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Today’s Agenda 1. Introductions & New OSP Staff 6. OSP Electronic Resources: Where to find Important Information: Tracy Coston 2. Proposal Submission Data: Amy Ellis – Navigation through functional areas 3. YSM Session: Coming Soon: Proposal – Resources and Frequently Needed Yale Facts Development for Clinical Trials (Only for – OSP News & Updates – How to subscribe YSM session): Jeff Allen – Contact Us 4. FSR Demo: Kenechia Clarke – Training & Education: Kathi Goodfriend 5. Update on Workday Continuous 7. FDP Matrix: Prior Approvals: Cynthia Kane Improvement: Chris Farmer 8. Open Forum

OSP Staffing Updates ▪ Financial Management Team – Accounting Team – Rohan Patel

▪ Roles ▪ Hierarchies and Models ▪ March 30, 2017

Deadline Statistics: As of February 5th Days To Deadline February 5th Submission Deadline 35 45% Submission Volume 30 40% 30 38% 35% 25 30% 21 27% 20 25% 20% 15 13 17% 15% 10 10% 5 8% 4% 5 3 5% 0% 0 Same Day 2 Days 3 Days 4 Days 5 Days Submission Volume 30 21 13 3 5 % to Total 38% 27% 17% 8% 4% # Days for OSP Review

Most Frequent Mistakes ▪ EIN is not in the correct format – 1060646973A1 for NIH submissions ▪ Full budget is submitted instead of modular budget ▪ Regulatory forms are missing information ▪ Competing Continuations/Renewals are missing the Federal Identifier – i.e.: DK000123 ▪ Character file names in PD exceed 50 characters ▪ Appendix – When in doubt – don’t! ▪ Mentors must be included in PD route ▪ Biosketch inconsistencies

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PD Submission for Clinical Trials ▪ OSP is finalizing guidance materials ▪ Clinical Trials in PD will be very similar to submission of Contracts in PD ▪ OSP and YSM will run a short pilot involving high volume departments to identify areas of concern and evaluate progress ▪ Pilot is anticipated to start soon ▪ Expected to roll out to all departments by April/May 2018

▪ Roles ▪ Hierarchies and Models ▪ March 30, 2017

FSR Demo -Workday FSR Demo: Log into Workday environment

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Workday Continuous Improvement (CI) Grants Team Executive Sponsors: Kathy Byington, Assistant Vice President, Business Operations Pam Caudill, Senior Associate Provost, Research Administration Cynthia Walker, Deputy Dean for Finance and Administration Leads: Chris Farmer, Business Operations Project Manager Lisa Mosley, Executive Director OSP The purpose of the continuous improvement team is to identify and implement changes related to stabilization of the WD grants management and prioritize enhancements for ORA and Business Operations.

Areas of Focus - Stabilization Sub-award invoicing and supplier contracts – Two months – Issues with syncing of invoice payments and supplier contracts • Identified potential causes and solutions • Develop Managing Subaward Invoices in Workday guidance – Review payment process to ensure efficiency for timely payment Cost Transfers – Two months – Review validations – Ensure proper routing • ISP’s • Clinical trials Cost Sharing – Three months – Document and standardize process and best practices • Reporting on cost sharing, including grant to grant cost share • “Funding” of cost sharing

Areas of Focus - Stabilization Award Closeout – Six months – Document standardized process and reports for financial closeout of awards – Recommend solution and best practice for residual fund transfers – Enable OSP Accountant role to initiate small balance and F&A adjustments Billing – Ongoing – Ensure that process for billing to sponsors is defined and complete – Ensure reports effectively support the billing process

Areas of Focus – Future Continuous Improvement Award Setup – Review business process to ensure efficiency for timely set-up – Increase transparency throughout process Evaluation of reports (in partnership with CI Reporting Team) – Index existing reports and document best practices for report usage in managing sponsored awards – Make recommendations for reporting enhancements to facilitate management of sponsored awards Effort Reporting – Evaluate process, develop additional training, education and communication – Partner with Workday to enhance functionality Workday 30 (and future releases) – Evaluate new feature release and communicate changes – Workday 30 – March 9th

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OSP Website Navigation Menu Office of Sponsored Projects (OSP) OSP Organizational Chart EXPORT CONTROLS OSP OSP CONTACT FINANCIAL CLINICAL NEWS & RESOURCES CONTRACTS TRAINING & AWARDS PROPOSALS FUNDING US MGMT TRIALS UPDATES EDUCATION https://your.yale.edu

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FDP Prior Approval Matrix ▪ Developed to provide standard guidance from Federal agencies adopting and incorporating the Research Terms and Conditions (RTC) Overlay of OMB 2 CFR Part 200 (A81)-April 2017, into the terms of their award. – OSP Research Terms and Conditions: https://your.yale.edu/research-support/office-sponsored-projects/awards/research-terms-and-conditions ▪ The FDP Matrix includes the following: (appendix A on the webpage above) – Column 1: Lists from A81 - all areas where prior approval may be required – Column 2: References A81 article – Column 3: RTC overlay - States if Prior approval is “Required” or “Waived” – Column for Federal Agencies: Indicate if the Agency adopted the RTC or implemented a different requirement. – Footnotes may apply and are listed at the end of the Matrix • For example: Changes in the approved cost-sharing or matching provided by the non-federal entity: − Column 3 (RTC overlay) – A81 Requires prior approval − Column for Federal agencies: NASA and USDA/NIFA “Waived” and all other Agencies “require” prior approval Note: Pay attention to the footnotes

FDP Matrix: Prior Approvals

▪ Roles ▪ Hierarchies and Models ▪ March 30, 2017

Questions?