MRAM
Monthly Research Administration Meeting
FEBRUARY 11, 2016
UW TOWER AUDITORIUM
TOPIC
PRESENTER
CONTACT
Amanda Snyder
Acting Co-Director, Office of Sponsored Programs
206 616-2585
acs229@uw.edu
Judy Chung
Program Manager, ORIS
206 543-0613
jachung@uw.edu
Lynette Arias
Assoc Vice Provost for Research Administration
Strategic Initiatives, Office of Research
206 685-7065
ariasl@uw.edu
Subawards in SAGE
Subaward Certification Forms - FDP
Streamlining Pilot
MIN
20
Amanda Snyder
Acting Co-Director, Office of Sponsored Programs
10
206 616-2585
acs229@uw.edu
Compliance Corner
Andra Sawyer
Assistant Director of Post Award Fiscal Compliance
Research Accounting & Analysis
206 685-8902
andra2@uw.edu
10
CORE Course Update
Ted Mordhorst
Director Research Compliance & Operations
Research Accounting & Analysis
206 616-8678
tedm2@uw.edu
5
NEXT MRAM MARCH 10, 2016
UW TOWER AUDITORIUM
OFFICE OF SPONSORED PROGRAMS
Subaward
Management in SAGE
Project Goals
Streamline request & intake process
– Allow requests to be received in parallel with the Ariba process
– Earlier start on subs request since not bound by start of a budget period
– Eliminate a data entry step by entering directly into SAGE
Provide status transparency & two-way collaboration with OSP
subs team
– Ability to view status of your requests, comments & history
– Communicate and resolve issues with OSP via SAGE system
Leverage existing SAGE suite data and applications
– Select only valid eGC1s and Funding Actions (FAs), and pull existing
SAGE data into the Subaward where applicable
OFFICE OF SPONSORED PROGRAMS
Future State
RELEASE SCHEDULE
Release I –May
Release 2 – end of
July
Release 3 – end of Sept
• New subs section in
SAGE
• Expanded validations
• Collaboration features
• Intake forms
• New subs
• Modifications
• Required field
validations
• Task list (basic)
• New statuses, viewing
• SPAERC updates
(basic)
• Reports updates (basic)
• Coordinated release
with ARIBA
OFFICE OF SPONSORED PROGRAMS
• High value usability
improvements or
features (TBD)
• Returns
• Holds & reason
• Withdrawals
• Alerts & Notifications
(TBD)
• Expanded view of
history and comments
• Permissions
Adjustments (TBD)
• Expanded reporting
• Final usability
adjustments,
improvements
Work in Progress
> SAGE:
–
–
–
–
Statuses
Permissions
Tasklist options
Overall design
> Ariba coordination
> Training plans
OFFICE OF SPONSORED PROGRAMS
Ariba Coordination
OSP and Procurement services are partnering to ensure a
smooth transition and are meeting frequently:
> Change Management Meetings
> Technical Considerations Meetings
> Joint Communications
OFFICE OF SPONSORED PROGRAMS
UPCOMING CAMPUS SESSIONS
DATE
TIME
LOCATION
2/17
Wednesday
9:30 – 10:30am
South Lake Union
- Orin Smith Auditorium, Building C
1:00 – 2:00 p.m.
UW Tower
- Visitor’s Dining Room
- Limited seating
2/24
Wednesday
LIVE WEBCAST
- Group participation encouraged
- Webcast Limit: 200 participants
2/25
Thursday
OFFICE OF SPONSORED PROGRAMS
10:30 – 11:30am
Foege
- Room N130A
OFFICE OF SPONSORED PROGRAMS
QUESTIONS??
Please send advance questions & feedback
to Amanda via email at acs229@uw.edu
FDP Expanded
Clearinghouse Pilot
Lynette Arias
Assistant Vice Provost for Research
Office of Research
MRAM – February 11, 2016
10
Expanded Clearinghouse
Pilot
February 2016 – June 2017
Selected as one of 41 institutions
nationally to be included in the pilot!
MRAM – February 11, 2016
11
Remember how the FDP FCOI Clearinghouse saved
pass-through entities and subrecipients from having
to swap written confirmations that we each had PHScompliant FCOI policies?
Now we welcome its big sister:
The FDP Expanded Clearinghouse!
