12/14/2019 FAS RAS Friday October 18, 2019 Simone Alpen, HUIT Research Administration and Compliance Systems Andrew Malone, HUIT Research Administration and Compliance Systems Marc Todesco, OSP Research Finance

Research Administration and Compliance Portal Project GMAS Agenda Research Administration and Compliance Portal Project GMAS Billing Agreements Q + A

Research Administration and Compliance Portal Project Overview 12/14/2019 Research Administration and Compliance Portal Project Overview The project will take a programmatic approach and deliver a collection of projects tied together in service to the research community Main objectives: Improving faculty experience Enhancing compliance Reduction of administration burden Three-year ITCRB investment spanning a variety of compliance areas High impact and benefit to the research administration and compliance community The benefit to the researcher experience will be delivered iteratively across the project’s timeline

University-Wide Compliance Site Research Administration and Compliance Portal Project Proposed Future State Researcher University-Wide Compliance Site Single point of access with partial unified “to do” Huron-Click Portal Shared Person Organization and Project Data Huron-hosted HMS OAR-COI (HMS Interest Disclosure) University-Wide COI (Non-HMS Interest Disclosure) Agreements* (Data Use Agreements, Material Transfer Agreements, etc.) IACUC (Animal Research) Safety * (Microbiological Safety, Chemical Safety, Data Security, etc.) ESTR-IRB (Human Subjects Research) Huron Non-Click Portal Huron Hosted ECRT (Effort Certification) Harvard Custom Harvard AWS GMAS (Grants Management Application Suite - Pre/Post Award) (Sponsored and Non-Sponsored funding projections) PI Dashboard Other Harvard Various Other Research Finance Applications Harvard Training Portal (research compliance training) Vendor Hosted Integration Across Systems Selected relevant project, finance, and compliance integration data (ex. via API or Harvard Data Warehouse) *One or more components not yet in use at Harvard or by existing Research Administration and Compliance systems.

University-Wide Compliance Site Research Administration and Compliance Portal Project Future State (In Progress) Researcher Go live: DUA: Dec ’18 Go live: Summer ‘20 Go live: Fall ‘19 University-Wide Compliance Site Single point of access with partial unified “to do” Huron-Click Portal Shared Person Organization and Project Data Huron-hosted HMS OAR-COI (HMS Interest Disclosure) University-Wide COI (Non-HMS Interest Disclosure) Agreements* (Data Use Agreements, Material Transfer Agreements, etc.) IACUC (Animal Research) Safety * (Microbiological Safety, Chemical Safety, Data Security, etc.) ESTR-IRB (Human Subjects Research) Huron Non-Click Portal Huron Hosted ECRT (Effort Certification) Harvard Custom Harvard AWS GMAS (Grants Management Application Suite - Pre/Post Award) (Sponsored and Non-Sponsored funding projections) PI Dashboard Other Harvard Various Other Research Finance Applications Harvard Training Portal (research compliance training) Vendor Hosted Integration Across Systems Selected relevant project, finance, and compliance integration data (ex. via API or Harvard Data Warehouse) Version 1: Dec ‘18 Version 2: 2020 *One or more components not yet in use at Harvard or by existing Research Administration and Compliance systems.

Research Administration and Compliance Portal Project Data Safety “Data Safety” refers to the compliance activities relating to research data management. This track of the project will address several key areas: System of record for existing research data security review process Work queues for researchers, reviewers and service providers Transparency into security reviews, data storage options, and compliance Who’s involved? IRBs School Security Officers HUIT IT Security Research Computing Office for the Vice Provost for Research System go-live: November ‘19. Official go-live: February ‘20

Research Administration and Compliance Portal Project Conflict of Interest Currently, there are multiple conflict of interest (COI) and outside activities in place around the University. This project tracks seeks to design and implement a (mostly) University-wide COI + outside activities system. Fall ‘19 activities: Completed school interviews and analysis of COI and outside activities processes In November, deliver University-wide COI report including: Current state processes, pain points Future state requirements Considerations for the design, build, and rollout of a new COI system January 2020: kick off working group, executive committee Potential go-live: Summer 2020

Major new feature: Integration with ESTR system for IRB approvals Release overview The next GMAS release will be available on November 18, 2019 Major new feature: Integration with ESTR system for IRB approvals

IRB Approvals in GMAS How it works today Answering “Yes” to human subjects creates an approval record in GMAS

