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UCR Policies and Procedures

 

UCR Policies and Procedures

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Campus Policy Number: 300-28

FAU Tree Maintenance and Modification Policy

Policy Owner: Accounting/Academic Planning and Budget

Effective Date:5/1/00

PURPOSE

Recognizing that FAU Golden (or corporate) Trees are critical to the successful operation of the UCRFS, this policy was established to clarify both the maintenance process and the responsibilities of Tree Managers and the designated alternates. This Policy specifically addresses the procedures involved in (1) requesting, (2) reviewing and approving, and (3) providing notification of modifications to the FAU Golden Trees.

TREE MANAGERS

A manager is to be designated for each FAU Golden Tree. Each Tree Manager has primary responsibility for maintaining the integrity of the assigned tree. Specifically, Tree Managers are responsible for the following: (1) ensuring that the review and approval process has occurred; (2) ensuring that all approved modifications are timely and accurately made; (3) providing notification as called for under this policy; and (4) maintaining a filing system for all information pertinent to tree maintenance.

Recognizing that the designated Tree Manager may not always be available (e.g., vacation and sick leave), one alternate will be designated to function as the Tree Manager in that person’s absence. The alternate will immediately inform the Tree Manager of any modifications made during his or her absence.

  1. ACCOUNT FAU GOLDEN TREE

    2. Balance Sheet, Revenue, and Expenditure Accounts (Including Budget Categories and Expense Groups)

    Responsible Office: Accounting Office

    1. Request for Modification Process:

      2. Requests for modification (addition, changes, or deletions) of a node or value on this tree are initiated with the submission of a completed request form to the Accounting Office (see form 1). Requests will contain the following information:
      • Requested Effective date
      • Proposed 30 Character Name
      • Proposed Description Including a Long Name
      • Proposed Tree Location Including the Summary Level, Budget Category, and Expense Group as Appropriate
      • Justification or Need for the Modification
      • Approval of Requesting Department and Organization CFO

    2. Review Process:

      3. The Accounting Office will distribute all requests for modification to the standing review committee. The review committee is composed of one representative each from the Accounting Office and the Office of Academic Planning and Budget. The standing committee, as dictated by prudent business practices, will consult other offices (e.g., Internal Audit) when appropriate. Committee members must be professional level employees with the authority to represent their respective offices, and must possess a working knowledge of the UCRFS and UCR and UCOP policies and procedures.

      When reviewing a request, the committee will consider the departmental need for the modification and the corporate value of any proposed modification. Generally, a modification must be of some corporate value for the request to be approved. The committee will review the proposed name, definition, and location, and will make any changes to the proposed values it deems necessary to maintain consistency and corporate value.

      The committee will indicate its approval or denial of the request, note any changes made to the proposed values, and document its supporting rationale on the request form. The form will then be routed to the Tree Manager. In the case of a denial, the Committee will return a copy of the form to the requesting party.

      The Tree Manager will file the request form and ensure that approved modifications to the tree are made.

    3. Notification Process:

      4. As mentioned above, in the case of a denial the Committee will return the completed form to the requesting party.

      In the case of an approved request, the Tree Manager will provide notification based upon the nature of the modification. Notification should include the account value, the name and definition, and the location on the tree of the approved change. If the modification involves an expense account, expense group, or budget category, notification will be made via a list serve generated e-mail to the appropriate UCRFS user category. If the modification involves a plant, loan, balance sheet, or revenue account, notification is to be made via e-mail to the requesting party and the Accounting Officer and the Director of the Budget. Additionally, the Tree Manager will provide notification to any other party that the Manager deems appropriate. In addition, all modifications will be posted to the UCRFS web page.

  2. ORGANIZATION FAU GOLDEN TREE

    3. Organization, Division, Department, and Activity

    Responsible Office: Academic Planning & Budget

    1. Request for Modification Process:

      2. Requests for modification (addition, changes, or deletions) of a node or value on this tree are initiated with the submission of a completed request form to the Director of the Budget (see form 2). Requests may be required to include the following information:
      • Requested Effective Date
      • Proposed 30 Character Name
      • Proposed Long Name
      • Proposed Tree Location, Including Organization, Division, and Department as Appropriate
      • Justification or Need for the Modification
      • Approval of Requesting Department and Organization CFO

    2. Review Process:

      3. Requests for modification are forwarded to the Director of the Budget.

      When reviewing a request, the Director will consider the departmental need for the modification and the corporate value of any proposed modification. Generally, a modification must be of some corporate value for the request to be approved. The Director will review the proposed name and tree location, and will make any changes to these proposed values as deemed necessary to maintain consistency and corporate value. If the request involves the Organization, Division, or Departmental level the Director will consult with the managers of the Space, Course Reporting, Facilities, and Development systems to ensure that consistency and corporate value is maintained in all corporate systems.

