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Annual Update 2019
Annual Update2019
Major UR Initiatives / Policy Changes ORCID Foreign Relations/Foreign Interests/Science and Security Huron Grants/Research Administration Systems Update New process for MTA/CTA/DUA Updated NIH Salary Cap WorkDay core reports Overhead Rates Extended Request New FAO for projects without carryforward New Award Termination Notice Updated Policy related to 2 CFR 200 Business Expense and Reimbursement Policy Clinical Trial Management System Department Role in Subaward Monitoring Code of Conduct and Whistleblower Policy
ORCID
Creating an Open Researcher and Contributor ID (ORCID) account and connecting it to the University of Rochester system (orcid.lib.rochester.edu) helps the university report our research activities to bolster our school ranking while also providing benefits for the individual researchers.
It is a unique identifier that assists in easily tracking your research activities.
Next year NIH will require researchers to have an ORCID profile to apply for grants.
The information is researcher-controlled – you decide what is included and public.
Funders and publishers can pull profile data to streamline submissions.
Foreign Relations, Foreign Interests, Science and Security
NIH released new guidance and FAQs on 7/10/19 Other Support Foreign Components Financial Conflicts of Interest
Other Support clarification All positions and scientific appointments held by senior/key
personnel must be included In-kind support must be reported, as well as significant research
resources Any level of personnel effort Must be updated in the annual RPPR
Foreign Relations, Foreign Interests, Science and Security
NSF Dear Colleague Letter dated July 11, 2019 Renewed effort underway to clarify current and pending support
information PAPPG has been delayed to 2020 Will be proposing electronic format for biosketches
White House Joint Committee on the Research Environment developing guidance on disclosure requirements
See ORPA Guidance located at “What’s New”
Foreign Relations, Foreign Interests, Science and Security
International Research & Global Collaboration: Guidance for the University of Rochester Community posted on the Provost’s web site Disclose international collaborations to ORPA and relevant
funding sources
Disclose potential conflicts of interest and conflicts of commitment to Dean’s office and relevant funding sources
Report gifts to Advancement for proper handling
Register faculty / staff travel through Global Engagement’s travel registry
Foreign Relations, Foreign Interests, Science and Security
Any activities involving Cuba, Iran, North Korea, Syria, Crimea region of Ukraine should be discussed with ORPA / Global Engagement beforehand
Disclose potential University inventions to UR Ventures as early as possible
Ensure that no University material, data or equipment is removed from campus without appropriate prior review by University administration (e.g. MTA or DUA through ORPA)
Be cognizant of visitors to campus – be aware of unusual behavior
Reach out to Office of Counsel if contacted by the FBI
Ask Josef Mejido any export compliance questions
Huron Grants System ImplementationWhat are the Expected Benefits?
Huron Grants System Implementation
This is a big change for all of us but we’re in it together.
Your input and support is invaluable!
Please expect: Continuous collaboration, 2-way communications, Demonstrations
and Training for all impacted individuals (Department Admins, ORPA Staff, some Research Coordinators, others)
Continued support post-go live
Research Administration Systems Roadmap
Timeline: Huron Grants System Implementation
Planning Iterative Development& Testing
End-to-End Test&
User Acceptance Go-Live
Jan – Apr 2020May – July 2019
July 2019 – Jan 2020
Engagement of UR Community
Apr – Jun 2020
Jul 2020
Training
Communications and Change Management Activities
Support & Continuous Improvement
New Process for MTA/CTA/DUAPre-negotiation checklist has been revised - now a fillable PDF form
Central email address for all new agreement requests –[email protected]
When you are ready to initiate an agreement, scan a completed checklist to the central email address along with other attachments (agreement, scope of work, etc.)
Updated NIH Salary Cap
• Salary cap increased to $192,300 for awards with initial award date of 1/6/19 or after.
• For existing awards, this increased cap will be implemented at the beginning of each grant budget year (anniversary date).
• Departments need to follow the salary cap calculation procedure in HRMS to initiate the new salary cap.
Request New FAO for Projects without Carryforward
• When a project does not have carryforward, a new FAO is to be assigned to each award segment.
• This allows for better control related to reporting and compliant spending.
WorkDay Core Reports
• Monthly Transactions Printable (NCL) URF0943
• Award Budgetary Balance Summary (NCL) URF0840
• Grant Statement of Activities (NCL) URF0391
Overhead Rates Extended
On-campus rate 54.0% through June 30, 2023
Off-campus rate 27.0% through June 30, 2023
New Award Termination Process• Revised termination notice from ORACS
• Transactions must be recorded in URFinancials to be billed and reported to a sponsor (note: exception for training grants).
• To comply with 90 day limit to draw cash, all expenses to be billed/reimbursed/reported must be in URFinancials by termination date plus the last day of the second month following termination (usually 60 days).
• Final report and final cash draw occurs by 75th day.
Updated Policy related to 2 CFR 200
• Updated Competitive Bid Policy
Competition for all purchases, regardless of amount, unless noted in the policy
Successful bidder will be based on several factors, not simply cost Quality, availability, services, supplier’s dependability, etc.
