4 InfoEd PD draft proposals and routing All proposals should be created in InfoEd PD and sent to the “Draft Route” so eCOI deliverables will be generated. Do not submit as “Final Route” because eCOIs will not be issued and proposal will not be routed to Chief for review and approval. This will create hold ups when needing to activate a fund number.
5 Announcements / Updates Standardization of McL This is “Phase II” of the “Project Plan” and it focuses on research operations at McL. During Phase I, it was clear that there was room for improvements and mostly regarding workarounds caused by not maximizing the use of our systems. We (Research Administration) are going through a pre, post training as well as training on how to better use InfoEd. Optimizing the use of the systems as well as learning how these operations are managed on a larger scale, will allow us to become more efficient. In addition, we are going through a “Process Improvement Plan of Research Administration” with Lisa Horvitz
10 Example 1 Grant: 409561 Ole Isacson PO 0001043608 Date 10/20/2003 BD FACSARIA INSTRUMENT $2423.52
11 Example 2 Grant 400018 Francine Benes PO 0001592553 Date 11/7/2005 Regina EXi Color Digital Camera w/ card and cable $7450.00
12 Example 3 Grant 400106 Scott Lukas PO 0002121252 Date 2/9/2007 ALLEGRA X15R PROMO W/ARIES RTR A30124 $ 8,999.00 New Label showing date of inventory
13 Research Capital Policy Requirements Capital Equipment is defined as a single piece of equipment with a cost $5000 or more and has a life span of at least 2 years. Competitive bidding is required and 3 quotes and a vendor selection form must be attached to the eBuy order. The equipment is tracked for a period of 5 years and is audited every other year to ensure its condition and location. OMB Circular A-110 Section 34(f)(3) requires organizations which receive federal funding and which purchase equipment to perform a physical inventory of the federally funded equipment at least once every two years, and reconcile the results to equipment records.
14 Audit findings 2012 Condition We tested Partners HealthCare’s equipment inventory process. Of the 34 inventory items we selected, we noted one item whose serial and tag number was not appropriately reflected within Partners HealthCare’s equipment records. The equipment, a Near Infrared Video Fear Conditioning System had a purchase price of $6,540. Cause This item had malfunctioned and was returned to the supplier for a replacement. However, the equipment records were not updated for the replacement item’s equipment tag and serial number within the inventory management system. Effect Partners HealthCare’s records did not accurately reflect the equipment inventory physically held at the location. Recommendation We recommend that management emphasize the need to update equipment records on a timely basis upon the occurrence of a change in assets held such as described above.
15 Previous Audit Issues Direct Shipments Due to the nature of some equipment is can not be tagged until is has been setup by the vendor. Return or Exchanges The equipment was defective or traded in for an upgrade. Disposal: The computer equipment became obsolete or failed and was disposed of. Title Transfer: Principal Investigator left McLean and moved to another location.
16 eBuy locations eBuy location on order must be for the location of the equipment and not for the location of the requestor
17 Research Capital Equipment Change Notification Form This is a new form has been created and must be completed for each of the following conditions: 1.Move* 2.Exchange 3.Disposal 4.TitleTransfer * Doesn’t require Research Admin approval unless the move is offsite.
22 Review of GA Assessment Q1.72 Research Management’s Post-Award team expects to establish fund numbers for new awards, other than complex mechanisms, within this many days: Answer: 15 days
23 Review of GA Assessment Q1.74 Where in InfoEd should you look to check on the status of a subcontract negotiation? Answer: Subcontract Deliverable status / notes
24 Review of GA Assessment Q1.75 Proposed new collaborations where a Partners hospital will receive a subcontract for a portion of work on the project should be treated as and routed to the for review. (Select the best answer). Answer: Proposals; Pre-Award GA
25 Review of GA Assessment Q1.87 Drag the payment method on the right to match the type of award it typically applies to in the left column: Answer: CorrectChoice NIH research awardsLetter of Credit (LOC) SubcontractsInvoicing Industry research paymentsUpfront / automatic payments
26 Review of GA Assessment Q1.88 Drag the following steps in Accounts Receivable process into the correct order: Answer: Correct Order Unbilled AR (741000) Billed AR (740200) Cash (740100)
27 Review of GA Assessment Q1.89 True or False? Revenue is the same thing as cash received. Answer: CorrectChoice TRUE X FALSE
28 Review of GA Assessment Q1.95 True or False? The fund balance must be $0 for Research Finance to close out the fund in the PeopleSoft system. Answer: CorrectChoice XTRUE FALSE
30 F&A Costs Policy Research Base: Modified Total Direct Costs (MTDC) or Total Direct Costs (TDC) Once a rate has been identified for a project, it is applied on a Modified Total Direct Cost basis, referred to as MTDC, or a Total Direct Cost basis, referred to as TDC. MTDC includes all direct costs with the exception of equipment costs, patient care costs, alterations and renovations, and sub-contract costs over $25,000 per sub-contract aggregated over the grant project period.
