Transcript ORS Quarterly Grant Managers Meeting

March 06, 2013
Agenda
 ORS Updates:
 ORS Staffing Update
 Training and Development Update
 Document Management Project Update
 PHS Public Access Policy

Keith Hurka-Owen
 NSF FastLane Changes
 Susan Lasley
 FCOI Policy Updates
 Brian Lowinger
 Office of Sponsored Programs Updates

Nate Martinez-Wayman
ORS Staffing Update
 Newest Hires (Fully Staffed 12/10/12)
 Shonta Holloway, Awards and Compliance Specialist
 Newest Departure (Last day 02/28/13)
 Donna Senator
 New Portfolio Assignments
Training and Development Update
 Entry Level Workshops
 Aimed at new staff or staff new to grants administration.
 Target staff who want to but couldn’t get in to RAA.
 Three to Four Part Series
 Grants, Contracts and Compliance 101

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Roles and Responsibilities
Proposal Submission Process
 Grants, Contracts and Compliance 102
 How to Build a Budget
 Grants, Contracts and Compliance 103
 The Awards Process
Document Management Project
 Automating Four Key Grant Management Processes
 CAS/Rebudgeting—Under development
 Notice of Grant Award--First planning meeting
 WBSE set-up
 Award Closeout
Document Management Project
Team Structure
Working
Group
Dept.
Advisory
Group
Steering
Committee
RACI
Working Group: meeting 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 Project
Notice of Award and Fund Code Set up Working Group
Debbi Nixon
ADG (Technical Project Lead - NOA)
Amy Barbee
ORA (Functional Project Lead - NOA)
Heather Quadlin
OSP (Functional Project Lead - FCS)
Beth Sizemore
ASM (Technical Lead - FCS)
Michele Grow
ORS
Renee Puryear
Jennifer Barrows
Windy Batten
Biology (Campus Rep)
Psychiatry (SOM Rep)
Document Management Project
 Departmental Advisory Group
 Debbie Nixon
NOA Lead
 Beth Sizemore
FCS Technical Lead
 Amy Barbee
NOA Lead
 Heather Quadlin
FCS Functional Lead
 Mary Robyn Tudor
SSRI
 Cherie Lahti
DHVI
 Will Smith
Dept. of Medicine / Cell Therapy
 Sharon Shulze
Pratt
 Beth Sizemore
ASM
 Patricia Terrell
Economics
 Esther Demarco
MGM
 Tasha Owens (Working Group for FCS) Center (DCRI)
Document Management Project
 Steering Committee
 Jim Luther
 Todd Or
 Paula Morrison
 John Michnowicz
 Chris Tobias
 Keith Hurka-Owen
 Nate Martinez-Wayman
Document Management Project
 RACI: http://finance.duke.edu/raci/
 Tim Walsh, Chair and Vice President for Finance
 Kyle Cavanaugh, Vice President for Administration
 Scott Gibson, Executive Vice Dean for Administration
 Sally Kornbluth, Vice Dean for Basic Science
 Jim Roberts, Executive Vice Provost for Finance and
Administration
 Jim Siedow, Vice Provost for Research
NIH Public Access Policy
 The NIH Public Access Policy applies to all peer-
reviewed articles that arise, in whole or in part, from
direct costs funded by NIH, or from NIH staff, that are
accepted for publication on or after April 7, 2008.
 Institutions and investigators are responsible for
ensuring that any publishing or copyright agreements
concerning submitted articles fully comply with this
