COI Data Manager Business Process September 2011

Transcription

1 SPA web site InfoEd web site Sponsored Project Administration COI Data Manager Business Process September 2011 Introduction The Data Managers (DM) uses the COI Data Manager s application to assure that all required Conflict of Interest (COI) disclosures are on record before an award is finalized. The COI DM application provides the information and tools necessary to do this. Data Managers Award Processing When the data manager processes an award s/he must first open the proposal in InfoEd and enter the date that award processing began in the Request Budget Increment Award Received Date for Increment UDF as shown here: The next step is to access the COI DM Application through the Internet Explorer web browser. The following URL opens the application. UVMNetID login and password is required. The following screen is displayed: Click the Proceed to Online Application hyperlink, and you will see the following: 1

2 Waiting Proposals A proposal is not Awarded until all the appropriate personnel have filed COI disclosures. The Get Proposal Waiting Counts button and the View Details button are used to determine how many, and which, proposals are waiting for investigators to submit COI disclosures. Displaying the Counts of Proposals Waiting Clicking the Get Proposal Waiting Counts button produces the following: A Ready proposal is one with all COI disclosures received. The Hide Counts button can be used to return the screen to not displaying the counts. Displaying the Details of Waiting Proposals Clicking the Show Proposal Waiting Detail button produces the following: The display shows which proposals are Waiting and which are Ready for further processing. There are also columns showing the total count of investigators that must disclose and the count of investigators 2

3 that have yet to complete a disclosure. When the LEFT_TO_DISCLOSE count is equal to zero the proposal is Ready for further processing. Use the Hide Details button to remove the Details display. Check Investigator Disclosure Status This portion of the screen allows the DM to determine the COI disclosure status of any investigator. Select a name when the Enter key is tapped the following will display: In this case the selected investigator has not yet filed a disclosure. If a disclosure had been filed, something like the following would display: Checking a proposal for COI status To determine if a proposal s personnel have all filed their COI disclosures enter a proposal number and click the COI Check button. If the proposal number you enters is not valid of it is a proposal number for a proposal that does not require COI disclosures you will receive a message stating so and you will not have to continue. Valid COI related proposal numbers result in the application looking at the personnel page of the proposal. The application checks each personnel entry and determines his/her COI status. The following summary screen results: 3

4 Explanation of circled numbers: Circle Explanation Number The message in red and the number of View options (labeled 3 and 4 above) depends on 1 the proposal and the COI status of the personnel listed on the proposal. 2 There is always a line of text stating how many entrees are listed on the personnel page. Clicking the View (labeled 3 above) button will display all listed personnel and their current COI status. As shown next: 3 Click the button to view information concerning all of the entries in the personnel page of the proposal. 4 The other view buttons display the same information for each subset of personnel. 4

5 Actions Required No Action If all those individuals listed on a proposal who must file a COI disclosure have done so and all those disclosures have a status of Complete and this proposal is not related to any potential conflict disclosure then no action is required and the DM can continue processing the award. The situation where this proposal is related to an active disclosure is described below. Fix Undetermined Disclosure Status Entrees Sponsored Projects Administration (PAS) maintains a table of Role Type Role combinations and whether or not people with those combinations must file COI disclosures. The disclosure status of an individual cannot be determined if the Role Type Role combination is not recognized. To remedy this situation the DM must contact the Pre-Award Services (PAS) IT staff to have the offending combination entered in the table of combinations and to have a determination made as to whether or not that combination requires a COI disclosure. 1 Individual Has not Disclosed If there is a check in the field Disc Req (indicating that a disclosure is required) but there is no Type or Status information then an (done from InfoEd) must be sent to the individual and the Principal Investigator (PI) requesting that a COI Disclosure be submitted through the on-line application. The identity of the proposal PI can be found by displaying all the personnel on the proposal and finding the row with the 1st PD box checked. The text of that to be sent to the investigator can be found at S:\osp\Conflict of Interest\ s\ and in a file named DM to INV without an active disclosure at award.docx. The text of the needs to be modified appropriately to reference the correct proposal and to refer to the correct recipient. Processing of the award cannot be completed until all COI disclosures have been filed. How to send the in InfoEd: Open the proposal in PT edit mode in InfoEd Click on the Communications folder at the bottom of the left nav bar Click the Record Letter radio button o Enter a Document Name (i.e. Request for Conflict of Interest Disclosure ) o Select Other as the Document Category o Select COI Disclosure Letter as the Letter Template Click the TEST button (click OK at the pop up that should say This will create 1 letter ) Click the Build button this will build the letter and provide it as an attachment that can be viewed and ed. Please Note: Whenever building any letter in InfoEd it is recommended that it be viewed for accuracy before ing it out. 1 If you are reading a printed version of this document and it is in black and white only you may not be able to see that the two entrees Del Pizzo, Richard and Taylor, Curt are highlighted. 5

6 Once built view the letter: Click the Send radio button Click the yellow folder in the USE column This will populate the standard message Before After 6

7 Click each of the To:, CC:, BCC: hyperlinks and assign the recipients as follows: TO: Should always the be the PI CC: Anyone else on the proposal that needs to disclose per the COI screen BCC: Yourself if you so choose (optional) Click the SEND button Individual has a Potential Conflict disclosure in Under Review status. The Data Manager must contact the COIA by regarding any individual with Potential Conflict disclosure that is in an Under Review status. The COIA can determine if the proposal under consideration is part of the potential conflict and whether or not processing of the award can be completed. The DM is informed of this decision by . Individual has a Potential Conflict disclosure with Complete status and proposal is Related The Data Manager must contact the COIA (using the address ConflictOfInterest@UVM.edu) to determine if the awarding of this proposal in any way influences the Conflict of Interest disclosure to which it is related. The COIA will indicate by if award processing can be completed. Summary Diagram The following is a diagram of the various actions taken when a proposal is awarded 7