Transcript ORS Quarterly Grant Managers Meeting

November 12, 2012
Agenda
 ORS Updates:
 ORS Staffing Update
 Document Management Project
 Subrecipient Monitoring and FCOI (PHS)
 Office of Sponsored Programs: Nate Martinez-
Wayman
 New Report for Past Due Close outs
 Liasions
ORS Staffing Update
 Newest 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 Project
 Four processes will be taken to RACI with
recommendations for automation.
 CAS/Rebudgeting
 WBSE set-up
 Notice of Grant Award
 Award Closeout
Document Management Project
 Increase Transparency
 Streamline the Processes
 Permanent Document
Document Management Project
Team Structure
Working
Group
Dept.
Advisory
Group
Steering
Committee
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 Project
 Working 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 Project
 Departmental Advisory Group
 Karen Lynch – MGM
 Marsha Newby – Pediatrics
 Rebecca Dupree – Engineering
 Trish McMillan – Chemistry
 Darlene McCain – Global Health
 David Hill – DCRI
 Debbi Nixon – ADG
Document Management Project
 Steering Committee
 Jim Luther
 Todd Or
 Paula Morrison
 John Michnowicz
 Chris Tobias
 Keith Hurka-Owen
Document Management Project
Document Management Project
CAS/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 Monitoring
https://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 work
 a corresponding budget and budget justification
 a 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 Monitoring
https://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 Monitoring
https://ors.duke.edu/gcc-forms
SUBRECIPIENT FCOI DISCLOSURE FORM A.doc
At the time of proposal submission.
SUBRECIPIENT FCOI DISCLOSURE FORM B.doc
At the time of JIT or award.
Consultants: Use current forms. New form coming soon.
Subrecipient Monitoring
Proposal: 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 Update
 Personnel 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 Process
 ORS 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