MRAM Monthly Research Administration Meeting
MAY 12, 2016
UW TOWER AUDITORIUM
TOPIC
PRESENTER
CONTACT
MIN
Karen Moe
Director & AVP for Research, Human Subjects Division
206 543-0098
kemoe@uw.edu
Amanda Snyder
Acting Co-Director, OSP
206 616-2585
acs229@uw.edu
John Whitney
Procurement Services
202 616-9021
pchand@uw.edu
GrantTracker Redesign
Kristen Bendixen
Sr. Business Analyst, Research Compliance & Operations
206 616-9890
krisbend@uw.edu
15
SF424 Application Changes Forms Ver. D
Tim Mhyre
Sr. Grant & Contract Administrator, OSP
206 221-1057
tmhyre@uw.edu
15
Compliance Corner
Ted Mordhorst
Director, Research Compliance & Operations
206 616-8678
tedm2@uw.edu
Zipline (Electronic IRB System )
Subawards in SAGE & Ariba
15
20
JOIN US FOR OUR NEXT MEETING JUNE 9, 2016 UW TOWER AUDITORIUM
5
mRAM
May 12, 2016
1
Zipline is the new
web-based system
for human subjects
IRB applications
Zipline Implementation Schedule
1 IRB Committee J
May 31
Information School
June 15 All other units reviewed by IRB J
2 IRB Committee B
Sept 1
College of Engineering
Sept 15 All other units reviewed by IRB B
3 IRB Committee G
Oct 15
College of Education
Nov 1
All other units reviewed by IRB G
4 IRB Committees A and D
Dec 1
School of Nursing; Dept of Family Medicine
Dec 15
All other units reviewed by IRBs A,D
What does this mean?
All new IRB applications must be
submitted through Zipline,
using the Zipline-specific forms
2
A Zipline IRB application has three parts
1
2
3
Zipline
web-based
SmartForms
Attached IRB
application
form
Attached other
study
documents
NEW
What does this mean?
You will still need to prepare an IRB
application form and provide the
standard study documents
But - they will be electronic (digital) and
attached to the web-based SmartForms
3
The IRB
application form is
completely new
9
Why a new application form?
Why can’t we just keep using the old forms?
10
Problems with current forms
• 6 different forms
• Provide incomplete information to IRB
• Frequently changed, using a “band-aid” approach
• Hard to use and follow
The new form will fix these problems
• Remove the regulatory decisions
• Ask for the necessary information
• Make it easy
12
Easier, because…..
• Less likely to need Supplements
• A more orderly “flow”, like a grant application
• Can refer to other documents
• Extensive annotation and examples
• Questions allow flexibility
• Data security options
• Visual appearance
4
Apply
There are some differences
in the submission and
review process
IRB
Review
Approval
Modify
14
Important dates
5
Forms & learning materials
on HSD Zipline webpage
Implementation for the
Information School
(everyone can look at Zipline)
6
Learn to use Zipline
through a variety of selfdirected methods
24/7 Self-directed learning
• Short interactive online tutorials with videos
• Instructions for specific tasks (with screen shots)
• Annotation of the IRB Protocol form
• “Help” bubbles on the Zipline SmartForms
• Researcher “Go Live” Readiness Packet
HELP
HSD staff are available to answer questions
hsdinfo@uw.edu
8
Staying informed
• Attend other Roadshow presentations
• Subscribe to zNews (email hsdinfo@uw.edu)
• Monitor the HSD Zipline website
Lessons from Zipline testing
• The software is intuitive to use
• A few process changes are surprising
• There are a few “jargon” issues
The biggest learning challenge is
the new IRB application form, not Zipline
HSD staff are available to answer questions
It will be a challenging year…..but worth it !
Subaward
Requests in SAGE
MRAM May 2016
Transitions
5/17/16 Subawards Available in SAGE:
● All existing subawards visible
● Requests received by OSP before 5/09/16
○ Ariba dept. approvals were green by 5/09/16
Review, Update & Edit SAGE subaward contacts
● Permissions
● Who Can Authorize Me? ASTRA
● Research Subaward Report
Don’t submit any requests in Ariba until 5/17/16.
