Departmental Research Administrators Workgroup (DRAW)

1. Departmental Research Administrators Workgroup (DRAW) May 3, 2012 deMarneffe 218

2. Agenda • Introductions • Announcements/Updates • Annual Partners Disclosure Process (Raquel Espinosa) • Beyond Reason: Using Emotions as You Negotiate (Lisa Horvitz & Catharyn Gildesgame) • New NIH Regulations & Mandatory Training (Peter Paskevich) • Q & A - All

3. Announcements Research Finance Coordinator Position Filled! After a long search process, we have hired Jeffrey Stephens as the new Research Finance Coordinator!! Jeffrey will start this month as soon as CORI clears. He will be meeting individually with the grant administrators and PI’s.

4. Announcements • Partners Research Computing Survey Help shape the future research support services offered by Partners Research ComputingWe would highly appreciate if you can participate in this survey. Please follow the link below and answer each question thoughtfully and where applicable, add in your valued comments. https://limesurvey.partners.org/limesurvey/index.php?sid=31636&newtest=Y&lang=en The survey will close on May 6, 2012.

5. PeopleSoft Upgrade • As a result of the system upgrade there will be a downtime: • Will be taken down on 05/17/12 • Will be available again on 05/21/12 Both the HR & Payroll system and the Financials system (ePro/eBuy, eCheck and Expenses) will be down from 3:00 PM, Thursday, May 17 through 6:00 AM, Monday, May 21.

6. Continuation - PeopleSoft Upgrade • Given the complexity of some of the earnings distribution changes and other data changes submitted, please be sure to provide enough time to have transactions fully approved in order to avoid resubmitting these following the upgrade.

7. Continuation - PeopleSoft Upgrade • All MSS transactions submitted prior to the system going offline will need to be fully approved before 3pm on Thursday, May 17th. Those changes that are not approved will need to be re-entered once the system is back online Monday, May 21st.

8. Continuation - PeopleSoft Upgrade • Starting Monday, May 21st you will see that there is a slightly different look and feel to the system, but all functionality will still be there. Further details will be sent closer to Monday, May 21st.

9. Industry Sponsored Clinical Trial Budgets • Clinical trials sponsored by industry will be set-up as “TDC” funds and not as “MTDC” as they have been up until now • Of note: we do not plan to make amendments to old funds TDC: Total Direct Costs MTDC: Modified Total Direct Costs * Revised Clinical Trial Budget Template posted on the research intranet

10. Sub-recipients • Partners is taking a more conservative approach before working with new sub-recipients. • At the time of pre-award, if grant proposal includes sub-recipients McL Hospital has not worked with in the past, McL RA will contact Partners Contracts to see level of risk if other Partners entities have worked with them.

11. Effort Reports – due 04/30/12

12. FY12 Pd 1 Effort Certification Follow-up Plan • INITIAL NOTIFICATION • April 2- Primary Effort Managers (cc: Dept Admin) for investigators who had an ECF generated • EMAIL REMINDERS • April 11– Reminder to Primary Effort Managers for investigators who had an ECF generated so that investigators have enough time to certify • April 18– Reminder to Primary Effort Managers and Investigators who don’t have their forms completed • April 25– Final reminder to Department Administrators, Primary Effort Managers, and Investigators who don’t have their forms completed • DEADLINE • April 30 Deadline for effort reports return (marked as completed in Insight) • ESCALATION • May 15– Chief, Dept Admin, Institutional Research Administrator, and Entity Compliance Officer • May 30–Entity VP Research, PHS Corporate Director RM and RF, PHS Compliance Officer, PHS Director of Research Analytics & Reporting + everyone above • June 18– PHS VP Finance + everyone above • CERTIFICATION PERIOD CLOSE • September 30– Last day to electronically sign Period 2 effort reports in Insight; paper-based on Oct. 1

13. Effort Report Performance Summary as of 05/01/12

14. Effort Reporting Process GenerationPre-ReviewCertificationPost-ReviewComplete Bypass Post-Review if No Changes or Errors Certification: Changes or Errors Detected Email Notification Effort Report Is Ready Effort Mgr Pre-Review Investigator Certification Effort Mgr Post-Review Recorded as Complete Accept Override and Initiate Update