      The Director will indicate approval or denial of the request, note any changes made to the proposed values, and document the supporting rationale on the form. The form will then be routed to the Tree Manager. In the case of a denial, the Director will return a copy of the form to the requesting party.

      The Tree Manager will file the request form and ensure that approved modifications to the tree are made.

    3. Notification Process:

      4. As mentioned above, in the case of a denial the Director will return the completed form to the requesting party.

      In the case of an approved request, the Tree Manager will provide notification to the Accounting Officer, the Payroll Manager, the Managers of the Space, Course Reporting, Facilities, and Development systems, the requesting organization’s CFO, and if an academic department is involved, to the Office of Research Administration. Notification should include the value, the name, and the location on the tree of the approved modification. In addition, all modifications will be posted to the UCRFS web page.

  3. FUND FAU GOLDEN TREE

    4. Responsible Office: Accounting Office

    1. Request for Modification Process:

      2. Requests for modification (addition, changes, or deletions) of a node or value on this tree are initiated with the submission of a completed request form to the Accounting Office for review and processing by the Tree Manager (see form 3). Depending on the fund type, requests will contain the following information:

      Fund Type: Plant (Requests primarily from the Plant Accountant/UCOP)

      • Suggested Fund Title (30 Characters)
      • Requested Fund Number
      • Sponsor Code (Federal only)
      • Sponsor Category Code
      • Plant Claim Code (State only)
      • Tax Code (Federal only)
      • Effective Date-Begin
      • Effective Date-End
      • Principal Investigator Name (Federal only)
      • Principal Investigator’s Activity Code (Federal only)
      • Award Number (Federal only)
      • Agency Name (Federal only)
      • Related Fund Numbers
      • Other Comments

      Fund Type: Loan (Requests primarily from General Accounting/UCOP)

      • Suggested Fund Title (30 Characters)
      • Requested Fund Number
      • Effective Date-Begin
      • Effective Date-End
      • Other Comments

      Fund Type: General Funds/Special State/Student Fees (Requests primarily from AP&B/UCOP)

      • Suggested Fund Title (30 Characters)
      • Requested Fund Number
      • Effective Date-Begin
      • Effective Date-End
      • Budgeted Code
      • Restriction Code

      Fund Type: Contracts and Grants

      • Established based upon receipt of Notice of Award from the Office of Research Affairs

      Fund Type: Endowments (Requests primarily from UCOP)

      • Suggested Fund Title (30 Characters)
      • Requested Fund Number
      • Endowment Restriction Code
      • Other Comments

      Fund Type: Gifts (Requests primarily from departments)

      • Suggested Fund Title (30 Characters)
      • Sponsor Category Code
      • Effective Date-Begin
      • Effective Date-End
      • Principal Investigator Name (research gifts only)
      • Associated Activity Code
      • Other Comments

      Fund Type: Sale & Service (Requests based on applications submitted to AP&B)

      • Suggested Fund Title (30 Characters)
      • Suggested Fund Grouping
      • Budgeted Code
      • Restriction Code
      • Effective Date-Begin
      • Effective Date-End
      • Associated Activity Code
      • Other Comments

      Fund Type: Service & Auxiliary (Requests primarily from General Accounting)

      • Suggested Fund Title (30 Characters)
      • Suggested Fund Grouping
      • Effective Date-Begin
      • Effective Date-End
      • Associated Activity Code
      • Other Comments

      Fund Type: Agency (Requests through AP&B)

      • Suggested Fund Title (30 Characters)
      • Effective Date-Begin
      • Effective Date-End
      • Associated Activity Code
      • Other Comments

    2. Review Process:

      3. The Tree Manager will review the request, proposed codes, and values. Changes will be made as deemed necessary to maintain corporate value, consistency in the general format, and uniqueness in the actual codes/values.

