Frequently Asked Questions

Accounts Payable

The UC Accounting Manual for Disbursements (D-371-16) governs the level of approval, and method of procurement for non-payroll transactions, including Reimbursements, entertainment, travel, consultants, honoraria, memberships, and moving expenses, among other things.

In either case, have your business officer send an e-mail to Russell Remington requesting that Accounting defer the new year expense or revenue. Include all relevant info in the request.

If you have an approved purchase order dated in the current fiscal year but have not received an invoice or made payment, have your business officer send an e-mail to Russell Remington requesting that Accounting accrue the expected new year payment. Include all relevant info in the request.

If you have received a payment for services that will not occur until the new year, have your business officer send an e-mail to Russell Remington requesting that Accounting defer the new year payment received. Include all relevant info in the request.

The Vendor Blanket Form in Gateway is like a checking account; you set up a fixed amount on the order, and as invoices are charged against it, the total amount of your order "draws down".

  • Vendor Blankets (VB) may be setup for a one-year initial period, and may be extended using the Vendor Blanket Revision Form for one-year increments. As a best practice, VBs should not cross fiscal year boundaries.
  • VBs cannot be backdated; the authorization to purchase must exist prior to accepting services.
  • VBs associated with a UC contract or a UCSB bid can be set up through the contract end date to match the contract terms.
  • VBs expired two months or longer are considered permanently expired, and you'll need to setup a new VB if your department wishes to continue doing business with that vendor.
  • VBs should only be used for services that are recurring throughout the year in nature, such as temporary personnel invoices, copier or equipment maintenance, and trash pickup.
  • Please note, most services (including delivery) require insurance. Obtaining insurance will add processing time to your order. Once VB's have reached 10 years, you will need a new VB.
  • If the annual expenditure for the VB exceeds $100k, we must go out to bid, unless a bid has already been awarded through Procurement or UCOP).
  • If the vendor supplies items with the UC name or logo, the vendor must register annually with the LRG. Please contact us with any questions about this requirement.
  • Extension requests (VB Change Request Form) will be granted at the discretion of the Purchasing Manager or their designee.

In the description box, use the following example text: "Provide copier maintenance services to the University of California, Santa Barbara, xxxx Department for the period of 7/1/20xx - 6/30/20xx. Copier Model # xxx and Serial Number xxx. Rates as follows: xxxx. Account Number as follows: xxxx"

There are three ways to look for invoice payment information in EZ Access in the Accounts Payable section. Please click here for instructions.

As outlined in Bulletin BUS-46, Use of University Vehicles :

  • Traffic/parking citations shall not be paid from any source of University funds.
  • The driver of a University vehicle is responsible for the payment of any traffic/parking citations incurred on or off University property during the time that said driver is responsible for the operations of the vehicle. University parking citations have the same legal authorization as those issued by municipal or state law enforcement authorities.

Also, according to the Accounting Manual Chapter A-253-27, Administrative Fund Payments, personal expenses incurred while on University business, such as traffic fines or parking tickets, are prohibited.

BARC

Yes. You follow the same steps as the students receiving Financial Aid. Sign up using MyBARC. Complete, step-by-step instructions can be found at:
http://www.barc.ucsb.edu/erefundinstructions.htm.

Box 9, if checked, indicates that you were enrolled in a graduate program for one or more quarters during the tax year. The University checks this box if you attended as a graduate student for any quarter of your enrollment during the tax year.

In order to claim the Hope Credit, a student must not have completed the first 2 years of postsecondary education (generally, the freshman and sophomore years of college) as of the beginning of the tax year. (See "Who is an Eligible Student" in Chapter 1 of IRS Publication 970: Tax Benefits for Education [download] for more information.)

Note that the lack of a check mark in this box does not guarantee eligibility for the Hope Credit, which must be claimed within the first two years of postsecondary education. Since the Lifetime Learning Credit is not so limited, you may choose to apply expenses for graduate-level degree work towards claiming this benefit.

Form 1098-T:  Tuition Payments Statement is the information return that colleges and universities are required to issue for the purpose of determining a student's eligibility for the Hope and Lifetime Learning education tax credits.

Box 7, if checked, indicates that "payments received" in Box 1 include "Pre-paid Regular Session Fees" and/or "Pre-paid University Extension Fees.""Pre-paid" fees are those paid during the tax year for a quarter beginning in the first 3 months of the following tax year. At UCSB, only Winter quarter registration fees fit into these criteria, because fees are due and payable in December of one tax year for instruction beginning in January of the following tax year. Spring quarter registration fees are never considered "pre-paid," because fees are always due and payable in the same tax year as instruction begins. "Expenses That Do Not Qualify," such as student health insurance, are not included in the amount of "Pre-paid Regular Session Fees."

On the reverse of the student copy of your 1098-T, you will find the "financial supplement," providing more detailed information. Part 1 "Payments Received for Tuition and Related Expenses," displays your payments broken down into the following expense categories (if applicable):

  • Regular Session Fees
  • Pre-paid Regular Session Fees
  • Course Materials Fees
  • Summer Session Fees
  • University Extension Fees
  • Pre-paid University Extension Fees

Access your record at UCSB's Tax Credit Reporting Service (TCRS) http://www.1098t.com/ to view and print copies of your 1098-T and "financial supplement." Also at this web site, the expense categories in Part 1 are linked to more information. For example, just click on a link for "Pre-paid Regular Session Fees," and you will see the details (dates, descriptions, amounts) for ll transactions that were compiled into that category, such as:

Yes. There are several cancellation programs that are available. If you work as a schoolteacher, in law enforcement, or in the medical services, you may qualify to have some or all of your loan cancelled.

Box 6 ("Adjustments to Scholarships or grants for a prior year") shows an amount if "scholarships or grants" that were reported on a 1098-T for a prior year were subsequently adjusted or reduced in the current tax year. For example, if you received Fall 2006 UCSB Grant in September 2006, it would be reported as "scholarships or grants" on your 1098-T for 2006. If the grant amount later was adjusted or reduced in January 2007, and the charge to your student account was paid, the amount cannot be summed into Box 5. It must be reported separately in Box 6 for tax year 2007.

If you access your record at UCSB's Tax Credit Reporting Service (TCRS) at http://www.1098t.com/ , you may view and print copies of your 1098-T and "financial supplement." At the web site, the expense categories in Part 3 of the "financial supplement" are linked to more information. For example, just click on a link for "Regular Session Fees," and you will see the details (dates, descriptions, amounts) for all transactions that were compiled into that category, such as:

The amount in Box 6 may affect any allowable education credit you claimed for a prior year. Please consult a tax expert to determine if you may need to recalculate your tax benefit for that prior year.

No. As long as you maintain a class schedule that is at least 50% of a full time student, you can apply for a student deferment. Remember to resubmit the deferment each year that you qualify.

Box 5 ("Scholarships or grants") shows the net amount of certain forms of educational assistance that were received or applied to your student account during the tax year (January - December), regardless of the quarter for which the funds originally were intended.  For example, if you received a check for Fall 2006 Pell Grant in 2007, the amount of the check would be added into Box 5.  Note that the amount in Box 5 may include fee payments and other credits, as well as checks.  Any subsequent adjustments or reductions to educational assistance that occurred in the same tax year are summed into the amount.  The net amount is sent to the IRS.

The IRS states that there is "no double benefit allowed." This means that if you pay tuition with certain forms of educational assistance, on which you do not pay taxes, you must reduce any education credit you claim by those amounts. See "No Double Benefit Allowed" in Chapter 2 (Hope Credit), or "No Double Benefit Allowed" in Chapter 3 (Lifetime Learning Credit) of Publication 970: Tax Benefits for Education [download] for more information. Reportable forms of education assistance are not limited strictly to scholarships and grants, but may include funds received from employers or sponsors.

On the reverse of the student copy of your 1098-T, you will find the "financial supplement," providing more detailed information. Part 2 "Scholarships or Grants," displays relevant educational assistance broken down into the following categories (if applicable):

  • Grants and Scholarships
  • Fellowships, Traineeships and Stipends
  • Outside Sponsored Awards
  • Third-party Billing Arrangements
  • Tuition/Fee Remissions
  • Waivers and Exemptions

Access your record at UCSB's Tax Credit Reporting Service (TCRS) http://www.1098t.com/ to view and print copies of your 1098-T and "financial supplement." Also at this web site, the educational assistance categories in Part 2 are linked to more information. For example, just click on a link for "Grants and Scholarships," and you will see the details (dates, descriptions, amounts) for all transactions that were compiled into that category, such as:

Your student loans will enter into a 9-month grace period from the date you graduate from UCSB or your class schedule drops below 50%. You will receive your first bill at the 9-month point with the first payment due at the 12-month point. You will continue to receive a bill every 3 months for the duration of the payment schedule.

Box 4 ("Adjustments made for a prior year") shows any refunds during the current year for payments of "qualified tuition and related expenses" reported on a 1098-T for a prior tax year.  For example, if you paid Winter 2009 registration fees when due in December 2008, "qualified tuition" for that quarter would have been reported on your 1098-T for 2008. If you subsequently received a refund of Winter 2009 registration fees in January 2009, the amount refunded would be reported in Box 4 for tax year 2009. Refunds may be the result of changing from full-time to part-time study, nonresident to resident classification, or cancellation/withdrawal.

If you access your record at UCSB's Tax Credit Reporting Service (TCRS) at http://www.1098t.com/ , you may view and print copies of your 1098-T and "financial supplement." At the web site, the expense categories in Part 3 of the "financial supplement" are linked to more information. For example, just click on a link for "Regular Session Fees," and you will see the details (dates, descriptions, amounts) for all transactions that were compiled into that category, such as:

The amount in Box 4 may reduce any allowable education credit you claimed for a prior year. For more information, refer to "When Must the Credit be Repaid (Recaptured)" for the Hope and Lifetime Learning credits in Publication 970: Tax Benefits for Education [download].

Please visit the Paying Your Bill section of BARC for your available options.

These boxes are blank because the information is not applicable to UCSB as the filer of your 1098-T.

  • Box 2 ("Amounts billed for qualified tuition and related expenses") is blank because UCSB reports "Payments received" instead.  The IRS provides the option for schools to report either "Payments received" in Box 1, or "Amounts billed" in Box 2, but not both. Since education tax credits are based on "payments received for qualified tuition," UCSB reports "qualified tuition" in Box 1 as a service to our students.
  • Box 3 ("Check if you have changed your reporting method for 2007") is blank because UCSB has not changed its reporting method from a previous tax year, and continues to report "Payments received," not "Amounts billed."
  • Box 10 ("Ins. Contract reimb./refund") is blank because UCSB is not an insurer.

All checks are payable to The Regents of the University of California, or to the UC Regents.

Box 1 ("Payments received for qualified tuition and related expenses") of your 1098-T displays the net amount of payments received during the tax year (January - December) that were required as a condition of your enrollment and attendance.  To "qualify," payments must relate to an academic period for which fees are due and payable during the tax year, and for which instruction begins no later than March of the following tax year.  The amount is calculated by summing the "qualified" portions of registration and course materials fees, less any refunds or reductions of these fees due to enrollment changes. This net amount is sent to the IRS.

By the IRS' definition, "qualified tuition" does not include insurance and student health fees; see "Expenses That Do Not Qualify" in Chapter 2 (Hope Credit), or "Expenses that Do Not Qualify" in Chapter 3 (Lifetime Learning Credit) of Publication 970: Tax Benefits for Education [download] for more information.

On the reverse of the student copy of your 1098-T, you will find the "financial supplement," providing more detailed information. Part 1 "Payments Received for Tuition and Related Expenses," displays your payments broken down into the following expense categories (if applicable):

  • Regular Session Fees
  • Pre-paid Regular Session Fees
  • Course Materials Fees
  • Summer Session Fees
  • University Extension Fees
  • Pre-paid University Extension Fees

Access your record at UCSB's Tax Credit Reporting Service (TCRS) http://www.1098t.com/ to view and print copies of your 1098-T and "financial supplement." Also at this web site, the expense categories in Part 1 are linked to more information. For example, just click on a link for "Regular Session Fees," and you will see the details (dates, descriptions, amounts) for all transactions that were compiled into that category, such as:

Yes, you can enroll in a BARC payment agreement. Aid is being updated weekly so check GOLD on-line before enrolling in the payment agreement. If aid is still not credited to your account and you want to meet the payment deadline, go to forms and instructions and fill out the BARC payment agreement. Send the completed form along with the $25.00 payment plan processing fee and a copy of your financial aid award letter to the Cashier's Office, University of California, Santa Barbara, 93106.

You should contact the Billing Office at (805) 893-3756 for assistance.

Students can request that a credit balance remain on their BARC Account by contacting the BARC Office. Simply request that your refund status be changed to: “Leave On Account” or LOA. You can also cancel this refund status at any time. Requests may be made at our office or by contacting us at (805) 893-3756 or barc.info@ucsb.edu.

The requirements are:

  1. You must be admitted as a UCSB student.
  2. Your BARC account must be active.
  3. All charges beyond 30 days old must be paid at the time of payment plan enrollment.

Where circumstances make it impossible for funds to be electronically transferred to a personal checking account (e.g., students living abroad, foreign students, etc), special arrangements can be made by contacting the BARC Office.

The benefits of a payment plan are:

  1. It is an economical way to meet payment deadline requirements for registration.
  2. Multiple plans are offered to meet specific needs of different student populations (e.g., undergraduate, graduate, financial aid recipients, etc.)
  3. The only cost to participants is the payment plan processing fee of $25.00.
  4. The plan is not a loan program; therefore, there are no interest or monthly finance charges.

If you are currently enrolled in eRefund, and your banking information has changed, you must go back to MyBARC and update your banking information.

The purpose of having a payment plan is to help you budget and pay your educational expenses in convenient installments. It is a way to meet payment deadlines without having to pay registration/tuition fees in one lump sum.

eRefund is effective immediately. The moment you sign up it is in place.

The student’s name must appear on the checking account; joint accounts are acceptable.

You will be sent an Email to your UMAIL address prior to the settlement of funds in your checking account. Questions about whether funds are available for you to use should be directed to your banking institution.

You can also view refund transactions on the MyBARC website (https://mybarc.ucsb.edu).

The Cashier’s Office hours of operation are 9:00 – 12:00 PM and 1:00 PM – 4:00 PM.

Yes, provided that a form was issued to you. Follow the instructions for getting a copy of your 1098-T above, making sure to select the tax year of interest from the  drop-down menu box.  The current tax year appears in the window by default.

It's easy!  Just use the Tax Credit Reporting Service (TCRS) student site at http://www.1098t.com/.

  • Click "Access My Record."
  • Log in to the system according to the instructions, setting a PIN number if necessary.  The University does not supply a PIN number to TCRS on your behalf.  If you have difficulty with your PIN number, contact TCRS toll-free at (877) 467-3821.
  • Select the tax year of interest from the drop-down menu box.  You may search for your 1098-T form for the current tax year (the default selection), as well as for the previous two tax years.
  • After retrieving your 1098-T online, you may print as many duplicate copies as desired.  Note that you are not required to submit any copy of the 1098-T with your tax return.

 

To simplify reporting, and to promote the best customer service for students and their families, the University contracted with Affiliated Computer Services (ACS) to provide the Tax Credit Reporting Service (TCRS). In addition to mailing forms, TCRS hosts the 1098t.com web site and provides toll-free customer support at (877) 467-3821. Note, however, that the filer's information (name, address, telephone number, and federal identification number) on your form all pertain to UCSB.

Accounting Services & Controls recommends that for any conference expecting revenue over $10,000, the department should set up a new income account if they do not already have one. This can be done by contacting General Accounting at x2372. If the department currently has an income account, they may use that account to track the conference revenues and expenses, unless the conference is expected to be very large; then the department may elect to set up another income account. General Accounting can provide guidance and assistance in this area.

The importance of establishing a new account is to ensure proper tracking and recording the sources and uses of funds - the main principle of fund accounting!

As a reminder, some other things to think about when hosting a conference:

1. Credit card payments for registration fees. If your department wishes to accept payments using credit cards, you must receive prior approval from the Chancellor. Please contact the campus Credit Card Coordinator in the Controller's Office at x3959. There is a very formal process to getting the approval and the campus Credit Card Coordinator will tell you how to get started.

2. Storing the money received. If you will be receiving cash and/or checks for the conference, please refer to Business and Finance Bulletin BUS-49 regarding Cash. This policy includes guidelines for handling, receiving, and storing cash in your department.