Policy.
NIH Public Access Policy
 PubMed Central (PMC) is the NIH digital archive of
full-text, peer-reviewed journal articles. Its content is
publicly accessible and integrated with other databases
(see: http://www.pubmedcentral.nih.gov/).
 The final, peer-reviewed manuscript includes all
graphics and supplemental materials that are
associated with the article.
NIH Public Access Policy
 How do my publications submitted to PubMed?
NIH Public Access Policy
 http://guides.mclibrary.duke.edu/content.php?pid=432927&sid=3541729
NIH Public Access Policy
 National Compliance Rate: 75%
 Duke Compliance Rate: 81%
 Delay awards for non-compliant publications: 07/01/13
 ORS to target non-competing/competing submissions.
Susan Lasley
Associate Director
Beginning March 18th
FastLane will begin checking
for all GPG required sections of
proposals.
GPG Required Sections of the
Proposals
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Project Summary *
Project Description
References Cited
Biographical Sketch(es)
Budget
Budget Justification
Current and Pending Support
Facilities, Equipment & Other Resources
Supplementary Documentation
-- Data Management Plan *
-- Postdoctoral Mentoring Plan (where
applicable) *
* These proposal sections are already being autocompliance checked.
Separately Submitted Collaborative
Proposals
Lead Organization:
 Project Summary
 Project Description
 References Cited
 Biographical Sketch(es)
 Budget
 Budget Justification
 Current and Pending Support
 Facilities, Equipment and
 Other Resources
 Supplementary Documentation
– Data Management Plan
– Postdoctoral Mentoring Plan (if
applicable)
Non-Lead Organization:
Required Sections
 Biographical Sketch(es)
 Budget
 Budget Justification
 Current and Pending Support
 Facilities, Equipment and
 Other Resources
What FastLane Will / Will Not
Check
 FastLane will check for the presence of GPG required
sections of the proposal.
 If a section is not included, FastLane will not permit
submission of the proposal.
 Biosketches: one file or many?
 FastLane will not check:
 Formatting
 Page Length (except for Project Summary)
 Content
Solicitation Deviations
 Some solicitation deviate from the standard GPG
instructions.
 Conferences, workshops, symposia.
 International travel grants.
 Not Applicable must be
 Entered in the text field, or
 Uploaded in a document.
http://www.nsf.gov/bfa/dias/policy
/autocheck/auto_compliance.pdf
Questions?
COMPLYING WITH THE U.S. PHS
FINANCIAL CONFLICTS OF INTEREST
REGULATIONS
Brian Lowinger, J.D.
Asst. Director of Compliance and Contracts
Office of Research Support
919.681-8540
[email protected]
What You Need to Know
A secondary interest can impact a primary interest, and
therefore cause a financial conflict of interest
2. Duke policy and federal regulations require compliance
3. For PHS funded research, each “investigator” (anyone
responsible for the design, conduct, or reporting of
research), including a collaborator or consultant, must
submit a conflict of interest disclosure form
1.


