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Research Administration Town Hall (former name: RSA Town Hall)

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Research Administration Town Hall (former name: RSA Town Hall) Thursday, March 13, 2013 9:00-11:00 PM Parnassus Campus, HSW-301 w/ a live broadcast to Genentech Byers ... – PowerPoint PPT presentation

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Title: Research Administration Town Hall (former name: RSA Town Hall)


1
Research Administration Town Hall(former name
RSA Town Hall)
  • Thursday, March 13, 2013
  • 900-1100 PM
  • Parnassus Campus, HSW-301 w/ a live broadcast to
    Genentech Byers Auditorium at Mission Bay Room
    201 at the Fresno Campus

2
Agenda
  • Roles and Responsibilities between RMS, CG,
    Industry Contracts, and EMF
  • Marge O'Halloran and John Radkowski
  • NIH 2013 Updates
  • Susan Lin
  • CIRM Grants Management Policy Changes
  • Guest Speaker,  Gabriel Thompson
  • IT Field Services Comprehensive Computer Support
  • Sian Shumway
  • Readiness Guidance to Prepare for New Chart of
    Accounts Conversion Sponsored Projects
  • Susan Lin

3
Roles and Responsibilities between RMS, CG,
Industry Contracts, and EMF Marge
O'HalloranDirector of RMSResearch Management
ServicesJohn RadkowskiDirector of
CGContracts and Grants
4
Who Does What?
5
Responsibility Matrix for Extramural Activities
  • Lists extramural activities related to the
    application and award processes
  • Pre-award Activities
  • Award Process through Set-up
  • Communications with Sponsors

6
Responsibility Matrix for Extramural Activities
(cont.)
  • Describes responsibilities by unit, for each
    action, and hand-off between units.
  • Examples
  • PI/Dept gt RMS gt CG gt EMF
  • PI/Dept gt RMS gt ICD gt EMF
  • PI/Dept gt RMS gt Sponsor

7
Responsibility Matrix for Extramural Activities
(cont.)
  • Anticipated Release
  • Late March 2013.
  • Will be parked on the RMS website until the new
    OSR website is launched.

8
Questions?
9
NIH Updates
  • Susan LinAssistant ControllerExtramural Funds

10
Current Issues at NIH Spring 2013
Marcia Hahn, Director Division of Grants Policy,
OPERA
  • NCURA FRA and PRAMarch 2013

11
NIH Budget News
12
NIH Fiscal Policy for Grant AwardsFY 2013
  • NIH is operating under a continuing resolution.
    See NOT-OD-13-018
  • All FY 2012 legislative mandates and priorities
    remain in effect
  • Salary Limits Continues with Executive Level II
  • New Investigators NIH will continue to support
    new investigators on R01 equivalent awards at
    success rates equivalent to that of established
    investigators submitting new (Type 1) R01
    equivalent applications
  • More at NOT-OD-12-035, NOT-OD-12-036 and NIH
    Fiscal Policy FAQ

13
NIH Fiscal Policy for Grant AwardsFY 2013
(contd)
  • Increases for Future Years - Discontinued
  • Note that application instructions are unchanged
    grantees may still request COL increases in
    accord with institutional policy
  • Additional Information
  • Additional details on Fiscal Operations,
    including specific funding strategies for ICs are
    at http//grants.nih.gov/grants/financial/index.ht
    m
  • More at NOT-OD-12-036

14
The End of the Era of ARRA
  • Timely Quarterly and Closeout Reports Required
  • Accelerating Unspent ARRA Awards
  • OMB Memorandum M-11-34 Issued 9/15/2011, directs
    agencies to assure ARRA funds are spent by
    9/30/2013 and to revise the terms of Recovery
    Act discretionary grant agreements, to the extent
    permitted by law, to provide for reclamation of
    funds that remain unspent after September 30,
    2013, absent a waiver issued by OMB pursuant to
    this memorandum.
  • NIH waiver requests pending OMB review expect
    decision in March 2013
  • We continue to strongly encourage grantees to
    accelerate expenditures for all active ARRA
    grants regardless of the current or projected
    project period end date. 
  • See NOT-OD-12-014, Notice of Revised Term of
    Award for All Recovery Act Awards to Ensure
    Project Completion by September 30, 2013.

More at http//www.grants.nih.gov/recovery/
15
Super Storm Sandy
16
Super Storm Sandy
  • Notice of Assistance Available to Institutions
    Impacted by Super Storm Sandy, NOT-OD-13-013
    describes actions NIH is taking and lists
    resources available from NIH to assist
    researchers and research institutions recovering
    from Sandy. Resources include but are not
    limited to
  • Administrative Supplement Funding for Existing
    Grants. Sandy specific Type-3 Funding
    Opportunity Announcement is pending
  • Payment of Salary and Fringe Benefits Under
    Unexpected or Extraordinary Circumstances
  • Extensions of Time for Financial and Other
    Reporting
  • See also website on NIH Extramural Response to
    Natural Disasters and Other Emergencies
    http//grants.nih.gov/grants/natural_disasters.htm
    .
  • Disaster Relief Appropriations Act, 2013 signed
    January 29, 2013
  • NIH will be publishing specific Funding
    Opportunities for this special Appropriation
  • Anticipate special requirements similar to ARRA

17
  • Policy Updates

18
Changes to Policies and Procedures for FY2013 NIH
Awards to Foreign Institutions
  • Payment
  • All foreign awards issued after October 1, 2012,
    will be paid via PMS B subaccounts
  • Carryover
  • Carryover of an unobligated balance from an award
    issued prior to October 1, 2012, to an award
    issued after that date requires NIH assistance
  • FFRs for SNAP awards
  • For all initial SNAP awards issued to foreign
    institutions after October 1, 2012, foreign
    grantees are only required to report expenditure
    data at the end of a competitive segment
  • Currency Rate
  • For awards issued after October 1, 2012, grantees
    must use currency rate in effect at the time of
    drawdown from PMS.