3. Preparing a budget. This is extremely important. A budget will help you determine what your costs are going to be, how much to charge for the registration fee, and can be a very valuable planning tool.

Your name is a key element of your tax information, so be sure to submit changes to the University as soon as possible. Follow these steps to have a corrected 1098-T issued:

Furnish the University with your valid name. You cannot correct your name using the TCRS web site or customer service telephone number.

You must complete a Change of Name Petition and submit the supporting documentation at the Registrar's Office.

The annual deadline for UCSB to file 1098-T tax information electronically with the IRS is January 31, although data may be transmitted earlier as circumstances allow. Please make sure any corrections are completed before mid-March to promote accurate filing.

 

 

Reporting to the IRS depends on correctly identifying you, so it is very important for you to have your ITIN on file with the University.  Follow these steps to have a 1098-T generated:

Furnish the University with your valid ITIN.  You cannot supply this information through the TCRS web site or customer service telephone number.

Form W-9S (Request for Student's or Borrower's Taxpayer Identification Number and Certification) is the official IRS form used to state your ITIN. You need only to complete Part I of this form when requesting a 1098-T. Enter your ITIN in the spaces marked "Taxpayer identification number." Bring legible copies of the completed Form W-9S, and the card or letter you received from the IRS assigning your ITIN, to the Registrar's Office.

The annual deadline for UCSB to file 1098-T tax information electronically with the IRS is January 31, although data may be transmitted earlier as circumstances allow. Please make sure any corrections are completed before mid-March to promote accurate filing.

 

Yes. Section 6050S of the Internal Revenue Code, as enacted by the Taxpayer Relief Act of 1997, requires institutions to file information returns to assist taxpayers and the Internal Revenue Service in determining eligibility for the Hope and Lifetime Learning education tax credits.  The annual deadline for UCSB to file the required tax information electronically is January 31, although data may be transmitted earlier as circumstances allow.

Reporting to the IRS depends primarily on your SSN, so it is very important for you to have the correct information on file with the University. Follow these steps to have a corrected 1098-T generated:

Furnish the University with your valid SSN. You cannot update your SSN using the TCRS web site or customer service telephone number. You must come in person to the UCSB Registrar’s Office to correct your Social Security Number. You need to bring your Social Security Card and a photo ID with you.

The annual deadline for UCSB to file 1098-T tax information electronically with the IRS is January 31, although data may be transmitted earlier as circumstances allow. Please make sure any updates are completed before mid-January to promote accurate filing.

 

There are several possibilities:

  • You are looking for your 1098-T at the wrong address.
    IRS regulations require mailing your 1098-T to your permanent address, not your local or campus one.  Check at home to see if your family received the form.
  • Your 1098-T was mailed to the wrong address.
    If you did not have a current address on file with the University, then your form may have gone astray.   To find out where your tax information was sent, login at the Tax Credit Reporting Service (TCRS) or call toll-free (877) 467-3821.   You may obtain copies of your 1098-T through the web site at your convenience.  Remember to update your addresses at UCSB with GOLD.
  • You were a visa student who did not have a valid Social Security Number (SSN) or Individual Taxpayer Identification Number (ITIN) on file.
    IRS regulations specify that the University is not required to issue a 1098-T in this situation, unless the student requests the form.
  • You participated in an international study or education abroad program.
    Depending on the type of program in which you participated, a 1098-T may have been issued to you by the University of California Education Abroad Program (UCEAP), not by UCSB.  However, UCEAP also uses the Tax Credit Reporting Service (TCRS) to issue 1098-Ts, so you may log in to access any available form.   

 

Keep it for your records. Since the University sends your 1098-T information to the IRS, there is no need to attach a copy of the form to your tax return. The information contained in the 1098-T will help you to determine if you may claim the Hope or the Lifetime Learning education tax credits using IRS Form 8863: Forms and instructions can be found on the IRS website.

Central Stores


The OfficeMax catalog in Gateway provides refurbished toner. For those of you still wanting to use the local company, Laser Cartridge, just choose the non-catalog option in Gateway.

 

These items are now all purchased through Gateway.

The Storehouse transferred all forms to the UCEN Bookstore as of June 1, 2013.

Equipment Management

No special treatment is required for awards received from State of California agencies. If individual state agreements define equipment using a lower threshold than $5,000, the provisions described in questions 13, 16 and 21 should be applied.

E-Verify

  • The Office of Sponsored Projects notifies campus departments on the award synopsis letter of contracts requiring E-Verify. To meet the reporting requirement deadline of the third business day after hire, Department Business Officers must be aware of and monitor contracts that require E-Verify.
    • To assist UCSB in monitoring for compliance purposes, Business and Financial Services (BFS) flags fund sources that require E-Verify. If a PPS preparer adds a distribution for an E-Verify flagged fund source to an employee, PPS will alert the PPS preparer that E-Verify may be required. A report in Data Warehouse (under “Employees”) is available for tracking employees who may need or have been processed through E-Verify.
  • Any new or existing employee assigned to covered contracts must be E-verified unless they were hired prior to November 1, 1986 (without a break in service).
  • There may be contract-specific exceptions that do not require E-Verify on some employees; however, the fund source may still be flagged as E-Verify. Check with your business officer, contracts and grants staff, and SPO to determine any exceptions.
  • Without salary appointees, volunteers, people on non-payroll fellowships, etc. (i.e., non-paid)
  • A subcontract based on a prime contract with the E-Verify clause which is for services or construction and has a value above $3000.
  • Exception: Grants are not subject to the rule. Only qualified federal contracts and subcontracts, as described above, are subject to the E-Verify requirement.
  • All federal contracts containing the FAR E-Verify clause.
  • The federal contract must also have a value above $100,000, a performance period longer than 120 days, and the performance must be within the United States.
  • Indefinite-delivery/indefinite-quantity (IDIQ) contracts that have been modified after the September 8, 2009, effective rule date on a bilateral basis, in accordance with FAR 1.108(d)(3), to include the clause for future orders.
  • For IDIQ contracts, the remaining period of performance must extend 6 months after the final rule effective date, and the amount of work expected under the remaining performance period is "substantial."
  • Federal Acquisition Regulation (FAR) is a set of rules and regulations used to manage the way the federal government acquires supplies and services with appropriated funds.
  • The final rule requires the government to insert the E-Verify clause into applicable federal contracts, committing government contractors to use the E-Verify system for their newly hired and existing employees assigned to such federal contracts.
  • Under the final rule — FAR 1.108(d), UC, along with other institutions of higher education, is required to enroll in E-Verify once awarded a federal contract or subcontract that requires participation in E-Verify as the term of the contract.
  • When UC is awarded a federal contract that contains the FAR E-Verify clause, UC, as the contractor — and any covered subcontractors on the project — must enroll within 30 calendar days of the contract/subcontract award date.
  • UC must also post the Right to Work poster and the E-Verify Notice.
  • E-Verify is an Internet-based system operated by the Department of Homeland Security (DHS) under the U.S. Citizenship and Immigration Services (USCIS) to verify employment eligibility based on information provided by an employee's Form I-9.
  • Information is electronically verified against records contained in DHS and the Social Security Administration (SSA) databases.

Extramural Funds

  • The PI is ultimately responsible for ensuring that all effort reports are certified on their projects. Normally, an effort report can be certified either by the individual or by a supervisor or someone with first-hand knowledge of the work performed. Occasionally, an effort report may require multiple certifications if the individual works on multiple projects, has multiple supervisors and is not aware of which projects their effort is benefiting. In that case, multiple certifications may be required.
  • Work with the other department to determine the employee’s effort percentage on all projects, as it isn't possible to know what percent of time was spent in one department without knowing the total time spent. Each department should certify only their own projects.
  • Individuals designated by their department as not having first-hand knowledge regarding which sponsored projects they are working on should not be asked to certify their own effort. This could be the case when an employee is assigned to work in a lab in which multiple projects are conducted or in multiple laboratories that conduct multiple projects. In this case it would be more appropriate for the employee's supervisor who is assigning the work to certify his/her effort.
  • If an employee has a split appointment in two or more units, the responsible official or PI for each unit will need to certify the effort for their project. If the effort report is for a professional employee such as a Post-Graduate Researcher, and the employee has first-hand knowledge of the work performed and the ability to make a reasonable estimate of the effort expended on each sponsored project, the employee can certify his or her effort report entirely.
  • Principal Investigators and other faculty in Professorial, Professional Research, and Management titles who are paid on federal or federal flow-through funds are required to certify their own effort. The certifier must have first-hand knowledge of the work performed and the ability to make a reasonable estimate of the effort expended on each sponsored project. Staff who are paid from federal or federal flow-through funds may certify their own effort if they have first-hand knowledge of the work they performed. Effort reports for other employees must be certified by a Principal Investigator (PI) or other responsible official.
  • PIs should not certify the effort reports of other faculty members, even if the faculty member worked on one or more of the PI’s projects. Effort reports must be certified by a person with first-hand knowledge of all the activities of the person for whom the certification is made. It is rare that one faculty member will be aware of all the activities of another faculty member, therefore it is generally inappropriate for one faculty member to certify for another.
  • Yes. However, if the awarded amount has been reduced there may be a reduction of scope which would change the original proposed effort on the project. In these situations it may be reasonable to negotiate a lower level of effort than what was originally proposed. UCSB's Office of Research can assist in necessary negotiations with the sponsor to appropriately amend the proposed level of effort originally committed to the project.
  • Cost Sharing, also called "matching", refers to the resources contributed or allocated by the University (including non-University resources allocated by the University) to a sponsored project over and above the support provided by the extramural sponsor of that project. Payroll expenditures on federal awards require certification of effort by the PI or designee, specifically referencing that project. 
  • Mandatory Cost Sharing vs. Voluntary:
    • Mandatory Cost Share is when the agency requires Cost Sharing as part of the terms of the award.
    • Voluntary Cost Share occurs at the discretion of the PI.
  • When either is quantified in the proposal or the award, it becomes Declared or Committed Cost Sharing, and must be subsequently identified, appropriately authorized, recorded, tracked and reported back to the agency.
  • A change in paid effort requires a corresponding payroll transfer or cost share entry. Due to the deadline for processing cost transfers of 120 days, it is critical that ledgers are reviewed and the payroll transfers are made in a timely manner.
  • Example: PI Smith charged 30% of her salary to Project A for the entire effort reporting period. At the time of certification, she believes she only worked 28% of her time on the project. What should she do?
    • It is not always possible to determine time spent on any project with absolute certainty. Office of Management & Budget (OMB) Uniform Guidance 2 CFR 200 (A81): "A precise assessment of factors that contribute to costs is not always feasible, nor is it expected. Reliance, therefore, is placed on estimates in which a degree of tolerance is appropriate."
    • The current practice in the University of California is to certify effort within a +/- 5% tolerance. For example, if the effort report shows 30% effort for a project, either directly charged or cost shared, and the actual effort determined is 28%, the report can be certified because it is within the tolerance range.
  • Changes must be made in the Effort Reporting System (ERS) if the difference between the effort report’s percentage and the actual effort expended exceeds the +- 5% tolerance. If changes are made in ERS, then a corresponding UPay must be completed in the Payroll Personnel System (PPS).
  • Mandatory committed effort must be reported. This is effort required by the sponsor as a condition of the award. Voluntary committed effort must also be reported. This is effort identified and specifically quantified in the project proposal or award documents, including the budget or narrative as effort that will be committed to the project but not charged to the sponsor.
  • Voluntary uncommitted effort should not be documented, tracked, or certified. This is effort above and beyond that which is identified and specifically quantified in the project proposal or award documents (donated effort).
  • The total amount of effort reported must always add up to 100%, regardless of the time assigned to the appointment.
  • Effort is not based on a 40-hour work week; it is based on the total time spent on university activities, no matter how many hours are worked.
  • Follow this simple formula to calculate:  % of Time / % of Appt = % of Effort

The following example of an employee who has a 50% appointment at the institution and who is working 25% on a sponsored project and 25% on other non-sponsored activities demonstrates the concept of 100% total effort.

Employee A - paid 50% time for the period:

25% / 50% = 50% sponsored project
25% / 50% = 50% non-sponsored project
= 100% Total Effort

In the next example, the employee has a 100% full-time appointment at the institution and works 50% time on a sponsored project and 50% time on other non-sponsored activities. This employee's effort also totals 100%.

Employee B - paid 100% time for the period

50% / 100% = 50% sponsored project
50% / 100% = 50% non -sponsored project
= 100% Total Effort

  • The consequences of not certifying a report in an accurate and timely manner include:
    • Suspension or termination of awards
    • Disallowances and repayments
    • Additional oversight by the federal agency
    • Administrative sanctions
    • Civil/criminal violations
    • Suspension and/or debarment
    • Submission of corrective action plans
    • Loss of future funding
    • Negative publicity (for individuals and the campus)
    • Erosion of public trust and confidence
  • When possible, a PI should certify his/her own effort at termination. An individual effort report can be generated on demand. If it is not possible to get the PI's certification, a person with first-hand knowledge or a suitable means of verifying the effort should certify. If the PI is a faculty member, the certifier must be someone up the faculty chain of command, and should use the available documentation (e.g. progress reports, logs, task checklists) as the suitable means of verifying the effort. For a PI, an appropriate certifier would generally be the Department Chair or Dean or equivalent.
  • Occasionally, an employee may have no salary charged to a project, but needs to report cost sharing because they have been expending effort on that project.
  • No. Office of Management & Budget (OMB) issued a clarification in January, 2001 which specified that voluntary uncommitted cost sharing should be treated differently than the committed effort and should not be included in the organized research base for computing the Facilities & Administration (F&A) rate.

Flexcard

No. The FlexCard is non-transferable and can only be used by the person whose name is embossed on the card. Violation of this University policy will result in revocation of the card.

No, While the University has granted Purchasing Authority up to $10,000 dollars at the department level for purchase orders, only central Procurement has Signature Authority. Any document requesting signatue that binds the UC into terms and conditions must be reviewed by Procurement. Additionally, any contract signed by someone without Signature Authority is considered void by the Government because Implied Authority is not valid in the UC system.

A Statement of Fraud is an affidavit that U.S. Bank sends to Cardholders who have had a fraudulent transaction(s) post to their account.  (NOTE: Sometimes fraud is detected early enough to prevent it from actually posting to the account.)  The bank's Fraud Division will notify the Cardholder, during their conversation, if a Statement of Fraud is being sent.  It usually arrives via U.S. Mail within 7-10 days and MUST be completed and returned.  If it does not arrive within 10 days, the Cardholder should contact the bank.  If the Statement of Fraud is not returned, the provisional credits on the Cardholder's account will be voided after 60 days and the fraudulent charges will reappear on the account.

Discuss the situation with the Cardholder. As soon as a fraudulent charge is confirmed, the Cardholder must contact U.S. Bank Fraud Division (800-523-9078) immediately to report it. The Cardholder must also inform his/her Department Administrator of the fraud, so the Department Administrator can report it to FlexCard Administration via the FlexCard Management Module.

Gateway

What is a toxin?

A toxin is a poisonous substance produced within living cells or organisms. Toxins can be small molecules, peptides, or proteins that are capable of causing disease on contact with or absorption by human tissues. Examples of toxins: abrin, botulinum toxin, diacetoxyscirpenol, ricin, shiga toxin, tetanus toxin, tetrodotoxin.

Toxins are of biological origin. Man-made substances are not toxins. Toxic substances not produced within living organisms are labeled as "toxicants" or "toxics."

If your product does not fall in line with the definition of a toxin, you do not have to mark it as a restricted item for routing to EH&S.

First, make sure that your Gateway Purchase Order Number is written clearly on the invoice.

You can either send your invoice via campus mail to Accounting or to the new email set-up to receive invoices: InvoicesOnly@bfs.ucsb.edu

Please note that this email address is strictly for the receiving of invoices. There will not be any correspondence regarding invoice status.

No. The "Shop" search bar that runs across the top of the homepage will only search through our Hosted Catalogs as it does not have the ability to connect with multiple websites and search those product lists.

You would need to search the punch-outs individually for their products.