Transition Instructions
SAGE: Subaward Agreement
Requests & Modifications
● Submit agreement & modification requests in SAGE
○ Include Contract Request (CR) # from Ariba
○ Attach all required subaward documents
● Status Request Visibility
● SAGE represents full project lifecycle
○ proposal, award, subawards
● Subaward documents and Fully Executed (FE)
agreement easily accessible
Ariba: Subaward Financial Management
● Ensure Subrecipient registered with UW & Ariba
● Draft Contract Request (CR)
○ use CR# on SAGE request
○ No supporting documents required
● Wait to submit CR for Ariba approvals until after Fully
Executed (FE) Subaward received
○ SAGE Status = “Active”
● Full approval of CR to Blanket Purchase Order (BPO)*
requires FE agreement in SAGE
● BPO allows subrecipient to invoice & receive payment
Ariba: Subaward Financial Management
Only Subaward question in Ariba after 5/17/16.
http://f2.washington.edu/fm/ps/how-to-buy/AribaBlanketPurchaseOrders
http://f2.washington.edu/fm/ps/AribaBlanketPurchaseOrders/bporeceivingdepartments
Subaward Tasklist in SAGE : PREVIEW
Subaward Request Workflow
Parallel instead of Sequential
Review workflow diagram.
http://www.washington.edu/research/.SITEPARTS/.documents/.osp/ORIS-Subaward-WF.pdf
SUBAWARD ROLES & RESPONSIBILITIES
After Prime Award Received
Departments / PI
Create & Submit SAGE subaward request
●
Provide info to OSP as requested
●
Include Ariba Contract Request (CR) #
○ Ensure subrecipient is a registered Supplier with UW & is enabled in Ariba.
○ DRAFT Ariba (CR)
●
After Subaward Fully Executed (FE) agreement received, submit Ariba CR
●
Revise CR if rejected & resubmit
Monitor & Manage:
● Progress, performance & adherence to terms & requirements.
●
Review & approve invoices in Ariba
● Alert OSP of problems: inability to obtain satisfactory invoice, non-performance etc. Subrecipient Monitoring: GIM 8
Submit:
● Progress reports
●
Agreement modification requests via SAGE
●
Invoicing /payment changes via Ariba so payments line up with agreement
Office of Sponsored Programs Subaward Resources: https://www.washington.edu/research/osp/?page=subawards
Procurement Resources: http://f2.washington.edu/fm/ps/how-to-buy/AribaBlanketPurchaseOrders
SUBAWARD ROLES & RESPONSIBILITIES
After Prime Award Received
Departments / PI
Office of Sponsored Programs (OSP)
Procurement Services (PS)
•Create & Submit SAGE subaward request
•Provide info to OSP as requested
•Include Ariba Contract Request (CR) #
○ Ensure subrecipient is a registered
Supplier with UW & is enabled in Ariba.
○ DRAFT Ariba (CR)
•Review subaward request & follow up with
PI/Dept.
Facilitate new supplier
readiness.
•Prepare, issue & negotiate agreement
(with CR#)
Receive CR request:
•Verify FE in SAGE
•If No, PS rejects CR
•If Yes, CR is BPO
•Subrecipient can invoice
against the BPO
•Fully Execute & attach in SAGE
•After Subaward Fully Executed (FE) agreement
received, submit Ariba CR
•Revise CR if rejected & resubmit
Monitor & Manage:
•Progress, performance & adherence to terms &
requirements.
•Review & approve invoices in Ariba
•Alert OSP of problems: inability to obtain satisfactory
invoice, non-performance etc.
Subrecipient Monitoring: GIM 8
Submit:
•Progress reports
•Agreement modification requests via SAGE
•Invoicing /payment changes via Ariba so payments
line up with agreement
•Collect, maintain & report FFATA
Facilitate invoicing process.
