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Research Administrators Forum

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Administration

Marcia SmithAssociate Vice Chancellor

May 10th, 2011

Agenda Welcome and Announcements - Marcia Smith RAPID Effort Reporting Workgroup Status Report

– Maurice Taylor and Shannon McGarry• Current Deadline and Metrics

Research Policy and Compliance Update – Ann Pollack• PHS COI Regulations

OCGA Initiatives and Updates – Patti Manheim• Intake Team Metrics • EPASS – Extramural Proposal Approval and Submission Summary

• Award Snapshot

RAPID Proposal and Award Tracking System (PATS) Project Update and Go-Live

– Michelle Leonard and Gloria Su RAPID Post Award Management System (PAMS)

Project Update and Demonstration-- Raellen Man, Jennifer Aguilar, Jessica Lee, Allison Philabaum

Effort Reporting Metrics

As of the 4/13/12 Certification Deadline

On-time Completion Rates for Service Period:

Spring 2011 & Summer 2011 74 Percent & 73 Percent

Open Reports 5,253 open reports out of 131,202

On-time Completion Rates for Prior Service Period:

Fall 2010 & Winter 2011 73 Percent & 68 Percent

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Effort Reporting Metrics

As of 5/09/12 Completion Rates at UCLA

89% certification rate on Campus Open Reports

16,989 open reports out of 156,641

Fall 2011 and Winter 2012 are available!Certification is due July 30th, 2012

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Ann PollackAssistant Vice Chancellor – Research

May 10, 2012

Revised Public Health Service Regulations

Quick review: • Intended to increase accountability, add

transparency, enhance regulatory compliance and effective management of financial conflicts of interest and strengthen governmental compliance oversight

• Increases disclosure, review and reporting requirements

• Requires an initial disclosure that must be updated within 30 days of acquiring or discovering any new significant financial interest, and at least annually


• Adds an education/training requirement

• Expands reporting requirements

• Adds a new public accessibility requirement

• Adds new monitoring requirements


• Require that investigators disclose SFIs that are related to their institutional responsibilities

• Require that UCLA engage in a two-step review of disclosed financial interests to determine: if any disclosed significant financial interest is related

to the PHS research (could be affected by the research or is in an entity that whose financial interest could be affected by the research), and then

if any disclosed significant financial interest constitutes a financial conflict of interest

What Are Significant Financial Interests?

• Anything of monetary value related to the investigator’s institutional responsibilities including but not limited to:

Salary or other payment for services and the value of equity in a publicly traded entity >$5,000 over the past 12 months

Salary or other payment for services >$5,000 or any equity in a privately held entity over the past 12 months

Intellectual property rights (e.g. license fees or royalties) paid by any entity, other than UC, upon receipt of income related to such rights (>$5,000 in the past 12 months)

Travel of any $ value paid for, or reimbursed by, an outside entity

Institutional Responsibilities

“For the purposes of this policy, the term institutional responsibilities is defined as teaching/education, research, outreach, clinical service, and University and public service, on behalf of the University of California performed in the course and scope of the investigator’s UC appointment”

(UC and UCLA definition)

What Is a Financial Conflict of Interest?

“ …a significant financial interest that could directly and significantly affect the design, conduct, or reporting of PHS-funded research.”

(PHS regulations)

Review Process

Progress Since March• PHS contracts and grants will be phased in:

• The regulations will affect PHS awards made on or after August 24, 2012

• The regulations will affect proposals submitted on or after August 24, 2012

• Ongoing awards will become subject to the revised regulations as progress reports, competing renewal applications, proposals for supplemental funding or requests for no-cost time extensions are made on, or after August 24, 2012

Progress Since March (continued)

• UCLA Policy 926 “Public Health Service Regulations on Objectivity in Research” drafted

• Developing content for a short education/training program that briefs PHS investigators on: UCLA’s Policy Investigators’ Disclosure Responsibility The PHS COI regulations

• Planning to embed the training/educational program into the web-based disclosure system

Development of an E-Solution

• Working with Huron's Click™ Portal to customize the Conflict of Interest Module starter site

• Designing smart forms for initial disclosure and required updates

• Working with OCGA and OIP-ISR to develop processes for exchanging critical information

Naming the E-Solution

• Considered (and rejected)

eCOI Financial Interest Disclosure System (eFIND) eGAD or eGADs Styx

• We need your good ideas

Contact Information

Ann PollackAssistant Vice Chancellor – Research 310-794-0387 or [email protected]

Claudia ModlinCoordinator, Research Policy and Compliance310-794-2642 or [email protected]

mailto:[email protected]

mailto:[email protected]