15. Effort Reporting Process REVIEW EFFORT CERTIFICATION FORMS: ·   Pre-review - Select an investigator's name; the hyperlink will open their Effort Certification Form; from there you can page through to the next investigator on your list by selecting "Previous ECF" or "Next ECF" hyper links at the top right of the page. If ECF appears correct: select the [Accept and Send to Investigator] button.  If ECF appears incorrect: make edits and select the [Save] button.  When you are ready to send the form to your investigator select the [Accept and Send to Investigator] button.  Notifications to Investigators: Selection of the [Accept and Send to Investigator] button will automatically send an email to your investigator on your behalf (i.e. PHS Time and Effort on Behalf of <your name>) letting him/her know their form is ready to certify.  ·   Post-Review - If a form returns to you for post-review, open the ECF.  If ECF appears correct: select the [complete] button.  If ECF appears incorrect: select the [override & request changes] button, enter a justification in the Notes section in the Comments field, edit the incorrect values, and then select the [accept & send to investigator] button to send the form back to your investigator.  Comments are required for an  override. FLAGS & FORM VALIDATION: ·   Red Flags – Indicates potential disproportionate salary compared to certified effort by 5% or more; clarify in the Notes section if due to required cost sharing component or salary over the cap adjustment; initiate any necessary changes in PeopleSoft for salary redistributions ·   Blue Flags - Indicates potential significant changes in effort on an NIH award by a decrease of 25% or more compared to sponsor commitment   ·   Yellow Flags – Indicates potential sponsor over-commitment where the sum of all active awards as recognized in InfoEd totals to greater than 100% ·   Exclamation Point – Indicates Total Effort does not = 100%; an ECF may move from pre-review to certification with this error but it must be resolved at certification to electronically sign and certify. OFFLINE ACTION ITEMS: ·   Train Investigators - Assist your investigators with understanding their effort reporting responsibilities and help them navigate through the effort reporting module ·   Sponsor Commitments - Work with the Partners Research Management Post-Award team to update effort commitments in InfoEd and with the sponsor. ·   Payroll - Work with your Payroll Manager to effectuate any necessary salary redistributions in PeopleSoft with an Employee Data Change (EDC) request ·   Significant Changes in Effort - Work with the Partners Research Management Post-Award team if any significant changes in effort (25% or greater) is anticipated; your Post-Award GA will work with you to send a formal prior approval request to the sponsor from Research Management. If a significant change in effort is detected based on an investigator's effort certification, an email will be sent to the corresponding Research Management Post-Award Grants Administrator to determine next steps.

16. Effort Reporting Help • HELP: • Effort Reporting Training - Visit the Effort Reporting training website • Effort Reporting Questions - Contact PHSEffort@partners.org • Insight Technical Questions – Contact InsightHelpDesk@partners.org • QUICK LINKS: • Top Ten Questions • Effort Reporting Website

17. Continuation – Effort Reports • Please remind your investigators to review and submit Effort Reports on time! Thank you!!

18. IRB Fees – Industry Sponsored Studies • Departments no longer need to invoice for IRB fees • When McL Research Administration edits the record for activation of the industry sponsored clinical trial, it will be coded for Partners Billing to invoice.

19. Annual Partners Disclosure Process • The electronic Annual PDS now incorporates the annually required Research Conflict of Interest (COI) Certification. • This certification information will be used instead of individual COI disclosure forms for al progress reports or annual renewals.

20. Continuation – Annual PDS What does this mean to you???? • No more COI’s Needed: • Annual Progress Reports • No Cost Extensions • Subcontract in Amendments

21. McLean Hospital Beyond Reason: Using Emotions as You Negotiate DRAW Professional Development Opportunity May 3, 2012 21 21

22. You cannot avoid emotions in your organization… ….nor do you want to. Emotions can be a major source of organizational value - if you have a systematic method to put them to good use. - Daniel L. Shapiro, PhD McLean Hospital / Harvard Medical School (Psychology) Director, Harvard International Negotiation Program

23. “Don’t get emotional” Trying to suppress emotions can sometimes make things worse Dealing with emotions is critical to every organization’s success Understanding the drivers of emotions can help: Prevent conflict Resolve disagreements Turn potential adversaries into collaborators Create powerful working relationships Reach highest levels of performance and achievement Individually; organizationally