•Request & review audit reports
Buyer approves changes to
existing CR / BPO requests.
•Verify corrective action plans
•Facilitate resolution of any performance
problems
•Follow up with PI/Department
•Prepare, negotiate, issue & distribute
amendments
Office of Sponsored Programs Subaward Resources: https://www.washington.edu/research/osp/?page=subawards
Procurement Resources: http://f2.washington.edu/fm/ps/how-to-buy/AribaBlanketPurchaseOrders
SAGE Subaward Permissions
Create New Requests
Subaward & Modifications
ASTRA Subaward Preparer
Edit Contact info
Edit Draft Requests
Contacts listed on
subaward
(For non-PI Contacts)
ASTRA Subaward
Preparer
Contacts listed on
subaward
View Subaward Details
ASTRA Subaward
Preparer
Contacts listed on
subaward
Anyone with a role on
the parent eGC1
ASTRA
Subaward Preparer Role
For those who prepare and submit subaward and subaward modification requests to OSP.
Additional Learning Resources
SAGE Quick Guide
> Office of Sponsored Programs Subawards Process
> SAGE Subaward Permissions
> Workflow
> Roles & Responsibilities
>
>
Procurement: Blanket Purchase Orders (BPO)
>
GIM 7: Sponsored Program Subaward Administration
GIM 8: Subrecipient Monitoring
>
Use most current resources for each release, links posted on OSP’s website.
Partner Engagement
Thank YOU!
> Campus feedback
> Discussion & exploration with MRAM, RAPN, RAPIT and
specific Campus Partner Interactions
> Project Campus Advisory Groups
> Representation from:
– Across campus colleges & schools
– Individual & group feedback (RAPN, RAPIT, MRAM)
Release Schedule Reminder
Release I:
May 17
•Coordinated release with Ariba
•SAGE Subawards
•Migration of Ariba Subaward
contacts
•Intake request forms
• New Subawards
• Modifications
• Required field validations
•Search/view status with task list
•SPAERC updates
•Help documentation
•Reports updates (basic)
Release 2:
End of July Target
Release 3:
End of Sept Target
•Collaboration features
•Returns
•Holds & reason
•Withdrawals
•Expanded validations
•Final usability adjustments
•Select enhancements
•Expanded view of history & based on campus and
partner feedback and
comments
prioritization
•Reports updates (final)
•Critical usability
improvements
• ASTRA SAGE Subaward
Preparer
Releases informed & developed via partner feedback & engagement efforts.
QUESTIONS??
Please send questions & feedback
to Amanda via email at acs229@uw.edu
Research Finance Operations :: Systems and Data Analysis
We know you love GrantTracker
We think we can make it better
by making it support your work needs
GrantTracker—Redesign
4/27/20156
Research Finance Operations :: Systems and Data Analysis
Access to “the Goods” in GrantTracker is via Search usually on budget
number
or clicking on an email with a link to a GrantTracker
GrantTracker—Redesign
4/27/20156
Research Finance Operations :: Systems and Data Analysis
There are limited paths to access financials, Ask a Question, read
Notes, update Email Contact
There limited paths to get to your
data…
 Search which requires multiple
clicks to get where you want
to go
 Email link
 Your own bookmarks
 MyFD
And there is no single place where
you can access just “your budgets”
Even Department View shows all
budgets within an Org Code – not
just yours
GrantTracker—Redesign
4/27/20156
Research Finance Operations :: Systems and Data Analysis
The Current GrantTracker Site Map
GrantTracker—Redesign
4/27/20156
Research Finance Operations :: Systems and Data Analysis
The Current GrantTracker Site Map
Let’s ditch the search process
Allow users direct access to their budgets
Provide links to data relevant to the user on
every page
But how?