19
Changes to Policies and Procedures for FY2013 NIH
Awards to Foreign Institutions
  • For additional information see
  • NIH Guide Notices NOT-OD-12-139 and
    NOT-OD-13-019.
  • Information for Foreign Applicants and Grantees
    webpage
  • Changes to Foreign Awards for FY13 Training for
    NIH Program and Grants Management Staff
  • Frequently asked questions
  • Changes to Continuing Foreign Awards in FY13
  • Carryover of Funds on Foreign Awards for FY13

20
Biomedical Research Workforce Working Group
  • Advisory Committee to the Director (NIH) approved
    a model for a sustainable and diverse U.S.
    biomedical research workforce to inform decisions
    about training the optimal number of people for
    the appropriate types of positions to advance
    science and promote health.
  • Conclusions
  • Increase in PhDs an aging workforce make
    launching a traditional academic research career
    more difficult
  • Long training time low early salaries may make
    such a career less attractive
  • Current training programs may limit trainees to
    an academic research career
  • See details of their report at
    http//acd.od.nih.gov/bwf.htm.
  • Next steps include
  • Small implementation teams formed for Workforce
    (focused on Grad Students and Postdocs),
    Diversity, Data/Informatics
  • Sample Goals
  • Provide broader better training experience for
    grad students postdocs
  • Expand/improve programs
  • Improve data collection on career outcomes of
    students/postdocs.
  • Stay tuned for RFIs seeking public input on
    various initiatives.

21
Revised Policy for Managing Conflict of Interest
in the Initial Peer Review of NIH Grant and
Cooperative Agreement Applications
  • Replaces the 2011 policy
  • Revised policy includes
  • addition of new language to clarify regulatory
    requirements concerning COI involving direct and
    indirect financial benefit 
  • addition of new language to clarify regulatory
    requirements concerning COI involving reviewers
    who are salaried employees of the applicant
    institution or investigator, or is negotiating
    employment with those entities and
  • deletion of the section on management of COI for
    individuals in multi-component or multi-site
    applications.
  • More at NOT-OD-13-010

22
Post-Submission Application Material Update
  • News of professional promotion or positive tenure
    decision for any PD/PI Senior/Key Personnel
    will be accepted
  • SRO must receive the material 30 calendar days
    prior to the peer review meeting
  • Material must demonstrate concurrence from the
    applicant organizations AOR.
  • Policy provides exceptions for applications
    submitted in response to RFAs that have a single
    due date.  Because similar issues apply to the
    last due date of an RFA with multiple due dates,
    the policy is revised throughout to apply those
    exceptions to applications submitted for the last
    due date of an RFA.
  • The policy lists acceptable post-submission
    materials for institutional training and
    training-related grants not Fs or Ks
    applications, including "appointments and/or
    achievements."  The following types of
    information will be accepted
  • News of a trainee's or former trainee's
    graduation, employment, promotion, funding,
    publication or other professional achievement
    since the training grant was submitted
  • News of a faculty member's promotion, funding,
    publication, or other professional achievement
    since the training grant was submitted and
  • News of an additional faculty member who will be
    involved in the training activity. 
  • More at http//grants.nih.gov/grants/guide/notice
    -files/NOT-OD-13-030.html

23
Interim Guidance for Videos Submitted as NIH
Application Materials
  • For applications submitted to NIH on/after
    January 25, 2013
  • NIH will accept only videos as non-traditional
    application materials no other devices or media
    will be accepted unless specified in the FOA.
  • Submitted videos are not part of the competing
    application, are submitted separate from an
    application submitted via Grants.gov, and must be
    submitted to the SRO 30 days before initial peer
    review.
  • The only acceptable content for videos is
    demonstrations of devices and experimental data
    with a temporal element, or demonstrates movement
    or change.
  • Video formats
  • Multiple videos may be submitted per application
    but their aggregate length must not exceed 2
    minutes for single-project applications and 5
    minutes for multi-component applications
  • Post-submission videos must be embedded in .pdf
    files with a maximum file size of 25 MB.  May be
    submitted on CD/DVD or via e-mail.  Currently
    popular, cross-platform, video formats include
    mp4, mov, avi, flv, and wmv.
  • Additional information see NIH Guide Notice
    NOT-OD-12-141

24
Upcoming Changes Subaccounts for Domestic
Grantees
  • Pending HHS payment policy will require all
    grants to be in PMS subaccounts
  • NIH Implementation
  • 10/1/2013 implementation date
  • Plan to transition all awards in FY14
  • Will Use PMS B Subaccounts (not P like ARRA)
  • B does not require FFR quarterly reporting (cash
    transaction data) NIH will streamline current
    financial reporting requirements by eliminating
    the FFR cash report
  • All existing expenditure reporting requirements
    will remain
  • Real time data available at the transaction level
    for monitoring
  • Guidance will be forthcoming

25
Upcoming Changes NIH Implementation of New HHS
Closeout Requirements
  • NIH implementation date proposed 10/01/2014
  • Maintains the 90 day requirement for recipients
    to submit closeout documents after completion of
    the award.
  • New Proposed Revised Financial Reports and
    Expenditures must be submitted no later than 6
    months from the due date for the original report.
  • New Proposed A 270 day post-project period
    requirement for agency completion of the entire
    closeout process.
  • Includes new guidelines for administrative
    closeout (a.k.a. unilateral closeout).
  • If acceptable final reports are not received by
    NIH, GMO must initiate unilateral closeout of the
    award within 180 day of the completion date of
    the award.
  • Unilateral closeout defined as the process by
    which an OPDIV closes out an award without
    receipt of all final reports required by the
    Terms and Conditions of an award, after making
    reasonable efforts to obtain them.
  • Stay tuned for future Policy Guide Notices on
    implementation

26
Revised NIH Grants Policy Statement
  • Effective 10/1/2012
  • Incorporates all policy changes implemented since
    the 10/1/2011 version
  • Other minor edits to clarify text based on user
    feedback
  • A summary of the significant changes
    http//grants.nih.gov/grants/policy/nihgps_2012/Si
    gnificant_Changes_NIHGPS_2012.doc.
  • See NOT-OD-12-157

27
Updated Forms/Instructions Posted
  • NIH Forms Applications page has updated
    forms/instructions for progress reports, other
    post award actions, and NRSA (http//grants.nih.go
    v/grants/forms.htm)
  • SBIR/STTR Application Guide posted Jan. 2013
  • Revised competing applications and instructions
    to be implemented in the summer of 2013
  • Following development of applicable electronic
    forms
  • Note new location for Final Progress Report
    instructions under Closeout on Forms
    Applications Page
  • More at NOT-OD-12-152

