how to:

• Define PeopleSoft Grants rules and business units.

• Establish Facilities and Administration (F&A) and direct-cost cost-sharing options.

Understanding the Implementation Process

When you implement PeopleSoft Financials, the order in which you perform your setup is important. Here is a high-level summary of the steps:

1. Set up PeopleSoft General Ledger defaults.

   Because the default values, calendars, and ledger groups are used downstream by the other financial applications, you should set up PeopleSoft General Ledger first. The usual progression for setup is PeopleSoft General Ledger, PeopleSoft Receivables, PeopleSoft Billing, PeopleSoft Contracts, PeopleSoft Project Costing, and PeopleSoft Grants.

2. Determine your PeopleSoft Grants system requirements.

3. Set up PeopleSoft Project Costing and PeopleSoft Contracts.

   This setup includes defining business units. You must define business units for PeopleSoft Contracts and PeopleSoft Project Costing before you can set up award defaults on the Grants Award Setup Definition page.

4. Set up PeopleSoft Grants.

   This step includes defining defaults for awards and entering information into the control tables that store the values that the system uses in pre- and post-award processing. Award setup is covered in this chapter. Entering information in control tables is discussed in the Structuring PeopleSoft Grants and Setting Up and Maintaining PeopleSoft Grants Information chapters.

   Note. You should set up PeopleSoft Commitment Control (optional) before setting up PeopleSoft Grants business units.

5. Define PeopleSoft Grants security.

   PeopleSoft Grants enables you to limit access to the proposal and budget pages based on department or user ID. PeopleSoft Grants security setup is discussed in the next chapter.

6. Upload existing proposal and award information into PeopleSoft Grants.

Understanding the Inter/IntraUnit Processor

The PeopleSoft Centralized Inter/IntraUnit processor provides consistent setup and centralized processing to manage Inter/IntraUnit transactions across PeopleSoft applications. When an Inter/IntraUnit transaction occurs, the processor supplies the balancing lines. For PeopleSoft Grants, this process occurs during the F&A process. If an intraunit transaction is identified, then the system creates the appropriate balancing entries.

The system defines an intraunit transaction as a transaction within a single PeopleSoft General Ledger business unit that involves more then one value in a lower level balancing ChartField, such as Fund or Department.

For the Centralized Inter/IntraUnit processor to create the balancing entries during the F&A process, you must:

• Define a transaction code.

• Define system transaction mapping.

• Define an intraunit template.

• Associate the intraunit template with a PeopleSoft General Ledger business unit.

See Also

Using Interunit and Intraunit Accounting and ChartField Inheritance

Departmental and Credit Percent

Credit percentages reside at the proposal project level in the pre-award, and at the project level in the post-award. Also, the Setup Level page identifies at which level the certifications, resources, subrecipients, components, departmental percentages, and professional credit percentages reside. This value becomes by default the proposal level in the pre-award. The values that are set up at the business unit level are supplied at the proposal level and can be overwritten at the proposal level; and the departmental credit percentage can be accessed at project level. Use the following elements to enter credit percentages:

• Click the Departmental Credit link on the Projects page to enter the departmental credit percentages.

• Credit percentages for professionals are captured in the Resources Grid of the Proposal component. The Role field on the Professionals grid identifies PI or Co-PI.

• Generate Award populates the Department Credit percentages in the Post Award.

Defining PeopleSoft Grants Rules and Business Units

To define PeopleSoft Grants rules and business units, use the Grants Definition (GM_BU_DEFN), Approval Notification Setup (GM_WF_RULE), and Workflow (GM_WF_COMPONENT_GBL) components.

This section discusses how to:

• Define contracts business units.

• Define default options.

• Define processing options.

• Define a fee.

• Define project costing business units.

• Define award setup options and defaults.

• Define confidence levels.

• Identify setup levels.

• Set up the approval and notification process.

• Enter milestone notification and proposal notification details.

• Enter approval definition details.

• Enter protocol approval details.

• Enter protocol batch notification details.

• Enter protocol notification details.

• Enter a criteria definition.

• Define PeopleSoft Grants options.

Pages Used to Define PeopleSoft Grants Rules and Business Units

Defining PeopleSoft Contracts Business Units

Access the Contracts - BU Definition page.

Instructions on setting up contracts business units appear in the PeopleSoft Enterprise Contracts 9.0. PeopleBook.

See Also

Defining PeopleSoft Contracts Business Units

Defining Default Options

Access the Contracts - Defaults page.