In the event you are not satisfied with your purchase, you may return the merchandise as follows:

  • Contact OfficeMax Customer Service via phone (877) 969-6629 or email at customersupport@officemax.com to obtain an Authorization to Return (ATR) number. You will be asked to write the ATR number on a piece of paper and attach it to the box containing the item(s) to be returned so that OfficeMax can process your credit. Please place any returns to be picked up at the same location where your products were delivered.
  • Office supplies, ink and toner may be returned in the original MFG packaging for a full refund within 30 days of the original purchase. Opened ink/toner will be eligible for an exact-item exchange regardless of when you made the purchase.
  • Furniture, technology items and software may be returned in the original unopened packaging (including all accessories and manuals) within 14 days of the original purchase date. Opened technology products returned within the 14-day period may be subject to a restocking fee. Opened software and defective technology items may be exchanged for the same item within 14 days of the original purchase date. Special order and pre-assembled furniture is not eligible for return.

This will depend on the supplier, as some of our integrations are more robust than others. You still may need to contact the vendor for certain information.

Firefox 3.6 and IE 7 are NOT recommended. They will not support the Phoenix User Interface and will prevent users from logging in.

Recommended Browsers:

Windows:

  • Internet Explorer (IE) 9, 10
  • Chrome - latest version - automatically updated by Google
  • Firefox - latest version - automatically updated by Mozilla
  • Opera 10 and higher

Macintosh:

  • Safari 4.0 and higher
  • Firefox - latest version - automatically updated by Mozilla

iPad:

  • Safari - embedded browser within the iPad

Please note:

  • Safari is recommended by SciQuest, but not all Supplier punch-out sites support this browser. If you are experiencing issues, try switching browsers.
  • iPad is recommended by SciQuest, but not all Supplier punch-out sites support use of this device.
  • Email approvals are designed to work with embedded browsers for Android, Blackberry, and IPhone/Ipad mobile devices. Readibility of emails vary based on email client and formatting selected.

Please note that items that are listed as "restricted", does not mean that you cannot purchase them. It just means that your purchase will need an extra set of eyes or approval.

We keep an updated list of all Restricted Items on both our Gateway Homepage and also in the Resources Section of the Gateway Information Site. Please feel free to refer to that list for both the items that are restricted and the name of the campus entity that will be doing the approval. Click here for an updated list of Campus Restricted Commodities.

It is important to remember that ALL animal tissue purchases MUST use the Animal Tissue Form found on the Gateway Homepage. This form routes to our Campus Veterinarian for review and approval.

When UCSB investigators contract with other institutions (public or private) to generate custom antibodies, Federal regulations and UCSB IACUC Guidelines require that our IACUC confirm that the other institution has appropriate vertebrate animal procedures and approvals (i.e. PHS Assurance and USDA Registration).

Here are some questions to consider when using the Animal Tissue Form:

  • Does the PHS Policy apply to the production of custom antibodies or to the purchase of surgically modified animals?
    The generation of custom antibodies is an activity involving vertebrate animals and covered by PHS Policy. Antibodies are considered customized if produced using antigen(s) provided by or at the request of the investigator (i.e., not purchased off-the-shelf). An organization producing custom antibodies for an awardee must have or obtain an Assurance, or be included as a component of the awardee’s Assurance. In addition, the awardee must provide verification of project-specific IACUC approval for the production of the antibodies.
  • Does the PHS Policy apply to use of animal tissue or materials obtained from dead animals?
    The use of dead animals or parts of animals is not covered by the PHS Policy unless the activity involves (1) killing animals for the purpose of obtaining or using their tissues or other materials, or (2) project-specific antemortem manipulation of animals prior to killing them. If either circumstance is applicable to the acquisition of dead animals, body parts or tissues, prior IACUC protocol review and approval are required.

Please click here for a full copy of the Custom Antibody Protocol Form

PeopleSoft will not accept special characters in the charts fields (account string fields).

For example, the most typically used special character is currently a “.” (period), and it is thought that during integration it will need to be replaced with a “-“ (dash).

If you need to mark your requisition as containing Restricted Items, you can do so on the "Requisition Summary" tab of your requisiton.

On this page, you will see a "Purchase Details" section, containing a dropdown menu of all of the items this campus has marked as restricted.

By selecting an item from that list, your requisition will automatically route to the correct campus approver.

Please click here for a comprehensive guide to our receipt and receiving process.

If the order is on requires Commodity Approval, a restricted commodity, uses federal funds, or is non-catalog over $9,999.99, a quote is required. Procurement Services requires proof of pricing, whether it be on a quote, email from the vendor, or screenshot of a marketbasket with a timestamp. Backing up your purchase requisition with pricing information such as a quote, email with pricing, or screenshot of website pricing will support and assist if any transactional issues were to arise with invoicing and audits. Here are a list of reasons why obtaining a quote is necessary:

  • Pricing remains firm for 30 days or more depending what is on the quote, that way the vendor can't increase the pricing.
  • A quote is needed to compare information on the requisition to make sure everything is entered correctly. Ex. Part # or price.
  • A lead time is necessary for the department so they know when to expect the goods.  (make sure items are in stock)
  • Who pays for shipping and what are the terms of payment?  There are a times when payment is not net 30 and the vendor wants prepayment or 50% down.
  • Warranty information is sometimes listed on the quote which can be helpful if your item breaks down before the warranty period is over.
  • What country the items are coming from can be listed on the quote, which allows the Buyers to add a Customs Broker to the order.

Any supplier in this Supplier Class is immediately set up for "Three-Way Match" due to past invoicing issues with departments; the invoice, departmental receipt and purchase order need to match in order for payment to be processed.

This gives departments an extra way to watch payments go through the system.

Suppliers currently in this supplier class are:

  • Air Liquide
  • Edmund Optics Inc.
  • Kone Inc.
  • University Wafer

If you feel that there is a supplier that should be in this supplier class based on issues with invoicing, please submit your request to help@gateway.procurement.ucsb.edu

Once you have finalized your cart, you have the ability to attach documents to your requisition. Under the "Requisition Summary" tab there is a "Notes and Attachments" section that is perfect for this.

Internal Notes and Attachments will stay visible to campus only and will NOT go to the supplier.
External Notes and Attachments will be sent with the purchase order to the supplier.

Yes. When the Receiver role marks the item or entire order as received, it gives authorization in Gateway for AP to pay the invoice.

There are three ways to shop using Gateway: Punch-outs, Hosted Catalogs and Non-Catalog.

  • Punch-Outs: Using a "punch-out" means that you are connecting directly to a hosted website for the supplier that features UCSB pricing. You will build your shopping cart on their site and then by "checking out", you transfer the information back into Gateway to finalize. We currently have 12 punch-outs that you can access by clicking their logo on the homepage in Gateway. You can distinguish punch-outs from Hosted-Catalogs, as punch-outs have a small arrow in the right hand corner of their logo. You will not need to log-in to any punch-out site to access it.
  • Hosted Catalogs: A Hosted Catalog is a supplier that has uploaded their pricing into Gateway. Rather than being transferred to a hosted website to shop, you can search for catalog products by either entering keywords in the "Shop" bar that runs across the top of the homepage or by clicking directly on their logo to search.
  • Non-Catalog Suppliers: These are suppliers where we do not have verified pricing enabled in Gateway. It will be up to you to verify your pricing (either through a quote, their website, or perhaps a physical copy of their catalog) and use that to manually build a cart with them. You can build a cart with these suppliers by clicking the "Non-Catalog" link found under the "Shop" bar on the homepage.

You have the option of using the Walk-In PO Form. You can print out your order and hand it to the vendor directly to receive your items; the PO will not be forwarded to the vendor through Gateway. You also still have the option to use your Flexcard.

A Hosted Catalog will make sure that the appropriate pricing is accounted for. However, for Punch-outs, you will need to check the supplier’s punch-out site for pricing and availability.

The UC Accounting Manual for Disbursements (D-371-16) governs the level of approval, and method of procurement for non-payroll transactions, including Reimbursements, entertainment, travel, consultants, honoraria, memberships, and moving expenses, among other things.

Gateway is a completely transparent system. As long as a user has a role above Shopper, users are able to query the system and see any other department's funding information.

This makes split funding easier, one user can kick-off an order and enter in all of the departmental information that will be involved with the order from the beginning.

The order will then route to all departments that will be involved with the order for their various electronic approvals. All Department Buyers and all Account Approvers WILL need to sign off before the order will complete workflow.

 

Depending on the type of purchase that you are making, your order might need additional approvals outside of your department's workflow approvals. Your order will stop automatically with these particular campus entities depending on your purchase selections. Some other campus entities that are involved with approvals are:

  • Campus Purchasing
  • Risk Management
  • EH&S

First, your department must submit an "Add Supplier Form" to our Helpdesk to add the Vendor to Gateway. Once you receive the notification from Purchasing that your vendor is available for use, you can start filling your cart.

There is no limit to the number of carts that you can have in your draft cart folder.

Yes - the system can either split your order by a percentage (which will appear at the header of the purchase order) or by the dollar amount (which will appear at the line).

For guidance on how to accomplish this, see Section 1 of the Gateway Desk Manual where both the Dollar Split and the Percentage split are shown through walk-throughs.

 

 

An Ad-Hoc Approver is NOT a required role for your department to assign in your workflow. This is simply a role that you can assign on a case by case basis if you are ever in need of an extra approval or set of eyes on a particular order.

The example that we typically give is:
Perhaps you have found funds in your budget (go you!) to order all new computers for your department. Besides your usual set of approvals, you really want your incredible IT team to take a look at the order to make sure that everything you are ordering is top notch and right for your team before you buy. You don't need them to look at every order that goes through your department, but this one time-specialty order could really use their expertise. Using the Ad-Hoc feature means that you can simply add in members from your IT team to check out your order and approve it or make suggestions before you finalize the order. This role can be added in the GMC.

Please select Xerox Corporation for any order for a large business machine or maintenance renewal.

Please select Xerox Direct for any desk printers and accessories.

Yes, you can copy an entire cart for reproduction.

From the "available actions" drop down menu on the original requisition, you will see the option of "copy to a new cart". This will transfer your cart's information without having to manually type everything over and over again!

The first step is check to make sure there are no outstanding payments. To do this go to “Document Search” and select Purchase Order. In the section labeled “Custom Fields” enter the LAF you are a looking to disable. Click go. Gateway will return search results for all PO’s issued on that account string. Under “Settlement Status” you want to see “Fully Received, Fully Invoiced, Fully Matched”.

If all of the Purchase Orders have been fully invoiced (and all of the invoices have been processed and completed); you will take the following steps:

In the Gateway Management Console (GMC) go to “Accounts” and “Manage Account Strings”. Search for the LAF that you would like to disable. Once you locate it, under the “actions” tab click “Disable”. This will remove the LAF from Gateway.

If your Purchase Order still has “pending invoices” or purchase orders that that have not been invoiced, then you will need to take the following steps:

In the GMC you will access the “Assignments” tab and “Manage Assignments”. Search for the “LAF” for the expired award. In the actions tab click “Unassign” next to all Account Approvers assigned to approve on the LAF. This will keep your LAF active in Gateway to process all of the pending invoices authorized on the PO, but it will disable the LAF from being used on shopping carts and purchase requisitions so that additional orders are not placed on expired awards. Once all invoices have processed against the expired award, then you can follow the steps above to disable the LAF to remove it completely from Gateway.

As a reminder data is added and removed from Gateway during daily syncs scheduled at 10:35am and 10:35pm. It may take 24 hours for the changes made in the GMC to take effect in Gateway.

Please note: The LAF will still show as an option to select in Gateway until the account is completely disabled in the GMC, but the "auto return 2 step" will automatically kick it back to the requester/shopper if they attempt to use the LAF that has expired. The LAF needs to stay in Gateway to finish processing payments, but this workflow step is in place to ensure that orders are not placed on the expired LAF.

Yes, there are no limits to the number of people you have assigned to any one role.

Need to order Apple Products? Click here.

Using the Flexcard for transactions with Amazon is still allowed and appropriate.

When the University of California enters into Vendor Agreements, we’re looking at a total savings UC-wide. We’re looking for Total Cost of Ownership; which is the pursuit of suppliers that can deliver the best overall value in cost, quality and service over time. The sticker price of a non-catalog item is not always what you can end up paying over time; UCOP Agreement vendors provide warranty, free shipping, returns, and customer service that non-catalog vendors generally do not provide. The UC and all UCOP contract vendors have agreed to and signed common Terms and Conditions to protect us from any unforeseen issues that non-catalog vendors may present – such as no returns, unexpected shipping fees, no warranty, distributor fees, etc.

Having catalog items readily available in Gateway with our UCOP Agreement vendors saves time (and therefore money) across the board, rather than spending your time and admin time processing “non-catalog” quotes. While some products in the UCOP Agreements catalogs may be priced higher than you are able to find elsewhere, many of the commonly used products are provided at deep discounts. The UCOP Contracts are negotiated based on bulk and recurring need across all 10 UC campuses. Some products offered at the discounts are due to the fact they are education grade; some other products are offered at retail pricing because they aren’t directly negotiated to be discounted further.

Yes, the Department DSA or someone responsible for Accounts will be able to close them out. Then Validation will occur and the Account will not be available in the dropdown menu.

An Account Approver is someone in your department that has approval to sign off on your funding. This would be someone that has had signature authority for you in the past on your particular funding sources. You can assign one or all of the following six different approval limits to an Account Approver for a particular account string.
They are:

  1. Under $500
  2. $500 - $2,500
  3. $2,500 - $5,000
  4. $5,000 - $10,000
  5. $10,000 - $25,000
  6. Over $25,000

Since UCOP was unable to renew the Qiagen catalog, Qiagen products can be purchased through the VWR punch-out.

A benefit of utilizing the VWR punch-out for the purchase of Qiagen products is reduced shipping costs. We have found that VWR charges a flat rate of around $40 for shipping which is significantly reduced from the hundreds of dollars in shipping charges that were being seen from buying direct from Qiagen.

To purchase Qiagen products, simply access the VWR punch-out located on the Gateway homepage.

Once inside the punch-out, use the search bar and enter in Qiagen item numbers.

This will pull up your Qiagen product, which you can then add to your cart.

Checking out, will transfer the products back into Gateway to complete your shopping and workflow process.

Please note that 90% of the Qiagen catalog is currently loaded into the VWR punch-out. If there is a product that you do not find in the punch-out that is needed, please reach out to our VWR rep, Golda Messer and she will be able to work with you to get a quote for your desired products. Using that quote, you can use the non-catalog link on the Homepage in Gateway to build your cart in the system.

You will still be able to retrieve and utilize info from GUS and Coupa while using Gateway.

Ensure you have their UCSB NETID (ask them for it) and look them up by first and last name.

Your Department Buyer can check the order in one of two places:
PRE-Approval, which means that they are the final set of eyes and are making all of their changes before your Account Approver is signing off on the funding
OR
POST-Approval, which means that they are the final set of eyes and are making all of their changes after your Account Approver signs off on the funding.
This is really up to your departments best practice and what you feel works best for you.

If you are having problems accessing the McMaster-Carr Punchout follow the instructions below for deleting the cookie. If you have logged into McMaster Carr's website in the past for purchasing online, you'll need to clear the "cookie" before the Punchout will work:

  1. Log out of Gateway and/or McMaster.
  2. Click on this link: http://www.mcmaster.com/support/removecookie.asp
  3. Verify you see the message that "Your cookie has been cleared"
  4. Log into Gateway, and enter the McMaster Punchout.

If you visit www.mcmaster.com (outside of the Gateway Punchout) again, repeat the steps.

If you are having problems displaying content on the McMaster-Carr punchout. Follow the instructions below.

For those of you who use Firefox as your internet browser please note that the recent update (Firefox Version 23) caused a security feature to block mixed content on web pages (mixed content is a combination secure and non-secure content). We contacted McMaster who recommended our users take the following actions to display their site correctly:

  • When the site does not load and a shield is displayed to the left of the Navigation bar at the top. Load the page by clicking on the shield and selecting the option to "Disable Protection on this Page". (Please note you will have to do this each time you access the punch-out).

Generally speaking, Flexcard and Gateway are two separate purchasing processes.

The only time that they two processes intermingle is when a Flexcard transaction requires a purchase order as back-up in order to raise a limit on a card or to purchase a restricted item.

You can create a purchase order in the system using the Flexcard Authorization Form. Instructions for use of the form can be found by clicking here.

This form will go through your departmental approval process and will then route to the Flexcard Team to raise your limit or to approve of the restricted item.

Once they approve, you will get a purchase order number to confirm that your limit has been raised or your restricted item has been approved.

The Flexcard purchase order begins with an "F" rather than a "GW" and automatically closes so that invoices cannot pay against it.

