april 15, 2014 research administrators workgroup
DESCRIPTION
April 15, 2014 Research Administrators Workgroup. Agenda. Announcements / Updates LOC Change to Subaccounts Research Application Security (RAS) utility Personnel Management Project Q & A – All. Announcements/Updates. Partners Research Management Training Update. - PowerPoint PPT PresentationTRANSCRIPT
April 15, 2014Research Administrators Workgroup
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Agenda
Announcements / Updates
LOC Change to Subaccounts
Research Application Security (RAS) utility
Personnel Management Project
Q & A – All
Announcements/Updates
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Partners Research Management Training Update
Upcoming Training Courses
Data Use Agreements
Apr 21st 9AM-12PM Federal Research Policy
Apr 28th 9AM-12PM Fund Monitoring and Portfolio Management
Apr 28th 1PM-4PM Introduction to Research Management
May 5th 9AM-12PM Research Management Career Panel Discussion (See Course Catalog for list of
panelists)
May 5, 1PM-3PM
Register for courses through PeopleSoft Self-Service.
Instructions can be found at the bottom of the RM Course Catalog Home Page. RADG/
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McLean Effort Reporting Status Update (as of 4/11/2014)
Any Questions? Ask the Effort Reporting Team! [email protected]
INITIAL NOTIFICATION• April 1 – Primary Effort Managers (cc: Dept Admin) for investigators who had an ECF generated
EMAIL REMINDERS• April 10 – Reminder to Primary Effort Managers for investigators who had an ECF generated so that investigators have enough time to certify
• April 15 – Reminder to Primary Effort Managers and Investigators who don’t have their forms completed
• April 25 – Final reminder to Department Administrators, Primary Effort Managers, and Investigators who don’t have their forms completed
DEADLINE• April 30 – Deadline for effort reports return (marked as completed in Insight)
ESCALATION• May 15 – Chief, Dept Admin, Institutional Research Administrator, and Entity Compliance Officer
• May 30 – Entity VP Research, PHS VP of RM and RF, PHS Compliance Officer + everyone above
• June 16 – PHS VP Finance + everyone above
FY14 Pd1 Effort Certification Schedule
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Reminder Regarding NIH Fellowship (F32) Assurance Language for Mentors
To comply with NIH’s requirement regarding NRSA F31/F32 Fellowships applications, please cut/paste the paragraph below into an email from the Mentor/Sponsor to the Pre Award GA. Note that this does not apply to fellowship applications supported by funding agencies other than NIH.
As the Sponsor (mentor) to the Fellow named in this proposal, I certify (1) that the information submitted within the application is true, complete and accurate to the best of our knowledge; (2) that any false, fictitious, or fraudulent statements or claims may subject the us to criminal, civil, or administrative penalties; (3) that the as the Sponsor, I will provide appropriate training, adequate facilities, and supervision if a grant is awarded as a result of the application; (4) that the Fellow has read the Ruth L. Kirschstein National Research Service Award Payback and will abide by the Assurance if an award is made; and (5) that the award will not support residency training.
