Faculty Research Guide for Finance, Budget & Procurement Fundamentals

Welcome – Tim O’Donnell,  Provost

Panel Introductions:
Pamela Taggert, Executive Director of Budget and Financial Analysis
Kate Wheeler, Budget Analyst
Julie Smith, Associate Vice President for Finance and Controller
Lauren Bass, Accounts Payable Manager
Melva Kishpaugh, Director of Procurement Services
Ann Hodges, UMW Foundation Senior Accountant
Rebecca Armstrong, UMW Foundation Assistant Vice President for Finance and Accounting

Break 10:30 am-10:40 am

Q&A’s are encouraged after each topic section
Closing Remarks – Tim O’Donnell, Provost

University Funding

The Office of Budget and Financial Analysis supports the university community in meeting its strategic and operational priorities by providing technical assistance and analysis in planning, administering, and monitoring the budget.

The Budget Office is responsible for preparing the university’s annual budget and making periodic changes/adjustments as needed. The budget is created, then uploaded to Banner’s Financial Module by the assigned FOAPAL. Operating budgets can include personal services, operating, and equipment.

The UMW operating budget is structured around four fund groups: Educational and General (E&G) Programs, Auxiliary Enterprises, Museums and Cultural Services, and Higher Education Research Centers. These sources are managed using the University Chart of Accounts.

The Chart of Accounts consists of six elements: Fund, Organization, Account, Program, Activity, and Location. The selected combination of elements, referred to as FOAPAL indicates where and how the transaction should be recorded.

A person or a department can be assigned multiple FOAPAL’s depending on the source of the funds they’ve been allocated.

Some individuals and departments may receive external grants or other funding that is outside the University’s operating budget. Elements for these funds are added as needed and are assigned a unique FOAPAL.

Funds Specific to Faculty for Professional Development and Research

Faculty 500

Faculty each receive $500.00 intended specifically for professional development.

The Faculty 500 is automatically distributed into each faculty member’s unique Organization code at the beginning of the academic year. Funds cannot be shared or distributed to Department operating budgets.

1111-Faculty Org-10460

Faculty Development Supplemental Grants

These grants are intended to supplement faculty that is not research related.

Funding is allocated and awarded independently by college through an application process.

CAS = 1552AS-Faculty Org-10460

COB = 1552B-Faculty Org-10460

COE = 1552E-Faculty Org-10460

Faculty Research Grants

These grants are intended to supplement faculty research.

Funding is allocated and awarded independently by college via an application process.

CAS = 1553AS-Faculty Org-10220

COB = 1553B-Faculty Org-10220

COE = 1553E -Faculty Org-10220

Undergraduate Research Grants

These grants are intended to support undergraduate student research with faculty sponsors.

Funding is allocated and awarded via an application process.

1557-Faculty Org-10220

Please contact Betsy Lewis, Director of Undergraduate Research, with any questions.

Banner SSB Budget Queries allow flexibility in budget viewing by a variety of levels.  Banner SSB is valuable for reviewing operational budgets by Organizational and Grant code hierarchy.  Query Tiles can be created by the user to save and organize various views for real time updates and transaction drill down.  Popular queries include those for department grants by individual or fund source.

Customized SharePoint reports are available to those with Finance access.  Popular reports are the Organizational Hierarchy report to assist with SSB queries, the Account code Hierarchy for understanding budget expense codes and the Payroll Detail Report that is used in coordination with the department’s budget for payroll expenses.

Training, Compliance and System Support is responsible for Banner finance securities and training for budget reporting and related questions.

UMW Foundation Funding
UMW Foundation funds are managed by the Foundation outside of  the Banner Finance module.  Questions regarding Foundation funds or project balances can be submitted on the UMW Foundation website: www.umwf.org Contact Us or by contacting  Ann Hodges, UMW Foundation Senior Accountant at: ahodges@umwf1908.org or  540-654-2080.

Foundation fund creation starts with the Donor Relations Director in Advancement and is coordinated with the Foundation. The Donor Relations Director will work with the requestor (usually the Chair or Program Director) to determine fund setup.  Some funds have terms with fiscal year budgets and restrictions that determine how the money can be spent, while others allow spending at the discretion of the Chair within donor restrictions. All funds are donor provided with accountability for use required.

Each semester, the Foundation meets with the Provost and Dean to review Foundation accounts and balances.  The Deans further disseminate the information to the Chairs.

Faculty and staff may request withdrawals and deposits using the Request for Foundation Funds form or the deposit Transmittal form. A credit card can be issued to an individual or checked out to use by contacting Ann Hodges.

When making purchases that are supported in part by Foundation funds, the purchase should be made through the University using state funds, state procurement procedures and state or university contracts then reimbursed by the Foundation. Use the Request for Foundation Funds  form to initiate reimbursement from the Foundation. Please work with the designated buyer supporting your department.

If your purchase is not allowed using State funds, then it must be made directly from Foundation funds. You’ll find more information regarding disallowed expenses on the Accounts Payable website.