28

Fed-wide Streamlining Efforts
29
Research Performance Progress Report - Update
  • Guide Notice for RPPR changes issued 2/6/2013
  • Progress reports for SNAP and Fellowships with
    budget start dates on/after 7/1/13 must be
    submitted using the RPPR
  • Progress Report Additional Materials (PRAM)
    functionality expanded to include requests from
    ICs.
  • RPPR for non-SNAP and multi-year funded awards
  • Implementation timeline TBD.
  • More at NOT-OD-13-035

30
RPPR Resources
  • NIH RPPR webpage
  • Background
  • NIH RPPR Instruction Guide
  • Archive of Webinar for NIH Grantees
  • Frequently Asked Questions
  • More at http//grants.nih.gov/grants/rppr/index.h
    tm

31
Council on Financial Assistance Reform (COFAR)
  • Established by OMB Memorandum M-12-01
    and composed of an interagency group of Executive
    Branch officials to coordinate financial
    assistance. 
  • Replaces two Federal boards the Grants Policy
    Council and the Grants Executive Board to create
    a more streamlined, flexible, and strategic
    structure.
  • Activities include
  • providing recommendations to the OMB on policies
    and actions necessary to effectively deliver,
    oversee, and report on grants and cooperative
    agreements
  • sharing with executive departments and agencies
    (agencies) best practices and innovative ideas
    for transforming the delivery of this assistance.
  • For additional information including Council
    reports and documents Council minutes and
    related links, visit http//cfo.gov/cofar/

32
COFAR Omni-Circular
  • Published in the Federal Register 2/1/2013 for
    comment Reform of Federal Policies Relating to
    Grants and Cooperative Agreements Cost
    Principles and Administrative Requirements
    (Including Single Audit Act) (https//federalregis
    ter.gov/a/2013-02113)  
  • Proposes new guidance for grants intended to
    streamline language from eight existing OMB
    circulars into one document. (Referred to as the
    Omni-Circular.)
  • Comments must be received by OMB electronically
    through www.regulations.gov no later than
    midnight Eastern Standard Time (E.S.T.) on May 2,
    2013. Those interested in submitting comments
    may do so by clicking Submit a Formal Comment
    on the website above.

33
Policy Reminders
34
2011 Revised FCOI Regulations
  • 42 CFR Part 50 Subpart F (grants and cooperative
    agreements)
  • 45 CFR Part 94 (contracts)
  • Revised Final Rule published on 8-25-11
  • http//www.gpo.gov/fdsys/pkg/FR-2011-08-25/pdf/201
    1-21633.pdf
  • Compliance Date August 24, 2012

35
NIH Implementation Updates and Activities
  • Updated eRA FCOI Module
  • 8/12/2012 Training Webinar on FCOI Reporting
    Requirements and eRA FCOI Module Demo (archived)
    found at http//grants.nih.gov/grants/policy/coi/
    index.htm
  • Checklist for Policy Development for grantees
  • Presentations and Case Studies
  • Summary Charts on FCOI Reporting Requirements
  • FAQs (continually updating)
  • Tutorial (with certificate of completion)
  • Policy clarification - disclosure requirements
    for reimbursed and sponsored travel see NIH
    Guide NOT-OD-13-004 (10/18/2012)
    http//grants.nih.gov/grants/guide/notice-files/NO
    T-OD-13-004.html. 
  •  

36
FCOI Compliance Oversight
  • NIH Proactive FCOI Compliance Oversight Program
  • Assess institutional compliance with the 2011
    revised FCOI regulation and policy development
  • Obtain and evaluate publicly accessible FCOI
    policies for a sample of grantee institutions and
    assist grantee compliance by providing technical
    assistance through constructive feedback
  • Share results with NIH research community to
    improve and enhance compliance with the
    regulation
  • NIH Guide NOT-OD-12-159
  • Expand the FCOI Compliance Program during FY 2013

37
FCOI Reporting Requirements
  • Initial and annual FCOI Reports are provided to
    NIH through the eRA Commons FCOI Module
  • Prior to the expenditure of funds
  • During the period of award
  • Within 60 days of identifying a new FCOI
  • Annually
  • At the same time as when the annual progress
    report or multi-year progress report is due or at
    time of extension

38
FCOI Resources
  • Mailbox for inquiries
  • FCOICompliance_at_mail.nih.gov
  • OER FCOI Web Site
  • http//grants.nih.gov/grants/policy/coi/
  • Note FAQs are periodically updated.

39
Transparency ActSubaward Reporting
  • Where is information on subawards reported?
  • To FFATA Subaward reporting system (FSRS)
    fsrs.gov
  • FSRS.gov also used for the executive compensation
    of subawardees when information not available in
    CCR
  • XML Upload available
  • Information made publicly available at
    USASpending.gov
  • FSRS User support through the Federal Service
    Desk www.fsd.gov
  • Where can I get more information?
  • Direct questions concerning reporting on NIH
    grants to GrantsPolicy_at_mail.nih.gov
  • FAQs Federal Funding Accountability and
    Transparency Act

40
Transparency ActSubrecipient Reporting Reminder
  • Previously, requirement for Subrecipient
    Reporting only applied to New (Type 1) grants
    issued in FY2011 and beyond
  • In FY2012 and beyond, this expands to MOST awards
    where the Type 1 was awarded after October 1,
    2010. This includes
  • Non-competing Type 5 and Type 7 awards (that
    follow an FY2011 T-1) and,
  • Type 2s competing continuations when the original
    Type 1 was awarded on or after October 1, 2010.
  • Beginning in FY2012, awards have more definitive
    Yes/No award term for this requirement.
  • More at NOT-OD-12-010

41
Need Assistance with the NIH FFATA Requirements?
  • Visit the NIH FFATA/Public Accountability Web
    Page
  • http//grants.nih.gov/grants/public_accountability
    /ffata.htm
  • Includes Frequently Asked Questions
  • Send your NIH-specific questions by e-mail to
    GrantsPolicy_at_mail.nih.gov

42
Common Problem Cant Find Grant in FSRS to Report
  • Trouble-Shooting
  • Is it truly part of the FFATA reporting
    requirement?
  • Confirm that the award is a Type 1 award issued
    on or after October 1, 2010 or subsequent award
    to such a Type 1
  • Are you using the correct identifier?
  • The FAIN for NIH awards is based on the NIH award
    number but only the activity code, IC, and serial
    number. Example NIH award 1R01CA987654-01A1
    appears as FAIN R01CA987654.
  • Is the award in USASpending?
  • Do a grant search at http//www.usaspending.gov/ad
    vanced-search. If your award is listed on
    USASpending.gov it should also appear in
    FSRS.gov.

