1. MRAM Monthly Research Administration Meeting FEBRUARY 11, 2016 UW TOWER AUDITORIUM NEXT MRAM MARCH 10, 2016 UW TOWER AUDITORIUM TOPICPRESENTERCONTACTMIN Subawards in SAGE Amanda Snyder Acting Co-Director, Office of Sponsored Programs Judy Chung Program Manager, ORIS 206 616-2585 acs229@uw.edu 206 543-0613 jachung@uw.edu 20 Subaward Certification Forms - FDP Streamlining Pilot Lynette Arias Assoc Vice Provost for Research Administration Strategic Initiatives, Office of Research Amanda Snyder Acting Co-Director, Office of Sponsored Programs 206 685-7065 ariasl@uw.edu 206 616-2585 acs229@uw.edu 10 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

2. OFFICE OF SPONSORED PROGRAMS Subaward Management in SAGE

3. OFFICE OF SPONSORED PROGRAMS 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 Project Goals

4. Future State

5. OFFICE OF SPONSORED PROGRAMS Release I –MayRelease 2 – end of July Release 3 – end of Sept New subs section in SAGE Intake forms New subs Modifications Required field validations Task list (basic) New statuses, viewing SPAERC updates (basic) Reports updates (basic) Coordinated release with ARIBA Expanded validations High value usability improvements or features (TBD) Alerts & Notifications (TBD) Permissions Adjustments (TBD) Collaboration features Returns Holds & reason Withdrawals Expanded view of history and comments Expanded reporting Final usability adjustments, improvements RELEASE SCHEDULE

6. OFFICE OF SPONSORED PROGRAMS  SAGE: –Statuses –Permissions –Tasklist options –Overall design  Ariba coordination  Training plans Work in Progress

7. OFFICE OF SPONSORED PROGRAMS OSP and Procurement services are partnering to ensure a smooth transition and are meeting frequently:  Change Management Meetings  Technical Considerations Meetings  Joint Communications Ariba Coordination

8. OFFICE OF SPONSORED PROGRAMS DATETIMELOCATION 2/17 Wednesday 9:30 – 10:30amSouth Lake Union -Orin Smith Auditorium, Building C 2/24 Wednesday 1:00 – 2:00 p.m.UW Tower -Visitor’s Dining Room -Limited seating LIVE WEBCAST -Group participation encouraged -Webcast Limit: 200 participants 2/25 Thursday 10:30 – 11:30amFoege -Room N130A UPCOMING CAMPUS SESSIONS

9. OFFICE OF SPONSORED PROGRAMS Please send advance questions & feedback to Amanda via email at acs229@uw.eduacs229@uw.edu QUESTIONS??

10. FDP Expanded Clearinghouse Pilot Lynette Arias Assistant Vice Provost for Research Office of Research MRAM – February 11, 2016 10

11. Expanded Clearinghouse Pilot February 2016 – June 2017 MRAM – February 11, 2016 11 Selected as one of 41 institutions nationally to be included in the pilot!

12. Remember how the FDP FCOI Clearinghouse saved pass-through entities and subrecipients from having to swap written confirmations that we each had PHS- compliant FCOI policies? Now we welcome its big sister: The FDP Expanded Clearinghouse! MRAM – February 11, 201612

13. 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, 201613

14. Core Elements of Pilot Institutions participate as both a subrecipient and as a pass- through 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, 201614

15. 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, 201615

16. 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, 201616 When we are the Pass-through Entity: DO NOT COLLECT a Subrecipient Commitment Form from another participating pilot institution

17. At Time of Proposal or Award Okay to ask for or to complete a “transaction- specific” 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 MRAM – February 11, 201617 Getting pushback? Talk to Lynette or Amanda

18. Origin of Entity Profile Template MRAM – February 11, 201618 133 FDP Institution Subrecipient Commitment Forms Entity Profile (Excel)

19. 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, 201619

20. 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, 201620

21. 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, 201621

22. MRAM – February 11, 2016 22 Participating Institutions 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 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

23. 23 COMPLIANCE CORNER MRAM February 11 2016

24. 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

25. 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

26. 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

27. 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

28. 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

29. 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

30. Cost Transfers – 2015 30 CTs onto Federal Award > 120 Days Number of Departments 25 Value of Transactions $5,606,624 5,252

31. Equipment Purchases – End of Award 2015 31 Number of Transactions Number of Departments Value of Transactions 410 45 $9,984,177

32. Questions? Contact gcafco@uw.edugcafco@uw.edu PAFC can provide consultation or data review 32

33. CORE is a collaborative effort to provide free, high quality, cohesive training on research administration and compliance to UW researchers and research administrators. UPCOMING COURSES IN RESEARCH ADMINISTRATION Feb 16ORIS 101 – SAGE: Creating and Submitting eGC1's Feb 17MAA 102 – eFECS for FEC Coordinators Feb 18ORIS 102 – SAGE: Creating NIH Proposals in Grant Runner Feb 25ORIS 103 – SAGE Budget Mar 03OSP 155 – Grants.gov: The Basics Mar 15MAA 205 – Modifying an FEC Using Comments and Adjusting Cost Sharing To see a full list of courses and to register, visit https://uwresearch.gosignmeup.com/public/course/browse https://uwresearch.gosignmeup.com/public/course/browse Mar 17ORIS 101 – SAGE: Creating and Submitting eGC1's Mar 22MAA 210 – Modifying an FEC, Change Outside eFECS and Recertifications

34. F&A (Indirect Cost) Rate Proposal February 2016 Ted Mordhorst for Management Accounting and Analysis University of Washington

35.  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 Provisional Rate University of WashingtonPresenter’s Office

36.  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 Progress! University of WashingtonPresenter’s Office

37.  Tentatively scheduled for the week of April 11 th.  Cost Allocation Service will select departments/facilities to be visited.  MAA will contact and work with departments to prepare. Negotiators Site Visit

38.  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. Finish Line in Sight