      The Tree Manager will file the request form and ensure that approved modifications to the tree are made.

    3. Notification Process:

      4. After the fund tree is modified, the requestor will be notified by the Tree Manager. In the rare instance of a request being denied, the requestor will be provided with an explanation of the rationale for the denial of the request.

  4. FUNCTION FAU GOLDEN TREE

    5. Function and Transaction Codes

    Responsible Office: Academic Planning & Budget

    1. Request for Modification/Review Process:

      2. Requests for modifications (addition, change, and deletion) of a node or value to the "function" portion of this tree require the Associate Chancellor for Planning and Budget’s approval. Requests should be in writing indicating the code, description, and should set-forth the supporting rationale for the change.

      UCOP initiates modifications to Transaction Codes. Appropriate Accounting Office personnel will inform the Tree Manager of any UCOP initiated modifications. In the case of additions the node, code, and description must be provided.

      The Tree Manager will file all supporting documentation and ensure that approved modifications to the tree are made.

    2. Notification Process:

      3. Notification of modifications to the Function Codes will be distributed campus-wide. In addition, all modifications will be posted to the UCRFS web page.

      Notifications of modifications to the Transaction Codes will be distributed to the appropriate Accounting Office personnel.

  5. COST CENTER TREE

    6. Responsible Office: Accounting Office

    1. Request for Modification Process:

      2. Requests for modification (addition, changes, or deletions) of a node or value on this tree are initiated with the submission of a completed request form to the Accounting Office for review and processing by the Tree Manager (see form 4). The department MSO (or equivalent position) must approve requests for new Cost Centers prior to submission to the Accounting Office. Requests will contain the following information:

      • Suggested Cost Center
      • Suggested Cost Center Title or Revised Title as Appropriate
      • Associated Activity Codes
      • Effective Date-Begin

    2. Review Process:

      3. As Cost Center codes are without corporate or institutional value, proposed codes and titles will be only be reviewed, and changes will only be made, to the proposed values as deemed necessary to maintain consistency in the general format and uniqueness in the actual codes/values.

      The Tree Manager will file the request form and ensure that approved modifications to the tree are made.

    3. Notification Process:

      4. Notification that a modification has been completed will be provided to the requestor and the department’s MSO.

  6. PROJECT CODE TREE

    7. Departmental and Institutional Codes

    Responsible Office: Accounting Office

    1. Request for Modification Process:

      2. For departmental specific project codes, requests for modification (addition, changes, or deletions) of a node or value on this tree are initiated with the submission of a completed request form to the Accounting Office for review and processing by the Tree Manager (see form 5). The department MSO (or equivalent position) must approve requests for new Cost Centers prior to submission to the Accounting Office. Requests will contain the following information:
      • Suggested Project Code
      • Suggested Project Title
      • Associated Activity Codes
      • Effective Date-Begin
      • Effective Date-End (Optional)

      For Institutional or Organizational project codes, requests for modification (addition, changes, or deletions) of a node or value on this tree are initiated with the submission of a completed request form to the Accounting Office for review and processing by the Tree Manager (see form 6). Institutional or Organizational project codes should only be requested by Organization CFOs or Central Offices. Requests will contain the following information:

      • Suggested Project Code
      • Suggested Project Title
      • Associated Organization or Division Codes
      • Effective Date-Begin
      • Effective Date-End (Optional)
    2. Review Process:
      3.

      As departmental specific codes are without corporate or institutional value, proposed codes and titles will only be reviewed, and changes will only be made, to the proposed values as deemed necessary to maintain consistency in the general format and uniqueness in the actual codes/values.

      For Institutional or Organizational project codes, proposed codes and titles will be reviewed, and changes will be made, to the proposed values as deemed necessary to maintain corporate value, consistency in the general format, and uniqueness in the actual codes/values.

      The Tree Manager will file the request form and ensure that approved modifications to the tree are made.

    3. Notification Process:

      4. The Tree Manager will provide notification based upon the nature of the project code.

      For departmental specific project codes, the requestor and departmental MSO will be notified when the requested modification has been made.

      For Organizational project codes, the Organization’s CFO will be notified. The organization is responsible for notifying its departments that a modification has been made.

      For Institutional project codes, the notification will be made via a list serve generated e-mail to all UCRFS users. In addition, all modifications will be posted to the UCRFS web page.

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