24. Professional development opportunity for DRAW members Background / Context Daniel L. Shapiro, PhD Faculty of McLean Hospital / Harvard Medical School (Psychology) Director, Harvard International Negotiation Program Negotiation and Conflict Resolution: Practical Frameworks to Enhance Negotiation Success Workshop series offered to McLean Management Forum (spring 2011) Very positive feedback that included suggestion to offer more broadly across McLean Beyond Reason Method: a Systematic Approach to Cultivate Positive Relations, Bolster Collaborative Problem Solving and Transform Your Organizational Culture Developed by Dr. Shapiro Pilot underway at McLean with >120 staff (9 groups)

25. Today: Invitation to members of DRAW to participate Workshop Series (spring 2012) Very participatory, interactive and engaging 12 weekly sessions Workshop 1: 45 minutes Workshops 2-12: 30 minutes each At time to be determined based on schedules of participants and facilitator Workshop Facilitator Lisa Horvitz, Director of Operations/Process Improvement Resource Materials for each participant Beyond Reason: Using Emotions as You Negotiate by Roger Fisher & Dan Shapiro Participant Workbook Pocket Guide

26. Interested in participating? Contact Catharyn Gildesgame cgildesgame@partners.org; 617-855-4235

27. New NIH Regulations & Mandatory Trainings

28. New PHS Regulations Framework of regulation is unchanged from 1995 Regs focus on Investigator’s Financial Conflicts of Interest (FCOIs) “Investigators:” all those responsible for design, conduct, or reporting of PHS research (Researchers) Institution’s policy must comply with the regulations Researchers must comply with institution’s policy, including disclosing Significant Financial Interests (SFIs) Institution must evaluate disclosures and determine whether an FCOI exists If institution finds an FCOI, institution must manage it, which could mean eliminating it Institution must report FCOIs to PHS awarding component

29. Definition of SFI Has Changed

30. Definition of SFI Has Changed, cont’d

31. 3. Frequency of Disclosure Has Changed Researcher must disclose all SFIs at the time of application for a grant Annually thereafter At progress report Within 30 days of acquisition of new SFI Within 60 days thereafter, institution must determine relatedness; if so, whether the disclosed SFI is an FCOI; if so, institution must manage and report it to PHS awarding component

32. Changes in Regs for Researchers

33. Changes in Regs for Institution

34. Proposed Implementation: SFIs The revised ARC (Partners Annual Research COI) includes questions to capture new elements in the definition of SFI. A special form for capturing reimbursed or sponsored travel is being developed that will go live in July

35. Proposed Implementation: Updates Communications with Researchers Over the summer, OII will send a communication to researchers explaining the update requirement and what triggers it. In addition, the explanation will appear in FAQs on the OII website and will be imbedded in the update form. The form will go live at the same time. After August 24, 2012, researchers will get periodic reminders to update their forms.

36. 4. Investigator Training is Required The institution has to provide training on the institution’s policy, the investigator’s disclosure obligations, and the PHS regulations as follows: Before an investigator engages in any PHS-funded research; researcher cannot begin until he/she is trained Every 4 years thereafter Immediately if The institution’s policy changes An investigator is new to the institution An investigator is out of compliance

37. Proposed Implementation: Training Formal Training Program Content: under development- potential use of some content developed by AAMC with CITI; target June 1, 2012 Platform: CITI has been selected (same as IRB and RCR) Population: All ARC population (everyone on a government-funded or foundation-funded grant) Tracking System: will link CITI data re completion of training to Insight and InfoEd; target June 1, 2012 Notice system: automate through InfoEd notification to untrained Investigators and PI at time of: Proposal Submission, JIT, Advance Fund Request, NOGA or equivalent, Renewal Submission New investigator added through Electronic Data Change – check for training to be integrated into RM’s EDC process Target June 1, 2012 Launch: notice to all ARC investigators of training requirement, with link to training program- target mid June 2012 37

38. Summary: Proposed Implementation Timeline – New Regs

39. Questions?

40. Contact Raquel Espinosa Phone: 617-855-2868 respinosa@partners.org respinosa@mclean.harvard.edu