For further information see NIH GPS, 10/1/13, 2.3.7.6
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New Chief Scientific Officer
• Professor with Tenure, Department of Psychiatry and Behavioral Sciences, Emory University School of Medicine, Atlanta GA
• Investigator, Howard Hughes Medical Institute
• Dr. Kerry Ressler will start in August 2015
Update to New LOC Subaccount Payment process
Transition to New LOC Subaccounts
Operational Issues Meeting
April 8, 2014
Meeting Agenda
Introductions
Background of LOC Change
Keeping Current Fund vs. Setting up New Fund
FY15 Non-competing Renewals Impacted by the Change By Hospital By Chief Code
Review of Operational Issues
Next Steps
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BACKGROUND
Details of LOC Change to Subaccounts
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Significant Change in LOC Payment Requests for FY14 & FY15
During FY14 and FY15 the Federal Payment Management System (PMS) will transition the LOC payment request process from one that requests payment by a pooled total to one that requests payment by award document I.D. number (referred to as subaccounts) Current method: Pooled accounts (G accounts) – Hospital Pin # = 4
digits + G New method: Subaccounts (P accounts) – New Hospital Pin# = same 4
digits + P
Applies to grants from all DHHS agencies
Does not apply to DHHS contracts
Change affects new and competing continuation DHHS awards made on or after 10/1/13
Change affects non-competing continuation DHHS awards made on or after 10/1/14
All FY15 funding non-competing continuation awards will be issued as Type 4 awards (funded extension awards) during the transition year instead of Type 5’s, but will revert to Type 5’s in FY16
New document ID’s will be issued for the FY15 funding by the DHHS agency. The FY15 non-competing year award will be issued a doc ID that is different from the doc ID associated with the FY14 award. The last alpha character of the document ID will change from “A” to “B”
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The budget period end on the FY14 funding will be changed to the project end date when the FY15 award is issued
NIH is effectively separating the single competitive segment in to two shorter competitive segments. The FY14 funding becomes the final year of the first competitive segment
FSRs will be required for the first competitive segment
The change in project end date will be reflected in eRA Commons, but new Notice of Awards will not be issued for the FY14 award to reflect the change in project end date
Project start dates not changing
Applies to all awards, including fellowships. Fellowships don’t require FSRs. No FSR will be required for the end of the “A” segment but all funds should be drawn. No carryover of balances for fellowships will be permitted. Only one termination notice is required at the end of entire project period
New requirement for subaccount process: LOC must be drawn by 90 days after project end date. After 90 days, LOC requests will not be processed until the awarding agency has approved the payment request
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Significant Change in LOC Payment Requests for FY14 & FY15
Treatment of unobligated balances from the FY14 award to the FY15 award:
If automatic carryover, the amount of the unobligated balance reported on the FY14 funding FSR will automatically be carried over and added to the new subaccount
If prior approval is required, the unobligated balance reported on the FY14 funding FSR will automatically be transferred to the subaccount, but the PI will still be required to submit a prior approval request. If approved, a new Notice of Award will be issued reflecting the carryover and the amount will be reflected in PMS
Unliquidated obligations not allowed on the FY14 funding FSR
Unobligated balances in excess of 25% will be subject to scrutiny by the GMO. GMO’s may determine that some or all of the unobligated balance is not necessary to complete the project and may restrict the grantee’s authority to automatically carry over unobligated balances in the future, use the balance to reduce or offset NIH funding for a subsequent budget period, or a combination of the above
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Unobligated Balances
NEW DOCUMENT ID NUMBERS
Keep Same Fund Number vs. Setup New Fund Number
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Advantages to keeping the same fund number No need to change fund numbers in interfacing systems No EDC’s, PO’s, EDI accounts or patient care accounts need to be changedDisadvantages to Keeping the Same Fund Number More than one Doc ID# for each fund number. Will require a custom in
PeopleSoft to maintain Doc ID history Need to track budget, PMS authorized amount, contract limit, expenses,
reported FSR amount and revenue drawn by old and new Doc ID – customs Expenses pertaining to each Doc ID segment need to be drawn under the
applicable LOC Pin, i.e. expenses for Doc ID “A” need to be drawn under the “A” Pin and expenses for Doc ID “B” need to be drawn under the “B” Pin
Pin is at the sponsor and business unit level. New funds will default to the new Pin number when pushed to PeopleSoft. Existing funds will need to manually be changed to the new Pin when switched to the new Doc ID
When to change from the A Pin to the B Pin? There’s no clean cutover. Expenses posting after the budget end date that should be drawn on A, might systematically be drawn on B or vice versa. Will require complicated credit and rebill procedures by the LOC team in order to draw under the correct Pin
Consider using NOBILL custom for LOC funds. Would require detailed reconciliation of expense line by expense line to determine which LOC Pin to draw under.