Patti Manheim, DirectorMay 10, 2012

Today’s Updates

• EPASS • Award Snapshot• Award Intake Team Metrics

• Fillable PDF• Drop-down Menus for

Ease and Consistency of Data Entry

• Hyperlinks to Policies, Procedures, Additional Forms, and Responsible Offices/Contacts

• Electronic/Email Signatures Accepted

EXTRAMURAL PROPOSAL APPROVAL AND SUBMISSION SUMMARY “EPASS”

• Logical data groupings with Major Headings

EXTRAMURAL PROPOSAL APPROVAL AND SUBMISSION SUMMARY “EPASS”

EPASS SectionsExpanded Data Elements Provide Better Reporting Capabilities Back to the Campus Research Community:

• Affiliations with Centers and/or ORUs, Employee ID

EPASS SectionsExpanded Data Elements:

• New Categories Added for Actions Related to Existing Awards

• Award, Program and Proposal Type Drop-downs Updated to Match PATS System

• Added Special Program Types (i.e., Limited Submission and Non-monetary Agreements


• FOA/RFA/RFP# - search Parent R01s• Prime FOA# and Sponsor Name for Incoming Subawards• Deadline Type (postmark, receipt, electronic) and Time


• International Collaborators• Cost Sharing/Matching• Information Technology Summary

EPASS Sections

New/Updated Compliance Information: • Biohazard• HESC Research• Biological Materials

EPASS Sections

New/Updated Compliance Information: • Foreign Involvement Related to Export Control

Regulations

EPASS Sections• Excluded Direct Costs ($)

EPASS Sections• Signature Certification Clause – Allows for

Elimination of Separate PHS PI Signature Form

PI/Co-PI CertificationThe Investigator(s) certifies to the following: (1) that the information submitted within this application is true, complete and accurate to the best of their knowledge; (2) that any false, fictitious, or fraudulent statements or claims may subject the Investigator(s) to criminal, civil or administrative penalties; (3) agrees to accept responsibility for the scientific conduct of the project and to provide the required progress reports if a grant is awarded as a result of the application; and (4) that you are not currently debarred, suspended or ineligible to receive federal or non-federal funds. When multiple Investigators are proposed in an application this assurance must be obtained by all named Investigators.

• Available on ORA Online Resource Center and OCGA Website by June 1, 2012.

• Electronic Signature(s) Acceptable.• Send as an Attachment PI/Chair/ORU

Director/Dean as cc on Email.• Mandatory with All Proposal Applications

September 1, 2012.

EPASS Form

Award Snapshot• Sleek, Organized Format• PI Information Displayed First• Immediate Actions Required Listed Prominently

• Award Demographics Show Current Status of All Award Years

• Subawards – Both Proposed and Awarded Listed

Award Snapshot

Award Snapshot• Protocol Information Grouped Together• All Financial and Non-financial Deliverables Listed

Together

Award Snapshot

• Central Contact Information Listed at the Bottom

Award Snapshot

• Advantages: User friendly Information and Format Single Page Expedited Processing Sleek look and feel

• Available beginning June 18, 2012

Award Intake Process

Benefits of Expedited Award Process:• Quicker Access to Funds.• Timely and Consistent Communication at Key

Process Points: Award Received Award Set-up Complete

• Accountability• Key Data to Understand: Where an Award is in the Process? What is Holding up Activation?

• Reduction of Retroactive Transactions due to Late Account Set-up.

• Intake Team has Processed Over 1,000 Awards to Date.• The Turnaround Time for Expedited Awards has

Improved by Over 70% When Compared with Pre-Intake Team Levels.

18 Business Days

5 Business Days

0

2

4

6

8

10

12

14

16

18

20

Expedited Unilateral Awards

Non-Pilot Awards Processing Timelines

Pilot Awards Processing Timelines

Award Intake Process

Award Intake Process• Awards are Processed About 6 Days Faster When All

Documents are Present.

10 Business Days

3.9 Business Days

0

2

4

6

8

10

12

Expedited Awards

Awards with Missing Documents

Awards without Missing Documents

Award Intake Process• The Most Common Documents that are Missing From the

File are Conflict of Interest Forms and a Fully-Authorized Goldenrod.

• 20% of Expedited Awards Currently in Process Have Been Outstanding Over 30 Days – 3 Have Been Outstanding Over 80 days.

QUESTIONS?

Thank You for Helping Us to Help You!

