ORS Quarterly Grant Managers Meeting

November 12, 2012

AgendaORS Updates:

ORS Staffing UpdateDocument Management ProjectSubrecipient Monitoring and FCOI (PHS)

Office of Sponsored Programs: Nate Martinez-WaymanNew Report for Past Due Close outsLiasions

ORS Staffing UpdateNewest Hires (Fully Staffed 12/10/12)

Brian Lowinger, Assistant Director for Contracts and Compliance

Xaiolin “Charlene” Wang, Awards and Compliance Specialist

Adam Kuehn, Assistant Director, Grants, Contracts and Compliance

_________________, Awards and Compliance Specialist

Document Management ProjectFour processes will be taken to RACI with

recommendations for automation.CAS/RebudgetingWBSE set-upNotice of Grant AwardAward Closeout

Document Management ProjectIncrease TransparencyStreamline the ProcessesPermanent Document

Document Management ProjectTeam Structure

Working Group

Steering Committe

e

Dept. Advisory Group

RACI

Working Group: met once a week but now moving to every other week.

Reports to Steering Committee.

Departmental Advisory Group: Reviews and advises the Working Group.

Steering Committee: Reports to RACI.Resolves issues around process and policy.

Document Management ProjectWorking Group Members

ATTENDEES: (X = IN ATTENDANCE)

Beth Sizemore X Paula Morrison X Diane Masters X

Laurie Henry X Sandy Hart X Laura Jenson X

Susan Lasley X Michelle Merritt X Julie Cole A

Document Management ProjectDepartmental Advisory Group

Karen Lynch – MGMMarsha Newby – PediatricsRebecca Dupree – EngineeringTrish McMillan – ChemistryDarlene McCain – Global HealthDavid Hill – DCRIDebbi Nixon – ADG

Document Management ProjectSteering Committee

Jim LutherTodd OrPaula MorrisonJohn MichnowiczChris TobiasKeith Hurka-Owen

Document Management Project

Document Management ProjectCAS/Rebudgeting: Key Features

Transparency (You can see who has the form)

Flexible Routing (Designate ad hoc reviewers)

Permanent Document (Can be revised if returned)

SAP Populates Automatically

Notifications sent to all involved.

Subrecipient Monitoring

https://ors.duke.edu/orsmanual/subawards

Subrecipient Monitoringhttps://ors.duke.edu/orsmanual/subawards

Required Materials for a Subaward Proposal: For each subrecipient included in a proposal, Duke must have a proposal from the subrecipient which has been through an institutional review process and authorized by the appropriate person at the recipient institution. This proposal must include the following documents:a statement of worka corresponding budget and budget justificationa cover letter signed by an authorized official of the

participating institution(s) agreeing to accept the subaward, and

if required by the sponsor, the recipient institution(s) may need to provide certifications and representations, other support documentation, biosketches, signed cover pages, etc.

Subrecipient Monitoringhttps://ors.duke.edu/orsmanual/subawards

Required Materials for a Subaward Proposal:

PHS* Only: The subrecipient must attest to its compliance with PHS* FCOI regulations and agree to abide by its own compliance policies or follow Duke's policies.

Subrecipient Monitoringhttps://ors.duke.edu/gcc-forms

SUBRECIPIENT FCOI DISCLOSURE FORM A.docAt the time of proposal submission.

SUBRECIPIENT FCOI DISCLOSURE FORM B.docAt the time of JIT or award.

Consultants: Use current forms. New form coming soon.

Subrecipient MonitoringProposal: at the time of submission we need to get Form A signed by an Authorized Representative of the subcontracting institution.

Just-in-Time (NIH only): use JIT as a trigger to request Form B.

Time of Award: very short timeline. Thirty days to get Form B.

Subrecipient Monitoring PHS Agencies:

 NIH – National Institute of Health CDC – Centers for Disease Control HRSA – Health Resources & Services Administration FDA – Food & Drug Administration SAMHSA – Substance Abuse & Mental Health Services IHS – Indian Health Services ATSDR – Agency for Toxic Substances & Disease Registry AHRQ - Agency for Health Care Research and Quality Office of the Secretary

Organizations following PHS regulation: American Heart Association American Cancer Society American Lung Association American Lung Association of Michigan Arthritis Foundation Susan G. Komen Foundation Alliance for Lupus Research

Financial Conflicts of Interest(PHS Policy Change)Definitions:

Investigator: any person who is responsible for the design, conduct, or reporting of research funded by PHS or proposed for funding.

Financial Conflict of Interest: An SFI that could directly and significantly affect the design, conduct, or reporting of NIH-funded research.

Significant Financial Interest: is said to exist when The value of any remuneration exceeds $5,000.00. The value of any equity holdings of Investigator, spouse or

children exceeds $5,000.00. Investigators receive income related to rights in their

intellectual property.

SPS UpdatePersonnel Notebook

Duke Roster Investigator Indicator

Non-Duke Roster Investigator Indicator

SPS Update

SPS Update

Office of Sponsored Programs

New Report for Past Due Close outs Francene Richardson

Liasions Nate Martinez-Wayman

FCOI: Internal ProcessORS is reviewing all PHS awards for

compliance. Review includes subcontractors and consultants

who are identified as “investigator.”SPS Utilities: ORS can add new subcontractors

and consultants without returning the SPS entry for changes.

SPS “feeds” the FCOI Reporting tool with all named Duke employees and non-Duke subcontractors and consultants.

New Report: Sponsored Research Tracker of Past Due Closeouts

• Accessed in SAP via Transaction Code ZF600• Uses data from the Closeout Notification

System ZG53 (CONS), ZF109 report, as well as other Master Data Fields.

• Provides closeout information to streamline and reduce late reporting to sponsors.

• Developed to assist monitoring the Financial Status of research projects.

https://finance.duke.edu/resources/training/handouts/ZF600.pdf