1. October 16, 2012al Research Administrators Workgroup

2. 2 Agenda Introductions Announcements / Updates Beyond Reason Report Out (Lisa Horvitz) Research Metrics (Peter Paskevich) Effort Reporting Update (Raquel Espinosa) NIH Revised GPS and Progress Report Forms (R. Espinosa) Eleventh Hour Cost Transfers (Raquel Espinosa) New Award Setup – fCOI Impact (Raquel Espinosa) FY12 Audit (Raquel Espinosa)

3. 3 Announcements / Updates Fund Activations and Updates to Existing Funds Partners Research Management assigned two individuals to work on the backlog of InfoEd records. Funds activated in the order they were awarded starting by the oldest to the most recent.

4. 4 Beyond Reason Report Out Participants John Cavanaugh Sara Hoots Mary Malloy Dawn Morrissey Scott Provost Rose Villafuerte

5. Grant Administrator Refresher Training

6. 6 GA Refresher Training What: Two Day Training for Administrators When: Thursday November 8 and Thursday, November 15 Where: Pierce Hall Who: All administrators Look out for an email from Renee Brathwaite to RSVP

7. 7 GA Refresher Training Our current training program is as follows: Introduction to Research Management Federal Grants Policy 101 Research Management Policy Overview Introduction to Pre-Award Concepts and Services Introduction to Post Award Concepts and Services Developing and Monitoring Subcontracts Introduction to Research Finance Concepts and Services

8. RM “Quarterly” Training Schedule 2012 October Intro to Pre-Award Concepts & Services10/12 (9AM-5PM) Federal Grants Policy 101: Overview of Hospital Cost Principles/NIH Grant Policy Statement OMB Circular A-110 10/15 (9AM-1PM) RM Policies Overview10/18 (9AM-1PM) Intro to Post-Award Concepts & Services10/19 (10AM-4PM) Intro Research Finance Concepts & Services10/23 (1PM-5PM) Sub-contracts & Sub-monitoring 10/26 (9AM-1PM) Overview of InfoEd PD10/29 (9AM-11:30AM) All classes are held at 101 Huntington Avenue, Boston, 3 rd floor large conference room. Please search in PeopleSoft to request enrollment.

9. 9 GA Assessments In the effort to increase GAs skills and qualifications, a certified Partners training program will be available for administrators at McLean. All categories with the exception of the Grant Coordinators will be required to take an assessment in specific areas (Finance, Pre-Award, Post-Award, Compliance, etc.) and meet a minimum score.

10. 10 Continuation - GA Assessments Research Administration will meet with GA’s to review the assessment results Assessment will include ~ 100 questions (multiple choice, mix and match) Assessment date to be confirmed

11. Research Metrics

12. 12 Key Statistics >$44 million per year “business”  25 % of hospital operating revenue 135 PIs investigating causes and mechanisms underlying mental illness  Molecular biology, genetics, brain imaging, stem cell science  47 established labs 294 FTEs  361 full and part time professional and technical staff  21 % of hospital employees >3 acres of research space (~125,000 gsf)  5 buildings solely dedicated to the research enterprise Largest private specialty hospital recipient of NIH funding in the United States

13. 13 More Key Statistics Citations: – Total articles in ISI: 941 – Total citations for 3 year period: 5,239 Patents – Disclosed: 13 – Filed: 5 – Issued: 9 – Licensed: 6 Active Extramural Research Funding – Number: 610 – Total Cost: $44,066,000 Federal: $30,437,000 (69%) Non-federal: $13,629,000 (31%)

14. 14 Awarded Revenue McLean Research by Type Clinical & Benchtop # Funded Projects Benchtop Clinical Research Source: McLean Office of Research Administration Benchtop Clinical Research