IRB approvals in GMAS How it works today The approval is high level and manually edited by the Central offices

IRB approvals in GMAS How it will work IRB study details will be synced from the ESTR system link directly to ESTR study status and expiration high level details

IRB approvals in GMAS Initial entry By default, GMAS approval status is “No study associated”

IRB approvals in GMAS In ESTR, submissions are linked to GMAS projects ESTR funding link In ESTR, submissions are linked to GMAS projects

IRB approvals in GMAS GMAS will show all ESTR statuses and high level information

IRB approvals in GMAS IRB bypass When needed, Central administrators will be able to mark approvals as “Not Harvard IRB”

IRB approvals in GMAS IRB bypass

IRB approvals in GMAS ESTR links with no GMAS approvals

Updating security to allow automated Tub-wide standing teams Other changes Project summary will be able to be entered on the proposal creation page A21 code will now show in the “More details” section of the segment home Updating security to allow automated Tub-wide standing teams Adding committed effort to the current/pending download Miscellaneous bug fixes

https://gmas.fss.harvard.edu/ More information Full release notes, documentation and job aids will be available on our website in the next few weeks https://gmas.fss.harvard.edu/ Subscribe to our blog for occasional updates https://gmas.fss.harvard.edu/blog

COST SHARING Other initiatives What’s next for GMAS? We have been working on huge changes to cost sharing in GMAS, including: New pre-award cost share form New request type for cost share changes More detail for capturing committed cost sharing Better tracking of cost share expenses We are expecting to release these changes in early 2020. Stay tuned for much more information. Other initiatives Committed effort Better tracking of foreign components

Office for Sponsored Programs RAS Friday: Billing agreements in GMAS October 18, 2019   Marc Todesco – Associate Director, Research Finance, OSP

“Incoming” Billing Agreements Harvard employees or trainees working at another institution on research related to a sponsored award $ Payment Harvard employees working at other institutions Affiliate hospitals, MIT, Broad Invoicing

Decentralized Processes Challenges Decentralized Processes Difficult to identify how many there are University-wide Estimate 75 at SPH and a similar amount at HMS Much fewer at SEAS and FAS Different invoice templates Timeliness of billing and collections Shadow Systems For invoicing and collection Tub/School Dept

GMAS Release: September 9th Entry of “incoming” billing agreements in GMAS New Project Type: “Billing Agreement” New Funding Instrument: New Invoice Type: “Invoice-Billing Agreement” (I-BA) Benefits of New Process Standardized Setup Ability to Track and Monitor Centralized “Automated” Invoicing AR Collections by OSP

The “Square Peg, Round Hole” Dilemma Initial Request entry of BA’s will differ from normal processes New business process with details Future enhancements: TBD Interim solutions being developed to improve workflow Billing Agreements GMAS

Pre-Award: Roles and Responsibilities Sends unsigned BA Fully execute BA Update Allocations Affiliate Reviews BA Entry of initial request in GMAS Dept Prioritized on GMAS Request Dashboard Review BA and GMAS Received by ospofficerinbox @harvard.edu (OSP Officer) Partially execute BA (OSP Officer) Award Setup (OSP GCS/Ops) Pre-Award

At Proposal New “project type” option for Billing agreements Selecting this project type will not generate any person approvals (OAR, COI, PA) Enter Project Title as “Billing Agreement: (project_title)” This will help with identifying them on the Request Dashboard

At Award Setup New “Funding instrument” for billing agreements Selecting this funding instrument will cause the fund type to be NE (even if the prime sponsor is federal)

GMAS Setup and Closeout All Billing Agreements will be in the NE Range (200000-249999) Year Logic Accounts (no carryforward) Monthly Invoices Automated “Harvard University Invoice” template (I-BA) Based on GL Expenditures Collections at 90 Days Simplified Closeout Budget to Expenditures No Compliance Checklist OSP will de-obligate balances (no carryforward)

Billing Agreement Resources Overview of the new GMAS functionality and process ZOOM Webinar October 21st at 1-2 PM Register in the OSP Calendar Billing Agreement Business Process Harvard employees working at other institutions Affiliate hospitals, MIT, Broad

For pre-award questions and feedback: Contacts For pre-award questions and feedback: UAT: colleen_shanahan@harvard.edu For billing and collection questions and feedback: marc_todesco@harvard.edu or rebecca_looman@harvard.edu

Q + A