Instructions on setting up default options appear in the PeopleSoft Enterprise Contracts 9.0 PeopleBook.

See Also

Defining PeopleSoft Contracts Business Units

Defining Processing Options

Access the Contracts - Processing Options page.

Instructions on setting up processing options appear in the PeopleSoft Enterprise Contracts 9.0 PeopleBook.

See Also

Defining PeopleSoft Contracts Business Units

Defining a Fee

Access the Contracts - Fee Definition page.

Instructions on defining fees appear in the PeopleSoft Enterprise Contracts 9.0 PeopleBook. This page enables you to define criteria used in fee calculations for cost-plus contract lines. The Fee Definitions page is only applicable to contracts assigned a contract classification Government and does not apply to PeopleSoft Grants awards.

See Also

Defining PeopleSoft Contracts Business Units

Defining PeopleSoft Project Costing Business Units

Access the Project Costing Definition page.

Instructions on setting up projects business units appear in the PeopleSoft Enterprise Project Costing 9.0 PeopleBook.

See Also

Setting Up Project Business Units

Defining Award Setup Options and Defaults

Access the Award Setup Definition page.

Most of the information on this page is used for populating fields on other pages when you create an award from a proposal.

Contract Options

Project Options

Protocol Options

General Ledger Options

Enable Proposal Approval Workflow

Billing Options

Defining Confidence Levels

Access the Confidence Level Setup page.

This page provides a visual clue as to the likelihood that a proposal will be approved. You can set up and maintain confidence levels. You can enter percentages for three confidence levels: high, medium, and low. The symbol to the right of the field appears on the Maintain Proposal - General Info page after a user enters a value in the Confidence Percent field and saves the proposal. It also appears on the My Proposals page. In addition, you can use confidence levels in your reporting.

Identifying Setup Levels

Access the Setup Level page.

This page establishes the setup levels. The award generation process determines which entities (for example, certifications, credits, resources, etc.) come over from pre-award to post-award based on these settings. If you select All Projects, then the values that you enter at the project level for all projects will be associated with the individual projects that you establish. If you select Primary Project Level, then you will be able to establish values (that is, Certification, Resource, Subrecipient, and so on) only for that option within the primary project, and not on the other projects.

Note. The Components field is only for the pre-awards process You use it to identify the level of Workflow process.

Setting Up the Approval and Notification Process

Access the Approval/Notification Process page.

The Approval/Notification process manages the approval process. The elements displayed on this page vary depending on the transaction type you select to access the page.

In order for the Milestone Notification Process to run you must update the values associated with the system-delivered GM_URL. Modify the value in the URL field with your current database URL address.

See Enterprise PeopleTools PeopleBook: System and Server Administration, “Using PeopleTools Utilities, URL Maintenance

Elements

Routing Roles

Indicate who will be involved and what kind of action they can perform.

Entering Milestone Notification and Proposal Notification Details

Access the Details page

Notification Text

Enter any additional text to include with the message catalog text for this specific type of rule. The text entered here appears in the email notification.

Entering Approval Definition Details

Access the Approval Definition page.

This page is available with workflow transaction type of Proposal Component Approval.

Entering Protocol Approval Details

Access the Details page

Review Type	Select a value that represents the level of review for this protocol. Values include: Exempt: Indicates that the protocol does not require full committee review and may need only an IO or committee chair’s review or approval. Expedited: Requires only review or approval by one or more individuals who are assigned as the reviewer on the Committee Setup page. Full: Requires committee review. Blank: Indicates that this field does not apply for this rule.
Protocol Status	Select a status for which this rule applies. If no value is selected, this field does not apply for this rule.
Notification Text	Enter any additional text to include with the message catalog text for this specific type of rule. The text entered here appears in the email notification.

Entering Protocol Batch Notification Details

Access the Details page

Protocol Status	Select a status for this rule. If no value is selected, this field does not apply for this rule.
Date Type	This field is required for batch process triggered workflow notifications, and it also identifies the type of notification that is selected. Workflow uses the days prior to the due date to determine when to send notifications. Values include: Expiration – workflow uses the protocol end date as a reference. Renewal – workflow uses the protocol end date as a reference. Continuing Review – workflow uses the next continuing review date as a reference. Committee Meeting – workflow uses the meeting ID/Date and Protocol Administration page as the reference.
Days Prior to Due Day	Enter a whole number in the field to indicate how many days prior to the reference date (Date Type) an email notification should be sent.
Notification Text	Enter any additional text to include with the message catalog text for this specific type of rule. The text entered here appears in the email notification.

