Costing and Procurement Updates - National...
Transcript of Costing and Procurement Updates - National...
CostingandProcurementUpdates
JimLuther,DukeUniversityEdwinBemmel,UniversityofMiami
DougBackman,UniversityofSouthFloridaSaraBible,StanfordUniversity
January8,2018
Agenda• Update(Costing&AdminBurden)
• SingleIRBcostingupdate• Costingforpublicdataaccessrequirements
• ProcurementRequirementsandUpdateonMicro-purchaseThreshold
• NIHUpdate• RecentNotices
• EnforcementofCloseoutPolicies• NIHnoticeonStandardsofDocumentationofPersonnelExpenses
• NIHClinicalTrialDefinition2
sIRB Implementation Date
• ExtendedtoJanuary25,2018 (NOT-OD-17-076)• GrantapplicationsreceivedbyNIHonorafter1/25/2018requiretheuseofansIRBfordomesticsitesofamulti-sitestudyusingthesameprotocolfornon-exemptresearch
• Extendedfrompreviouseffectivedateof5/25/17
• DatenowcoincideswiththeeffectivedatefortheNIHpolicyrequiringallapplicationsinvolvingoneormoreclinicaltrialstobesubmittedthroughanFOAspecificallydesignedforclinicaltrials
• sIRBcostscanbeincludedinanapplicant’sbudget(evenpriortoJanuary25thifsIRBtobeused)
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ManagingsIRBCosts
• NIHprovidesguidanceonchargingprimaryandsecondarycosts(FAQs)https://osp.od.nih.gov/clinical-research/irb-review/
• MultipleoptionsforrecoveringthecostofsIRBactivitiesareavailablebutitisuptotheinstitutiontodecidewhatapproachtheytake.
• Incrementalorincreasedcostsbeyondwhatiscapturedinaninstitutionsindirectcostpoolcanbedirectlycharged
• AllIRBcostscanberemovedfromtheindirectcostpoolandshiftedtodirectcharging(includingsIRB)
• AfterestablishingstandardfeesforsIRBactivities,arechargecentercanbeusedtorecovercosts(45CFR75.468requirementsapplyrelativetotheoperationofarechargecenter)
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“PollingQuestions”
• sIRB• IsyourinstitutiongoingtobeasIRBorgoingcommercial?
• IfleadforsIRB,areyoudevelopingratestodirectcharge?Ordoyouplantojustabsorbtheincrementalcostsinternally?
• Whathasyourfacultyreactionbeen?
• Areyouready?• Technology?Infrastructure?FacultyandResearchadminstaff?
• Anyconcerns?
PublicAccesstoDataResultingfromFederallyFundedResearch
• Areport bytheAAU-APLUPublicAccessWorkingGroupoffersasetofgoals,recommendations,andguidancetoagencies,universities,andresearchcommunities
• Summarystatementsextractedfromthereport:• Althoughthereisgeneralagreementaboutthevalueofincreasedpublicaccesstodata,ensuring
suchexpandedaccesswillrequireasignificantcultureshiftatuniversitiesandamongtheirfaculty,thoughtfulandcarefullycraftednewgovernmentpoliciesandpractices,andinvestmentintheinfrastructurerequiredtomakedatapubliclyaccessible.
• Universitieswillneedtocreatetheinfrastructure requiredbythepublicaccessmandatesofthefederalagenciesfundingtheirresearchsothatdatacollectedtosupportfederallyfundedresearchcanbeshared,totheextentpossible,withthepublic.
• Facultywillhavetocometounderstandthatthedatatheycreatewithfederallyfundedresearchisnot“their”dataalone,andthereforetheywillneedtoadapttheirviewsconcerningdatasharing.
• Atthesametime,federalagencieswillneedtofundthecostsassociatedwithmakingthesedatawidelyavailable andprovideconsistentandclearpolicies,complianceguidelines,anddefinitionsacrossagenciestominimizetheburdenonresearchersandinstitutions.
• Bycommittingtoasetofsharedprinciplesandminimallevelsofstandardizationacrossinstitutionsandagencies,wecanhelpminimizecosts,enhanceinteroperabilitybetweeninstitutionsanddisciplines,andmaximizethecontrolinstitutionscanexertoverhowtheyensureaccesstopubliclyfundedscholarship.
“PollingQuestions”
• PublicAccess• Howaware/preparedisyourinstitutionforthe2013OSTPrequirement?
• Areyouseeingtherequirementinproposals?• UsingDataManagementPlanstodocumentrequirements?• Plantodirectorindirectcharge?