43
Audit Requirements
  • All NIH Grantees that expend 500,000 or more
    within a year in Federal awards are subject to an
    audit requirement.
  • Audits are due within the earlier of 30 days
    after receipt of the auditors report(s) or 9
    months after the end of the grantees audit
    period.
  • Grantees delinquent in submitting audits risk the
    imposition of sanctions and potential loss of
    Federal funds.

44
Summary of Audit Requirements
45
Progress Reports
  • Failure to submit complete and timely progress
    reports may affect future funding to the
    organization
  • Non-SNAP annual progress reports are due the 1st
    of the month preceding the month in which the
    budget period ends (paper submission)
  • SNAP progress reports are due the 15th of the
    month preceding the month in which the budget
    ends (electronic submission either RPPR or eSNAP)
  • Multi-year funded progress reports due on the
    anniversary (http//grants.nih.gov/grants/policy/m
    yf.htm)
  • Searchable list to determine which progress
    reports are due http//era.nih.gov/userreports/pr
    _due.cfm

46
Closeout Final Reports
  • Grantees are strongly encouraged to submit
    closeout documents electronically through the
  • eRA Commons
  • Failure to submit timely reports may affect
    future funding to the organization
  • Documents are due within 90 days of project
    period end date
  • Final Federal Financial Report (FFR) SF-425
    Expenditure Data (submitted through eRA Commons)
  • Final Inventions Statement Certification
  • Final Progress Report
  • Grantees must ensure there are no discrepancies
    between the final FFR expenditure data (in eRA
    Commons) and the FFR cash transaction data in the
    Payment Management System.

47
Closeout NIH Centralized Processing Center
  • Centralized office accepts receipt of all
    non-financial, paper-based closeout documents
  • Final Progress Report
  • Final Invention Statement and Certification.
  • If not using eRA Commons Closeout Module, mail
    closeout documents to the Central NIH unit at
  • Division of Centralized Grants Processing, OER
  • 6705 Rockledge Drive, Suite 5016, MSC 7986
  • Bethesda, MD 20892-7986 (for regular or US Postal
    Service Express mail)
  • Bethesda, MD 20817 (for other courier/express
    mail only)

48
Requirements and Compliance Assistance for OHRP /
OLAW
49
News from the Office for Human Research
Protections
  • 2013 Update to the International Compilation of
    Human Research Standards - Now Available at
    http//www.hhs.gov/ohrp/international/index.html
  • More at http//www.hhs.gov/ohrp/newsroom/index.h
    tml

50
Office of Laboratory Animal Welfare (OLAW)
  • provides guidance and interpretation of the PHS
    Policy, supports educational programs, and
    monitors compliance with the Policy by Assured
    institutions and PHS funding components to ensure
    the humane care and use of animals in
    PHS-supported research, testing, and training,
    thereby contributing to the quality of
    PHS-supported research.
  • New MOU Between NIH and the VA Posted January 24,
    2013 - available at http//grants.nih.gov/grants/o
    law/references/mou_olaw.htm
  • Flow Chart for Guidance on Departures from the
    Guide Posted January 18, 2013
  • Added tool for Assured institutions in meeting
    the reporting requirements for departures from
    the Guide. The chart is available for download on
    the Departures from the Guide webpage.
  • More at http//grants.nih.gov/grants/olaw/departu
    res.htm

51
OLAW Educational Outreach
  • FAQs at http//grants.nih.gov/grants/olaw/faqs.htm
  • OLAW online free quarterly webinars series
  • OLAW Online http//grants.nih.gov/grants/olaw/e-se
    minars.htm
  • Recordings of past webinarshttp//grants.nih.gov/
    grants/olaw/educational_resources.htm

52
Planned Upcoming OLAW-supported Workshops 2013


March Baltimore, MD IACUC 101
March Baltimore, MD PRIMR IACUC Conference
March Beltsville, MD Meeting the Information Requirements of the Animal Welfare Act
April Memphis, TN SCAW IACUC Training
May New York, NY SCAW Contingency Planning
June St. Louis, MO IACUC 101/Special Scenarios
June Beltsville, MD Meeting the Information Requirements of the Animal Welfare Act
September Portland, OR IACUC 101/201 PLUS
October Baltimore, MD SCAW IACUC Training
November Washington, DC IACUC 101/201 PLUS
December San Antonio, TX IACUC Winter Conference
http//grants.nih.gov/grants/olaw/workshop.htm
53
Electronic Post Award Administration
54
Electronic Administrative Supplements
  • Electronic submission of admin supplement pilot
    began February 1, 2012.
  • Optional for all single project grantees
  • Complex, multi-project grants not included in
    pilot
  • Parent FOA PA-12-100 used for submission
  • Can submit through the eRA Commons
  • To take advantage of pre-population of fields
  • OR
  • Can submit through Grants.gov
  • For schools that have systems that interact
    directly with Grants.gov.
  • Contact IC or review IC web site before
    submitting
  • More at NOT-OD-12-024

55
Electronic Post-Award Change of Grantee
Organization
  • Pilot of electronic submission of post-award
    Change of Grantee Organization applications (Type
    7)
  • Available only if the activity code of award has
    transitioned to electronic submission of
    competing application
  • NIH Guide NOT OD-12-134
  • Must use Parent FOA for Change of Grantee
    Organization Applications PA-12-270

56
Electronic Post-Award Change in Grantee Status
(Successor-in-Interest)
  • Pilot of electronic submission of post-award
    Change of Grantee Organizational Status
    Successor-in-interest Applications (Type 6)
  • Available only if the activity code of award has
    transitioned to electronic submission of
    competing application
  • NIH Guide NOT OD-12-133
  • Must use Parent FOA for Change of Grantee
    Organizational Status PA-12-269