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Proposal and Award Tracking System (PATS)Project Update

Research Administrators ForumMay 10, 2012

Project Objectives

Improve usability of UCLA’s proposal and award tracking system Address current system limitations and challenges Expand data collection Implement a new data structure to improve

reporting capabilities Clean up data to address inconsistencies created

by changes in functionality over years of use

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Project Team

ORA: Marcia Smith, Dan Newbower OCGA: Patti Manheim, Cindy Gilbert ORDM: Rory Constancio ORIS: Jackson Jeng, Gloria Su, Michelle Leonard,

Igor Castellanos, Linda Suryani, Wai Fok Huron Consulting Group: Jenna Lee, Phil Infurna Leadership Involvement/Policy Enforcement (LIPE) and

Faculty Advisory Committee (FAC)

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What’s in it for me?

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QDB: Other UCLA Systems (FS, Payroll)

What’s in it for me?

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Expanded and

improved reporting

capabilities

Consistent, streamlined

business processes

Expedited award set-up

New and improved

Award Snapshot

Where are we?

May, 2012 Issues resolution Training Downstream systems development and testing Preparing for Production implementation

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Questions?

[email protected]

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Project Update & Sneak PeekJessica Lee, ORISJennifer Aguilar, EFMRaellen Man, Dept of MedicineAllison Philabaum, PAMS Business Analyst

5/10/2012 1May RAF PAMS Update & Sneak Peek

Agenda

PAMS Update−What is PAMS?−How PAMS Improves the Current Process−Is PAMS Duplicating Functionality?−Is PAMS the Financial System of Record?−PAMS Accomplishments, Current Activities, Next Steps

PAMS Sneak Peek

Q&A


What is PAMS?

Post Award Management System A web-based system Used by Departments and EFM To efficiently review expenses, develop invoices and

reports, and interact in REAL TIME. Replace shadow systems and manual processes


DEPTS EFM

SPONSOR

How PAMS Improves the Current Process

Automate

Standardize

Digitize


Improve the Current Process: Automate Review process used by depts and EFM: −Expenses outside the budget/project period for salary−Salary over the cap−Administrative salaries (new with PAMS)

F&A reconciliation for depts and EFM in real time and projects F&A expenses for journals

Workload report: prioritizes by financial report & invoice due dates to improve dept and EFM accountability

Auto-populate fields for journal creation (e.g., unallowable or unsupported transactions)


Eliminates multiple department shadow systems and manual processes

Facilitates standardization across dept and EFM business processes- workflow, thresholds, transactions requiring review

Facilitates electronic approvals and workflow within and between depts and EFM


Improve the Current Process: Standardize

Provides depts and EFM real time status information which increases transparency

Online mgmt reports for depts/schools

Online document storage & retrieval in an “eFile” resulting in improved efficiencies, data protection, audit trail, and paper reduction


Improve the Current Process: Digitize

Is PAMS Duplicating Functionality?

Q: Is PAMS functionality already available in the current Financial System or will it be made available with FSRP?


A: No. Much functionality is not and will not be available in a financial system (existing FS or after replacement). Some major functions customized to UCLA including:

− Automated Department and EFM worklists− Unlimited number of easily customized UCLA invoice

templates− Routing and Approvals− Consolidated view per budget period of unallowables,

expenses outside the budget period, & admin salaries

Is PAMS the financial system of record?

No. The UCLA Financial System will continue to be the system of record for all transactions.

PAMS will − Facilitate entry of information into FS

(or other systems such as NPEAR)

− Maintain information/documentation currently retained in EFM and dept files.


PAMS Accomplishments: Collaborate

Collaborated with over 50 depts and EFM participants to analyze & develop business process and system design

Gathered requirements & feedback in 25+ working sessions with the depts and EFM

Defined & implemented standardized workflow


PAMS Accomplishments cont.

Accommodated for policy/procedure changes to ensure compliance − Single Fund Number, PI Approval

Thresholds, Dept/EFM Thresholds, and Admin Salary Unallowables

Developed approximately 60 screens to date based on the above


PAMS Current Activities

Developing remaining screens

Developing business logic

Integrating with other systems and services such as PATS & FS

Preparing testing tools


2013: PAMS GO LIVE!

SUMMER 2012

FUNCTIONAL TEAM DEMOS & SCREEN

FEEDBACK

FALL 2012 2013

FUNCTIONAL TEST

PAMS Next Steps

PAMS Sneak Peek Agenda

5/10/2012 May RAF PAMS Update & Sneak Peek 14

Dept workload

Provisions

Closeout Packet− Overview− PPE non-payroll− Transfer− Justify− F&A reconciliation

− Fund balance and approvals

Dept workload

Provisions

Closeout Packet− Overview− PPE non-payroll− Transfer− Justify− F&A reconciliation

− Fund balance and approvals

5/10/2012 May RAF PAMS Update & Sneak Peek 15

PAMS Sneak Peek Agenda


Thank You!