• Developingratestodirectcharge?Ordoyouplantojustabsorbtheincrementalcostsinternally?
• Areyouready?• Technology?Infrastructure?FacultyandResearchadminstaff?
• Whathasyourfacultyreactionbeen?• Anyotherconcerns?
Procurement
• TopicsforDiscussion
• Micro-PurchaseThreshold
• Readinessfornewrequirements(bid,etc.)
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Procurement:Micro-PurchaseThreshold(MPT)
• Anadditionaloneyearextensionhasbeengranted;forIHEswithafiscalyearendofJune30th implementationisrequiredbyJuly1,2018
• Micro-purchasethreshold(MPT)• Originallysetat$3,000,wasrevisedto$3,500intheFAR(48CFR,subpart2.1)
• Insteadofabenefit,wouldthisbecomeanewaudittargetforsmallvalueitems(p-cardtransactions)?
• Whenapurchase>MPT,morethanonebidorquoteisrequired
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NationalDefenseAuthorizationAct- ImplicationsonMPT
• NDAA12/23/16• RaisedMPTto$10,000orhigher– appliestoGrants,CooperativeAgreementsandContractsforallfederalagencies
• PertheNDAA:$10,000orhigherthresholdasdeterminedbytheheadoftherelevantexecutiveagencyandconsistentwithcleanauditfindings,institutionalriskassessment,orStatelaw.
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Procurement:Micro-purchaseThreshold
• Data:• Numberoftransactionsanddollarvalue:
• lessthan$3,500,...$10,000,….$25,000,…• Reviewandanalyzethedata• Whereistherisk?
• Highdollarvaluepurchases• Cleanaudits/reviews
• A-133/SingleAudits• ONRContractingPurchasingSystemReviews• Other?
• JustifytheincreaseintheMPT11
“Polling”
• Procurement• Whatthresholddoyouplantouse?If>$10k,haveyouhaddiscussionsabouthowtocoordinatethis?
• WhenisyourFYstartdate?AreyoureadyforUGprocurementrequirements?
• Whatchangeshaveyoumade?Haveyoureviewedyourprocurementpolicies&procedures?Whatisyourprocesstodocumentbids?Otherchanges?
• Doyouhaveadifferentdocumentprocessforservicesasopposedtocommodities?
• DidyourSingleAuditauditorfocusonprocurementthisyear?Didtheydiscusstheirplansfornextyear?
• Whatisyourinterpretationontheimportanceof41USCpar1902?
• DoesthatreallysettheMPTat$10k• Howareinstitutionspreparing?
RecentNIHNoticeontheEnforcementoftheAwardCloseoutPolicy(Nov30,2017)
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RecentNIHNoticeontheEnforcementoftheAwardCloseoutPolicy- Highlights
• Strictenforcementofthe120daydeadlineforcloseouts• FailuretosubmittimelyreportswilltriggerunilateralcloseoutbyNIH
• “Failuretocorrectrecurringreportingproblemsmaycause…withholdingoffurtherawards,suspensionortermination.”
• Priorapprovalforadelayincloseoutmustbejustifiedandapprovedbytheawardinginstituteorcenter
• NIHcompliancewiththeGONEActisoneofthedriversforthestrengthenedenforcement
• Basicrecipientrequirements(see:NIHGrantsPolicyStatementsec8.6)• SubmissionofafinalFederalFinancialReport(FFR),FinalResearchPerformanceProgressReport(F-RPPR),FinalInventionStatementandCertification(FIS)
• ReconciliationofcashtransactionsreportssubmittedtoPMSwithexpenditurereportssubmittedtoNIH
“PollingQuestions”
• Closeout(inresponsetoNovember2017NIHNoticeNOT-OD-18-107)
• Hasyourinstitutionbeenlargelysuccessfulinclosing-outtimely?Forfinancialandprogrammatic?
• HowmanyofyourprojectshasNIHinitiatedunilateralcloseout?Weretheyfinancialorprogrammatic?
• Whathasyourfacultyreactionbeen?
• Anyconcerns?