Entering Protocol Notification Details

Access the Details page

Protocol Status	Select a status for which this rule applies. If no value is selected, this field does not apply for this rule.
Disposition	Workflow uses the Committee Meeting Notes Disposition page for the final decision on a fully reviewed protocol. The approver or committee can issue the disposition to approve, deny, or return the protocol. If no disposition is selected then the Event region is hidden. Values include: Blank Approved Denied Returned
Notification Text	Enter any additional text to include with the message catalog text for this specific type of rule. The text entered here appears in the email notification.

Event

Entering a Criteria Definition

Access the Criteria Definition page.

Use this page to set up one or more conditions for each criterion. This page is only available with workflow transaction type Proposal Component.

• A criterion is considered as true if any condition is met.

  The current component is inserted in the proposal as part of the required approval path.

• The component is removed from the proposal if you update the proposal and the condition is no longer met.

• All values within a condition must be satisfied to consider the condition met.

• All the records and fields that are identified on this page must exist in the selected PeopleTool component (GM_PROPOSAL or GM_BUD_LINE_SUM).

  Warning! If any the records and fields are not in the PeopleTool component (GM_PROPOSAL or GM_BUD_LINE_SUM), then Workflow will not work.

  Note. To enter data in the prompt table for Amount Record and Record (Table) Name un-hide the Content (Workflow Components) page by deselecting Hide from portal navigation on the Content Ref Administration page (PORTAL_CREF_ADM).

Monetary Criteria

You can select an amount field and identify the amount limit in a specific currency code and exchange rate as part of the condition.

Other Criteria

Define other non-amount criteria.

Defining PeopleSoft Grants Options

Access the Project Costing Options page.

Waived Facilities and Administrative Calculation

Select either Institution Minus Funded or Sponsor Minus Budget to tell the system how you want to calculate waived and cost-shared F&A amounts. The system uses this option only if you choose to compute waived or cost shared amounts on the F&A Options page.

Instructions on defining projects options appear in the PeopleSoft Enterprise Project Costing 9.0 PeopleBook.

See Also

Setting Up Project Business Units

Establishing F&A and Direct-Cost Cost-Sharing Options

Establishing F&A and Direct-Cost Cost-Sharing Options

To establish F&A options, use the FA Options (GM_FA_OPTIONS) component.

This section provides an overview of F&A processing and direct-cost cost sharing and discusses how to:

• Establish F&A options.

• Establish F&A offsets.

• Establish direct-cost cost sharing.

Understanding F&A Processing

This section discusses:

• F&A processing basics.

• Processing options.

• F&A base account tree.

• Tree definition and properties.

F&A Processing Basics

We deliver PeopleSoft Grants with a process that calculates and stores F&A costs, user-definable F&A base types, and effective-dated F&A rates. This process calculates F&A on the applicable sponsor-funded amounts as well as any waived and cost-shared F&A amounts.

F&A is synonymous with indirect costs or overhead. Some examples of F&A categories include travel, subcontracts, rent, salaries, and so on.

Facilities can be defined as depreciation and use allowances, interest on debt that is associated with certain buildings, equipment and capital improvements, operation and maintenance expenses, and library expenses.

Administration is defined as general administration and general expenses, departmental administration, sponsored projects administration, and student administration and services.

The base type on which F&A is awarded is typically Modified Total Direct Costs (MTDC). The base is significant in that it identifies the direct costs on which F&A can be charged.

For the F&A process to function properly in PeopleSoft Grants, you need to define several items:

• F&A base tree.

• F&A options.

• F&A offsets.

Processing Options

PeopleSoft Grants provides various options for processing F&A expenses. It enables you to establish effective-dated rates, define the bases, and initiate three distinct computations. The key computation is Sponsor Facilities and Administration (SFA). This computation is fed to PeopleSoft General Ledger and billed. The other two optional computations include Waived Facilities and Administration (WFA) and Cost Share Facilities and Administration (CFA). You can establish the F&A definitions at the institution, the sponsor, or the award level.

For the F&A process (GM_GMFACS) to function correctly, complete these initial setup steps:

• After you fully define the chart of accounts, establish an F&A base account tree that includes all of the expense accounts under the appropriate node representing the F&A base type that is being used.