If the Account is recycled to a different department, then it’s not a problem as the new department will have different Cost Centers and Project Codes. If it’s recycled in the same department, please work with Accounting and Purchasing.

The Department Buyer should be considered the "Purchasing Authority" in your department. This is the person that knows their way around your funding, object codes, restricted items and purchasing guidelines. This role will really be the final set of eyes on all of your orders and should be the one to make sure that what was initially selected by the Requester was correct. The Department Buyer should always ensure that they have selected a commodity code(s) and object code(s) for the order, the correct 'sub' for the funding and that any restricted items are marked.

Liens are not captured in this system; departments will continue to use the Data Warehouse, shadow systems, or your own accounting to track liens.

Not at this time. This is part of the larger rollout.

If the Sub and Object Code are not populated on the requisition, the PR will go into an error status and return to the original requester. The History Tab on the requisition will contain information on why the order is not passing the validation. Another reason you may feel you're approving orders over and over is if your department is setup with Pre and Post Approval. Check the PR Approvals tab to see the workflow.

Yes, you can have many Project Codes for one Account.

A Requester functions essentially in the same way as a Shopper, except that they are allowed to commit funds on behalf of the University. Requesters kick-off orders for a department by doing the shopping and building carts through the system. Unlike Shoppers, they can finalize orders, sending them into your department's workflow.

Match Exceptions will be done by AP. Accounts Payable has the responsibility to contact the appropriate department(s).

Once a Purchase Order has been submitted through Gateway, with or without Campus Purchasing's involvement, contact the vendor directly via phone to cancel the order. Then, send an email to help@gateway.procurement.ucsb.edu to have a Systems Administrator in Purchasing cancel your order in Gateway.

Ad Hoc Steps are designed to aid departments who require additional approvals or review due to Federal Guidelines or the individual departmental process. Once an AdHoc has been selected, there is no way to remove the step.

Yes, your DSA or DPA can set up limits in the GMC based on the following:

  • Under $500
  • $500 - $2500
  • $2,500 - $5,000
  • $5,000 - $10,000
  • $10,000 - $25,000
  • Over $25,000

A Shopper is the most basic role in Gateway. Anyone on campus with a UCSB NetID can be a Shopper, simply by logging in. However, Shoppers only have basic view access - they can only view the catalogs and punch-outs and build carts. They are not able to finalize their carts as they are not allowed to commit funds on behalf of the University. To finalize their orders, they will need to assign their carts to a requester.

If your supplier needs pre-payment or a deposit on a purchase order, ask for an invoice from the supplier that you can submit to Accounting.

For Accounting's ability to expedite payment, the invoice should reflect the percentage of the discount on all line items, rather than one bulk sum so that the pre-payment or discount amounts line up to specific line items on your purchase order.

When you have the invoice, submit it to InvoicesOnly@bfs.ucsb.edu and ensure that it references your full "GW" purchase order number.

Make sure to also cost receive on your purchase order for the amount of the pre-payment/deposit invoice's grand total, so that you are approving payment to be released against your invoice.

For help cost receiving, please click here.

Change orders can only be accomodated for Vendor Blankets in Gateway using the VB Revision Form. This Form will allow you to change the dollar amount, period of coverage, description, and account string.

If you have a budgetary change for standard purchases ("SBs"); this would be handled as a TOE or cancel the order and reissue a new order if the vendor hasn't fulfilled the order yet. These will be treated as TOEs.

If the supplier responds with an unavailability of an item, or a substitute item; these changes can either be made on the Receiving side of the order, or treated with a cancellation of the order and reissuing with the revised item(s).

Yes, you so have to wait to receive the final Purchase Order number; at which time the PO will be submitted automatically to the vendor.

As the Account String needs to be “validated”, and validation occurs daily, the time is currently estimated to be 24 hours.

There are two "syncs" that enable the strings in Gateway each day. One is at 10:25am and the other is at 10:25pm. If you can make your changes early enough in the morning before the first daily sync, your string should validate in time and be useable that day.

No, you will not be notified when you receive a new role. The best way to find out what roles you have is to look under your profile, then "user settings", and finally "roles".

Please click here for a comprehensive guide to Accounting's Invoice Process.

At this time only Goods and Services will go through Gateway. More types of services will be available over time.

If your order is held up in the approvals workflow, you can view the status by selecting your Purchase Requisition, and viewing the tab for “PR Approvals” – and then by clicking on “view approvers”.

Somtimes a supplier will need a zero dollar purchase order.

Gateway will not accept a "0.00" dollar value, as it does not understand wanting to buy something that does not cost anything.

To "trick" the system, simply enter in a quantity of "1" and a price of "0.001". When added to your cart, the extended price will round to "0.00" dollars, which is what the supplier receives on the Purchase Order.

Make sure to enter in a quantity of "1", anything more than that will effect the rounding.

 

 

Gateway is the new campus wide purchasing system. It replaces the legacy purchasing system, REX, that utilzied low value purchasing and high value 'SBs'. It will NOT replace Travel, Entertainment, Form 5 or Flexcard.

As our UC Campus has a strong commitment to sustainability practicles, we have been working with OfficeMax to supply campus users with only 20% recycled or greater content copier paper.

Users should find that only recycled content is offered currently in the punch-out and that any virgin copy paper purchased through the punch-out will be substituted with boise 20% recycled paper automatically.

As a reminder, virgin paper is still a restricted purchase on this campus for this very reason. Please find our current Restricted Items list by clicking here.

 

Object codes in Gateway are linked to Commodity Codes. Once the Commodity Code is established, you can choose from one of the object codes that are linked to that particular commodity code.

For a listing of Commodity Codes and their available Object Codes - please refer to the "Resources" section of our website.

The Invoice Tolerances are as follows:

  • Shipping and Handling: $105 over
  • Line Items: $200 or 20% difference on the original price
  • Tax: $10 over or $400 under

Yes; you can view 5 comparisons at a time.

While logged into Gateway, click on Your Name > View My Profile > User Settings > Email Preferences.

You can scroll through each section and decide what kind of notification you would like (either an email, a notification, both or none).

Security cameras are a very sensitive topic, and can have Union implications. Orders for security cameras need to be routed through ETS to ensure the system(s) are compatible with our UC monitoring software, and are installed with a licensed contractor through the Design & Construction department. Please do not purchase a camera from Costco or Best Buy and install it yourself. An upcoming (4/2/2015) policy will be announced to the campus.

A string can be active and available in the GMC, but will not sync over to Gateway unless Account Approvers are tied to the Account String.

The Account String essentially "tells" the order where it needs to route in the system - so it will not sync over without having that information linked to it.

You can add approver(s) to the string under either the Assignments by User or Assignments by Role subtabs.

The assignments will sync at either 10:25am or 10:25pm based on when you make your changes in the GMC.

 

Please note: Account Approvers are the only roles that need to be tied to the Account String. All other roles, like Receiver, Requester and Department Buyer, are global. Once made for your department, they are set and do not need to be added each time a new account string is added.

 

 

 

Our Dell rep has made efforts to make the Sales Created E-Quotes portal easy to use.

Please check out the instructions for any help or tips on how to access that part of the portal if it is unfamilar to you!

 

Both Quantity and Cost receipts will be able to be reopened and either edited or deleted by the original Receiver IF there are not any invoices in the system against the Purchase Order.

If there is not any invoices in the system, and you would like to delete or make changes to the Receipt:

  • Open the Receipt by the clicking the Receipt Number
  • Click the "Reopen Receipt" button on the upper right hand side of the receipt
  • Once open you can edit the receipt and "Complete" again or "Delete" the receipt outright.

 

If there are invoices in the system (either In Process, Payable, or Paid) the User will see the following message:

 

 

If this is the case, you have an option to essentially "zero" out any mistakes made with both quantity and cost receipts. By inputting another receipt with a negative value, the negative receipt, together with the erroneous receipt, will cancel each other out.

For example, if you accidently over-received by $400 in a cost receipt, you can create one more cost receipt, for $-400. The two together will zero each other out and will restore the balance onto your order.

You will not be able to remove the erroneous receipt, but you will at least be able to restore a receipt balance.

 

Please note that with receipt cancellations, we are not able to restore the balance with a negative receipt.

 

 

 

Terry Malosh is the System Administrator for the GMC and will be able to grant DSA (Department Security Access).

Please contact Terry at terry.malosh@ucsb.edu or x3521 if you do not currently have this role.

Once you have DSA access, you will be able to log into the GMC and grant yourself or other members of your department further access as DPAs (Department Purchasing Administrator).

SHI MCCA renewals require a Purchase Order number and a entry component direct on their webiste. However, submission of a purchase order direct to SHI can cause a duplication of your order, which you will be responsible for the cost. We have created a workaround in order to obtain a purchase order in the system without sending the PO to the supplier. Please follow the instructions below.

1. Login to Gateway using your UCSB Net ID

2. Select the "non-catalog" item feature from the Home/Shop page

3. Select "SHI MCCA" as the supplier (not just SHI!). SHI MCCA is important as that supplier is set to "manual" distribution where your purchase order will not transmit to the supplier when workflow is complete.

4. Enter individual line items for the software you are renewing

5. Once the Purchase Order is approved, it will not distribute to the supplier, but will still complete and give you a "GW" number to use to renew through the SHI webiste

6. Use the "GW" purchase order number to renew via the SHI webiste as instructed

7. Print out a copy of the purchase order for your records if needed

 

When making a new assignment in the GMC, some DPAs/DSAs will come across the following message:

"Assignment not created - the assignment already exists"

Assignment Already Exists

DPAs/DSAs will get this message when trying to give an assignment to a user when it already exists in the GMC, either assigned or unassigned.

In most cases, it will most likely be unassigned, which was why it was not readily apparent that the user already had the assignment.

To "reassign" the role, DPAs/DSAs should go to Manage Assignments.

When in Manage Assignments, search for the user, the role and make sure that "Unassigned" is selected from the appropriate drop down.

After clicking "search", it should show any unassigned roles that exist for that user in the GMC.

Simply click "reassign" next to the assignment and it will sync back into Gateway.

Dell's punch-out contains a mixed content blocker which can interfere with certain browsers.

Browsers that cannot effectively punch-out due to the mixed content blocker will punch-out to a blank screen or scrambled text.

If this happens to you, there are a couple workarouns provided by Dell while they work on a permanent fix for the issue.

For users that rarely punch-out to Dell, they suggest switching browsers and seeing if access will be granted for that instance by another browser.

For users that are heavy users of the punch-out, please view the two screenshot walk-throughs for fixes provided by Dell Support.

Please be sure to consult with your IT department for any help or before making any changes to your browser settings per your departmental best practices.

 

Google Chrome Users

Firefox Users

 

Please click here for directions with screen prints on how to use Gateway for looking up payment status. Alternatively, here's a quick list:

Pull up your Purchase Order in Gateway.

Click on the “Invoices” tab.

Click on the invoice in question.

Now that you’re viewing your invoice in Gateway, look for “Pay Status in “AP Information” on the right side of the screen.

If the status is Payable: This means AP has marked the invoice as “ok to pay”. PeopleSoft has queued up the invoice to send out a check.

If the status is In Process: Click on the “Approvals” tab, to see where in the process your invoice is. You will see which step the invoice is in, by looking for the word “Active”.

 

For examples on what is taxed and what isn't taxed, click here.

The Best Buy store in town will not take a PO, but we do have a UC business rep that will take a Purchase Order. Michael Jennings, 612-292-0440, can help with SKU's, or you can find the product at www.bestbuy.com. Once you have your SKU, enter a Non-Catalog PO in Gateway to Best Buy, and the order will fax to Michael. He will place the order on our behalf, and can place the order for in-store pickup. If you want in-store pickup, either type "In-Store Pickup" on the PO, or call Michael after you send the PO in Gateway to get the order placed right away. The item(s) and invoice will be sent to the address indicated on the PO.

The Animal Tissue Form should be used for ALL animal tissue purchases that take place in the system.

This form will route to the IACUC (Institutional Animal Care and Use Committee) on campus for review by our Campus Veterinarian.

All fields in bold are required.

When UCSB investigators contract with other institutions (public or private) to generate custom antibodies, Federal regulations and UCSB IACUC Guidelines require that our IACUC confirm that the other institution has appropriate vertebrate animal procedures and approvals (i.e. PHS Assurance and USDA Registration).

Here are some questions to consider when using the Animal Tissue Form:

  • Does the PHS Policy apply to the production of custom antibodies or to the purchase of surgically modified animals?
    The generation of custom antibodies is an activity involving vertebrate animals and covered by PHS Policy. Antibodies are considered customized if produced using antigen(s) provided by or at the request of the investigator (i.e., not purchased off-the-shelf). An organization producing custom antibodies for an awardee must have or obtain an Assurance, or be included as a component of the awardee’s Assurance. In addition, the awardee must provide verification of project-specific IACUC approval for the production of the antibodies.
  • Does the PHS Policy apply to use of animal tissue or materials obtained from dead animals?
    The use of dead animals or parts of animals is not covered by the PHS Policy unless the activity involves (1) killing animals for the purpose of obtaining or using their tissues or other materials, or (2) project-specific antemortem manipulation of animals prior to killing them. If either circumstance is applicable to the acquisition of dead animals, body parts or tissues, prior IACUC protocol review and approval are required.

Please click here for a full copy of the Custom Antibody Protocol Form

 

Please also feel free to use our:

Animal Tissue Form Printable Instructions

If you're using Internet Explorer, and getting the following error: "This content cannot be displayed in a frame", try this:

1.       In Internet Explorer, go to the top right of the screen, and click on the gear symbol, and selection Internet Options.

cid:image001.jpg@01D18E8B.2DB3C710

2.       Go to the Privacy tab, and select Sites

cid:image002.png@01D18E8B.2DB3C710

3.       Type in www.mcmaster.com and click Allow

cid:image003.png@01D18E8B.2DB3C710

4.       Make sure it says Always Allow and click OK.

cid:image004.png@01D18E8B.2DB3C710

5.       Click OK again and then try reconnecting to the Punchout Site. If this doesn't work for you, email us at help@gateway.procurement.ucsb.edu

General Accounting

Provision accounts are holding accounts with allocations for distribution to other accounts. They should have budgets, but no expenditures. There are two types of accounts:

  • The account number starts with an 8, but is not an agency account. These will have a UAS Code 800000.
  • The account number is in the regular account structure, in the range of 40XXXX – 78XXXX, with an Annual Report Code 800000.

Patent Income is to be used to support ongoing research and education programs.

NSFAS (Non-State Funded Administrative Support) is the mechanism whereby various departments are charged for administrative support. This is calculated by Alan Williams in the Budget Office, and questions should be directed to him.

There are three types of department codes used at UCSB:

  • Owner Code: the physical department, the employees, the account responsibility, the pots of money.
  • Mail Code: the place where things are mailed to. The reason for department codes that have no (UCSB) employees is that they were established to have an address to mail things to, such as off-campus locations.
  • Home department: used for Payroll—each employee is assigned to one department. The Department Code used in the Data Warehouse can represent either the Owner Code or the Mail Code.

Transactions on balance sheet accounts should not have any sub or object code.

Unexpended balance transactions may have sub-0 and a transaction code.

Generally, balance sheet transactions should not be on UFIN 120s. Exceptions are Sales Tax to Income and Key Deposits.

All Loan account (1020XX) journal entries must have a fund number. UCSB sees this as a fund identifier, but UCOP sees an actual fund number.

Agency accounts are assigned to record activity that is considered Non-University such as student, faculty, staff, governmental and private organizations or activities and Campus Foundations--for which the University provides the agency services. Furthermore, the activities of these entities are usually closely related or even related to the activities of the University, and these entities in fact directly or indirectly provide services or benefits to the University community; i.e., students, staff and faculty.  Nonetheless the receipts and disbursements of funds, coming from these entities are not considered official units of the University.

      To request that an Agency Account be established, a letter should be submitted to the General Accounting Unit of Accounting Services & Controls. This letter should include the following:

•     purpose of the account, type of activity

•     department most closely related to the purpose; i.e., requesting department

•     individual responsible for the account and phone extension

•     requested title for the account

This letter must be signed by the control point signatory of the department submitting the request.

No, an income fund cannot be used to pay an academic salary. Academic salaries are budgeted funds and are usually State Support, such as General Funds or Opportunity Funds.