MRAM – February 11, 2016
12
Goal of Pilot
• Reduce administrative burden associated with
verifying standard information required for
subrecipient issuance and monitoring
• Eliminate swapping of subrecipient commitment forms
completed on a transaction-by-transaction basis in
favor of accessing an on-line, up-to-date standardized,
streamlined subrecipient data repository (an “entity
profile”)
• Determine whether such a repository effectively reduces the
data collection and review burden for pass-through entities
and subrecipients alike
MRAM – February 11, 2016
13
Core Elements of Pilot
• Institutions participate as both a subrecipient and as a passthrough entity
• Participants formally agree to terms of the Pilot (done)
• Participants create their Entity Profile (mid-February)
• FDP posts each participant’s Entity Profile (early March)
• PTEs access their participating subrecipients’ on-line Entity
Profile in lieu of sending a subrecipient commitment form
for each subaward between the parties (throughout the
pilot)
• Transaction-specific information may still be shared
• Participants track how many subwards are transacted via
this mechanism (throughout the pilot, reported quarterly)
• Participants evaluate the pilot (at least twice)
MRAM – February 11, 2016
14
At Time of Proposal
• Still acceptable to collect at time of proposal:
• Subrecipient’s Statement of Work
• Subrecipient’s approved Budget
• Any other forms needed for the proposal (small business
plans, biosketches or other support, certifications
required at time of proposal, etc.)
• Signature of the Subrecipient’s SPA office that they
endorse their proposal
MRAM – February 11, 2016
15
When we are the Pass-through Entity:
DO NOT COLLECT a Subrecipient Commitment Form
from another participating pilot institution
When we are the Subrecipient:
• DO NOT COMPLETE a Subrecipient Commitment
Form for a pass-through entity participating in the
pilot (instead remind them we are a pilot Expanded
Clearinghouse institution)
MRAM – February 11, 2016
16
At Time of Proposal or Award
• Okay to ask for or to complete a “transactionspecific” request but only for data elements NOT
included on the entity profile, such as:
• Human subjects approval for that project
• Animal subjects approval for that project
Getting pushback?
Talk to Lynette or
Amanda
MRAM – February 11, 2016
17
Origin of Entity Profile Template
Entity Profile
(Excel)
133 FDP Institution
Subrecipient
Commitment Forms
MRAM – February 11, 2016
18
Contents of Profile
• Entity Information
• Demographic Information (name, address, type, small
business status, parent information, etc.)
• Entity Identification Numbers and Codes
• Entity Rate Agreements
• Department of Defense Registration Numbers
• Department of Education Registration Numbers
• Assurances and Agency Approvals (Accreditations)
• DOD/ONR System Reviews
• Entity Key Contacts
MRAM – February 11, 2016
19
Contents of Profile (continued)
• Entity Certifications
•
•
•
•
•
Conflict of Interest
Debarment and Suspension
Lobbying
Affirmative Action Compliance
FFATA
• Single Audit Information (will eventually also include
Financial Questionnaire option)
• Single Audit Status & Links
• Core info about any findings, deficiencies, material
weaknesses
• Entity Official Certification
MRAM – February 11, 2016
20
Financial Questionnaire (Future)
• To be used for Entities NOT subject to Single Audit
• Series of questions to help assess Entity overall
•
•
•
•
•
•
•
•
•
•
•
General Information
Fiscal Responsibility
Cost Accounting System
Facilities & Administrative Costs
Cost Sharing
Cash Management
Payroll
Procurement
Property Management
Cost Transfers
Program Income
MRAM – February 11, 2016
21
Participating Institutions
Brandeis University
Brown University
California Institute of Technology
Cedars-Sinai Health System
Dana-Farber Cancer Institute
Duke University & Duke University Medical Center
Florida State University
Georgia Institute of Technology
Georgia Regents University
Harvard University (including Harvard Medical School)
Icahn School of Medicine at Mount Sinai
Institute for Systems Biology (ERI)
Johns Hopkins University
Michigan Technological University
New York University, Washington Square Campus
Northern Illinois University (ERI)
Northwestern University
Oregon Health & Science University
Partners Healthcare (includes Brigham and Women's Hospital,
Massachusetts General Hospital and McLean Hospital)
Purdue University
Syracuse University
Tufts University
University of Alabama
University of Alabama, Huntsville
University of Arkansas for Medical Sciences
University of Cincinnati
University of Florida
University of Kansas
University of Miami (includes University of Miami Medical School)
University of Minnesota
University of North Carolina Chapel Hill
University of South Alabama (ERI)
University of Tennessee Health Science Center
University of Tennessee, Knoxville
University of Texas Medical Branch at Galveston
University of Texas, Austin
University of Washington
University of Wisconsin-Madison
Vanderbilt University
Washington University
Wayne State University
MRAM – February 11, 2016
22
COMPLIANCE
CORNER
MRAM February 11 2016
23
Data Analytics
Definition: A means by which auditors can identify
high-risk transactions by using information from the
UW financial records.