  The F&A process uses these nodes as the basis for calculation. The base node that you identify on this tree must be exactly the same value as the F&A base that you enter on the Project Activity F&A Rates page.

• Establish default F&A information, calculation methods, and ChartField editing combinations on the Facilities Admin Options page.

• Establish links between departments and operating units, funds, programs, classes, budgets, products, and affiliates on the Facilities Admin Offsets page.

  The F&A process looks at the business unit and project that is on the transaction line to determine the departments that are associated with the project or grant. You assign department percentages to the project on the Project Department page (select Grants, Awards, Project, Project Department). The percentages must total 100 percent.

F&A Base Account Tree

The sole function of the F&A base tree is to calculate F&A expenses based on actual expenses that post to the accounts that are identified on the tree. This process happens during the post-award phase. You need to define a tree with node values that represent each base type that you are using, including:

• TDC (Total Direct Costs).

• MTDC (Modified Total Direct Costs).

However you set up your tree, the base node values that you assign on the tree must also be the same base node values that you indicate on your F&A setup pages. If the value does not match, the system cannot find the base node to use to calculate F&A, and your F&A process will not function correctly.

PeopleSoft Grants delivers a sample F&A base tree that you can refer to as a model. It is delivered under the FEDRL SetID. The tree name is GM_FA_BASE.

To access this tree, select Tree Manager, Tree Manager.

Example of the GM_FA_BASE tree

If the institution has exclusionary accounts or identical accounts in different nodes, you can create a tree with duplicate account values. To establish this type of tree, click Tree Definition on the Tree Manager page. Then select the Allow Duplicate Detail Values check box on the Tree Definition and Properties page.

Tree Definition and Properties

The following example illustrates the Tree Definition and Properties page.

Example of the Tree Definition and Properties page

Warning! Typically, you should not have to duplicate detail values within a tree, and you can preclude people from creating them. If duplicate values are allowed, do not assign different rate types within the same project activity to bases that contain the same accounts. If you do, the F&A calculations will be incorrect.

See Also

Enterprise PeopleTools PeopleBook: PeopleSoft Tree Manager

Understanding Direct-Cost Cost Sharing

Organizations may frequently need to calculate cost-sharing percentages and distribute them among departments, other units, or internal business units and external agencies. PeopleSoft Grants enables you to budget for a number of cost-sharing relationships. You can also calculate F&A rates at the expenditure level and differentiate between sponsor expenditures and institution cost sharing.

Cost sharing represents the portion of the research or project that is not funded by the sponsor. For example, an institution may decide to contribute funds or resources to support a project in addition to the amount that is awarded by the sponsor.

In some instances, awarding sponsors expect or require recipients to contribute a certain dollar amount or percentage of the award as a precondition for their support. PeopleSoft Grants enables you to track direct cost-shared amounts, F&A cost-shared amounts, and waived F&A amounts.

To implement cost sharing, you must define direct cost sharing by the ChartField combinations that you establish on the Facilities Admin Options page. You can select one or more ChartFields to designate the ChartFields that constitute cost sharing, for example:

• Class

• Department

• Fund

• Program

After you select a ChartField, you must select values for the From Value and To Value fields.

For example, if you select Fund as the cost-sharing ChartField, and then select a range (F250 / F260), the system considers each transaction that is coded with fund F250 through F260 as cost shared.

If you enter more than one cost-sharing ChartField, (for example, fund F250 and department 90280), the system recognizes the transaction as being cost shared only if the transaction references both (or all) ChartFields. On the other hand, if more than one ChartField value is specified (for example, department ID 90280 and 90000), the system treats this as an OR situation, meaning that as long as one of the values is referenced, the transaction is deemed cost sharing.

For example, to enter a 2,000.00 USD salary transaction with 50 percent cost sharing, you would:

1. Define cost sharing by using a fund value of 100.

2. Code one salary line for 1,000.00 USD to the normal account, department, and fund.

3. Code the second, or cost-shared, line for 1,000.00 USD to fund 100 to distinguish it as a cost-shared line.

When the two lines come into PeopleSoft Project Costing, the cost-shared line, which is based on its fund of 100, is assigned a unique analysis type. You can use the analysis type for reporting, analysis, and billing purposes.

When you run the award generation process, the system computes the cost-sharing amount to be brought forward into the award by using the percentages that you set up within the pre-award environment. When you establish the post-award budget, you should verify that the cost-sharing totals that are brought forward are for the amount that you want, and make any adjustments that may be necessary due to rounding.

