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ENPET: Justification Prompts and Responses for High Risk
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Summary: When you submit an ENPET, you might receive one or more justification prompts if your ENPET is high risk. Read the information below for examples of common high risk prompts, as well as related responses. |
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Justification prompts appear for either or both of the following reasons:
- To provide an adequate explanation for transferring expenses by answering the following questions:
- How did the error occur?
- What is the benefit to the "To Fund"?
- What action is being taken to prevent recurrences of this problem?
- What is the method used to prorate when a portion of an item is transferred?
- To analyze the transaction for high risk conditions. If high risk conditions exist, the ENPET system provides the user with a justification prompt describing the condition and requesting specific information about it.
The two types of information above combine to render a complete justification for the ENPET.
The prompts and responses provided below are examples only. They cannot be used verbatim in a response because each justification must relate directly to the facts of the risk condition.
- Prompt: Transaction date is outside of the "To Fund" project period. Please ensure that your explanation adequately describes why the transaction date is outside the "To Fund" project period.
Example response:
The transaction date for this FDP award is prior to the "To Fund" project period. The PI received an authorization from the funding agency to incur expenses beyond the 90-day pre-award spending limit while a renewal is being reviewed/ negotiated. The PI anticipates the renewal will be fully executed within the next month.
- Prompt: This transfer does not meet the federal standards for timeliness. Please explain why this transfer exceeds the allowable time limit for transferring expenses.
Example response:
Despite a timely review of the accounting ledgers, the related expense was erroneously charged to the "From Fund" and the error was not caught until now. The expenses, however, are the direct result of the experiment. The animal housing costs are related to the project. We will make every effort in the future to more closely reconcile our ledger expenditures to departmental records.
- Prompt: The "To Fund" is in overdraft. Please explain why this expense is being transferred to a fund in overdraft.
Example response:
The incremental funding for Dr. Jones' ONR award was just recently received and is pending allocation. Once allocated, this award will have sufficient funds to cover these expenses. Dr. Jones has confirmed that these expenses were directly related to the project being charged.
- Prompt: The "From Fund" is in overdraft and the "To Fund" is federal. Please explain how this transfer directly supports the project.
Example response:
The PI's Federal-Flow-Thru award from XYZ State University was initially issued as a 3-year grant. He did not anticipate that the next year's incremental funding would be awarded under a different document number. He continued spending on the index/fund assigned to the first year. This ENPET will move the costs recorded on the first year (sub-fund A) to the current year (sub-fund B). These expenses support the furtherance of the same research effort and project scope; only the fund/ index changed.
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The lab assistant referenced the wrong index number when ordering supplies, thus putting the fund into an overdraft. This ENPET will transfer expenses to the fund that should have been charged initially. The supplies were used for the PI's research project, "interplanetary scintillation observations."
- Prompt: An erroneous E code for the account code on the "To Fund." The account code on the ENPET doesn't comply with federal regulations that govern the fund receiving the expense transfer. Please identify a "To Fund" that can accept the transfer.
Example response:
Need to provide a non-E code account. Otherwise, no justification is necessary as the ENPET process stops at this point.
- Prompt: A terminating federal award is involved. Please explain the need for this transfer and how it directly supports the federal award (To Fund) within 30 days of its termination.
Example response:
Our PI invited his collaborator from ABC State University to assist and consult in the setup of a major piece of equipment used to accumulate and record data for the research conducted on fund 12345A. When the travel voucher was prepared, the PI gave the wrong accounting information to the secretary, resulting in the incorrect fund source being charged. The error was not discovered until review and reconciliation of the monthly ledgers, which was delayed due to other departmental priorities. This transfer is to correct the erroneous recording and move the travel expense to fund 12345A, which received the benefit of the equipment setup and consultation service.
Questions? See OPAFS Contacts.
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