It’s About Time! Finding Efficiencies in Post Award Operations Cathy Breen, Harvard University Sharon Brooks, University of Virginia Cindy Hope, University of Alabama Mike Laskofski, George Mason University

Agenda Overview of Research Funding and Regulatory Landscape Review Examples Financial Compliance Communication and Training Systems Staffing and Resources Finding the Right Balance Key Takeaways

Financial Compliance Cost Transfers and use of reason codes Record Retention and maintaining adequate documentation http://www.virginia.edu/sponsoredprograms/ldguidance.html Payroll Certification (an alternate to effort reporting) Other Examples

Payroll Certification vs. Effort Reporting Description Effort Reporting Payroll Certification System Focus Individuals Project (Grant or Contract) Timeframe for Distribution Consistent points in time End of Project Budget Year Certification Frequency Three Times per Year Annually Types of Funding All Sponsored Funds Federal Funds Annual # of Reports 2700 700 Approvers Individuals charged to projects Principal Investigator System Rationale Effort reasonable based on overall institutional effort Salary and wage amounts reasonable based on work performed Committed Cost Sharing Shown as percentage of overall institutional effort Shown as amount reasonable based on work performed

Communication and Training Social Media Online Training Other Examples

Systems Automated Financial Reporting Post Award Workflow Application Other Examples

Reporting Automation Harvard built a custom solution in a way that was affordable and fast. It is fundamentally changing the way we create reports. Centralizes process, data, and access: all parties (including clients) have access to the same information, whenever they need it (via a secure, web-based portal) Pre-populates standardized templates and automates routine calculations: greatly improves accuracy and eliminates potential inconsistencies with the General Ledger Improves accountability through enhanced transparency, automated interactions with clients, and automatic logging of all actions in the system Core functionality built in less than 6 months. Projected ROI of 300%+ . Time to Complete 200 Invoices Percentage of Reports Impacted 250 Hours  40 minutes! In System Fully Automated Hours

From To OSP Reporting Transition HU OSP Reporting Transition Automated GMAS Update Automated + Self-Serve Dept Interaction Consolidated Data Feed Batch Report Creation To The eventual transition will be from 15+ separately managed portfolios to a much smaller team running a more mechanized operation. The eventual transition will be from 15+ separately managed portfolios to a much smaller team running a more mechanized operation. Portfolio F GMAS / CREW Dept X Report Dept Y GMAS / CREW Report GMAS / CREW Dept Y Report Dept Y Portfolio A Portfolio E Dept X Dept X Report Report Report Report Report Report Report Report Portfolio H GMAS / CREW Dept X Report Dept Y Portfolio C GMAS / CREW Dept X Report Dept Y Portfolio G GMAS / CREW Dept X Report Dept Y GMAS / CREW Report Dept Y Portfolio B Portfolio I GMAS / CREW Dept X Report Dept Y Dept X Report Portfolio D GMAS / CREW Dept X Report Dept Y Report Report Report

Staffing and Resources Roles and Responsibilities Decentralized Staffing Models Other Examples

Should the Goal be Perfection? You’re implementing a new system or process in order to achieve something. How do you decide what your goal should be? I don’t think we often consider that the goal doesn’t always need to be 100%.

Can We Settle for Less than 100%? Protection of Humans or Animals Paperless Processes Effort Certification Timely Internal Account Closeout Automation of a Process Other Examples? Protection – Of course we can’t design systems to protect 90% of our Human participants Paperless Processes – It can be more efficient to accept less paper than to only accept no paper Effort Certification – 95% sounds really good until the auditors want to see the certification for the particular grant being audited and one is missing Closeout/Delete – It may depend on your circumstances. Do you have to re-use account numbers? Do you have a process for write-offs that is linked to the Closeout process? Automation – if settle for 80%, build into process an “exit” for the 20% that doesn’t loose anything that’s already been done. In effect, still one starting point and set the decision point (80 or 20) early enough that you aren’t collecting info that won’t be used. Other – These are just a few examples. The point is, that we should think about what our goal should be rather than assume it has to be 100%.

Key Takeaways Need to develop creative solutions for providing post award support Utilize technology where possible Find the right balance for your institution Share the work by defining clear roles and responsibilities…..and hold people accountable Others?