The department will need to convene the Rate and Recharge Committee (contact the Budget Office), and provide the necessary documentation to get approval. Thereafter, contact Russell Remington in the Accounting Office to have a journal number assigned.

We do not accrue utilities. FM will make any necessary adjustments.

Send an email to Russell Remington in Accounting containing the following: reason for the fund request, name for the new fund (up to 30 characters) and an expenditure account to link to the new fund.

In either case, have your business officer send an e-mail to Russell Remington requesting that Accounting defer the new year expense or revenue. Include all relevant info in the request.

The income and expenditure accounts are separately maintained and not netted against each other. This allows the department to determine income and expenditure levels for proper budgeting. So while one is a credit and the other a debit, it’s important to look at the total when you evaluate your operation. At year end, Accounting will take that total fund balance and reappropriate to sub 8. This will be the history of your fund. The history plus the current income and expense will be your total operating position.

Contact Arliene Shelor in the Budget Office. If approved, she will contact the General Accounting Manager and Russell Remington in the Accounting Office, who will update the organization/responsibility structure tables and notify various campus personnel.

If you have an approved purchase order dated in the current fiscal year but have not received an invoice or made payment, have your business officer send an e-mail to Russell Remington requesting that Accounting accrue the expected new year payment. Include all relevant info in the request.

If you have received a payment for services that will not occur until the new year, have your business officer send an e-mail to Russell Remington requesting that Accounting defer the new year payment received. Include all relevant info in the request.

Refer to the General Accounting Web site for the link to the banking information:

Bank wire information. Be sure to either fill out the Wire Notification Form or email Russell Remington so Accounting personnel know to which account to credit the payment.

Mail Services

Call or email Mail Services for any monthly recharge questions, ext. 3595 or Toni Murillo at toni.murillo@ucsb.edu.

Please email msr-mailservices@ucsb.edu with your change request. If you are requesting to use a new LVPA number, please provide the LAFSO associated with the new LVPA.

Letters up to 14 oz. can be sent without any custom’s documentation.
14 oz. – 4 lbs pieces would require a 2976 Form and over 4 lbs. would need a 2976-A Form.
These forms are available at Mail Services.

Under “Forms” on the Mail Services website, choose the Bulk Mail/Postal Control Number Request Form. Once you have filled out this form, email or fax to Mail Services along with a sample of your mailing.

Mail Services can pick up your outgoing package daily Monday – Friday. Please make sure you have your Dept. Mail Code included in the return address and indicate which LVPA# you would like to charge to.

Mail Services can include your special pick up in our daily service. If you need mail tubs or trays to accommodate a large mailing, we can provide these for you.

Mail Services would need to look into this case by case. Please provide tracking #, dept. name, extension and type of package. We will get back to you with our findings.

Please call the UCen Post Office for these inquiries. The zip code should be 93107. Contact Brad at (805) 893-9253.

Mail Services is located at Building 507, Mesa Road - just east of Los Carneros. You can contact Mail Services at (805) 893-3595.

You will need to have a tracking number for the package. If you do, you can select a link for the appropriate carrier below:

US Postal Service
FedEx
UPS

Postal Control Number is assigned by Mail Services for large mailing jobs that are prepared by a mail provider, other than UCSB Mail Services. The Postal Control Number allows Mail Services to track the mail project once it is given to the US Postal Service for mailing and account for the postage incurred.

Maximum: 4 ¼” high X 6” long.

Minimum: 3 ½” high X 5” long.

Thickness: Max .016", Min .007"

Maximum: 6 1/8” high X 11 ½” long.

Minimum: 3 ½” high X 5” long.

Thickness: Max ¼”, Min .007”

The term “Bulk Mail” refers to a mailing job with 200 or more pieces that will be handled by a service bureau or letter shop off the UCSB campus. Mail jobs less than 200 pieces should be prepared at the department level and submitted to Mail Services for metering and mailing.

The door to your office might have been locked so Mail Services staff was not able to enter your office location. If this happens, Mail Services leaves behind a “Mail Delivery was attempted!” card. If the door to your office was locked or department was closed, we ask that someone from the department come to Mail Services to collect your department’s mail for that day.

"Mail Delivery was attempted!" card

If you have any questions about Mail Service’s deliveries or schedules, please contact Richard Avila at (805) 893-3595 or at richard.avila@ucsb.edu.

The Business Reply Mail (BRM) format for UCSB departments is attached. Please copy and provide the image to the printing firm that will be assisting you with the printing services. There is a space for your department name, and we also ask that you have your department’s LVPA#, to be charged, printed in the upper left corner on each envelope.

UCSB’ “Receiving” address on the BRM design is correct as shown and should NOT be changed.

Business Reply Mail envelope

Office of the Controller

This is a dilemma! However you do have some options. The University Travel Policy (Business and Finance Bulletin G-28) states that reimbursement should be for actual costs only. This policy follows IRS regulations, limiting reimbursements to actual expenditures.

When meeting with the P.I., be prepared to show him/her the policy and explain why you are unable to reimburse the student for the full amount. If you are concerned about talking with the P.I., consider talking to your department MSO or department chair. You can also contact the Travel unit in Accounting, or our office if you need more guidance in understanding and interpreting the policy.

To preclude this type of situation in the future, here are some additional options:

1. Explain to the traveler prior to the trip, the reimbursement policy and the receipt documentation needed. If your department has an email distribution list, perhaps send out the policy information to all faculty and staff.

2. Provide travelers with a "Traveler Worksheet" which gives the traveler an area to record their daily meal expenditures and explains the meals and incidental expenses rule. (The Travel Unit in Accounting has samples of "Traveler Worksheets.")

3. If the traveler still claims the full amount, and certifies or signs that the voucher is an accurate recording of expenses, then the responsibility lies with the traveler and authorizing signature.

There are several issues you want to think about before making the software purchase.

1. Purchasing Policy #5330 (Currently Under Review) states: "University credit, purchasing power, and facilities may not be used to purchase goods or services for non-University purposes." By making personal purchases, the University contract for the software prices is at risk.

2. If you make the purchase for the staff member, consider how are you going to get the money back to reimburse the department? What if the person leaves?

3. Confirm with the staff member that this software will not be used for ANY work-related purpose. If some work will be done using the software, then this purchase would be ok and the staff member would not be required to reimburse the department.

In all cases, you want to be able to explain the Purchasing policy. In our experience, just saying "NO" creates more aggravation and frustration. Many times there is a lack of knowledge that a specific policy exists and the situation just needs to be ex plained.

Although these funds are “discretionary,” these funds are still the property of the UC Regents and fall under university policies and guidelines. As such, there are a number of issues surrounding payroll and hiring an employee, regardless of the funding source.

It is not ok to pay an employee with personal funds prior to the employee being hired in the Payroll Personnel System (PPS) for a number of reasons:

1) Upon hiring an employee for the university, certain forms are required to be completed prior to employment, such as the I-9, and the State Oath and Patent Agreement. The department and the university can be held liable if these forms are not completed.

2) Liability – What would happen if the employee is injured during the time he/she is not in the official payroll system? The employee would not be covered under the University’s Workers’ Compensation policy. The faculty member would then be liable for any injuries resulting to the employee or even potentially a 3rd party.

3) Benefits – If the graduate student is eligible for Graduate Student Fee Remission, this benefit would not be calculated correctly, resulting in the student having to pay all of their fees. In addition, if a graduate student is going to work over 50%, they will need to have an exception approved by the department.

4) Tax Reporting – The appropriate amount of taxes may not be withheld and/or reported.

5) Funding Source – What if the student has work study funds? His/her efforts would not be reported correctly under the federal work study program and could jeopardize the program for the entire campus.

If in fact, the professor needs to hire someone before the disbursement of money (such as a contract, grant, or other funds that won’t be disbursed right away), the professor can use the OR Form 203, “Request for Approval to Spend Funds” (RAS). In addition, certain gift funds may only be distributed once or twice a year, so depending on the time of year, the professor could be waiting a long time for reimbursement.

  • General Ledger Reconciliation – Each month actual revenues and expenses are monitored against budgets General Ledger is reconciled by the department.
    • Actual revenues and expenses are monitored against budgets. Department reviews reports monthly for general propriety and accuracy. On comparison reports (monthly or annual), unexplained variances based on expectations (e.g. budget or prior period) are investigated to ensure accuracy.
    • Department reconciles the General Ledger for accuracy. Department verifies amounts to supporting documentation and resolves exceptions.
    • Overdraft Funds – Department reviews funds in overdraft status and takes follow-up action.
  • Distribution of Payroll Expense Reconciliation – Detailed payroll expenses are reviewed each month by the department for general propriety and to validate the accuracy of the charges. For example, departments review the accuracy of employee names and pay rates, and/or for possible other key entry errors.
  • Effort reports – Personnel Activity Reports (PARS) are certified each quarter by a responsible official with first hand knowledge of the work performed. Departments are responsible for maintaining these records in accordance with campus retention policy.
  • Physical Inventory – Physical Inventory is conducted by the department every two years. After the inventory is performed, the EQ920 is signed and returned to Equipment Management.
  • Purchase Orders and Accounts Payable Invoices – Requisitions, Purchase Orders, and Invoices are reviewed and approved at the department level. Invoices must be approved by the department responsible for the purchase.

Statement on Auditing Standards No. 115 (formally SAS 112) “Communicating Internal Control Related Matters Identified in an Audit” establishes standards and provides guidance on communicating matters related to an entity’s internal control over financial reporting identified in an audit of financial statements. It is applicable whenever an auditor expresses an opinion on financial statements (including a disclaimer of opinion). In particular, this SAS:

  • defines the terms "significant deficiency" and "material weakness", incorporating the definitions already in use for public companies;
  • provides guidance on evaluating the severity of control deficiencies identified in an audit of financial statements; and
  • requires the auditor to communicate, in writing, to management and those charged with governance (e.g., Board of Regents), significant deficiencies and material weaknesses identified in an audit.

SAS 115 (formally SAS 112) changes the process for evaluating deficiencies that come to auditors’ attention and brings the thresholds for reporting control deficiencies in line with the thresholds required for public companies. As these revised thresholds effectively lower the bar, it is expected that the reporting of what are now defined as either significant deficiencies or material weaknesses will be become increasingly more prevalent. There is a possibility that items not previously identified as control deficiencies could rise to what has now been defined as a significant deficiency or a material weakness simply as a result of imposing a new definition on the auditor, not as a result of any deterioration in the University’s system of internal control. The materiality of the control deficiency is determined based on what potentially could go wrong, not just on the amount of actual misstatements.

Departments should review the key processes and controls within their organization, the amount of existing documentation and training, and the steps that might be taken to improve the control environment in their area. Departments should already have the key processes and controls in place. However, they may not document that they are following these controls. For example, departments may review their general ledger activity, but may not retain any documentation noting that this occurred. Departments need to ensure that they maintain sufficient documentation for these key controls, possibly through a checklist, because if the documentation cannot be provided to the auditors it is as if it hasn’t been done.

No. These key controls are not the only controls that departments need to monitor. Other controls exist for governance and to comply with University Policy, Laws and Regulations. These are the key controls identified for the preparation of the financial statements and are subject to review under SAS 115 (formally SAS 112). Departments should not eliminate existing controls based on SAS 115 (formally SAS 112).

No. Departments should have the key processes and controls in place within their organization. Departments will need to ensure that they maintain sufficient evidence of review for the key controls, which has not been required prior to SAS 115 (formally SAS 112).

SAS 115 (formally SAS 112) is effective for fiscal year 2006/07. Although effective for this fiscal year, departments should not go back and create documents. Going forward, departments should be document all reviews as suggested in the checklist, if they haven’t been already.

SAS115-The Auditing Standards Board has issued a statement on Auditing Standards (SAS) No. 115, 'Communicating Internal Control Related Matters Identified in an Audit.' SAS No. 115 supersedes SAS No.112 of the same title and was issued to eliminate differences within AICPA’s Audit and Attest Standards resulting from the issuance of Statement on Standards for Attestation Engagements (SSAE) No. 15.

It is the sole responsibility of each individual choosing to park on campus to obtain a parking permit. If a visitor chooses to park on campus without obtaining a permit, this is considered a violation of the California Vehicle Code, Section 21113 (a), w hich confers upon the University of California authority to regulate parking on its campus.

The Citation Appeal process is explained on the back of each citation. The Citation Appeal form may be found on the Parking Services Web site at: http://www.tps.ucsb.edu.

Parking Services offers a program to departments allowing them to set up an account for recharge of Complementary Parking permits for guests visiting campus. Once the department sets up an account with the Parking Services Events Coordinator, the department is asked for a list of staff authorized to order Complementary Permits by phone or E-mail. Once this process is complete, the department representative may request Complimentary Permits for visiting guests. A Courtesy Parking permit is recharged back to the department at the cost of the daily parking rate. When a department designate orders a Complimentary Permit for a guest and the permit is not redeemed, the department will not be charged.

Once a guest arrives to campus, the visitor provides the Kiosk Attendant with their name and the department they wish to visit. The Kiosk Attendant will issue the appropriate Courtesy Parking permit with lot-specific area designations. The attendant will provide a map with detailed directions to their destination and information about where their permit is valid.

Visitors may also arrange to purchase permits that are valid for extended stays. Please contact Traci Kellogg, Events and Outreach Coordinator for assistance. Traci can be reached by phone at 805-893-5389, or by E-mail at traci.kellogg@park.ucsb.edu.

The department telephones are a University resource, and fall under the Electronic Communications Policy, allowing for incidental use. However, long distance toll calls for personal business do not fall under incidental use, and the University should be reimbursed by employees for personal calls.

In this situation, there are a couple of options. One, you could remind the employees of their need to reimburse the university for their personal calls and encourage the staff to use a personal cell phone, or a long distance calling card if they need to continue making these types of calls. In addition, if the personal long distance calls continue, you could work with Communications Services to block out-going long distance calls from those phones.

If they continue to choose not to reimburse the university, then the amount needed to cover the costs could be considered compensation and reported on their W-2 at the end of the year.

Productivity should also be a concern if the employees are spending work time on the phone. Employees should utilize their break time or their lunch period for personal calls.

This question involves several issues:

1) Having food at an office meeting
2) Using petty cash to purchase food
3) Purchasing food from Costco

Issue #1:
If food is provided at an office meeting, the meeting/food for the event needs to be consistent with the UC Entertainment policy. In this case, policy does allow light refreshments for recognition of service. A Payment Request for Business Meetings and Entertainment needs to be completed and approved in accordance with the policy (see instructions).

Issue #2:
It is never appropriate to use petty cash funds to purchase food. Petty cash funds are meant to provide for the purchase of certain low value items other than food. If an employee uses their own funds to purchase food and is approved for reimburs ement, a Payment Request for Business Meetings and Entertainment should be used. (Please refer to the campus Petty Cash Policy for additional information.)

Issue #3:
The Campus Food Policy states that University Center (UCEN) Catering, Residential Dining Special Events Catering, or the Faculty Club are the primary sources for al l food provided on campus. However, if none of the campus caterers are able to provide service for your event, the UCEN Catering Manager has a list of approved vendors that you may select as an alternate provider. These vendors have been approved becaus e they have the appropriate food and health permits and have the correct amount of liability insurance according to Business Services. Using a vendor not on the approved list subjects the University to liability and puts the department and employees at r isk - for among other things, accidental food poisoning!

The Campus Food Policy does allow the following:

"Individuals may provide light refreshments for meetings or have potlucks for department gatherings only when basic sanitary practices and campus and industry health standards are met. The Health and Safety Code may be obtained from Environmental Health and Safety."

Although using Costco can sometimes result in a financial savings to a department, there are other costs involved. Think about the time it takes for an employee to go to Costco and return to work, approximately 30 minutes to one hour. Everyone's time is valuable - is the department really saving money by not using a campus caterer? Second, what if an employee is injured during the trip to Costco, or gets into an accident? Just think about these additional costs/risks when making the decision to use ou tside caterers or to buy the food from a vendor such as Costco. Remember, if a department does choose to buy from Costco, the employee is reimbursed via a Miscellaneous Form -5, as described above in Issue #2.

OMB Uniform Guidance

  • Subpart A – Acronyms and Definitions
  • Subpart B – General provisions
  • Subpart C – Pre Award
  • Subpart D – Post Award
  • Subpart E – Cost Principles
  • Subpart F – Audit Requirements

The Uniform Guidance went into effect for new federal awards and continuing funding increments for existing awards on December 26, 2014.