External Grants and Funding
All proposals for grants, fellowships, contracts or agreement to provide services to be funded by any external entity require formal approval prior to proposal submission.  The steps involved in obtaining that approval, along with forms and information to help with your proposal and applications, are on the website at https://provost.umw.edu/grantsoffice/.

Please plan ahead and notify Julie Smith at jsmith23@umw.edu of your intent to apply, providing a link to the solicitation, at least three weeks before the proposal due date.

Faculty, Administrative Faculty and Adjunct Faculty can receive payment for special assignments via the Request for Special Payment form.  The form should be downloaded for completion and may be digitally signed prior to approval routing.  The payment will be included within the employee’s normal pay cycle and coded to Account 61139.  Please email completed forms to specialpay@mail.umw.edu. For Classified and Wage employees, bonus payments for exemplary and special project assignments can be requested via the Recognition Award Notice web form. The form is completed by the supervisor, then routes to Human Resources (HR) who will internally continue the approval process. Once the bonus pay is fully confirmed, HR will contact the supervisor and the employee.  In the Charge to section of the form use the department’s Fund, Organization and Program code and use Account code 61131.

These supplementary payments to faculty/staff should follow the same process if using UMW Foundation funding. In addition to the special payment form or recognition form submission, you must also submit a reimbursement request to Ann Hodges at UMWF using the Request for Foundation Funds form.  Please remember to include the University’s share of FICA (7.65%) in the requested total.  You will need to include payroll documentation and the reimbursement FOAP which should include Account 56420 and Activity UMWFND.

(Ex. Fund-Org-56420-Program-UMWFND)

The University recognizes the occasional need to hire or reassign an employee who will reside and perform their work outside the Commonwealth of Virginia.  Employees who work outside of Virginia subject the University to the others states’ laws and may result in additional insurance, taxes, compliance regulations, payroll requirements and costs.  Therefore, hiring or reassigning employees to positions outside of Virginia must be supported by an important University business purpose and not merely an accommodation for the employee.

To facilitate the process, the hiring department must notify the University of any prospective employment arrangements involving University employees working outside the state of Virginia by submitting an Out of State Employee Approval Form to Human Resources and Payroll.  The form should be submitted at least 60 days prior to the desired start date. This deadline is necessary to ensure that the University is compliant with the related laws and regulatory requirements of the other state. Notification of less than 60 days prior to the desired start date may result in financial or legal penalties to the University and a delayed start date for the employee.

The hiring of employees out-of-state may necessitate that the University retain the services of outside consultants to assure compliance, and in some cases, liability for employment and benefit related issues.  These costs will be charged to the department.  Failure to report out-of-state employees to the University in a timely manner may also result in the assessment of other penalties by the other state or country, which will also be assessed to the assigning department.

The University is not legally allowed to hire employees to work outside the United States. In order to do this, UMW would have to contract with a third party to act as an employer of record (EOR).  EORs add another layer of compliance and cost to the University.  At this time, UMW does not have an EOR contract.

If you’re hiring someone currently living out-of-state who plans to move to the area, be aware that the University does not offer a moving and relocation allowance. To discuss other transition incentives, contact Human Resources.

When considering student employment, start with the Tasks & Support page posted by Financial Aid. The Hire a Student Employee provides step by step guidance on budgeting, posting the job, interviewing, contracts and stipends. Review the Supervisor Information page for student eligibility, the hiring process, work hours, paperwork and related payroll details.

Please note, students cannot be paid directly from the UMW Foundation. If using UMW Foundation funding for student wages, please follow the same student employment policies using your individual Faculty Org code and Program code 10460 as the FOAP to charge on the SEMPL form.  You will also need to submit a Request for Foundation Funds form to Ann Hodges at UMWF to reimburse the student wages. You will need to include payroll documentation and the reimbursement FOAP which should include Account 56420 and Activity UMWFND.

(Ex. 1111-Faculty Org-56420-10460-UMWFND)

The university’s payroll and leave tracking system is called MyTime.  Instructional materials are available on the website and personal training is available upon request.

The source of funds can dictate proper use of funds, to include what can and cannot be purchased and use of the appropriate charge card. The cost of a purchase is also a factor which may dictate the procurement method as well as the length of the procurement process.
University Funding

The UMW Procurement Services Team, comprised of Contract Officers, Senior Contract Officers, and a Small Purchase Charge Card (SPCC) Program Administrator & Procurement Analyst, and led by the Director, is responsible for managing the process of acquiring goods and services for the University.

Procurement Services assists the University community in the procurement of all goods and services, and ensures that all procurements are carried out in an effective, economical, fair and impartial manner, and remain subject to the laws and regulations of the Governing Rules, the Commonwealth of Virginia Purchasing Manual for Institutions of Higher Education and their Vendors, and any applicable University Policies and Procedures, regardless of fund source. UMW Procurement Services must also promote opportunities for all businesses, particularly small, very small (micro) or disadvantaged businesses.

The UMW Procurement Services team:

• works directly with departments, and their educated buyers to advise and inform on procurements,
• manages small purchases, and those which require a formal solicitation process,
• maintains alliances and professional memberships for the benefit of UMW,
• reviews eVA requisitions for approval,
• purchases technology and equipment,
• reviews, signs, and otherwise manages contracting for the University,
• manages the small purchase charge card program,
• assists UMW Contract Administrators to manage over 500 University contracts, and;
• coordinates outreach /educational opportunities for University employees and businesses.

