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Today’s Agenda ▪ Welcome and OSP Staff Introductions ▪ Uniform Guidance: Procurement Requirements ▪ IRES Upgrade: Timeline and Enhancements ▪ Proposal Routing Changes ▪ Cost Transfer Tips and Reminders

Welcome! ▪ OSP Staff Introductions – Sally Feuer, OSP Grant Accountant

Uniform Guidance Procurement Change Summary ▪ The government delayed implementation of the procurement sections until July 1, 2018. ▪ This presentation is to provide a description of the changes, their impacts and proposed mitigation strategy

Uniform Guidance Procurement Requirements UG Requirements Driven by the Value of Each Purchase Order $10K- Change Who will Perform? < $10K $150K > $150K Time & Material Determination Purchasing x x History of Procurement Department (New Sole Source (SSBC** or PSCC) (SS) Form) x x Independent Cost Estimate Department X Technical Evaluation of Proposals Department x Price Reasonableness Department (New SS Form) X x Cost or Price Analysis Purchasing X Publicizing RFP Purchasing x *PSCC – Professional Services and Consulting Certification **SSBC – Sole Source or Competitive Bidding

Requirements Definition and Impact Requirement Definition Impact Purchasing will perform Time & Materials A determination that T&M is the most determination, when Determination suitable contract type as compared to required. a cost reimbursement or fixed price contract History of Rationale for the method of Revise existing SSBC and Procurement procurement, selection of contract PSCC forms to address type, reason for supplier selection, and requirement the basis of contract price (see Price Reasonableness) Independent Cost An estimate of the cost of good or Create a new ICE form Estimate service prior to and independent of supplier quotes

Requirements Definition and Impact( con’t ) Requirement Definition Impact Instructions will be inserted Technical Written method for determining the into the Competitive Bidding Evaluation of technical suitability of a supplier’s Procedure Proposals proposal Price Price or cost comparison which Revise existing SSBC and PSCC Reasonableness demonstrates that the selected supplier’s form to address requirement proposal is reasonable Publicizing RFP RFPs will be published on the RFP’s must be publicized and any Procurement web site by response to publicized requests to Purchasing proposals must be considered to the maximum extent practical

Questions Contact: Scott Lucker 203-436-4184

Questions?

IRES PD/PT/COI Upgrade Deployment Thursday September 6 th – Sunday September 9 th , 2018

• 9/6/18 5pm – IRES will be made unavailable to all users to prepare for database and application upgrade • Database upgrade will be completed on Friday to ensure our database is on the most recent release of Oracle. This provides support and security benefits. • Application upgrade will be completed on Saturday to ensure that we are on the most recent release of V14. This is being done to resolve known issues, provide minor enhancements and prepare us for the V15 upgrade in FY’20 • 9/10/18 7am – IRES will be online and available to all users

• Email communications will be sent as follows: – 8/6/18 – Initial Communication • Email to all PD/PT/ORA users announcing upgrade with timeline – 8/15/18 – OSP Brown Bag – 8/22/18 – Reminder Communication • Resend initial communication • Email will include link to enhancement overview Powerpoint and Routing Quick Guide – 9/6/18 – Final Reminder Communication • Resend initial communication – 9/9/18 – Upgrade Complete

• Prepare us to upgrade to V15 in FY’20 – V14 will be de-supported for enhancements and non-emergency issues beginning Fall 2018 – V15 will provide a modern user interface and enhanced functionality – Upgrade project will begin in October 2018 with a tentative go live of August/September 2019

• Routing – Email and Dashboard – Email updated to include instructions for completing the Routing Dashboard – Dashboard will display instead of instructions – Review Status radio buttons replaced with a drop down – Decisions selected with click of a button – No more scrolling up and down to complete and save

• Proposal Attributes – New Section: Proposal Tracking Summary Screen • Attributes are checked based on selections made in Proposal Development record • PHS/NIH, Human Subjects, Lab Animals, Training Grant, Stem Cells, Clinical Trial and NIH Phase III Clinical Trial

• Budget and Award Increment Navigation – New Functionality: Clickable Budget & Award Increments • Increment numbers on Budget and Award Summary screens are now clickable. When clicked (1), the requested increment displays (2). – Example shows Award Summary. Concept is same for Budget Summary

Contract Proposal Transition Common Questions – How do I differentiate between a contract that goes to the proposal team or to the contracts team? • Ask the question: Has a funding decision been made? − If yes, the contract goes to the contracts team for negotiation and execution − If no, the request for funds (proposal) goes to the proposal team

Contract Proposal Transition ▪ How you identify your record determines who will receive the route – For funded contracts that need to be executed, choose “Contracts” as the Instrument Type and select the Contract template – For proposals requesting funding that will result in a contract, choose “Grant” as the Instrument Type and select the Generic template – In either instance, please DO NOT add the contract or proposal manager to the PD route; that will be taken care of by OSP ▪ To avoid delays, please reach out to OSP

Questions?

Cost Transfer Tips and Reminders • Cost Transfer Policy Exception • Policy exception which allowed cost transfers to be processed within 90 days of discovery ended on 8/3/18 • Reverting to Yale’s policy of review and execution of cost transfers within 90 days from the end of the calendar month in which the original transaction appeared on the award • Exceptions in cases where the sponsor’s terms and conditions are stricter than Yale’s policy • Return vs Reject • OSP review checklist indicates where the cost transfer review ended • Update the missing/incomplete items before resubmitting • Central Units preparing Cost Transfers affecting multiple Departments • These cost transfers route to multiple OSP Reviewers • In the Memo/comment field, please indicate “Initiated on Behalf of ___(name department)”

Cost Transfer Tips and Reminders • Run Payroll Reports often • Find Workers Costing Allocation by Charging or Home CC • Payroll Verifications with Costing and by Charging CC • Business Process Transactions report • To identify status of PAA (completed and awaiting action) • Provide Appropriate Supporting Documentation • PI approval (upload copy of email or note from PI) • Explanation of how the error occurred and a strong justification/correlation of the charge to the project to which the transfer is being made • Additional documentation may apply (i.e. Sponsor approval) • During an open effort reporting period, determine if the adjustment will be processed via the PAA business process or initiated in the Effort Certification Statement (ESC).

Cost Transfer Tips and Reminders • Ensure GR worktags are setup correctly to limit the number of data entry when entering COA information in the PAA • Review Grant Hierarchy and Award/Grant PI information on the Find Award and Grants report to ensure proper approval routing • Play close attention to the automated FD worktag when COAs are entered • Review the Month-end Financial Calendar to keep track of PAA deadlines • Complete the questionnaire • Reducing the Number of Lines in a PAA • OSP Newsletter Update from 7/26/2018 • When initiating a PAA of an individual with multiple lines of funding (current journal lines) but only a selected few needs to be adjusted, you can remove those rows that are not being adjusted • Limit PAAs to no more than 15-16 lines or to one month for C&Ts

Reducing the Number of Lines in a PAA Current journal lines highlighted in yellow needing adjustments

Reducing the Number of Lines in a PAA Click on the “minus” sign to remove rows (current journal lines) not being adjusted

Reducing the Number of Lines in a PAA Now only showing current journal lines needing adjustments

Questions?