This guidance can be found at 2 CFR 200.  Please see the Guidance tab for a link to the electronic copy.

Each federal agency has or will be releasing revised regulations to implement the UG. For links to federal agency-specific regulations, click here.

The Uniform Guidance supersedes all eight federal regulations, including A-110, A-21, and A-133.

Payroll

A department should not ask an employee to sign a release. It would be a good practice, however, to have the employee sign for his or her final paycheck as part of the check pick-up procedures.

Any LX/RX transactions processed after the window closes for the supplemental payroll will not show on the time benefits roster until the following month. The best time to process LX/RX for Financial Leave Reporting is on the Supplemental Payroll. Any adjustments made on MO or MA payroll cycle will show on the following month.

A Benefits-Deduction Holiday is the third payday in a month that has three biweekly pay period end dates within the month. This paycheck will have no fixed benefits/deductions taken, only percentage based deductions will be taken.

Yes. The Code applies to employees who voluntarily quit their career positions to accept per diem positions.

You need to do an LX transaction to give the employee an additional 2 hours of vacation for each pay period. Here is an example:

Seq: _______Tr: LX Per End: 083199 Pay Cy: M Dst: 33 E: __ T: __D: Ttl: 7616
LACFPS: 8 681059 ____19900___ 1 Rate: 2700.00 AH: A
DOS: ___ Time: ____H% __DOS: VLA Hr: 2.00 DOS: ___Hr: ____WSP: ____

  • You will be paid every other week.
  • Any overtime hours you work in the pay period will be paid more frequently.
  • Your vacation and sick leave balances will be current.

When the pay date is scheduled before the appointment end date because of a conflict with a holiday or weekend, it is permissible to use Surepay for employees with such appointment end dates. For example, a monthly-paid employee enrolled in Surepay has an appointment end date of June 30, 2001. The employee will receive pay for the month of June on June 29 because the normal pay date (i.e., July 1) falls on Sunday, a non-working day. In this situation, Surepay may be used to pay separating employees with June 30 appointment end dates.

The maximum accrual is determined by the leave code and the hours or percent time an employee works in a month. Leave code A and G accrue 10 hours in a month if the employee works at 100%. If you take10 hours and multiply by 12 months that will equal 120 hours. Next take 120 hours and multiply by 2 years, and that will give you vacation maximumof 240 hours. (Maximum = 2 years of monthly accrual.) Refer to the Personnel Policies for Staff Members, Policy #41.

Beginning with W-2s for 2013, slightly different pay periods will be reported than in the past due to the fact that your wages are reported based on when the funds have been made available to you. With a monthly schedule, the entire month of December is reported in the next tax year, because you always receive the funds for the entire month of December in January.

With a biweekly schedule, some of the constructive receipt of funds for December work will happen in December, and some in January. W-2s for 2012, which will be sent out in January 2013, will not be affected by the biweekly conversion, since the conversion is happening in 2013.

The Code addresses three categories of "separating" employees and the prescribed payment rules:
Discharged employee - The University must pay a discharged employee immediately for all wages, including accrued vacation leave and compensatory time.
Voluntary resignation with 72 hour notice – If an employee quits/resigns and gives at least 72 hours notice, the University must pay the employee his or her wages, including accrued vacation leave and compensatory time, at the time of separation.
Voluntary resignation with no notice – If an employee quits/resigns without notice, the University must pay the employee all wages, including accrued vacation leave and compensatory time, no later than 72 hours from the date of separation.

Please go into your ILAH screen and you will notice the leave code for the employee. The leave code determines the number of hours of vacation and sick leave the employee accrues. Go into your PPS update screen (EAPP) and change to the proper leave code after consulting the Financial Leave Manual. Go into the EDLR screen and do an RX transaction for vacation accrued in error (VLA) and sick accrued in error (SLA).

The transition is part of a systemwide plan to bring employees at all UC locations onto a standardized pay schedule, with the goal of improving the quality and efficiency of UC’s business processes. The new system provides several benefits, including:

  • A systematic approach to payroll time reporting
  • Standardized payroll cycles across all UC locations
  • More efficient and effective time reporting
  • Fewer manual adjustments and under or overpayments

It does not appear that the use of Surepay will satisfy the Code. Section 213(d) provides: “If an employer discharges an employee or the employee quits [a] voluntary authorization for deposit shall be deemed terminated” and the employee must be paid according to “this article relating to the payment of wages.” A discharged employee must be paid immediately, which contemplates in person. A "quit" [voluntary resignation] employee who does not give 72-hour notice may
receive payment by mail if the employee so requests. The language regarding Surepay is mandatory. Furthermore, Section 219 states: "[N]o provision of this article can in any way be contravened or set aside by a private agreement, whether written, oral or implied." Thus, even if an employee wanted to receive his or her pay via Surepay, the University can not use this method of payment. Separating employees should be provided with notice that they will receive their final pay by check.

If an employee reaches the maximum allowed vacation for their leave code inthe system, the system will not let them accrue any additional hours. Please encourage your employee to take time off so he or she will not lose the time. Once the employee has used vacation time you need to do an LX transaction to increase lost vacation (VLA) as well as report vacation usage.

Your income will continue to be taxed according to the Federal W-4 and State DE-4 forms you currently have on file. Your biweekly earnings will be taxed based on the biweekly tax schedules set by the Internal Revenue Service and the Franchise Tax Board. To review your current W-4 and DE-4 elections, visit At Your Service Online.

Use the "Forgot your Username or Password?" links. Click on the Password. Enter your Username or Social Security number in the available box. A temporary password will be sent to your email address(es) on file.

NOTE - Your UC email address comes from our local directory service. Contact your Department Directory Editor (DDE) if it needs to be established or corrected. They are identified on the http://directoryproject.isc.ucsb.edu/dde-dde.html page. You are also able to establish a personal email address in your AYSO profile.

The accrual of compensatory time for exempt employees violates University Personnel Policies for Staff Members Policy 31, "Hours of Work":
EXEMPT EMPLOYEES
The workweek for full-time exempt employees is normally considered to be 40 hours, and for part-time employees the proportion of 40 hours equivalent to the appointment percentage; however, greater emphasis is placed on meeting the responsibilities assigned to the position than on working a specified number of hours. Exempt employees do not receive overtime compensation or compensatory time off, or additional compensation beyond the established salary for the position except as provided in Staff Policy 30.I, Administrative Stipend for Temporary Assignments.

All nonexempt employees in the following units will be making the switch to biweekly pay:  

  • 99 – Non-represented 
  • CX – Clerical
  • RX – Research Support Professionals
  • SX – Service
  • TX – Technical
  • PA – Police
  • NX – Nurses
  • HX – Health Care Professionals
  • EX – Patient Care Technical

Transition to biweekly pay for other exclusively represented employees is subject to collective bargaining.

The letter of dismissal should explain that the employee may call to make an appointment to pick up his or her final check on the dismissal date or the employee may request the check to be mailed. A second approach would be for the department to mail the check with the dismissal letter if the department does not want the employee to return to the work site. If the check is mailed, the department should use certified mail or another mail delivery method that provides proof of the date and time of mailing.

Both departments should collaborate and prorate the vacation/sick time usage based on the employee’s time in the respective departments.

If you set up your contributions as a percentage deduction, the percentage amount will be taken each payday. For example, if your current 403(b) contribution is set at 5% per month, a 5% contribution will be made each biweekly payday. If you set up your contributions as a flat dollar amount, it will be divided in half and taken in the first two bi-weekly pay periods in a month but not taken during the “benefits holiday” pay period, which occurs twice per year.

Enter your Social Security Number (SSN) and birth date (mmddyyyy format) as your initial/temporary password. You will be prompted to create your own Username and password (6 to 12 alpha-numeric character). This is the same procedure all University employees use to select their benefits during their Period of Initial Eligibility (PIE).

Exempt employees are not allowed to be compensated for overtime. According to Personnel Policies for Staff Members (PPSM) Policy 31, "Hours of Work":
EXEMPT EMPLOYEES
The workweek for full-time exempt employees is normally considered to be 40 hours, and for part-time employees the proportion of 40 hours equivalent to the appointment percentage; however, greater emphasis is placed on meeting the responsibilities assigned to the position than on working a specified number of hours. Exempt employees do not receive overtime compensation or compensatory time off, or additional compensation beyond the established salary for the position except as provided in Staff Policy 30.I, Administrative Stipend for Temporary Assignments.

Exempt employees receive a predetermined salary each pay period, regardless of the amount of time worked. Exempt employees are not paid by the hour and they are not eligible for overtime. Exempt employees are required to report only non-productive time, such as vacation or sick time.

The 72 hours is measured in continuous actual hours, including holidays and weekends, from the date and time of separation. If the pay date falls on a Saturday, Sunday, or weekday holiday, actual payment may be made on the next business day. This is also true for the hospitals or any other 24/7 operations where the
administrative offices are only open Monday through Friday from 8:00 a.m. to 5:00 p.m. For example, if an employee resigns without notice on a Friday at 5:00 p.m., the University has until 5:00 p.m. the following Monday to pay the wages due. However, if Monday is a holiday, the University must deliver the final check to the employee by 5:00 p.m. on Tuesday.

If the garnishment deduction is calculated as a percentage of your earnings, a deduction will occur each pay period, up to the maximum deduction allowed based on federal and state regulations.

For example, if your garnishment deduction is 25%, that amount will be deducted each payday. If the garnishment deduction is a fixed flat dollar amount, the amount will be recalculated to a biweekly amount. That calculation is then divided into two payments. For example, a monthly $250.00 garnishment payment will become $125.00, deducted against each biweekly paycheck.

The department listing you receive with the checks and paper statements will have a section for on line statements. Also, you can use the PPS XCHK screen to verify the Online Earnings Statement selection and the IDCS screen to review the detail information. In addition, reconciling the Distribution of Payroll Expense report will also confirm what your employee was paid.

The Payroll Division is not qualified to answer this question. You should contact a tax accountant. However, we will be able to tell you what your taxes will be if you provide us with the number of exemptions you wish to claim and your marital status.

Nonexempt employees are eligible for overtime under the Fair Labor Standards Act (FLSA) and record their actual time worked. Exempt employees are not eligible for overtime. If you are unsure of your exemption status, you can: check with your supervisor or if you know your title code you can go to https://tcs.ucop.edu/tcs/jsp/nonAcademicTitlesSearch.htm and you will be able to determine whether you are exempt or nonexempt there.

Posting is required to be made "conspicuously at the place of work, if practicable, or otherwise where it can be seen as employees come or go to their places of work or at the place of payment." The location of posting may vary but it must be in a place where employees can readily see it. Attachment 2 contains an example of the information that must be posted. This information can be found in Accounting Manual chapter P-196-16.5, Payroll: Official Pay Dates.

If the sick leave balance is greater then 80 hours, the PPS will reduce the sick leave balance to 80 hours 16 days from the separation date. The PPS will maintain 80 hours of sick leave balance for 6 months. Six months from the separation date, the PPS will initilize sick leave hours to zero. If the sick leave balance is less than 80 hours, the PPS will zero out the balance 6 months after the separation date.

For months with three paychecks, one paycheck will have no fixed deductions taken (e.g. transit and parking deductions, credit union deductions, 403(b) loan payments, etc.). These paydays, referred to as “benefits-deduction holidays,” will occur twice a year. Please refer to the 2013 UCSB Payday Calendar.

If you are a UCSB student employee, use the feature in GOLD to maintain your email address. For non student employees, log on to the directory service with your UCSB NetID at https://directory.ucsb.edu/ldap/index.html. If you need assistance, your department directory editor (DDE) should be able to help you. They are identified on the http://directoryproject.isc.ucsb.edu/dde-dde.html page.

SurePay Automatic Deposit will be effective approximately 25 days from the date the Pay Disposition Request form is received by the Payroll Division Office. This initial period is used by the banking system to verify your account number. The same 25-day waiting period is invoked should you change financial institutions or your deposit account number. Payments made to you during this initial waiting period will be made in the form of a paycheck which will be sent to your home department.  Be sure to nofify the Payroll Office immediately if you close your account and you have Direct Deposit.

Yes. Departments must make every effort to pay an employee all unpaid wages within the 72-hour period for an employee who quits without notice. When the wages owed are in dispute or unknown, departments should pay all wages that are known to be due the employee. If the dispute can be resolved or when the hours can be determined, the department should pay the amount settled upon. If the dispute can not be resolved or the employee does not provide the necessary documentation, the department will have a reasonable defense if the employee seeks remedies over the disputed amount through the Labor Commissioner.

Regardless of the sick leave balance, after three months of separation, the PPS will adjust the balance to zero. This applies to separation reason codes RA, RB, RC, and RD.

Yes, Payroll deductions will be split across the biweekly paychecks. Deductions are either a fixed amount (e.g. $25) or a percentage of earnings (e.g. 2%). Fixed deductions are divided and deducted twice monthly. Percentage based deductions are deducted every check. During the initial transition, benefits deductions will be taken from all three paychecks received in February.

Notes will only be sent to those with an address in the directory. If you do not currently have one and would like to receive the note then you should establish your UCSB NetID at https://directory.ucsb.edu/ldap/index.html. If you need assistance, your department directory editor (DDE) should be able to help you. They are identified on the http://directoryproject.isc.ucsb.edu/dde-dde.html page.

There are several possible answers:
 

With all of the above possibilities, we would advise you to ask your department administrator to trace the problem for you. Once the problem has been identified and solved, a partial payment of the amount due can be made available by no later than 3PM the following day.

  • You did not turn in your timesheet to your department in time to meet the payroll deadline;
  • Your department did not report the time you worked to the campus Payroll Division by the deadline;
  • Your appointment ended and was not properly extended; or
  • The paperwork to establish your appointment for pay purposes has been delayed by one of the offices required to approve your appointment.
  • If you are a "Rehire", and the correct PPS bundle was not used at the time of hire, PPS would list your status as "Separated."

Your sick and vacation accruals may be calculated based on a factor accrual rate. This means that your sick and vacation accrual amount will vary each pay period based on your factor and the hours you work.

The hiring department should send a memo to the payroll office indicating the vacation and sick leave balances that need to be updated for the employee.

Payday is always the first day of each month for career employees. If the first falls on Saturday, Sunday, or a public holiday, then payday will be the Friday before the first of the month or the day before the public holiday. An exception to this rule is January 1. PayDay will be the first scheduled work day after the holiday.

No, the transition to biweekly pay will not impact the ERIT program.

An employee is entitled to benefits coverage (medical, dental, and vision) for the month following separation. The Payroll/Personnel System automatically establishes Plan Coverage End Dates as of the last day of the month following the month of separation. Consequently, the payroll office should withhold any related employee medical, dental, and vision premiums and any voluntary deductions, such as 403(b) deductions.

FLSA regulations require nonexempt employees to track their hours worked so they can be paid overtime for eligible hours. To ensure that the university meets these regulations, nonexempt employees report their actual time worked each day.

Because of the implementation of Financial Leave Reporting, you are not required to transfer vacation or sick leave balances when an employee transfers to another department.

Go back and add all of your pay check stubs. The additional federal and state tax, though listed separately on your check stub, is also added to the total federal and state tax amounts.

The determining factor will be the employees’ primary purpose at the University.  For some employees, their primary purpose is to serve as a faculty member and they also work in a second appointment as a staff member.  For others, their primary purpose is to serve as a staff member and they also teach sporadically.  These situations will be handled on a case by case basis.

Yes. Senior Management, Health Sciences, and other forms of severance pay are considered wages and must be included in an employee’s final pay.

Sick leave accrued is never paid to an employee when he/she leaves the University.

If your job is defined as nonexempt under the Fair Labor Standards Act (FLSA), you will convert to the biweekly pay cycle.

Please research and correct entries. For example, if the report states that “vacation hours taken or paid exceeds accrued balance” there is a possibility that too much time was reported for the employee.

You may be adding the wrong paycheck stub. The first one you should be adding is the check you received Jan. 1 and the last one you will add is the one you received Dec. 1 (unless you received additional payments on the 5th working day in December or the supplemental payment paid on approximately December 19).

No, campuses do not have the flexibility to temporarily modify employees’ workweeks in order to avoid paying overtime. This applies whether the employee is on an alternate work schedule or not. Under the FLSA, hospitals and residential care establishments can use a fixed work period of 14 consecutive days, instead of the 40 hour workweek, for purposes of calculating overtime.  To do this, the employer must have an agreement with the affected employee before the work is performed that defines that employee’s workweek, i.e. when that employee’s 14-day period will start and end.