Examples:
– Equipment purchased in last 60 days of an Award
– Cost Transfers completed more than 120 days from
original posting
– Meal or Food Costs
24
Example
Supply purchase of $11,728 in March 2015
moved in November 2015 onto an Award with a
start date in August 2015
• Cost Transfer completed 255 days after
original transaction
• Equipment purchased 141 days before start
date of Award
25
Data Analytics
• Used by the National Science Foundation (NSF)
Office of Inspector General (OIG) during UW’s
recent NSF audit
• Other federal agencies are watching the NSF
approach and are likely to adapt it
• Post Award Fiscal Compliance (PAFC) undertaking
a pro-active approach to help departments
prepare for these types of audits
26
PAFC Data Analytics Program
• Mimic auditors by identifying high risk
transactions
• Providing information to Deans & Departments:
–
–
–
–
List of high risk transactions
Definition of high risk transactions
Suggested next steps
Information on best practices
• Link transaction data to participant training data
• Expected to begin in April 2016
27
Limits to PAFC Outreach
• Given volume of data, PAFC can’t review every
transaction
• PAFC does not have access to all expense
transaction information
• Department responsibility to review
transactions using guidelines and information
provided
28
PAFC Program – Phase I
• Cost Transfers: onto federally sponsored
Awards completed more than 120 days from
original posting
• Equipment (06 Object Code): purchased
within last 60 days (or after) of Award end
29
Cost Transfers – 2015
CTs onto Federal Award
> 120 Days
5,252
Number of Departments
18%
25
Value of Transactions
82%
not 120
over 120 days
30
$5,606,624
Equipment Purchases – End of Award
2015
31
Number of Transactions
410
Number of Departments
45
Value of Transactions
$9,984,177
Questions?
• Contact gcafco@uw.edu
• PAFC can provide consultation or data review
32
UPCOMING COURSES
IN RESEARCH ADMINISTRATION
Feb 16
ORIS 101 – SAGE: Creating and Submitting eGC1's
Feb 17
MAA 102 – eFECS for FEC Coordinators
Feb 18
ORIS 102 – SAGE: Creating NIH Proposals in Grant Runner
Feb 25
ORIS 103 – SAGE Budget
Mar 03
OSP 155 – Grants.gov: The Basics
Mar 15
MAA 205 – Modifying an FEC Using Comments and
Adjusting Cost Sharing
Mar 17
ORIS 101 – SAGE: Creating and Submitting eGC1's
Mar 22
MAA 210 – Modifying an FEC, Change Outside eFECS
and Recertifications
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
F&A (Indirect Cost) Rate
Proposal
February 2016
Ted Mordhorst
for Management Accounting and Analysis
University of Washington
Provisional Rate
Proposed rate and data submitted to DHHS, Cost
Allocation Services in November 2014.
Previous rate expired June 30,2014
Operating under a Provisional Rate since July 1, 2014
University of Washington
Presenter’s Office
Progress!
 Contacted this week with a request for additional
data and policy documentation.
 MAA may be contacting individual departments for
information to fulfill the data request.
 More than likely we will receive at least one more
data request (March) before a site visit
University of Washington
Presenter’s Office
Negotiators Site Visit
 Tentatively scheduled for the week of April 11th.
 Cost Allocation Service will select
departments/facilities to be visited.
 MAA will contact and work with departments to
prepare.
Finish Line in Sight
 If contacted be prepared to respond promptly.
 Hope to have rates negotiated and in place prior to
June 30.
 Additional information on retroactive application of
new rates will be provided once the rates are
approved.