GrantTracker—Redesign
4/27/20156
Research Finance Operations :: Systems and Data Analysis
User Profiles can filter the data shown on a web page
User Profiles yield user defined data
GrantTracker—Redesign
4/27/20156
Research Finance Operations :: Systems and Data Analysis
We employed User Defined Budget Lists with Campus Contact Email
Maintenance
This was a start in identifying
your budgets
But, we didn’t keep the settings
We want to create a way for you
to identify your budgets and
keep those settings as a profile
In fact, you could create multiple
profiles
GrantTracker—Redesign
4/27/20156
Research Finance Operations :: Systems and Data Analysis
The Proposed GrantTracker Site Map
When you set up a profile you
will only see your budgets and
items related to your budgets.
A Dashboard (which will be the
new homepage in GrantTracker)
will display your priority items
and give you access to the details
with a single click of the mouse.
And on every page….
GrantTracker—Redesign
4/27/20156
Research Finance Operations :: Systems and Data Analysis
Proposed links and search box on every page in GrantTracker
Access to generic
resources that everyone
can see and are not
profile specific…
Budget, eGC1,
Sponsor, Award
SEAR
CH
Advanced
Search
Help
NEW Resources
Contact GCA
Help
Pre & Post Award
Resources
Budget
Maintenance forms
TPU Request
forms
GrantTracker—Redesign
4/27/20156
Research Finance Operations :: Systems and Data Analysis
Proposed links to your stuff on every page in GrantTracker
Access to user specific
resources that use your
selected profile to load
content…
My Profile Settings
My Alerts &
Reminders
all new tools for you
My Requested TPUs
My Budget
Maintenance
GrantTracker—Redesign
4/27/20156
Research Finance Operations :: Systems and Data Analysis
GrantTracker will be visually different….
The Header will be thinner so we can get more content “above the fold”
And breadcrumbs
will be present on
all pages
GrantTracker—Redesign
4/27/20156
Research Finance Operations :: Systems and Data Analysis
The left sidebar will be different
Before
After
Pre & Post Award
Resources
Pre-Award Tools
MyResearch
OSP Status Checker
Pre-Award Departments
Office of Sponsored Programs
SAGE
SERA
Post Award Tools
My Financial Desktop
Post Award Help
Budget Setup
Spending
Billing, Reporting, Closing
FAQ
Post-Award Departments
Financial Management
Grant and Contract Accounting
Management Accounting and
Analysis
Equipment Inventory
GrantTracker—Redesign
4/27/20156
Research Finance Operations :: Systems and Data Analysis
Tools Specific to Your Budgets or Your Profiles
Ask a Question
Attach a File
New Transpasu
capability
New maintenance
capabilities
Budget
Maintenance
Transpasu Requests
View My Maintenance
Requests
View My Transpasu Requests
Replaces Dept View
Adds additional
capabilities
My Alerts &
Reminders
Alerts and Reminders (24)
Dept Response Needed (9)
Add New Subs
Reports Due (3)
Self Service Maintenance
Supplement a Sub
Unpaid Invoices (12)
Ask A Question
Replace Advance
+ Create a Reminder for Myself
Attach a File
Change PI on a Sub
Change Budget Post-Award
Contact
Transfer Funds to Parent
Change Status from 1 to 3
Transfer a Deficit > $1
Request Maintenance
Change Budget End Date
Re-budget Funds
+ Open an ad hoc Maintenance
Request
GrantTracker—Redesign
4/27/20156
Control over your
profiles
My GrantTracker
Profiles
 DHHS-NSF-1
Dr Chow
Karen’s Budgets
+ Open Profile Manager
Research Finance Operations :: Systems and Data Analysis
University of
Washington
GrantTracker
Home
Grant and Contract Accounting :: GrantTracker
Alerts and Reminders (24)
View My Transpasu Requests
Add New Subs
Supplement a Sub
Replace Advance
Change PI on a Sub
Transfer Funds to Parent
Budget
Maintenance
View My Maintenance
Requests
Pre & Post Award
Resources
GrantTracker—Redesign
4/27/20156
Help
My Profile
Active Profile: DHHS-NSF-1
My Alerts &
Reminders
Transpasu Requests
Contact GCAHelp
My Transpasu
Requests
Research Finance Operations :: Systems and Data Analysis
Your thoughts, concerns, questions?