57
Electronic Post-Award Relinquishing Statements
  • Pilot of electronic submission of Official
    Statement Relinquishing Interests and Rights in a
    PHS Grant (PHS 3734)
  • eRA Change of Institution module
  • Available to all--does not require activity code
    to have transitioned to electronic application
    submission
  • NIH Guide NOT OD-12-132

58
My NCBI
  • New Tool now available for Paper Progress
    Reports My Bibliography can generate printable
    PDF report of publications. Use to submit
    Section 2.2.6, Section E. Publications of the
    paper PHS 2590 progress report. 
  • Facilitates grantee reporting in two ways
  • quickly provides public access compliance status
    of each publication arising from the award in an
    easy to understand format
  • ensures grant-paper associations reported on PHS
    2590 are captured in RePORTER and other NIH
    electronic systems.  
  • Grantees are encouraged to voluntary use the PDF
    report now. Will be required this summer (when
    the RPPR is required for SNAP and Fellowships
    awards.)
  • Instructions for the PDF report are available
    at http//www.nlm.nih.gov/pubs/techbull/nd12/nd12_
    myncbi_pdf.html
  •  
  • More at NOT-OD-13-017

59
Public Access Compliance Monitor
  • NIH announced release of the Public Access
    Compliance Monitor (http//www.pubmedcentral.nih.g
    ov/utils/pacm)
  • A web-based tool that institutions can use to
    track compliance of publications that fall under
    the NIH Public Access Policy.
  • By providing efficient and flexible methods for
    retrieving, viewing, and organizing public access
    compliance information, the compliance monitor
    supports the efforts of grantee organizations to
    ensure their awards are compliant.
  • For additional information, see NOT-OD-13-020.

60
Update on Electronic Submission eRA Commons
61
Electronic Submission of Multi-Project
Applications
  • NIH plans to transition all multi-project
    applications to electronic submission using the
    SF 424 (RR) form set by January 2014.
  • November 2012 Launched Application Submission
    System and Interface for Submission Tracking
    (ASSIST) and began issuing a series of pilot
    funding opportunity announcements of varying
    activity codes that will require electronic
    submission for due dates between January and
    September 2013.  These FOAs will be listed on
    the multi-project application electronic
    submission transition timeline as they are
    published
  • September 25, 2013 All applications submitted
    in response to FOAs with the following activity
    codes intended for September 25, 2013 due dates
    and beyond will require electronic submission
    P01, P20, P50, R24, U24, U19 
  • January 25, 2014 All applications submitted in
    response to FOAs with the following activity
    codes intended for January 25, 2014 due dates and
    beyond will require electronic submission G12,
    P30, P40, P41, P42, P51, P60, R28, U10, U41, U42,
    U45, U54, U56, UC7, UM1.
  • Organizations that use system-to-system solutions
    to transmit applications via data stream to
    Grants.gov rather than using the Grants.gov forms
    should check with their service providers to
    determine when their systems will be able to
    accommodate multi-project applications through
    Grants.gov.
  • More at NOT-OD-12-161

62
Update on eRA Commons LikeThis
  • A Thesaurus-Based Search Tool
  • LikeThis provides a powerful and integrated
    search tool in a user friendly interface. With
    the ability to find similar projects and
    publications, Principal Investigators can more
    quickly and efficiently
  • find out new ideas for research based on what NIH
    has awarded in the past
  • see what NIH is doing in his or her area of
    interest
  • use the information as a decision tool to
    determine if they need to come up with a fresh
    research idea
  • and figure out in which study section his or her
    application should be reviewed.
  • More at http//era.nih.gov/services_for_applicant
    s/like_this/likethis.cfm

63
Update on eRA Commons Streamlining Delegations
  • New Delegation Tab added to Commons
  • Found on the Admin tab after logging into eRA
    Commons
  • Allows scientists to delegate administrative
    tasks
  • Status
  • Progress Reporting
  • Publications
  • And More.
  • SOs will be able to delegate authority from the
    Delegate Progress Report and Delegate Sponsor
    links on their My Delegates screen.

64
Update on eRA Commons Password Reminder
  • Password policy
  • eRA Commons passwords now expire every 90 days 
  • Change was required for compliance with security
    policies
  • Details of the password policy
    http//era.nih.gov/files/NIH_eRA_Password_Policy.p
    df

65
Tips for eSubmission Success
  • Remember to use the latest forms available for
    your funding opportunity announcement (FOA)
  • Identify form version by Competition ID
  • Competition ID ADOBE-FORMS-B2 currently in use
  • Competition ID FORMS-C coming summer 2013

FAQs http//grants.nih.gov/grants/ElectronicRecei
pt/faq_full.htmfind1
66
Tips for eSubmission Success
  • Register Early!
  • Registration with both Grants.gov (organizations
    only) and eRA Commons (organizations PD/PIs)
    must be completed before the submission deadline
  • Allow 4 weeks to complete new registrations.
  • Keep registrations active
  • System for Award Management (SAM), formerly CCR,
    information must be updated at least every 12
    months to remain active.
  • More at https//www.sam.gov/portal/public/SAM

67
Tips for eSubmission Success
  • Carefully follow the specific guidelines found in
    the Application Guide and the Funding Opportunity
    Announcement (FOA)
  • Instructions in the FOA trump those found in the
    Application Guide
  • Check your application for common errors before
    you submit
  • http//grants.nih.gov/grants/ElectronicReceipt/avo
    iding_errors.htm
  • Submit early!
  • Think days, not hours or minutes before deadline

68
Tips for eSubmission Success
  • Correct any errors before the application due
    date
  • If errors are found in the submission process,
    you must submit a changed/corrected application
    before the submission deadline.
  • View your application in Commons
  • YOU are responsible for verifying that your
    error-free application is viewable in the eRA
    Commons and correctly reflects your submission
  • If you cant VIEW it, NIH cant REVIEW it!