15. 15 McLean Research by Subject Matter

16. 16 McLean Research Revenue

17. 17 McLean Research Revenue Federal & Non-Federal FY01-FY11

18. Effort Report Update

19. On Oct. 1, Effort Certification Forms (ECFs) will be generated via Insight and all effort managers will receive a system generated email notification. These forms must be completed within 30 days. If you need a refresher on the effort reporting process please refer to the Effort Training Page on the RM Website. Other resources include:Effort Training Page –Effort Reporting FAQsEffort Reporting FAQs –Effort Reporting Quick Guide for AdministratorsEffort Reporting Quick Guide for Administrators –Effort Reporting Hierarchy Maintenance Quick GuideEffort Reporting Hierarchy Maintenance Quick Guide –Effort Reporting Guide for InvestigatorsEffort Reporting Guide for Investigators Suggested steps to take in order to prepare for the reporting period include: –Make sure your Hierarchy is up to date and all investigators are listed. –Make sure your department contacts are up to date in the “Research Contacts” table in Insight –Ensure your department/unit assignment is up to date in the Admin tab in Insight –Work with your Post-Award Grant Administrator to ensure sponsor commitments are reflected correctly in InfoEd –Work with Post-Award to process any Employee Data Changes as necessary (must be complete prior to published deadlines for September in order to be reflected on ECFs)published deadlines for September –If an investigator has left during the period or will be on an approved leave of absence, identify a suitable delegate and contact the Effort Team for set up FY12 Pd 2 Effort Certification

20. INITIAL NOTIFICATION October 1- Primary Effort Managers (cc: Dept Admin) for investigators who had an ECF generated EMAIL REMINDERS October 10– Reminder to Primary Effort Managers for investigators who had an ECF generated so that investigators have enough time to certify October 17– Reminder to Primary Effort Managers and Investigators who don’t have their forms completed October 25– Final reminder to Department Administrators, Primary Effort Managers, and Investigators who don’t have their forms completed DEADLINE October 31 Deadline for effort reports return (marked as completed in Insight) ESCALATION November 15– Chief, Dept Admin, Institutional Research Administrator, and Entity Compliance Officer November 30–Entity VP Research, PHS Corporate Director RM and RF, PHS Compliance Officer, PHS Director of Research Analytics & Reporting + everyone above December 14– PHS VP Finance + everyone above CERTIFICATION PERIOD CLOSE March 30– Last day to electronically sign Period 2 effort reports in Insight; paper-based on April 1 FY12 Pd 2 Effort Certification Deadlines

21. NIH Revised GPS and Progress Report Forms

22. 22 NIH Revised GPS and Progress Report Forms Revised NIH Grants Policy Statement (10/1/2012) NOT ‐ OD ‐ 12 ‐ 157: Incorporates policy changes and clarifications notices issued over the past year. For summary of changes see: http://grants.nih.gov/grants/policy/nihgps_2012/Significant_C hanges_NIHGPS_2012.doc Note 7.4 on F&A assessed on genomic arrays and 8.1.2.5 Change in Scope in regard to human subjects. Revised NIH Progress Report 2590 Guidelines and Forms. See: http://grants.nih.gov/grants/funding/2590/2590.htm

23. 23 Research Performance Progress Report (RPPR) Implementation of the RPPR All NIH grantees will have the option to use the RPPR for Streamlined Non-competing Award Process (SNAP) and Fellowship progress reports beginning 10/19/2012. The use of the RPPR will not be required at this time and grantees may continue to use eSNAP or paper submissions as appropriate. A full list of activity codes for which grantees will be able to submit RPPRs as of 10/19/2012 is available at: http://grants.nih.gov/grants/rppr/

24. 24 Research Performance Progress Report (RPPR) NIH expects to require use of the RPPR for these activity codes in the Spring of 2013, and to pilot the RPPR for non- SNAP awards during calendar year 2013. Any requirement to submit RPPRs will be announced in the NIH Guide. Once a progress report has been initiated as either an RPPR or an eSNAP, the only way to change the progress report format is with the assistance of the eRA Help Desk at Commons Support (1-866-504-9552 or commons@od.nih.gov). It may take eRA up to 2 business days to reset the progress report so the user can initiate a progress report in a different format.commons@od.nih.gov

