April 15, 2014 Research Administrators Workgroup

1. April 15, 2014Research Administrators Workgroup

2. Agenda Announcements / Updates LOC Change to Subaccounts Research Application Security (RAS) utility Personnel Management Project Q & A – All

3. Announcements/Updates

4. 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/

5. McLean Effort Reporting Status Update (as of 4/11/2014) • Any Questions? Ask the Effort Reporting Team! phseffort@partners.org

6. FY14 Pd1 Effort Certification Schedule • 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

7. 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

8. 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

9. Update to New LOC Subaccount Payment process

10. Transition to New LOC SubaccountsOperational Issues MeetingApril 8, 2014

11. 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

12. Details of LOC Change to Subaccounts Background

13. 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”

14. Significant Change in LOC Payment Requests for FY14 & FY15 • 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

15. Unobligated Balances • 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

16. Keep Same Fund Number vs. Setup New Fund Number New document ID numbers

17. Keep The Same Fund Number 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 changed Disadvantages 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 customs

18. Setup a New 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

19. Decision 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

20. FY15 Non-competing renewals impacted by the change

21. FY15 Renewals Impacted by Change

22. BWH FY15 Renewals by Budget End Date

23. MGH FY15 Renewals by Budget End Date

24. MCL FY15 Renewals by Budget End Date

25. SRH FY15 Renewals by Budget End Date

26. Research Application Security (RAS) utility

27. Research Application Security (RAS) utility Data Reconciliation Security Levels Key Giver Role . 27

28. 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.

29. “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 (InsightHelpDesk@partners.org).

30. 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 & MGH 30

31. Data Reconciliation Research Application Security Levels By Dept/Div (COS Code) PI Portfolio / Admin for PI Special Permissions at Levels 1 & 2 • Insight – View Patient Care data • Insight – View Salary data 31

32. 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

33. RAS Home Page https://ras.partners.org 33

34. 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 (InsightHelpDesk@partners.org) 34

35. Thanks to all testers & reviewers! 35

36. Personnel Management Project

37. 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

38. Incorporation of Prior Approval Required Data InfoEd Insight

39. 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

40. Updates to the Other Support Page including Major Goals

41. Updated to the Other Support Page including Major Goals

42. Updated to the Other Support Page including Major Goals

43. QUESTIONS? Contact: Raquel Espinosa respinosa@partners.org 617-855-2868