69
Helpful NIH Resources
70
Frequently Asked Questions
  • FAQs include questions about
  • Application/progress report preparation, funding
    initiatives, policies, human subjects, animals,
    disaster response, etc
  • http//grants.nih.gov/grants/frequent_questions.ht
    m
  • NIH Salary Cap in FY 2013
  • http//grants.nih.gov/grants/policy/fy2012_salary_
    cap_faqs.htm
  • Key word search

More at http//grants.nih.gov/grants/frequent_que
stions.htm
71
Tools to Search NIH Funding
  • Research Portfolio Online Reporting Tools
    (RePORT) http//report.nih.gov
  • Provides access to reports, data and analysis of
    NIH research activities, including ARRA-specific
    data queries, and more
  • Quick links to Frequently Requested Reports,
    FAQs.
  • RePORT EXPENDITURES RESULTS (RePORTER)
    http//projectreporter.nih.gov/reporter.cfm
  • Tool used to search information from NIH project
    databases and funding records, PubMed abstracts
    and full-text articles, and invention reporting
    (iEdison, Interagency Edison)
  • Replaces CRISP.

72
Summary of Helpful NIH Web Pages
  • Office of Extramural Research (OER) Web Page
  • http//grants.nih.gov/grants/oer.htm
  • NIH Grants Policy Statement (Rev. 10/11)
    http//grants.nih.gov/grants/policy/nihgps_2011/in
    dex.htm
  • NIH Extramural Nexus newsletter for the
    extramural community
  • http//nexus.od.nih.gov/all/nexus-by-date/
  • Rock Talk
  • http//nexus.od.nih.gov/all/rock-talk/
  • Grant Application Basics http//grants.nih.gov/gra
    nts/grant_basics.htm

73
Summary of Helpful NIH Web Pages
  • Applying Electronically
  • http//grants.nih.gov/grants/ElectronicReceipt/i
    ndex.htm
  • Annotated SF424 (RR) Application Forms (General
    and Small Business and Multi-project)
    http//grants.nih.gov/grants/ElectronicReceipt/com
    munication.htmforms
  • Ten Checks to Help Avoid Common Application
    Errors http//grants.nih.gov/grants/ElectronicRece
    ipt/avoiding_errors.htm10checks
  • Do I have the right electronic forms for my NIH
    application? http//grants.nih.gov/grants/Electro
    nicReceipt/files/right_forms.pdf

74
Summary of Helpful NIH Web Pages
  • NIH Extramural Response to Natural Disasters
  • http//grants.nih.gov/grants/natural_disasters.htm
  • eRA Commons Web pages
  • http//era.nih.gov/
  • eRA Commons User Guides
  • http//era.nih.gov/commons/user_guide.cfm
  • Updated (1-24-2012) Commons User Guide
  • http//era.nih.gov/Docs/COM_UGV2630.pdf
  • Self Help Resources page
  • http//era.nih.gov/help/self_help.cfm
  • Intellectual Property Policy
  • http//grants.nih.gov/grants/intell-property.htm

75
NIH OER Listservs
  • NIH Guide for Grants and Contracts
  • Official publication for NIH Grant Policies,
    Guidelines Funding Opportunities
  • http//grants.nih.gov/grants/guide/listserv.htm
  • Office for Human Research Protections (OHRP)
  • Office for Human Research Protections (OHRP)
  • Office of Laboratory Animal Welfare (OLAW)
  • http//grants.nih.gov/grants/olaw/references/list.
    htm
  • eSubmission
  • Separate listservs available for scientists and
    administrators
  • http//era.nih.gov/ElectronicReceipt/listserv.htm

76
Grants InformationWho to Contact!
  • General Application Questions
  • E-Mail GrantsInfo_at_nih.gov
  • Phone 301-435-0714
  • Grants.gov Customer Support
  • E-Mail support_at_grants.gov
  • Webpage http//grants.gov/
  • Phone 800-518-4726
  • eRA Commons Helpdesk
  • Web http//era.nih.gov/help/
  • Toll-free 1-866-504-9552
  • Phone 301-402-7469
  • TTY 301-451-5939
  • Hours Mon-Fri, 7a.m. to 8 p.m. Eastern Time

77
Grants InformationWho to Contact (contd)
  • Division of Grants Policy
  • E-Mail GrantsPolicy_at_mail.nih.gov
  • Phone 301-435-0949
  • Division of Grants Compliance Oversight
  • E-Mail GrantsCompliance_at_mail.nih.gov
  • Phone 301-435-0949

78
Thank You!
Questions?
79
Questions?
80
CIRM Grant Management Policy ChangesGuest
SpeakerGabriel ThompsonDeputy Grants Management
OfficerCalifornia Institute for Regenerative
Medicine
Controllers Office
81
CIRM Grants Management
  • March 14th, 2013

82
CIRM Grants Management Topics
  • Grant Administration Policy updates
  • Facilities and Indirect Costs
  • Major Facilities and Facilities B funding
  • Prior Approval Rebudgeting
  • Training Grant changes
  • QA

83
CIRM Funding Overview
  • To date, we have awarded
  • 586 grants
  • totaling
  • 1,777M

84
CIRM Grants Administration Policy
  • Modeled on OMB A-21 NIH policy
  • Regulations govern CIRM Applicants Grantees
  • Adopted by ICOC in 2006
  • Amended by ICOC in 2009
  • Amended by ICOC in 2012
  • Current version effective November 1st, 2012.
  • Applies to all new awards on or after 11/1/2012
    current awards on their next budget period
    anniversary on or after 11/1/2012.

85
Recent Amendments Definitions
  • Changes to GAP Definitions
  • Co-Principal Investigator
  • Financial Report
  • Indirect Costs
  • Key Personnel
  • Milestone
  • Program Announcement
  • Working Budget

86
How CIRM calculates FA
  • Facilities Rate A and B
  • Facilities rate A and B based on components of
    the federally negotiated Facilities rates, or
    actual out-of-pocket lease cost incurred by a
    Grantee if the Grantee leases space to conduct
    approved research. For UCSF
  • Indirect Costs
  • Most CIRM awards receive indirect costs of 20 of
    adjusted project costs PLUS facilities costs.
    Indirect cost limits will be stated in each RFA.