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NIHIssuesaRemindertoRecipientsofthe“StandardsforDocumentationofPersonnelExpenses”
NIHIssuesaRemindertoRecipientsofthe“StandardsforDocumentationofPersonnelExpenses”
• NOT-OD-18-108,issuedlateinNovember,remindsrecipientsofNIHawardsoftherequirementsfordocumentingpersonnelexpenseschargedtograntsandcooperativeagreements
• Includeslanguagefrom45CFR75.430(i)thatprovidesthedetailedguidanceonapproachestodocumentingpersonnelexpensesonfederalawards
• Keyissues:• Compliancewithcurrenteffortpoliciesandprocesses&needforappropriateinternal
controls
• Costsharedsalaryissubjecttothesamelevelofdocumentation
• Chargesfor…nonexemptemployees…mustalsobesupportedbyrecordsindicatingthetotalnumberofhoursworkedeachday.
“PollingQuestions”
• “StandardsforDocumentationofPersonnelExpenses”(NIHNoticeNOT-OD-18-108)
• Haveyouchangedyoureffortsystem?• Stillrequiringcertification?Ifyes,areyouconsideringchangingthisinthenearfuture?
• ConvwithCognizant?DS-2changes?• Addedflexibility?Ideastoreduceburden?• Whathasyourfacultyreactionbeen?• Anyconcerns?
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NewClinicalTrialDefinition
UpdateonNIH’sModificationstoTheirDefinitionof“ClinicalTrial”
• NIHmodifiedtheirdefinitionofclinicaltrialinlate2014.
• Manyresearchersbelievethatitinappropriatelyclassifiesbasicresearchasclinicaltrials
• Primaryconcernsoftheresearchcommunity:
• ThecasestudytoolusedtohelpinstitutionsdeterminewhetherproposedresearchmeetstheNIHdefinitionofclinicaltrialinandofitselfmodifiesthedefinitiontoincludefundamentalandbasichealth-relatedresearch
• InconsistenciesandclarityissueswithinthetoolwillleadtodifferentconclusionsfrominstitutiontoinstitutionregardingtheapplicationoftheNIHdefinitionofclinicaltrial
• Theimpactonaninvestigatorandresearchstudyoftheexpandedapplicationofthedefinitionismoresignificantthanhasbeenacknowledged
• ImpactofthenewdefinitioncoupledwiththerecentNIHclinicaltrialsFOApolicy• BasicresearchstudieswillbecomesubjecttotheclinicaltrialsFOApolicy
• RegistrationandresultsreportinginClinicalTrials.govwillberequiredforbasicresearchstudies
• GoodClinicalPracticetrainingwillberequiredforbasicresearchstudies
• IneligibilityforTrainingAwardsduetotheuseoftheClinicalTrialsFOApolicywillnegativelyimpactthetechnicaldevelopmentofresearchscientists
• Basicresearchwouldbesubjecttoadditionalrestrictionsandoversight(sIRBreview,etc.)
NIHAnnouncesAdditionalReviewCriteriaforClinicalTrialApplications
• Theseadditionalcriteriawillbeaddedtotheexistingreviewquestionsforclinicaltrialapplications(grantsandcooperativeagreements)submittedonorafter1/25/18
• ApplicationofthisadditionalrigorinreviewingCTapplicationsispartofNIH’s“multi-facetedapproachtostrengtheningpoliciesacrossthelifecycleofaclinicaltrial”
• Theadditionalquestionswillprobethefollowingareas;significance,capabilitiesofinvestigator(s),innovation,studydesign,datamanagementandstatisticalanalysis,environment,andstudytimeline
• TheannouncementNOT-OD-17-118containsthedetailedquestionsandadditionalinformation
“PollingQuestions”
• ClinicalTrialDefinition• Areyouawareofthis?
• Isitadverselyimpactingyourinstitution?Particularlyinthenon-Medicineareas?
• Whathasyourfacultyreactionbeen?
• Anyconcerns?
DiscussionandQuestions
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FYI- sessiondescription
• Monday,January8,20181:00– 2:15pm• CostingandProcurementUpdate• Topic:ThissessionwillreviewseveraltopicsincludingSingleIRBcostingandreadiness,directchargingofpublicdataaccessrequirementsincludingarecentcommunicationfromPAWG,newNIHnoticesfocusedonEnforcementofCloseoutPoliciesandNIHStandardsforDocumentationofPersonnelExpenses.UGProcurementrequirementswillalsobediscussed,includingobtainingapprovalforamicro-purchasethresholdover$10,000consistentwiththeNationalDefenseAuthorizationAct(NDAA)forFY17andreadinessforyourinstitutionsimplementation.PleasesendquestionsfromyourinstitutiontoSaraBibleatsbible@stanford.edu.
• Speakers: JimLuther,DukeUniversity,EdwinBemmel,UniversityofMiami,DougBackman,UniversityofCentralFloridaandSaraBible,StanfordUniversity
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