ORS Quarterly Grant Managers Meeting
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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.
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