Purchasing Department follow through Decision to award or to continue negotiations Communication to unsuccessful bidders
Updated Policy related to 2 CFR 200
Micro Purchases (<$25,000)
One quote/proposal – can be verbal
Simplified Acquisition Threshold ($25,000 - $249,999 ) Standard specifications
Multiple written quotes (on supplier’s letterhead) using Request for Quotations (RFQ)
Updated Policy related to 2 CFR 200
Competitive Procurement Process ($250,000 and greater)
Multiple written, formalized, non-sealed bids using Request for Proposal (RFP) process
Cost and pricing analysis, and bid evaluation criteria
*The use of a competitive bid and negotiated agreement on behalf of the University satisfies the bid requirements for all three categories.
Updated Policy related to 2 CFR 200
Supplier Price Justification and Conflict Information Form
Section A Written Quotes, Proposals, Competitive Bids
Section B Non-Competitive/Low Bid Not Selected
Section C Cost/Price Analysis
Section D Conflict of Interest Information
Section E Minority and Small Business Information
Supplier Price Justification andConflict Information Form
What are the requirements that I need to know?
Sponsored Funds (FAO=GR) Goods and Services
Purchase Requisition Amount Requirements
$0 - $24,999One written quote/proposal
$25,000 - $249,999Multiple (2) written quotesSupplier Price Justification and Conflict Information Form (SPJCI)- Section B-E
$250,000 and greater
Multiple (3) written formalized bids through a competitive bid process (i.e. Request for Proposal (RFP)/Request for Quotation (RFQ)Supplier Price Justification and Conflict Information Form (SSPJCI) - Sections A-E
Business Expense and Travel Reimbursement Policy
• F3 or F34 expense report must be submitted within 60 days of the event, return date, or expenditure (if not travel related) – otherwise the payment will be taxable
• Reimbursement via cash from cashiering window• Eliminated for employees• Capped at $50 for students
Business Expense and Travel Reimbursement Policy
• Per Diem• When overnight travel/stay involved• Meals and incidentals• Federal per diem rates and guidelines
GSA.gov/Perdiem for date and city/region• Illustration how to adjust per diem if meal was
hosted (i.e., reduce the meal per diem amount)• Allowance for first and last day of trip (75%)• Lodging – only for international travel
Business Expense and Travel Reimbursement Policy
• Receipt Threshold increased to $50• Business Purpose is emphasized and clarified (who,
what, where, when, why)• Electronic/scanned receipts are acceptable• “Missing Receipt Form” needed when a receipt is
not available• For items less than $50, employee is still required to
provide vendor name, location, description, amount
Business Expense and Travel Reimbursement Policy
• Benefits of travel agent and use of Business Travel Account (BTA) – AMEX Corporate Card and F2 (Advance Airfare)
• Travel accident ($200,000) and baggage insurance
• Mileage Reimbursement• Form F3 and Mileage Log Form (not Google Maps
or MapQuest)• Amount beyond normal commute mileage• FAQ and clarifications with examples and diagrams
Business Expense and Travel Reimbursement Policy
• Benefits of University account number with three preferred car rental agencies – Domestic rentals
• Decline car rental agency insurance
• International rentals• Purchase car rental agency insurance
Business Expense and Travel Reimbursement Policy
• International Travel• Faculty and staff traveling with students abroad on
UR sponsored or supported activity are required to register their trip with Office for Global Engagement and potentially UR Travel Review Subcommittee if a high risk (health, safety, security) destination.
• Staff travel – required to register with Global• Faculty travel – encouraged to register with Global
• Fly America Act• With very limited exceptions travel must occur on
U.S. air carriers if paid by federal projects• Fly America Exception Form
Clinical Trial Management System Timeline
April 2019 October 2019 April – June 2020
OnCore selected
Implementation Data Entry Begins Go-Live
Creating the solution and rollout plan
with our research
community
Training Enter ~350 active billing risk studies Enter remaining ~150 cancer studies to support NCI-designation
Initial reporting available
August 2018
PlanningMinimize strain on research teams
July 2020
Engaging research team representatives
Support
Manual Data Entry / ValidationData Migration: scripted Studies managed in OnCore
Data Integrations OnCore WorkdayIRB Epic
Subject Demographics
Subject Enrollments
Study Calendar
Protocol Information
Grants
Billing Grid
Protocol InformationAward Information
Sponsor Invoicing / Sponsor Receivables
Goal: “Enter data once, find it everywhere”
By July 2020Future
Department Role in Subaward Monitoring
If you encounter difficulty with regards to an entity of an existing subaward relationship (i.e. financial or technical), communicate those concerns to your ORPA RA so that the concerns can be taken into consideration with regards to future requests to subcontract to the entity.
Department Role in Subaward Monitoring
• ORPA Form 122, Request to Issue a Subagreement, has been modified.
• Section 4 has been added for departments to indicate whether they have encountered any administrative or programmatic issues that may impact the risk assessment of the subrecipient conducted by ORPA.
• Notes reminding departments to use the MTA checklist have also been added.
Code of Conduct and Whistleblower Policy
• The Code is intended to guide the University community in adhering to the highest standards of ethical and professional conduct.
• The Code also includes important whistleblower protections that protect those who report wrongdoing in good faith from retaliation.
• The University’s Integrity Hotline (585-756-8888) is also available to all University community members who would like to communicate any ethics, compliance or conduct concerns.
Questions?