The 14-day period can begin at any hour of any day of the week, e.g. at a time that does not coincide with the start of a day, such as 2 a.m. The 14-day period must be established with the intent that the period be permanent or used for a substantial period of time.

The University does have the flexibility to change the schedule of a non-exempt, non-represented employee to avoid paying overtime. For example, if an employee on a 40 hour per week schedule usually works 8 hours per day, and during a particularly busy Monday that employee works 10 hours, the University can change that employee’s schedule to only work 6 hours on Friday of that week to avoid overtime.

The ability of the University to change the schedule of a represented employee will depend on that employee’s labor agreement.

No. The Code applies only to wages, not retirement funds.

You need to do an RX transaction to back out the OTS description of service, and LX transaction to put in the correct description of service which is CMP. Here is an example.
Seq: ______Tr: RX Per End: 083199 Pay Cy: M Dst:33 E:__ T:__ D: Ttl: 7616
LACFPS: 8 681059____19900______1 Rate: 2700.00 AH: A
DOS: ____Time: _____H% __DOS: OTS Hr: 8.00 DOS: ___ Hr: _____ WSP: ____
Seq: _______Tr: LX Per End: 083199 Pay Cy: M Dst: 33 E: __ T: __D: Ttl: 7616
LACFPS: 8 681059 ____19900______1 Rate: 2700.00 AH: A
DOS: ___ Time: ____H% __DOS: CMP Hr: 8.00 DOS: ___Hr: ____WSP: ____

If you have automatic bill pay set up for any regular expenses, such as mortgage payments, student loan payments or car payments, we encourage you to work directly with your financial institution(s) to change payment dates as needed.

As a matter of policy, the new rules will apply to all University employees working out-of-state, including employees of the Los Alamos National Laboratory.

Call the payroll office for help. (Do not attempt to correct erroneous entry yourself.)

Employees will be paid for every hour worked. Because there are 365 days in a year, there will be a different number of pay periods each calendar year so earnings will vary slightly from one year to the next. There will be 26 pay periods in some years (like 2013) and 27 pay periods in others (like 2014). The number 2088 is used to calculate your hourly rate. This does not mean you are being paid 8 hours less than you were as a monthly paid employee.

Yes. The Code applies to all wages for labor performed.

It is important that you review your personal budget situation and determine your income needs based on the new biweekly pay schedule. In preparation for the conversion, we suggest that you take the following steps:

  • Review your current tax withholding elections to make any necessary changes. Pay particular attention to additional tax withholding amounts.
  • Request that creditors adjust your automatic withdrawal or bill-pay dates to align with your new pay schedule.

The University can reduce an employee's final pay by an outstanding overpayment depending upon the amount of the overpayment and provided that the employee agrees in writing to the repayment. Accounting Manual Chapter R-212-2, Receivables Management, contains additional information on the recovery of payroll overpayments.

Overtime Straight, Overtime Premium, Sick Leave Taken, Compensatory Time Off, and Compensatory Time Paid will automatically be charged to sub 2 no matter in what sub the original entry was made.

Monthly to Biweekly:
Your last full monthly paycheck will be on January 2, 2013. On February 1, you will receive a partial paycheck covering the period between January 1 and January 19. You will receive your first biweekly paycheck on February 13 - covering the pay period between January 20 and February 2.

Semi-monthly to Biweekly:
Your last full semi-monthly paycheck will be on January 23, 2013. On February 8, you will receive a partial paycheck covering the period between January 16 and January 19. You will receive your first biweekly paycheck on February 13 - covering the pay period between January 20 and February 2.

Monthly Arrears to Biweekly:
Your last full monthly arrears paycheck will be on January 8, 2013. On February 8 (February 7 for Southern campuses), you will receive a partial paycheck covering the period between January 1 and January 19. You will receive your first biweekly paycheck on February 13 - covering the pay period between January 20 and February 2.

Yes. Retirements are voluntary separations and all wages due are subject to the provisions of the Code.

There are 2 ways to pay compensatory time. One way is to go to the Main Menu and select EDAT, then EDAP (Additional Pay Screen). You have to enter CMP on the 2nd or 3rd DOS (description of service) field.
The other way is if the window is still open, you can do it through the Time Input Roster. Report the compensatory time in an open DOS field. Use CMP as the description of service. By using CMP to pay compensatory time accrued, the payroll system will pay the employee and at the same time reduce the compensatory time balance.

You will receive a minimum of 26 and a maximum of 27 paychecks in a year. Because biweekly periods do not always line up exactly to the calendar year, there is often a biweekly pay period that crosses over from December to January. Because of this, the gross pay reported on an annual W-2 tax form may not match exactly to your annualized pay (hourly rate x 2088 hours), and occasionally there will be 27 periods in one year.

Payments of penalties should not be charged to contract or grant funds or to State General Funds. Questions regarding the timing and payment of penalties should be referred to the UCOP Payroll Coordination and Tax Services unit.

Supervisors of employees on the biweekly cycle will approve timesheets every other week. Unless affected by holidays, biweekly approvals will be due every other Monday, beginning with February 4, 2013. The approval schedule for monthly timesheets will not change.

No. A department should not manipulate an employee’s appointment end date in order to obtain additional time to pay the employee.

For leave adjustments prior to 1/31/99, a memo/email needs to be sent to Payroll/Accounting requesting adjustment for that time. For leave adjustments after February 1, 1999, the department must utilize LX/RX transactions. Refer to pages 7 and 8 in the Financial Leave Reporting Manual.

Not all employees will convert to the biweekly pay schedule; only if your job is defined as nonexempt under the Fair Labor Standards Act (FLSA) will you convert to biweekly. Employees whose job titles are exempt will continue to be paid monthly.

Penalties paid to an employee are reportable as income on a Form 1099. Such payments, however, are not considered wages for Federal and State income and employment tax withholding. These payments are not covered compensation for purposes of UCRP.

As an exempt employee, the researcher will remain on monthly. The department may continue to report time or may choose to change the appointment to a fixed appointment so that pay is automatically generated each month.

No. If an employee holds two appointments at the same location and only one appointment ends, then the employee has not separated from the University.

Follow above directions to get to RX/LX. Then do an RX transaction to reverse the eight hours of vacation taken and LX transaction for the eight hours of sick leave taken. Here is an example:

Seq: ______Tr: RX Per End: 083199 Pay Cy: M Dst:33 E:__ T:__ D: Ttl: 7616
LACFPS: 8 681059____19900______1 Rate: 2700.00 AH: A
DOS: ____Time: _____H% __DOS: VAC Hr: 8.00 DOS: ___ Hr: _____ WSP: ____
Seq: _______Tr: LX Per End: 083199 Pay Cy: M Dst: 33 E: __ T: __D: Ttl: 7616
LACFPS: 8 681059 ____19900_____ 1 Rate: 2700.00 AH: A
DOS: ___ Time: ____H% __DOS: SKL Hr: 8.00 DOS: ___Hr: ____WSP: ____

Biweekly conversion requires calculations be made based on an hourly rate, thus the conversion from annual to hourly.

Yes. The daily penalties include weekends and holidays for up to a maximum of 30 days pay.

In order to match the time card against IHRS screen, you need to subtract current month accruals. Remember the IHRS screen takes the ending balance of the previous month and adds the current month accruals.

Section 204 of the state labor code applies to private sector employees, and not to the University. Many public agencies within California pay employees on a schedule similar to that being implemented by the University. The University’s legal obligation is to pay employees on announced pay dates.

Yes. The Code applies to employees who resign before achieving their appointment end dates. The definition of a voluntary quit includes such early resignations.

If an employee is discharged or quits at a time when he or she is entitled to such increases, and the formula for the increases is known, then the employee should receive all monies due at the time of discharge or quit, as appropriate.

EDLR screen lets you process late time (LX) and reduction of time (RX). Remember that processing (LX) and (RX) for Financial Leave is treated differently. For example, to process Financial Leave, let’s say an employee takes 8 hours of vacation last month, which was not reported. You will need to do a LX VAC 8.00. This will reduce the employee’s balance by 8 hours. Refer to pages 7 and 8 in the Financial Leave Reporting Manual.

Factor accrual methodology will be used to accrue vacation and sick leave for all employee populations in UCPath except faculty.

PPS currently supports factor accrual for all populations, and table accrual for monthly. Campuses with BW pay cycles typically use table accrual for the academic titles (who are on the MO cycle) and factor accrual for all other employees.

Staff policy, explained in the following document (which applies to PSS not covered under bargaining unit contracts, MSP, and SMG), supports factor accrual: http://policy.ucop.edu/doc/4010406

Yes. We believe that the Code applies to employees with appointment end dates. We will be exploring other options about this issue, including requesting a ruling from the Labor Commissioner on this question.

The first thing you need to do is check the payroll calendar to see when the window opens/closes for Financial Leave Reporting (same date as Supplemental Payroll). Then you go to the Main menu on PPS. At the Next Func field, type EDAT and press <Enter> to select Dept. Adjustment Transaction. Once you are in EDAT, type EDLR in the Next Func field to select the Late/Reduce Pay. Tab to the I.D. field and type employee identification number. Tab to the Pay Cycle field and type XX (always XX) for Supplemental Payroll. Tab to the Pay End field and type the month, date, and year. Remember it’s always the fifteenth of the month for Supplemental Payroll. The month will be the month that the window opens, not the month you are trying to correct. Example:

Next Func: EDLR ID: 123456789
Pay Cycle: XX Pay End: 101599
A. EDLR (LX/RX transaction)
B. ID (employee social security number)
C. XX always represents Supplemental Payroll (MS)
D. 101599, always the fifteen of the month.
Once you select EDLR, ID, Pay Cycle, and Pay End, hit <Enter>.

You should be in the EDLR screen. Tab to the second line for data entry. (LX or RX) Enter period ending; enter M on Pay Cycle; enter distribution number and rate of pay; use the tab to move your cursor to the 2nd DOS field or 3rd DOS field and type VLA (vacation accrual), VAC (vacation taken), SLA (sick accrual), SKL (sick taken), CTA (comp accrual), and CTO (comp taken). Last, enter hour(s) and press <F5> to update.

The vacation leave assessment for biweekly employees occurs every other pay cycle because for biweekly employees their leave accrual eligibility is based on a four-week cycle (two biweekly pay cycles). In order to perform the assessment the payroll system must reference both a B1 and B2 pay cycle this means that sometimes it must refer to a prior months pay cycle in order to know the full gross pay on which to base the assessment. This occurs anytime the B1 and B2 do not fall into the same month.

For example, in April there were 3 biweekly pay periods that ended in April. 


The pay periods ending 4/16 and 4/30 form one four-week cycle on which to base an assessment, but the 4/2 pay period is missing a B1. In this case the payroll system will pull in the prior months B1 in order to reference the hours and pay rate the employee received. 

This reference line is then included on the DPE in order to fully disclose what hours were included in leave assessment calculation. Notice that all of the other benefit fields and gross earning field show "0", this is a good way of identifying when this process has occurred. To predict when this will occur refer to the Payroll Processing Schedule. Anytime you see that the first BW in a month is a B2, expect that the payroll system will need to reference a prior months pay cycle in order to calculate the leave assessment.

Procurement Services

No, While the University has granted Purchasing Authority up to $10,000 dollars at the department level for purchase orders, only central Procurement has Signature Authority. Any document requesting signatue that binds the UC into terms and conditions must be reviewed by Procurement. Additionally, any contract signed by someone without Signature Authority is considered void by the Government because Implied Authority is not valid in the UC system.

Thermo Scientific and Fisher Scientific have many subsidiary companies. Fisher Scientific's UCSB rep, Bill O'Donoghue (bill.odonoghue@thermofisher.com) will accept any PRODUCT order for any of the Fisher or Thermo companies. If the product is not in the Gateway catalog or Punchout, Bill is happy to provide a quote and you'll need to setup a Non-Catalog order with Fisher Scientific.

For any SERVICE orders, Thermo Fisher Scientific Ashville is the appropriate vendor. Please note: Thermo Fisher Scientific Ashville ONLY accepts service orders. They will NOT fulfill product orders. Please call 800-438-4851 if you need service.

If you have any questions, please feel free to call Purchasing at x8025 or email Bill directly (bill.odonoghue@thermofisher.com).

The UC Accounting Manual for Disbursements (D-371-16) governs the level of approval, and method of procurement for non-payroll transactions, including Reimbursements, entertainment, travel, consultants, honoraria, memberships, and moving expenses, among other things.

The University of California has standard Terms and Conditions of Purchase that are attached to every Purchase Order in Gateway. Many vendors include terminology on their quotes stating their terms govern any order arising out of use of their quote. If the requisition comes to Campus Purchasing, we will strike the conflicting provisions and proceed with our terms on the PO. Any orders using a quote that departments have delegation of authority over should be reviewed for term and condition language. Contact us if you have any questions.

When the University of California enters into Vendor Agreements, we’re looking at a total savings UC-wide. We’re looking for Total Cost of Ownership; which is the pursuit of suppliers that can deliver the best overall value in cost, quality and service over time. The sticker price of a non-catalog item is not always what you can end up paying over time; UCOP Agreement vendors provide warranty, free shipping, returns, and customer service that non-catalog vendors generally do not provide. The UC and all UCOP contract vendors have agreed to and signed common Terms and Conditions to protect us from any unforeseen issues that non-catalog vendors may present – such as no returns, unexpected shipping fees, no warranty, distributor fees, etc.

Having catalog items readily available in Gateway with our UCOP Agreement vendors saves time (and therefore money) across the board, rather than spending your time and admin time processing “non-catalog” quotes. While some products in the UCOP Agreements catalogs may be priced higher than you are able to find elsewhere, many of the commonly used products are provided at deep discounts. The UCOP Contracts are negotiated based on bulk and recurring need across all 10 UC campuses. Some products offered at the discounts are due to the fact they are education grade; some other products are offered at retail pricing because they aren’t directly negotiated to be discounted further.

Per Article 2 of the Uniform Commercial Code, the UCSB Purchase Order is considered a contract by way of acceptance or fulfillment on both sides. The terms at the bottom of a quote are typically in conflict with the provisions in our standard UC Terms and Conditions of Purchase; therefore, it is important for UC faculty and staff to leave quotes unsigned. Submitting the Purchase Order to the vendor, referencing their quote #, fulfills the order under the UC terms of purchase.

2012/2013 Fiscal Year

High Value PO Dollar Dollars Committed = $72,496,819 and 3,264 transactions

Flexcard Spend = $8,684,120 and 23,307 transactions

Low Value Spend = $6,551,462

2011/2012 Fiscal Year

High Value PO Dollar Dollars Committed = $59,735,747.00

Flexcard Spend = $7,371,706.00

No. The California Public Contract Code, Section 10365.5, states no person, firm or subsidiary thereof who was awarded a consulting services contract may be awarded a "follow-on" or "successor" agreement for the services or goods which are required as an end product of the consulting services contract.

The Office of Public Affairs handles all News/Educational filming transactions. Contact Procurement if you have a for-profit/commercial filming requirement.

There are many suppliers in the ink and toner business calling campus trying to get business. If you have a maintenance contract with Xerox, Ricoh, or Canon, no other company is authorized to tell you your warranty is void or agreement will expire unless you buy their toner. In addition, some vendors have been sending unsolicited toner cartridges to departments, then invoicing and expecting payment. Please do not use these toner packages. Procurement has filed claims against some of these vendors through the Better Business Bureau. If you encounter a similar situation, or feel uncomfortable about a vendor solicitation, let us know.

The Best Buy store in town will not take a PO, but we do have a UC business rep that will take a Purchase Order. Michael Jennings, at 612-292-0440, can help with SKU's, or you can find the product at www.bestbuy.com. Once you have your SKU, enter a Non-Catalog PO in Gateway to Best Buy, and the order will fax to Michael. He will place the order on our behalf, and can place the order for in-store pickup. If you want in-store pickup, either type "In-Store Pickup" on the PO, or call Michael after you send the PO in Gateway to get the order placed right away. The item(s) and invoice will be sent to the address indicated on the PO.

Purchasing and Communication Services would like to announce the creation of a service to assist you or your department with the set up and maintenance of business related cellular phones and other portable communication devices. This service is designed to assist department personnel that have a critical demand for expert support services beyond the capability of their home department.   