25. 25 RPPR Resources Resources NIH RPPR Instruction GuideNIH RPPR Instruction Guide (PDF - 1 MB) NIH RPPR Instruction GuideNIH RPPR Instruction Guide (MS Word - 2 MB) Screen Shots of the R01-like RPPRScreen Shots of the R01-like RPPR (PDF - 1.7 MB) Webinar Training for Grantee Institutions October 17, 2012, 1:30 – 3:00 PM EDT Reserve your Webinar seat now at: https://www3.gotomeeting.com/register/647997446 https://www3.gotomeeting.com/register/647997446

26. New Policy: No “Eleventh Hour” Cost Transfers

27. 27 New Policy: No “Eleventh Hour” Cost Transfers Senior Research Leadership at BWH and MGH approved the following new policy: All salary and non ‐ salary cost transfers that will result in additional expenses being charged to a sponsored project, must be submitted no later than one month after the project end date Please note: original cost transactions, such as subcontract expenses and accounts payable transactions, will continue to be honored through the submission of FSR/final invoice Research Administration will be implementing additional fund monitoring analyses, tools and proactive outreach to departments in advance of the project end date to support the new policy

28. 28 “Eleventh Hour” Cost Transfers Benefits of the policy: Increase the automation of FSRs/ final invoices Meet FSR / final invoice reporting deadlines Decrease compliance risk due to late adjustments Achieve goal of inactivating funds within 6 months of project end date Effective Date: New Policy is in effect for awards ending in December, 2012. Cost transfers for any project with an end date in December, 2012 must be submitted by January 31, 2013.

29. New Award Setup - fCOI Impact

30. 30 New Award Setup - fCOI Impact All new awards funded by the Public Health Service (PHS), and some Foundation awards, must be reviewed in accordance with the new fCOIregulations, before a PeopleSoft Fund is established OII is working hard on the reviews, but there may be some delays in new fund setup or incoming subcontract execution RM and OII are working closely together and have developed a list of pending and completed reviews Please contact your Post-GA if prioritization is needed, or for a status update

31. 31 Outgoing Subcontracts - fCOI impact Prior to issuing an outgoing subcontract agreement under a Public Health Service (PHS) award, RM must confirm the collaborator has a compliant COI policy, or is willing to adopt a model policy Note, that some foundations also apply the PHS fCOI regulations Good news! Most of our collaborating institutions do have policies in place and we are able to move forward without delay FDP Clearinghouse and Federal Reporter allow us to easily confirm for the majority of institutions Please be aware there may be some isolated delays in issuing subcontract agreements if confirmation from the collaborator is not in place. RM/RA will outreach to the PI to assist in facilitating a response

32. FY12 Audit

33. 33 FY12 Audit – Some Questions Asked How lab detects invalid expenses on the grant? Do you review your fund comparing budget to actuals? How about projections? Does this grant include a supplement? Has there been any rebudgeting of the grant? What type of expenses should we anticipate seeing on your grant? Are there travel expenses? If so, for whom? Equipment? Was it tagged? Effort Reporting: how do you verify effort of your staff on the project? How about subcontracts? Does the PI have effort on other projects? How is this tracked internally?

34. 34 FY12 Audit – Some Questions Asked Cost Transfers: were there journal entries processed for this project? What is the cost transfer process? Does the project include cost sharing? Are there subrecipients on the project? Is there program income? How are the costs on the grant validated? Personnel on the grant and their role on the project. Are you suspicious or do you have knowledge of any fraud in the institution? If it were to happen, who would you contact? Any other controls in place not discussed?

35. 35 FY12 Audit – Reminders NEW! Cost transfer requests on a line item with cost $5,000 or more will require prior approval from Research Administration Use cost transfer journal template posted on the research intranet and submit via Outlook to Research Finance Over 90 day requests require Research Administration’s prior approval along with strong justification for the lateness of the transfer requests Department must keep packing slips for all purchases- document that validates item was received

36. 36 QUESTIONS? Contact: Raquel Espinosa respinosa@partners.org 617-855-2868