And feel free to email me anytime
Kristen Bendixsen
krisbend@uw.edu
GrantTracker—Redesign
4/27/20156
NIH/AHRQ Updated
Policies & FORMS-D
MRAM – May 12, 2016
Tim Mhyre, Senior Grant & Contract Administrator
Office of Sponsored Programs
University of Washington
Updated NIH/AHRQ Policy & FORMS-D
What Forms Should I Use?
•Due dates on or after May 25, 2016 must use FORMSD (SF424, ASSIST or GrantRunner)
•Late, Continuous Submission & System Issues
–Use forms/instructions for intended due date
–Continuous submission policy – only R01, R21 & R34 with
standard submission dates
–FORMS-C if due date before May 25
•May 7, 2016, AIDS due date – FORMS-C application
package is due by May 23, 2016
University of Washington
Office of Sponsored Programs
NIH/AHRQ Updated Policy & FORMS-D
PHS Assignment Request Form
(NOT-OD-16-008)
–Application referral info – Institute assignment,
Study Section preference, potential reviewers in
conflict/why, scientific expertise required for app
review
–No longer in Cover Letter
–Not supported by Grant Runner at this time –
please use ASSIST or SF424 forms
University of Washington
Office of Sponsored Programs
Updated NIH/AHRQ Policy & FORMS-D
Rigor & Transparency (this is the Science)
–Focus on Premise, Design, Variables &
Authentication
–See NOT-OD-15-103 and Rigor & Reproducibility
–Expanded to Career Applications (Training &
Fellowships delayed until 2017)
–New Section 15. Authentication of Key Biological
and/or Chemical Resources (PHS 398 Research
Plan) (Section 20 for K’s)
University of Washington
Office of Sponsored Programs
University of Washington
Office of Sponsored Programs
Updated NIH/AHRQ Policy & FORMS-D
Vertebrate Animals
–New Section 2 regarding euthanasia for PHS 398
Cover Page Supplement (applicable to all app’s)
Also revamp of other sections within the
Cover Page Supplement
–Program Income
–Human Embryonic Stem Cells
University of Washington
Office of Sponsored Programs
Updated NIH/AHRQ Policy & FORMS-D
PHS Inclusion Forms Enrollment Report
–Replaces Planned Enrollment and Cumulative
Inclusion Enrollment Report forms
–Planned Enrollment – prospective enrollment
–Cumulative Enrollment – use of existing datasets
and/or studies that continue in a renewal
application
University of Washington
Office of Sponsored Programs
Updated NIH/AHRQ Policy & FORMS-D
Data Safety Monitoring Plan Form
–Added to Human Subjects Section (Section 6)
–Must be included with all app’s involving clinical
trials
University of Washington
Office of Sponsored Programs
Updated NIH/AHRQ Policy & FORMS-D
•Changes to Research Training Data Table Format
–8 Tables instead of 12; minimizing reporting of individual
level info; reporting out to 15 years (from 10)
–UW Training Grant Topics
•Transition to xTRACT
–Electronic system for creating/storing research training
data tables
–FY 2016 Pilot for T32, TL1, T90/R90 & T15
See NOT-OD-16-007
University of Washington
Office of Sponsored Programs
Updated NIH/AHRQ Policy & FORMS-D
Biosketch Clarifications
–URL for full publication list, if provided, must be a .gov site
(e.g. My Bibliography)
–Publications/Research Products can be cited in both the
Personal Statement & Contributions to Science
–Graphics, figures & tables are not allowed
Font Guidelines
NOT-OD-16-009
–More flexibility (serif & sans serif)
–Minimum requirements – 11 point or larger font (can be
smaller in text); 15 character/inch density; no more than 6
lines/inch; black text color (may use other colors in figures,
etc., as long as legible)
University of Washington
Office of Sponsored Programs
Additional Resources
Review NIH/AHRQ announcements related to Changes to
Policies, Instructions & Forms for 2016 Grant Applications:
NOT-OD-16-004
∗ OSP Summary of NIH/AHRQ policy & forms updates
∗ PHS Assignment Request Form NOT-OD-16-008
∗ Extramural Nexus – Assignment Request Form
∗ Rigor and reproducibility changes visualized
∗ Podcast on writing vertebrate animal sections
∗ Check out Annotated Forms-D and helpful tips from NIH
∗ Do I Have the Right Form Version For My Application?