  • Additionally, Communications Services provides a concierge type of service that, on a recharge basis, will:
  • Assess your department needs
  • Research and recommend plans and devices
  • Act as your agent in establishing your department’s ongoing service relationship with your carrier
  • Identify training resources for the devices you choose

Please contact them at cellular@commserv.ucsb.edu or Tammy Marquez at x5718 if you have any questions.

Honoraria payments for speakers or lectures do not require any form of Contract. Please prepare Honoraria on a Form 5, with backup; either an invitation or schedule of the event they are participating in. Accounts Payable will need the home address and TID#. If any they are NON US citizens, contact Accounts Payable at x4288, as you will need additional processing information.

If the order is on requires Commodity Approval, a restricted commodity, uses federal funds, or is non-catalog over $9,999.99, a quote is required. Procurement Services requires proof of pricing, whether it be on a quote, email from the vendor, or screenshot of a marketbasket with a timestamp. Backing up your purchase requisition with pricing information such as a quote, email with pricing, or screenshot of website pricing will support and assist if any transactional issues were to arise with invoicing and audits. Here are a list of reasons why obtaining a quote is necessary:

  • Pricing remains firm for 30 days or more depending what is on the quote, that way the vendor can't increase the pricing.
  • A quote is needed to compare information on the requisition to make sure everything is entered correctly. Ex. Part # or price.
  • A lead time is necessary for the department so they know when to expect the goods.  (make sure items are in stock)
  • Who pays for shipping and what are the terms of payment?  There are a times when payment is not net 30 and the vendor wants prepayment or 50% down.
  • Warranty information is sometimes listed on the quote which can be helpful if your item breaks down before the warranty period is over.
  • What country the items are coming from can be listed on the quote, which allows the Buyers to add a Customs Broker to the order.

A contract is legally binding and:

  1. documents services to be provided
  2. serves as an authorization of University funds for payment of services
  3. helps avoid misunderstandings by clearly stating responsibilities of both parties

The Vendor Blanket Form in Gateway is like a checking account; you set up a fixed amount on the order, and as invoices are charged against it, the total amount of your order "draws down".

  • Vendor Blankets (VB) may be setup for a one-year initial period, and may be extended using the Vendor Blanket Revision Form for one-year increments. As a best practice, VBs should not cross fiscal year boundaries.
  • VBs cannot be backdated; the authorization to purchase must exist prior to accepting services.
  • VBs associated with a UC contract or a UCSB bid can be set up through the contract end date to match the contract terms.
  • VBs expired two months or longer are considered permanently expired, and you'll need to setup a new VB if your department wishes to continue doing business with that vendor.
  • VBs should only be used for services that are recurring throughout the year in nature, such as temporary personnel invoices, copier or equipment maintenance, and trash pickup.
  • Please note, most services (including delivery) require insurance. Obtaining insurance will add processing time to your order. Once VB's have reached 10 years, you will need a new VB.
  • If the annual expenditure for the VB exceeds $100k, we must go out to bid, unless a bid has already been awarded through Procurement or UCOP).
  • If the vendor supplies items with the UC name or logo, the vendor must register annually with the LRG. Please contact us with any questions about this requirement.
  • Extension requests (VB Change Request Form) will be granted at the discretion of the Purchasing Manager or their designee.

In the description box, use the following example text: "Provide copier maintenance services to the University of California, Santa Barbara, xxxx Department for the period of 7/1/20xx - 6/30/20xx. Copier Model # xxx and Serial Number xxx. Rates as follows: xxxx. Account Number as follows: xxxx"

Security cameras are a very sensitive topic, and can have Union implications. Orders for security cameras need to be routed through ETS to ensure the system(s) are compatible with our UC monitoring software, and are installed with a licensed contractor through the Design & Construction department. Please do not purchase a camera from Costco or Best Buy and install it yourself. An upcoming (4/2/2015) policy will be announced to the campus.

Maintenance can generally be submitted through a PO: The ongoing upkeep of buildings, equipment, roads, grounds, and utilities required to keep a Facility in a condition adequate to support the University's academic, scientific, and public service functions. It consists of the preservation, but not the improvement of buildings and grounds. Maintenance is generally on a routine or recurring basis, and may be to bring equipment back to a fully functional state. However, if a replacement is needed for the purpose of upgrading a system, it is not considered maintenance.

Construction is the act, art, or business of moving, demolishing, installing, or building a structure, facility, or system according to a plan or by a definite process. Construction consists of the application of any of these techniques to physical plant facilities such as structures, utilities, excavations, landscaping, site improvements, drainage systems and roads, and additions, deletions, or modifications of such facilities. Exterior and interior painting of new structures is a form of construction. Painting, while seemingly maintenance, is generally deemed construction.

Click here for a helpful decision matrix if you're unsure about going through FM, D&CS, or Procurement.
Click here for the Campus Design & Facilities Contracting Services FAQ's

The UC has entered into primary contracts with Santa Barbara Airbus, American Star Trailways, and Ryan's Express for local bus services. American Star Trailways has two locations; SLO and Ventura, and is part of Trailways National, which can be used nation-wide. You have the option to use a purchase order in Gateway, or pay the invoice on a check request through Travel & Entertainment (Annette Gonzales). *IF YOU want to use FLEXCARD or a  CHECK REQUEST*, we reccomend your department contact Karen Jeffers in Procurement to verify insurance is acceptable and a satisfactory safety rating for the bus company.


The OfficeMax catalog in Gateway provides refurbished toner. For those of you still wanting to use the local company, Laser Cartridge, just choose the non-catalog option in Gateway.

 

These items are now all purchased through Gateway.

The Storehouse transferred all forms to the UCEN Bookstore as of June 1, 2013.

Beginning on July 1, 2014, the University may qualify for a partial exemption of sales and use tax on certain research and development equipment purchases and leases. To be eligible for this partial exemption, your purchase must meet all three of these conditions:

  • Be engaged in certain types of business, also known as a “qualified person.”
  • Purchase “qualified property.”
  • Use that qualified property for the uses allowed by this law.

For eligibility and process questions, please contact Steve Kriz in Accounts Payable, or view the CA BOE's website:http://www.boe.ca.gov/sutax/manufacturing_exemptions.htm#Qualifications. The Certificate form can be found here: http://www.boe.ca.gov/pdf/boe230m.pdf

Sponsorships (including monetary exchange for banners, signs, and tables at events) and Membership fees or payments are paid by Accounts Payable directly. Any questions about backup documentation or policies can be directed to Annette Gonzales at x7037.

While we don't have a systemwide contract with Costco, Walk-In Purchase Orders are accepted at the local store for goods (Memberships are not paid with a Purchase Order; see below for details) with the following procedures:

  • Visit the Membership Counter prior to shopping. Costco will require your department have a Business Membership. To set that up, Costco may require paper documentation proving you work for the UC (that could be in the form of a paystub, website print-out, or directory listing), and may require to see your Driver's License to prove you are who you say you are. Cards may be issued to the indivudal names, not the UC department.
  • UCSB has a signed a fairly benign Master Contract with Costco, where any dept on the attached Department List can purchase off the Agreement.
  • UCSB limits the membership to the Business card priced at $55. Executive Memberships are NOT allowed, and Costco no longer provides "Corporate" accounts. These will be standard accounts that are just paid by UCSB.
  • Memberships are restricted to up to 6 cards per account. Each $55 includes just 2 cards.
  • Once you have the membership, you may execute Walk-In PO's in Gateway.
  • Take your printed out Walk-In PO to the Membership counter, and walk away with your product(s). Costco will provide you with an Invoice, that you would send over to Accounts Payable.

To pay invoices, please write your Gateway Walk-In PO # on the invoice, and send the product invoices to invoicesONLY@bfs.ucsb.edu.
Membership invoices ($55) cannot be paid on a purchase order, but should be processed on a Membership Form 5 directly to Accounts Payable. Please contact Accounts Payable for membership questions.

The following are examples of how to substantiate Price Reasonableness, together with a discount (discount alone is not justifiable), in order of preference:

  1. Price competition - comparison of quotes
  2. UCOP, State, or GSA contract pricing, or comparison with prices under these existing contracts
  3. Prior price history, or comparison with current or recent prices for the same or similar item(s). Reasonable inflation/market changes are allowable.
  4. Market Research, and/or catalog or established price list (sales to the general public)

Per OMB eCFR §200.323, the University must negotiate profit as a separate element of the price for each contract in which there is no price competition and in all cases where cost analysis is performed. To establish a fair and reasonable profit, consideration must be given to the complexity of the work to be performed, the risk borne by the contractor, the contractor's investment, the amount of subcontracting, the quality of its record of past performance, and industry profit rates in the surrounding geographical area for similar work. A cost plus percentage of cost cannot be used.

Per FAR 15.404.4(c)(4):

(i) The contracting officer shall not negotiate a price or fee that exceeds the following statutory limitations, imposed by 10 U.S.C. 2306(d) and 41 U.S.C. 3905:

  • (A) For experimental, developmental, or research work performed under a cost-plus-fixed-fee contract, the fee shall not exceed 15 percent of the contract’s estimated cost, excluding fee.
  • (B) For architect-engineer services for public works or utilities, the contract price or the estimated cost and fee for production and delivery of designs, plans, drawings, and specifications shall not exceed 6 percent of the estimated cost of construction of the public work or utility, excluding fees.
  • (C) For other cost-plus-fixed-fee contracts, the fee shall not exceed 10 percent of the contract’s estimated cost, excluding fee.

(ii) The contracting officer’s signature on the price negotiation memorandum or other documentation supporting determination of fair and reasonable price documents the contracting officer’s determination that the statutory price or fee limitations have not been exceeded

Any onsite service or delivery requires that the vendor provide the UC with a Certificate of Insurance with all the required liabilities and limits. Some examples of purchases are:

1.  Installation on any of our campus sites

2.  Any deliveries

3.  Onsite training

4.  Onsite maintenance, calibration or repair

5.  Moving services

6.  Charter services for bus, boat and aircraft

7.  Other services such as, but not limited to: landscaping, pest control, waste removal, cleaning services, security service, and shredding service.

Any employee reimbursements, regardless of the purchase price, need to be routed through Accounts Payable.

UCSB is not exempt from sales tax, except when items are purchased as property using federal funds where the title to that property vests with the Federal Government or for resale (where sales tax is collected on the final sale, such as for the Bookstore). For most purchases made out-of-state, the State of California will assess a sales tax (called a "use tax"). Therefore, all purchases shall have applicable sales tax applied to their order.

Charges for fabrication labor (work done in creating, producing, or assembling a product) are generally taxable, whether the vendor itemizes the labor charges or includes them in the price of the product. Examples of fabrication labor include furniture setup and delivery as well as manufacturing a new piece of machinery. More information can be found on the State Board of Equalization website.

Purchases over $100,000 must either be competitively bid or support a sole source justification, unless your purchase is using a UCOP Agreement vendor that is NOT on a Price Schedule.  Awards for purchases over $100,000 must be based upon either lowest cost or the lowest Cost Per Quality points. See the Bidding Process for further details.

It is the University's policy to separate an employee's University and private interests, and to safeguard the University and its employees against charges of favoritism in the purchase of goods and services. Purchase of goods or services from any officer or employee of the University or from a near relative of any officer or employee is strictly prohibited unless the employee's position entails teaching or research duties. If the employee is performing teaching or research, an exception can be granted if such goods or services are not available either from other commercial sources or from the University's own facilities. (See BUS-43, part 7: Conflict of Interest).

All University employees are subject to Office of the President's Policy on Acceptance or Offering of Gifts and Gratuities by University Employees that states in part:

It is the policy of the University of California that its officers and employees shall comply with the provisions of state and federal law governing the acceptance of gifts and gratuities. In addition to compliance with the requirements of law, University officers and employees must avoid the appearance of favoritism in all of their dealings on behalf of the University. All University officers and employees are expected to act with integrity and good judgment and to recognize that the acceptance of personal gifts from those doing business or seeking to do business with the University, even when lawful, may give rise to legitimate concerns about favoritism depending on the circumstances. If a University officer or employee has any question regarding the propriety of a gift, disclosure of the gift or proposed gift should be made to a supervisor or other appropriate University official for a determination of the proper course of action

For further details on this policy, visit: http://policy.ucop.edu/doc/1200366

Risk Management no longer requires prior approval to insure all domestic orders exceeding $100,000.  The entire amount of a purchase exceeding $100,000 can be covered by the UC's insurance during transit, but a conversation should be held with Risk Managment for each purchase to address the shipment details, and to allow Risk to provide further recommendations. For example, Risk might recommed that a receipt signature be required, rather than FedEx/UPS "dropping" the box off at a door.

For international orders, if the vendor is paying for all transportation and insurance charges, AND is the Importer on Record through Customs, then the department does not need to apply for transit risk insurance. If, however, the UC is paying for all transportation charges, then your department will need to apply for Transit Risk Insurance. (See http://www.ehs.ucsb.edu/riskmanagement/transit-risk-insurance)

Procurement will work with your department on international purchases, and domestic purchases exceeding $100,000 to ensure Risk Management is roped in. A proactive approach is appreciated, however, by including a copy of an email between your department and Risk with the determination. Questions about Transit Risk Insuance can be sent to lee.mudrick@ehs.ucsb.edu, or call 893-2860.

 

While there is no policy prohibiting the use of an Auction for purchasing, the department should keep records documenting the purchase. Because auctions typically "bid up", your department will need to ensure rationale for price reasonableness is established. Prior research can be done to compare prices and agree on a price cap.

Additionally, some Auction houses may have terms and conditions for the purchase. These are often non-negotiable, and pop up after the award has been made.

When you look at the price of auction items, the savings may seem substantial. Be aware, however, that reasons for the low price may include:

  • limited or no warranties
  • no return policy
  • uncertain history and condition
  • additional, non-negotiable shipping and handling fees

Travel & Entertainment

The UC Accounting Manual for Disbursements (D-371-16) governs the level of approval, and method of procurement for non-payroll transactions, including Reimbursements, entertainment, travel, consultants, honoraria, memberships, and moving expenses, among other things.

Connexxus is a secure Web portal for booking University business travel which automatically applies UC negotiated rates

Authorizing Signature

The following excerpts from G-28 outline the requirements for the Authorizing Signature.

A. Approval of Travel Expense Claim (G-28 pp 10)

The authority to approve travel expense claims must be documented by a signature authorization form on file with the Campus Controller’s Office (or the Medical Center Controller, where appropriate) or by an electronic signature authorization. The travel expense claim should not be approved by a person who reports directly or indirectly to the traveler. Persons delegated the authority to approve travel shall not approve their own travel. In addition, travelers may not approve the travel of a near relative, e.g., spouse or domestic partner, child, parent, etc.

UCSB Travel Accounting requires an original signature from the person authorizing a Travel Expense Voucher. Use of signature stamps, copies of the signatures or electronic signatures is not permitted due to the risk involved when using these types of methods. 

Traveler’s Signature

The following excerpts from G-28 outline the requirements for the Traveler’s Signature.

c. Certification of Travel Expenses (G-28 pp 44-45)

The traveler must either sign or provide an electronic equivalent on the travel expense claim certifying that the amounts claimed are a true statement of the expenses incurred on official University business and that the original of all required receipts has been submitted, whether scanned or faxed. Internal departmental expense claim forms are not an acceptable alternative for obtaining the traveler’s signature on the travel expense University of California Policy G-28 Travel Regulations Page 46 of 55 claim (or electronic equivalent), unless approved as an exception to this policy.

Submission of the travel expense claim under a traveler’s electronic authorization will be considered certification that the traveler incurred the expenses being claimed. In accordance with IRS regulations, an electronic signature must:

· Identify the traveler who is submitting the electronic form;

· Authenticate and verify the submission; and

· Be the final entry in the submission.

In an attempt to accommodate situations where it is not practical to obtain the wet signature of the Traveler on a TEV or worksheet, UCSB has identified the following alternate options:

Option 1.             The traveler can submit original receipts with their original wet signature on each receipt.

Option 2.             The traveler can send an email from their account that includes copies of receipts and the statement below:

I, (NAME OF TRAVELER), certify that the above is a true statement, that the expenses claimed were incurred by me on official University business on the dates shown, and that I have attached original receipts for each expense as required by University policy.”

Link to the Domestic Travel Reimbursement Worksheet:

http://www.bfs.ucsb.edu/sites/www.bfs.ucsb.edu/files/docs/travel/Domestic%20Travel%20Reimbursement%20Worksheet.pdf