Facilities A Facilities A Facilities B Facilities B
(1) OME 12.80 (1) Depreciation/Use Allowances 10.10
(2) Library Expenses 1.60 (2) Interest on Capital Debt 4.00
87
How CIRM calculates FA
  • Adjusted Project Cost (aka MTDC)
  • Excluded costs are equipment, tuition and fees,
    and subcontract/consulting, in excess of 25,000
    per year.

Example
Personnel 175,000 Facilities A 12.8 1.6 14.4 28,800
Equipment 25,000 Facilities B 10.1 4.0 14.1 28,200
Subcontracts/Consultants 75,000 (2) Total Facilities 57,000
(1) Direct Project Costs 275,000 Adj Direct Research Funding Costs 257,000
Exclusions 75,000 (3) Indirect Costs 20 51,400
Adjusted Project Costs 200,000 Total Costs (1) (2) (3) 383,400
88
Facilities B and CIRM Major Facilities
  • Institutions with a CIRM Major Facility will not
    receive Facilities B for awards made to PIs
    listed in the (1) Major Facility Application, (2)
    the Final Space Plan or (3) are current
    occupants.
  • All CIRM applications contain three questions to
    determine the applicability of Facilities B cuts.
  • Regardless of your answer to these questions,
    CIRM prefers you budget your full Facilities B
    funding and let CIRM staff cut the Facilities B
    during the JIT phase.

89
Rebudgeting PARs
  • What, Where, When, Why?
  • Thresholds requiring Prior Approval
  • Personnel/Trainees lesser of 100K or 25 of
    working budget
  • Supplies lesser of 100K or 25 of working
    budget
  • Travel more than 2K 25 of working budget
  • Consult/Subs lesser of 100K or 25 of working
    budget
  • Equipment lesser of 100K or 25 of working
    budget
  • Rebudgeting into and out of excluded cost
    categories.
  • Special concerns for training awards.

90
Recent Amendments Training Grants
  • Mentor limits
  • Trainee parental or sick leave
  • Duplicate awards vs supplemental funding
  • Textbooks
  • Use of Program Administration funds
  • Prior Approval Requirements
  • Stipends
  • Trainee Related Funds
  • Carry Forward

91
QA
  • CIRM Grants Management Office
  • Amy Lewis, alewis_at_cirm.ca.gov
  • Gabriel Thompson, gthompson_at_cirm.ca.gov
  • Doug Kearney, dkearny_at_cirm.ca.gov
  • Wendy Rogers, wrogers_at_cirm.ca.gov
  • Susan Marton, smarton_at_cirm.ca.gov

92
Questions?
93
IT Field ServicesComprehensive Computer Support
for UCSFSian Shumway DirectorIT Field
Services
Controllers Office
94
Basic Service
  • Remote IT service desk 24x7 accessible via phone
    or online chat, response within 1 minute
  • Onsite field service available Mondays thru
    Fridays 7am - 6pm
  • 6 business hour onsite turnaround (assign and
    acknowledge issues from Service Desk)
  • Software licenses (e.g., Mac Windows OS
    upgrades, Office Pro, Acrobat Pro, Box, PGP,
    Citrix)
  • Security compliance (encryption, tested and
    validated software)

95
Basic Service (cont.)
  • Continuous backup with version control and
    disaster recovery to guarantee business
    continuity
  • Cloud integration with data storage and backup
    (access data anywhere from any device
  • Service loaners
  • Windows and Mac desktops/laptops
  • iOS, Android, and Windows smartphones/tablets
  • Lifecycle support of devices
  • 44 per FTE per month (one time transition cost
    of 150 per laptop or desktop)

96
Premium Service
  • All Basic services plus
  • Extended support hours after hours, on-call,
    remote support
  • 2 business hours onsite turnaround
  • Specialized and end-of-service software supported
  • On-site user training
  • Loaner computers
  • Loaner projectors
  • Project management for moves
  • Event support at UCSF facilities
  • 75 per FTE per month (150 one time transition
    per laptop/desktop)

97
Service Eligibility
  • Who is expected to use this service?In general,
    we expect all UCSF faculty and staff to start
    using this service after January 2013 and before
    December 2014. Departments can decide when,
    during that time period, they prefer to join.
    Postdocs and students are automatically excluded
    from using or paying unless their departments
    decide to pay for them.
  • Can anyone opt out of this service?Starting in
    January 2014, academic department chairs will be
    able to submit opt-out requests to their deans
    for full time research FTE's within their
    academic research laboratories who do not work
    with protected patient data at any time in the
    course of their employment. These exceptions are
    granted due to the unique equipment nature
    of these labs and the high number of their staff
    who do not regularly use computers. An academic
    research laboratory is defined as
    primarily engaged in non-clinical, academic
    research with a focus on graduate education and
    training. Central administration in these
    departments cannot opt out. Those who opt out
    will not receive campus desktop support services
    unless they pay on a time materials basis (for
    IT service desk and desktop support costs).

98
Direct charging allowability
  • Working with the budget office since last Fall to
    allow direct charging to sponsored awards
  • Charges are currently being written into
    proposals by Pre-Award team
  • Developing timeline of when existing awards can
    be charged with Budget, RMS, Contracts Grants
    and Controllers office
  • Determination will be made by April

99
Advisory Board
  • Chaired by Jane Czech with representation from
  • FAS Gary Forman
  • EVCP Marge OHalloran
  • SFGH Tim Greer
  • School of Dentistry Tommy Kwong
  • School of Pharmacy Marley Quirante
  • School of Medicine Clinical Chuck Hajek
  • School of Medicine Basic Science Maggie Millet
  • School of Medicine ORU Clarice Estrada
  • Faculty Katy Williams (pending 2 additional
    positions)
  • Member at Large Jessica Welsh Thomas
  • Medical Center pending (2)

100
Implementation Design Team
  • Julie Cox, IT Service Desk
  • Dan Freeman, CLS
  • Kurt Glowienke, ITS
  • Tim Greer, SFGH
  • Kylie Grenier, School of Nursing
  • Quinn Hearne, School of Medicine
  • Bonnie Hellevig, School of Medicine
  • Andrew Riley, School of Medicine
  • Ann Rodriguez, Finance
  • Pranathi Sundaram, Radiology
  • Richard Trott, Library
  • Erik Wieland, Department of Medicine