The information that must be disclosed includes nonDuke employment and income, equity, intellectual
property rights, fiduciary responsibilities, and more
Report sponsored travel if it meets specific criteria
4. Use SPS to make anyone an “investigator”
Organizations that Require Compliance with
the U.S. PHS Financial Conflict of Interest Regulations
U.S. Public Health Service includes the
following components:
• National Institutes of Health (NIH)
• Centers for Disease Control and
Prevention (CDC)
• Food and Drug Administration (FDA)
• Substance Abuse and Mental Health
Services Administration (SAMHSA)
• Office of the Assistant Secretary for
Preparedness and Response (ASPR)
• Office of Global Affairs (OGA)
• Agency for Toxic Substances and
Disease Registry (ATSDR)
• Health Resources and Services
Admin. (HRSA)
• Indian Health Service (IHS)
• Agency for Healthcare Research and
Quality (AHRQ)
• Office of the Assistant Secretary for
Health
Other Agencies/Entities that Reportedly
Have Adopted the PHS FCOI Rule
• Administration on Aging (AoA)
• Administration for Children and
Families (ACF)
• Alliance for Lupus Research (ALR)
• American Cancer Society (ACS)
• American Heart Association (AHA)
• Arthritis Foundation (AF)
• California Breast Cancer Research
Program (CBCRP)
• California HIV/AIDS Research
Program (CHRP)
• Juvenile Diabetes Research
Foundation (JDRF)
• Lupus Foundation of America (LFA)
• Susan G. Komen for the Cure
What Must Be Disclosed
Each individual/investigator required to provide a disclosure form must include all
significant financial interests of >$5,000 for him/herself and his/her immediate family
“Significant Financial Interest” means receiving anything of monetary value, including:
a. Payments for services (consulting, lectures, advisory board payments, or honoraria);
b. Equity interests: stocks, stock options, or other ownership interests. $5,000 threshold is
not applicable for equity in privately held entity. Exclusion for Phase I – SBIR/STTR;
c. Intellectual property rights (royalties not paid through Duke – N/A but still disclosed); and
d. Gifts, gratuities, or donations.
The term does not include:
a. Salary or other payment from Duke;
b. Investments whose stock purchases you cannot control: mutual funds/retirement accounts;
c. Income from seminars, lectures, or teaching engagements sponsored by…..or income from
service on an advisory committee or review panel for the following: a public agency or a
nonprofit entity, academic teaching hospital, institution of higher education, or research
institute affiliated with an institution of higher education;
d. Payments made to Duke by outside organizations; and
e. Private Diagnostic Clinic distributions.
PHS FCOI SPONSORED TRAVEL REPORTING
General Requirement
 Investigators are required to disclose certain information about sponsored or
reimbursed travel taken on or after August 24, 2012
Reporting Is Required If:
• The investigator is paid for research that is sponsored/funded by the PHS
• The travel is reimbursed or sponsored by some external entity (see exceptions)
• The travel is related to institutional responsibilities to Duke (e.g. being sponsored to
speak about your research)
Reporting Is Not Required If Travel Is Sponsored By:
• An institution of higher education (as defined in 20 U.S.C. § 1001(a))
• A federal, state or local government agency
• An academic teaching hospital
• A medical center, or
• A research institute that is affiliated with an institution of higher education
Using the Duke Travel Web Site You Must Report:
• The identity of the sponsor (report the primary sponsor rather than the intermediary)
• The purpose of the trip (speaking, consulting, meetings, etc.)
• The destination for the trip, and
• The duration of the travel, specifically the date you left and the date you returned
TRAVEL FAQs
Nature of Arrangement
Travel paid for by industry (directly paid to the individual, not through
Duke)
Travel paid for by a non-profit foundation
Travel paid for by a professional society (e.g. American Cancer Society)
Must Disclose?
Yes
Travel for work related to a company-sponsored contract with Duke
No (if paid through Duke)
Travel to an academic medical center paid for by that center
Travel to a university paid for by the university to give a lecture
Travel to a board meeting in another state paid for by a private foundation
No
No
Yes
Travel to a research meeting paid for with Duke department funds
No
Travel to an advisory board meeting for a nonprofit for which you are
reimbursed by the nonprofit
Travel paid for by the American Cancer Society to an academic meeting to
present NIH grant-funded research
Travel to another university to give a seminar where the university
reimburses you, but the university received funding for the seminar from a
private company
Travel that combines a trip to an advisory board paid for by the company
and a family vacation for which you paying for myself
Yes
Yes
Yes
Yes
No, if the reimbursement
came from Duke
Pay for personal trip
separately and disclose the
duration of the business
portion of the trip)
Reporting Deadlines
 Annually: Submit an updated disclosure form at least
annually. The annual notice was sent on March 5, 2013.
 At Time of Application: Each PI, key personnel,
investigator, and subrecipient, if applicable, planning to
participate in PHS (e.g. NIH) funded research must have
completed a disclosure form
 Within 30 Days of a Change: Submit an updated
disclosure form within 10 days of discovering or acquiring
(e.g., through purchase, marriage, or inheritance) a
reportable significant financial interest
Important Links
 Duke faculty and students, submit FCOI and sponsored travel
information at
 https://adgapps.duhs.duke.edu/coi_form
 https://adgapps.duhs.duke.edu/sb
 Subrecipients report the information using the forms at
https://ors.duke.edu/gcc-forms. Use Form A at initial planning
and Form B at application or later on in process
 Consultants and other vendors use the Outside Services
Agreement found on the Office of Procurement’s web site:
http://finance.duke.edu/procurement/forms/index.php#OSA
Office of Sponsored Programs
 Overdrafts