Note. ChartField values that are used for cost share cannot be used for reimbursable/funded dollars.

Pages Used to Establish F&A and Direct-Cost Cost-Sharing Options

Establishing F&A Options

Access the Facilities Admin Options page.

Exclude Project From Offsets	Select this option if you want to exclude the project from the F&A offset rows created by the F&A process. If you do not select Exclude Project From Offsets the F&A rows inherit the project from the original direct cost line being burdened.
Account	Select the expense account that you want to use when F&A lines are created. All the other ChartField values on the F&A lines are inherited from the original transaction line on which F&A is being burdened.
Distribution Code	Displays the distribution code. This defines the F&A Offset account that is to be used in F&A processing. This should be a revenue account.
Template	Select the journal template that you want to use to feed the F&A accounting entries from PeopleSoft Grants to PeopleSoft General Ledger.
FA Budget Checking (facilities and administration budget checking)	Select the type of F&A transaction lines that get budget checked.
Tree SetID	Select the SetID or business unit that you want the system to use as a base for calculating F&A expenses.
Tree Name	Select the account on the tree that you want the system to use to determine the F&A base amounts when the system calculates F&A.
FA Calculation Options (facilities and administration calculation options)	The options that you select here enable the institution to choose the types of F&A that you would like to calculate and maintain in PeopleSoft Grants. Options are: Sponsor: This is always selected and cannot be cleared. Sponsor F&A costs are stored in both the Project Resource table (PROJ_RESOURCE) and in PeopleSoft General Ledger. Waived and Cost Shared: These are optional computations and are stored only within the Project Resource table.
CS ChartField (cost-sharing ChartField)	Indicate the values for the ChartFields that identify transactions as cost sharing when they are used (for example, FUND_CODE).
From Value	Select the ChartField value that you want to designate for cost-shared transactions. When the line comes into PeopleSoft Project Costing, the cost-shared line is assigned a unique analysis type for reporting, analysis, and billing purposes.
To Value	Select a value that is greater than the one that is entered in the From Value field to code cost-shared transactions to a range of values. The system does not accept a value that is less than the one in the From Value field. To code cost-shared transactions to only one department, class, fund, or program, enter the same value that is in the From Value field.

Note. If the institution uses a combination of ChartFields and values to define what combinations constitute cost sharing, enter multiple cost-sharing ChartFields and from and to values.

See Also

Establishing Direct-Cost Cost Sharing

Establishing F&A Offsets

Access the Facilities Admin Offsets page.

FA Offset

Establishing Direct-Cost Cost Sharing

Access the Installation Options - Grants page.

Use this page to enable electronic submission of proposals to Grants.gov. Indicate if you want to include optional attachments.

Establish cost-sharing analysis types for each feeder system with which you plan to use the PeopleSoft Grants cost-sharing feature.

This table lists some of the cost-sharing analysis types that are defined for specific feeder systems and delivered with PeopleSoft Grants:

Based on the feeder systems in which the transactions originated, the system automatically assigns a cost-sharing analysis type to a transaction that includes designated cost-sharing ChartFields.

This table lists feeder systems and the fields to which they correspond on the Installation Options - Grants page:

By assigning a distinct analysis type to cost-shared transactions, PeopleSoft Grants enables you to track the feeder systems from which the cost-sharing transactions originated. PeopleSoft Grants also enables to calculate and track F&A expenses on cost-shared amounts.

Note. The system assigns all cost-sharing F&A costs with an analysis type of CFA (Cost-Sharing Facilities and Administration). To activate the cost-shared F&A calculation, navigate to the Facilities Admin Options page (select Setup Financials/Supply Chain, Business Unit Related, Grants, Facilities Admin Options) and select the Cost Shared check box. When this is activated, the system calculates F&A on direct cost-shared amounts (assuming that the accounts are in the F&A base) with an analysis type of CFA.

The system uses either the institution's F&A rate or sponsor's F&A rate for calculating the cost-sharing F&A. To determine which rate to use, the system looks at the Waived FA Calc Method group box on the Project Activity - Definition page (select Grants, Awards, Project Activity, Definition). If the Institution Minus Funded check box is selected, the system uses the institution's F&A rate for calculating the cost-sharing F&A. If the Sponsor Minus Funded check box is selected, the system uses the sponsor's F&A rate for calculating the cost-sharing F&A.

See Also

Establishing F&A and Direct-Cost Cost-Sharing Options