Need additional PeopleSoft queries in order to capture customs17
Keep The Same Fund Number
Advantages to Setting up a New Fund Number Fewer customs needed Segregation of expenses by Doc ID and Pin facilitates correct LOC draws Improved compliance Expenses that post to the old fund number/old Doc ID that belong on the
new fund/Doc ID, can be transferred to the new fund via the standard cost transfer process. LOC revenue is corrected without extra credit/rebill steps. Using our systems as designed facilitates clean data and neat reconciliations
Use advance funds to accumulate expenses under the correct Doc ID. We won’t be able to draw on the new fund until the NGA is received, but expenses will accumulate under the correct LOC Pin
No manual reconciliation required in order to draw under the correct Pin. Contract limit in PeopleSoft will equal the PMS Authorized Amount
Disadvantages to Setting up a New Fund Number Will require more work by RM to setup advance funds Initial inconvenience to Research Community EDC’s, PO’s, EDI accounts and other interfacing data will need to be
updated with the new fund number in advance of the FY15 start date Tracking of 1st $25K of subcontract expense subject to OH may span both
fund numbers if not fully realized on the old fund. Insight budgeting issue for the 1st $25K of expense
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Setup a New Fund Number
The advantages of setting up a new fund number and
the disadvantages of keeping the existing fund number
led us to conclude that the best decision from a compliance, systems
and data perspective was to setup new fund numbers for the
new Doc ID’s
While this will be an inconvenience in FY15, the transition year, it is a one year issue
Keeping the same fund number will be an inconvenience for the remainder of the project period. It becomes a multi year issue
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Decision
FY15 NON-COMPETING RENEWALS IMPACTED BY THE
CHANGE
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FY15 Renewals Impacted by Change
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Total Number of Funds
Total Number of FSRs (Awards)
Routine Annual FSRs Included in the Total
Total Number of FSRs in Excess of Normal
Volume
BWH 378 280 43 237
MGH 488 354 50 304
MCL 48 48 1 47
SRH 3 3 0 3
917 685 94 591
BWH FY15 Renewals by Budget End Date
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BWHTotal Number of
Funds Total Number of FSRs
(Awards) Routine Annual FSRs Included in the Total
Total Number of FSRs in Excess of Normal
Volume
October 0 0 0 0
November 31 18 4 14
December 15 15 0 15
January 12 12 0 12
February 11 11 0 11
March 38 34 2 32
April 33 31 3 28
May 45 30 5 25
June 108 64 19 45
July 50 39 5 34
August 34 25 5 20
September 1 1 0 1
378 280 43 237
MGH FY15 Renewals by Budget End Date
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MGHTotal Number of
Funds Total Number of FSRs
(Awards) Routine Annual FSRs Included in the Total
Total Number of FSRs in Excess of Normal Volume
October 1 1 0 1
November 15 14 0 14
December 30 18 3 15
January 17 11 3 8
February 27 21 1 20
March 58 52 2 50
April 52 38 8 30
May 55 49 2 47
June 105 62 16 46
July 76 50 7 43
August 51 37 7 30
September 1 1 1 0
488 354 50 304
MCL FY15 Renewals by Budget End Date
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MCLTotal Number of
Funds Total Number of FSRs
(Awards) Routine Annual FSRs Included in the Total
Total Number of FSRs in Excess of Normal
Volume
October 1 1 0 1
November 4 4 0 4
December 0 0 0 0
January 4 4 0 4
February 4 4 0 4
March 10 10 0 10
April 7 7 0 7
May 6 6 0 6
June 7 7 0 7
July 2 2 0 2
August 3 3 1 2
September 0 0 0 0
48 48 1 47
SRH FY15 Renewals by Budget End Date
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SRHTotal Number of
Funds Total Number of FSRs
(Awards) Routine Annual FSRs Included in the Total
Total Number of FSRs in Excess of Normal
Volume
October 0 0 0 0
November 0 0 0 0
December 1 1 0 1
January 0 0 0 0
February 1 1 0 1
March 0 0 0 0
April 0 0 0 0
May 0 0 0 0
June 0 0 0 0
July 1 1 0 1
August 0 0 0 0
September 0 0 0 0
3 3 0 3
Research Application Security (RAS) utility
Research Application Security (RAS) utility Data Reconciliation
Security Levels Key Giver Role
.
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On March 28th the Partners Research Applications group released a new application which allows individual departments/divisions to self-administer user security for Insight and InfoEd applications.
Research Applications Security (RAS), is
accessible to all Partners Healthcare users inside and outside of the firewall so users can request access whatever their location and the application can be accessed via links found in the Log-in pages of both Insight and InfoEd.