31 F&A Costs Policy There are no exclusions when a TDC approach is utilized. Thus, the applicable F&A rate is applied to all direct costs. The TDC base shall be used: For industry-sponsored clinical trials. When a non-federal sponsor’s published F&A rate for basic or clinical research is less than the Partners federal F&A rate. F&A Costs Policy can be found in the following link: http://resadmin.partners.org/RM_Home/documents/RMPolicies /F&ACostsPolicy.pdf
Billing Agreements / Partners Internal Direct Charging
Overall Summary Principal Investigators (PI)/Researchers are sometimes employees of one institution while physically perform all work at another local institution. Billing agreements facilitate invoicing between two local institutions Direct charging of salary/stipend and fringe via a PeopleSoft Employee Data Change (EDC) is done in lieu of billing agreements between Partners hospitals or entity departments. Both cover salary and fringe only, with the exception of training grant and similar mechanisms. Overhead is not allowed, with the exception MIT Student Billing Agreements. *A subcontract should be used if the work will take place at both institutions to address the possibility of intellectual property being developed at either institution and other legal terms and conditions.
Harvard Workgroup Established approximately 14 months ago to bring together Harvard Affiliates with the goal of improving or streamlining research operations. 1.Beth Israel Medical Center, 2.Children's Hospital Boston, 3.Dana-Farber Cancer Institute, 4.Harvard Medical School, 5.Harvard School of Public Health, 6.Harvard University, 7.Joslin Diabetes Center 8.Partners Healthcare *Guidance document specifically for billing agreements across the Affiliates, including templates, has been developed and agreed to by the Workgroup.
Types of Billing Agreements 1.Investigator Salary and Fringe Agreements 2.Institutional Training Grant (i.e. T32) 3.Mentored Awards with trainee slots (i.e. K12) 4.MIT Student Agreements (outgoing agreements only)
Partners Internal Direct Charging Across Partners hospitals: A researcher is an employee of one Partners hospital, but is performing all work associated with a particular Research project in another Partners hospital. Requirements: Researcher should be a T32 trainee or hold a joint appointment and have required lab accesses. Researcher should be delineated in the proposal budget and justification indicating that all work is happening at the Prime hospital, although s/he is paid by another Partners hospital. Allocation Process: The Prime Awardee Department Administrator (DA) is responsible for notifying the DA at the Payroll Entity responsible for processing the PeopleSoft employee data change (EDC) to add the new fund to the individual’s distribution, and providing justification for the EDC. The Payroll Entity DA is responsible for adding the cross-institutional fund to the researcher’s distribution through PeopleSoft. Indirect costs are assessed at the Prime Awardee as all work takes place there. Fringe will be charged to the Payroll Entity via a monthly allocation program. .
Internal Direct Charging – Across Department Across Department (within the same hospital): A researcher is performing work on a particular research project outside his/her normal chief code. Work does not have to be performed specifically in department space where funding is derived, but rather can be done in the individual’s normal workspace since the work is taking place within the same entity Allocation Process: The DA managing the Prime Award is responsible for notifying the DA of the external chief code to add the new fund to the individual’s distribution, and providing justification for the EDC. The comments field of the EDC must indicate which chief code the work is taking place in, along with a confirmation that communication across the respective Departments validating the allocation amount has occurred.
Fund Management Monitoring of expenses, including the salary expenses allocated by the Payroll or Trainee Entity/Department, is the responsibility of the Prime Awardee’s DA. A PeopleSoft fund number for the Payroll Entity will not be established Pro-active notifications of budget overages, or surplus, by the Prime Awardee DA to the Payroll or Trainee Entity’s DA is required throughout the project. The Payroll or Trainee Entity DA will be able to view the salary allocation of their employee the day following approval of the EDC via Insight. Any changes to the payroll allocation must be discussed with the Prime Awardee DA before additional EDCs are submitted. The Payroll Entity DA is responsible for submitting the EDC to remove the individual from the project by project end date. Post-Award GA will also communicate across central portfolio managers to ensure allocation is appropriate as part of the EDC review.
41 Unilateral Agreements As of 12/01/11, Partners RM started issuing unilateral modifications and foregoing a secondary PI approval by the Contracts Team as part of a new effort to streamline outgoing subcontract and PSA modifications. Unilateral process should be followed in any instance where Partners does not require the Subcontractor to remit a fully-executed, bilateral modification.
42 Unilateral Agreements Unilateral modifications should only be for: No cost extension (NCE) Approval of carryforward funds Updating contact information or other administrative changes All renewal modifications between Partners institutions that do not change substantive terms or reduce anticipated budget by more than the prime award reductions and not more than 10% All other modifications should continue to be bilateral and executed by both parties.