101
Organization
102
References
  • IT service desk
  • http//it.ucsf.edu/projects/consolidated-service-d
    esk
  • IT field services
  • http//it.ucsf.edu/services/category/support
  • Basic service
  • http//it.ucsf.edu/services/basic-support
  • Premium service
  • http//it.ucsf.edu/services/premium-support
  • Frequently Asked Questions (FAQ)
  • http//it.ucsf.edu/services/faqs-field-services
  • Sian Shumway, Director IT Field Services
  • sian.shumway_at_ucsf.edu

103
Questions?
104
Readiness Guidance to Prepare for New Chart of
Accounts Conversion Sponsored Project
FundsSeries 1Susan LinAssistant Controller
Extramural Funds
105
Topics
  • Plan for Smooth Transition to New COA
  • Data Conversion Strategy for Central Systems
  • Preparation of Sponsored Project Funds before
    July 1, 2013
  • Next Steps

106
Plan for Smooth Transition to New COA
  • Information Distribution and Training
  • Research Administration Town Halls (former RSA
    Town Hall)
  • Webinars
  • Upcoming webinar scheduled on Friday, April 12th
    from 10am to 11am
  • Topics included how to review
  • Budget Amount
  • Revenue and allocation
  • Expenses Incurred
  • STIP Allocation for Fixed Price Awards
  • Intercampus Charges
  • Overdraft and Deficits
  • Weblinks Reports

107
Data Conversion Strategy for Central Systems
  • General rule of thumb is to convert only FY14
    data
  • Some business processes required more data to be
    converted
  • The following historical databases will be
    available for research, reporting, and analysis
  • PeopleSoft Production copy as of the end of
    December FY 2014 Final Close
  • WebLinks copy as of the end of December FY 2014
    Final Close
  • The next two slides provide information on what
    data in central systems will be converted
  • Detailed information can be found on the Finance3
    website (under Resources) http//controller.ucsf.
    edu/finance3/resources.asp

108
Data Conversion Strategy for Central Systems
(cont.)
109
What Central System Data Will Be Converted
Application Data to be Converted Notes
PeopleSoft General Ledger 7/1/13-12/31/13 All ledger balances and journal entries for fiscal year 2014 (including any unposted journals for future periods) Balance forward for balance sheet accounts Project-to-date-revenues and expenditures for sponsored research
PeopleSoft RAS All financial subsystem transactions for Active RAS Awards Active Awards fund has not been placed on STOP code, and at least one fund year for the awards competitive segment is open
BearBuy BearBuy BearBuy
POs in SciQuest All open POs with PO dategt11/6/2012
POs in PeopleSoft All open POs All closed POs with lien activity between 7/1/13-12/31/13
110
What Central System Data Will Be Converted
Application Data to be Converted Notes
PeopleSoft Accounts Payable 7/1/2013-12/31/2013 All vouchers with accounting entries or associated purchase orders in the specified period
All unposted, unpaid or unreconciled vouchers All subcontract vouchers for active awards All of these are converted regardless of the date
PeopleSoft Assets All plant and equipment assets that are in-service Some retired assets will be converted to support UCOP reporting or reinstatement requirements
MyExpense No conversion All pending transactions need to be approved by 12/13/2013. If not, they will need to be submitted with the new chartfields after conversion.
Effort Reporting System 7/1/2013-12/31/2013
HBS Timekeeping System 12/31/2012-12/31/2013 HBS will convert one year of history to support retroactive transactions
111
What Central System Data Will Be Converted
Application Data to be Converted Notes
Payroll Personnel System Payroll Personnel System Payroll Personnel System
EDB Employee Database 12/20/2013-12/31/2013 Employees in the database in specified time period will be converted
Pay Audit Record 12/1/2009-12/31/2013 Provides earnings information supports making adjustments (cancellations, RX/LX, additional pay)
Expense Transfer History 12/1/2009-12/31/2013 Used for payroll expense transfers
EDB History Database Merit Database Post-Audit Notification (PAN) No conversion Retain original history
112
Preparation of Sponsored Project Funds before
July 1, 2013
  • What to Prepare and Review
  • Budget Amount
  • Revenue Allocation for Fixed Price Awards
  • Expenses Incurred
  • Direct Costs
  • Indirect Costs (FA)
  • STIP Allocation for Fixed Price Awards
  • Intercampus Charges
  • Overdraft and Deficits
  • Closeout of Expired and Expiring projects

113
Review and re-Allocate Revenue
  • Why
  • Support the development of profit and loss
    statements at various levels of the organization
    (e.g., Principal Investigator, division, and
    department, and control point.)
  • Impact
  • No impact on cost reimbursable awards
  • Currently revenue is recognized at the fund, DPA
    (PI), and fund year level based on the chart
    field where expense is recorded
  • Impact on fixed price awards
  • Currently revenue is inconsistently booked at
  • fund and fund year level, or
  • fund, DPA (PI), and fund year level.

114
Review and re-Allocate Revenue(cont.)
  • Next steps
  • Have an agreement on how to split the revenue
    between PIs for the following types of awards, if
    there isnt any
  • Installment, advanced payment, milestone, and
    unit of services.
  • Provide DPAs to EMF to split the revenue for the
    new invoices
  • Re-allocate revenue between DPAs for the invoices
    that were recorded previously by using fund
    balance transfer (method of transfer will be
    discussed at the webinar).
  • During fiscal year 2013 final close week, if the
    revenue or fund balance is not associated with
    DPA, EMF will transfer the amount to the DPA for
    the Primary Project in RAS
  • A DPA on all revenue NCAs will become mandatory
    beginning 7/1/2013 (new chart field validation
    rule will require a DPA as well as a Fund when
    revenue is recorded)

115
Fund Balance Management (Fund Balance Revenue
minus Expense)
  • Currently, departments manage balances using both
    the financial and budget ledgers
  • Upon go-live, Hyperion will become a plan and
    users will primarily manage financial balances in
    the financial ledger
  • The PeopleSoft budget ledger will only be used
    for sponsored projects
  • Plant/capital will use the budget ledger until
    Hyperion go-live
  • For non-sponsored funds, re-appropriated balances
    from 2012-13 will appear as equity balances in
    the financial ledger
  • Units must begin managing funds in the financial
    ledger

116
Questions?
117
  • Thank You

118
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