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“Key Giver” This role has some specific responsibilities for
managing and maintaining the security access privileges related to the Insight and InfoEd applications. You will automatically be defaulted into the role as an approver for RAS requests.
If you feel that this designation is not correct for you please contact the Research Applications Group Help Desk ([email protected]).
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RAS Background
Historically - security requests Insight (230 per month) InfoEd (122 per month)
Aggregation of permissions across departments and applications Decreasing the variability
Give control and annual audit responsibility to departments/divisions *Central RM users are out of scope for the time being
Sub-Committee Initiative & Priority Working group involvement from both BWH &
MGH30
Data Reconciliation
Research Application Security Levels By Dept/Div (COS Code) PI Portfolio / Admin for PI
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Security Level
Brief Description (security by Org level or PI Portfolio)
Level 1 Insight: View access all modules and proposals within dept/div. Manage Notes; Effort Reporting = SupervisorInfoEd: View & Create Proposals
Level 2 Insight: View access all modules and proposals within dept/div. Effort Reporting = Chief/ChairInfoEd: View & Create Proposals
Level 3 Insight: Edit Purchasing, Humans, Animals & Biosafety. InfoEd: View & Create Proposals
Level 4 Insight: View access for Agreements, Purchasing, Humans, Animals & Biosafety.InfoEd: View & Create Proposals
Special Permissions at Levels 1 & 2 Insight – View Patient Care data Insight – View Salary data
Data Reconciliation
Analysis of existing users Based on current access rights, place users a
security level (1-4) Aggregate Insight and InfoEd users so that all
users have both Insight and InfoEd access Excludes Record Level Security Risks
Users may have more/less security access after reconciliation
Key Giver Role One or multiple Key Givers per dept/div (COS
code) Responsible for approval of security role request Access to audit reports to manage dept/div
security access to be reviewed annually 32
For more information
RAS User’s Manual CLICK HERE
Questions or concerns about this new utility please feel free to contact the Research Applications Help Desk ([email protected])
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Thanks to all testers & reviewers!
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Department/Division Tester
MGH Anesthesia Marilyn Chin
MGH Cardiology Alisa Speckmann
MGH Molecular Biology Donna Smith
MGH Radiology Eileen O’Brien
MGH Psychiatry Christiana Semper
Department/Division Tester
BWH Cardiology Joe Niola & Jason Woodford
BWH Medicine Rob Kirsch
BWH Neurology Joyce Morin
BWH Surgery Dan Salvati
Personnel Management Project
Incorporation of Prior Approval Required Data Prior Approval (InfoEd)
Post-GAs will now be able to select Yes or No for Prior Approval required to reduce effort greater than or equal to 25% of the committed effort on all Federal awards
All Key Personnel that were proposed will flow into the NOA Key Tab in InfoEd Automatic Default to Yes for PI’s Federal funds (fund codes 070 and 071) excluding
agreement type subcontracts Automatic Default to a blank answer for all other proposed Key Personnel. The
Post-GA is to determine if any of the Key Personnel are named on the NOA at new award and renewal stages
All other award types will default to No for all personnel in the NOA Key tab in InfoEd
Prior Approval (Insight) The Prior Approval information will feed over to Insight nightly to the Salary Details
page as well as the high level view of the Salary Overview page In addition to the Prior Approval column, a Budget Paid to Date column was added
Benefits No more looking through NOAs Future Addition to the Effort module logic which will reduce flags 37
Incorporation of Prior Approval Required Data
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Insight
InfoEd
Updates to the Other Support Page including Major Goals
Major Goals (InfoEd) DA’s, DA’s with approval and PI’s will be able to edit the Major Goals once the
proposal is in “Pending Sponsor” status Edit capabilities will now be available on the Summary page with a “Real Time”
update to Insight Must be in PT to update Updated Major Goals available immediately for Other Support reporting form
in Insight
Other Support (Insight) Other support Tab has been moved to the Agreements Section Can be run at any time to reflect the Major Goals
Benefits Consistent Major Goals on Other Support No Need to Keep multiple versions of Other Support Real Time report, Major Goals in Other Support = data in InfoEd
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Updates to the Other Support Page including Major Goals
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Updated to the Other Support Page including Major Goals
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Updated to the Other Support Page including Major Goals
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