∗ Forms Updates FAQs
∗ High-level list of FORMS-D pre-award form changes
∗ Get Connected to NIH & subscribe to eRA News & Updates
University of Washington
Office of Sponsored Programs
COMPLIANCE
CORNER
MRAM May 12 2016
66
NSF OIG “patterns of interest”
Office of Inspector General report to the
National Science Board.
“There’s been compensation issues in
terms of movement of money from grad
students and students to more senior
personnel,” (Brett Baker, assistant IG for audit)
67
NSF OIG “patterns of interest”
“National Science Board (NSB) has been
interested in rebudgeting of student
compensation to senior personnel,” and that
broader impact may be affected if there are
fewer research opportunities to emerging
scientists.”
“Broader impact” is among the criteria used to
award NSF funds.
68
Recent NSF Data Request
• NSF Audit Resolution data request from UW
• Requested reason why senior personnel were
paid 3 or more months over what was
approved in the award.
69
Prior Approval Waivers?
• While referred to as waivers Federal agencies
really delegate the approval process to the
institution.
• Most prior approvals delegated to the
institution are passed down to the
department/unit.
70
Prior Approval Documentation
• For any action which the regulation states
prior approval is required the department is
responsible for providing the justification and
maintaining documentation supporting the
action as necessary to meet the objectives of
the award.
71
Prior Approval Documentation
• If prior approval is not “waived” the justification
documentation is submitted to the sponsor for
action. Sponsor’s written approval must be
maintained on filed by the department.
• If prior approval is “waived” the department
must evaluate the justification and determine if
the action is warranted and maintain the
documentation on file.
72
End of Award Expenditures
• We continue to receive questions and
comments concerning expenditures near or at
the end of an award.
• These expenditures are targeted by audits so
must be very well justified.
73
End of Award Expenditures
• Justification must address the costing
principles, especially reasonable and allocable.
• Replacing supplies consumed –
documentation to support what was
consumed during award period.
• Equipment – Allocate based on time used on
an award.
74
Equipment Disposal
• When replacing worn out or broken
equipment you still need to follow the
disposition procedures from the EIO website.
• Complete form 1024-Property Activity
Request
• Unused parts must be disposed of through the
Surplus Property Office.
75
Equipment Disposal
• When required, obtain sponsor approval to
dispose of the equipment.
• Applies even if the equipment is being
cannibalized for “spare parts”.
• EIO website
http://f2.washington.edu/fm/eio/disposals
76
Questions?
• Contact gcafco@uw.edu
• PAFC can provide consultation or data review
77
UPCOMING COURSES
IN RESEARCH ADMINISTRATION
May 17
MAA 215 – Faculty Effort and Cost Share:
Calculate it Right!
May 24
GCA 201 – Salary and Cost Transfers
and Compliance
Jun 01
MAA 225 – Using the Tools: Calculators, Worksheets
and Reports
Jun 07
GCA 202 – Direct Billing of F&A Type Costs
Jun 15
MAA 230 – Salary Limitations: K Awards
Jun 22
MAA 100 – Introduction to Grant and Contract
Certification (GCCR)
CORE is a collaborative effort to provide free, high
quality, cohesive training on research administration
and compliance to UW researchers and research
administrators.
To see a full list of courses and to register, visit
https://uwresearch.gosignmeup.com/public/course/browse