Authority to sign contracts for the University is delegated by the University President, and may be further delegated, through Procurement Services.  Contracts signed by individuals on behalf of the University who are not authorized to do so may be voidable.

Charge Cards are highly regulated by the Commonwealth of Virginia and the University.  Transactions are regularly reviewed by UMW Internal Compliance and audited by the Commonwealth at their discretion.  Cards are issued for either State or Local fund procurements.  The procurement office manages the State, or Small Purchase Charge Card ” SPCC” program.  The Accounts Payable office manages the Local, or UMW Finance Card program.

Compliance and audit ensure that proper procurement and payment methods are followed and regulations such as those for disallowed expenses, food, gifts and clothing  are supported by our cardholders.

The SPCC
Department Office Managers  (or designated buyers) responsible for procuring goods and services using state funding sources are issued the Small Purchase Charge Card (SPCC) in their own name.
Individuals who hold an SPCC are required to adhere to a myriad of University and state rules and regulations. There is a high level of responsibility for these Cardholders to ensure each purchase is compliant, including maintaining a complete card file with all supporting documentation for each transaction made. Therefore; it is imperative that all members within a department go through their designated Office Manager for all purchases and payments before a purchase or payment is committed.  Additionally, the card may be entered into eVA, the state’s e-procurement system, for required electronic purchases, and transactions are managed via the Bank of America’s WORKS system by the buyer and designated transaction approver.

Training and forms are required to be completed prior to card issuance and compliance is required for continued use of the card. A variety of resources are available on the Procurement website for SPCC Cardholder to guide them through the many aspects of this part of their job.

The UMW Finance Card
UMW obtained an exception from the Department of Accounts (DOA)  for use of the UMW Finance card.
The UMW Finance Card may be issued to department buyers responsible for procuring goods and services using local funding sources.  Office Managers holding a card in their own name will enter the card into eVA for required electronic purchases. Transactions are managed via the WORKS system by the buyer and supervisor.

The card may also be issued to faculty for non-regulated eVA procurements and in rare exception, to departments for centralized and controlled management for student check out.

For Individuals or departments without use of a card, the UMW Finance Card may be checked out from the Cashiers Office Window in Lee Hall for student travel or business meal needs.  Transactions are managed via the Works system by the Cashiers Office and the AVP/Controller of Finance.

Food
If a human is consuming the food, you must have a Business Meal and Food Approval Form (BMF).

In addition:

• The BMF form is required prior to the meal,
• Allowable rates are based on meal type and location and;
• A detailed itemized receipt is required

Procurement regulations apply and are incorporated into the Business Meal and Food Guidance website. The Food Purchase Guidance table details the food requirements for on and off campus dining, catering, appropriate card use and procurement guidelines.

Travel
A good starting point for travel is the Accounts Payable website: https://adminfinance.umw.edu/ap/travel-2/

Travel Pre-Approvals and Reimbursements
The Emburse Enterprise system is managed by the Accounts Payable office for online travel pre-approvals and reimbursement requests for employees, students and guests.  All employees have access to Emburse Enterprise via single sign on.    When travel reimbursements are necessary for students and guests, employees must first direct them to the online questionnaire.  Completing the questionnaire does not allow the student or guests to access Emburse Enterprise, it allows the student and guest information to populate in Emburse Enterprise so employees may enter requests on their behalf.

• • Knowledge of FOAPAL is necessary for completing the necessary fields within the system.
  • Video and FAQ’s are posted that include travel questions specific to faculty concerns.

Reimbursements for non travel related expenses will also be managed via Emburse Enterprise.
Non-travel reimbursement should be the exception. All purchases with UMW funding sources must follow procurement regulations, mandatory contracts, and/or eVA entry.

Direct Deposit is required for all employee reimbursements.
Direct questions to mailto:payables@umw.edu or mailto:ltemple@umw.edu

The Commonwealth of Virginia is self-insured. The state’s Public Liability Risk Management Plan is administered by the Department of the Treasury, Division of Risk Management (DRM). As an agency of the Commonwealth, UMW is under this plan.  DRM has final responsibility for interpretation and determination of the protection under the Plan.
DRM is not an insurance company and the Risk Management Plan is not insurance.  University Risk Management is located within the Office of Budget and Financial Analysis. https//adminfinance.umw.edu/budget/risk-management/.

Email risk@umw.edu or call Pam Taggert (540) 654-1018

Risk Management should be contacted for all matters related to:

• Automobile Liability
• Property Loss
• General Liability
• Professional and Medical Malpractice Liability

Employee accidents and Workers Compensation should be directed to Human Resources.

Submit requests for Certificates of Coverage-https://adminfinance.umw.edu/budget/risk-management/certificate-of-coverage/

Links to these resources will soon be available under the “Quick Links” menu at umw.edu/in

https://adminfinance.umw.edu/tess/files/2025/08/AAE-and-Foundation-Resources-One-Pager-1.pdf