Electronic Conflict of Interest System (eCOI) Business Administrators June 7, 2016 Kimberly Coburn,...

Academic Business Administrators June 7, 2016

Kimberly Coburn, eRAP eCOI Business Analyst

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Electronic Conflict of Interest System (eCOI)

Agenda Features to be discussed:

eCOI Goals and Team

Data Transfer from Coeus to eCOI

Discloser Selection

My Proxy – Discloser’s eCOI Supporter

Disclosure Report – eCOI Status Detail

Disclosure Portfolio

Research Project and Portfolio Relatedness

Data Transfer from eCOI to Coeus

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eCOI Goals System Directive eCOI is an electronic system that will integrate with other UC San

Diego systems to automate and facilitate the completion of conflict of interest disclosure forms for its employees and affiliates

Business Benefits Decrease time spent filling out and submitting conflict of interest

disclosures Improved efficiency associated with a better, less manual and time

intensive process for organizing, tracking and managing conflict of interest disclosures

Decreased institutional risk through quicker identification and resolution of conflict of interest issues

Timeline Campus wide release in early 2017

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eCOI Team Name Title Project Role Angela McMahill Director - Conflict of Interest Office Client/Project Champion/Business Process

Owner/COI Subject Matter Expert/Change

Xuemei Wang Sr. Analyst – Conflict of Interest Office COI Subject Matter Expert

Jennifer Patterson Sr. Analyst – Conflict of Interest Office COI Subject Matter Expert

Cindy Roulan Analyst – Conflict of Interest Office COI Subject Matter Expert

Jason Defay Director - eRAP Project Champion/Coeus and ePD Subject Matter Expert

Kimberly Coburn Principle Business Analyst - eRAP Lead Business Analyst/Project Owner

Tony Lashley Business Systems & Process Analyst - eRAP

Business Analyst/Scrum Master

Sandon Jurowski Applications Program Manager - ITS System Administrator

Anthony Slay Applications Programmer - ITS System Configuration/ Scrum Development Team Member

Harrison Watts Applications Programmer - ITS System Configuration/ Scrum Development Team Member

Ge Zhang Programmer Analyst- ITS Web Services (Coeus/Click integration), Scrum Development Team Member

Tejas Parikh Programmer Analyst - ITS Coeus/Click integration

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Session Glossary Review

Roles

Project Aggregator: A system user who enters proposal information into ePD or IP, and will select disclosers for the research project in eCOI (Fund Manager, SPO Analyst, etcetera)

Discloser: A member of the Proposal Research Team, needing to disclose for a Research Project (per federal regulations)

This user has the ability to certify and finalize the disclosure process by submitting the disclosure information to the Conflict of Interest Office for review

Proxy: A system user that an Investigator/Discloser selects to populate the disclosure for them

A Proxy cannot certify the disclosure information, they can only submit the disclosure, which triggers a notification to the Investigator to certify and submit the disclosure

COI Administrator: A system user who is a member of the Conflict of Interest Office, and has access to all system screens and functions

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Session Glossary Review

System Items

Web Service – A communication highway between different systems

The transfer of data from Coeus to eCOI and from eCOI to Coeus

Research Project: When a Project Aggregator enters proposal and Investigator information into ePD or IP, that data is pulled into eCOI, and is used to create a Research Project (a Research Project can also be created manually in eCOI)

Disclosure Portfolio: Once a discloser is identified, eCOI verifies that the Investigator/Discloser has created a disclosure portfolio of their financial interest

The disclosure portfolio may contain information for 1 or multiple entities, and the Investigator/Disclosure answers questions for each entity where they have a financial interest

Entity: An organization in which an Investigator/Discloser has a financial interest

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Presenter

Presentation Notes

A disclosure portfolio is a grouping of entity disclosure information For example, the Investigator/Discloser has interest in IBM, they answer disclosure questions to disclosure their financial interest in the company The Investigator/Discloser may have interests in several companies along with IBM In eCOI for the PHS disclosure, the Investigator/Proxy is disclosing their Position, Compensation, Equity etcetera in the organization

Data Transfer from Coeus to eCOI It is like in the 1920’s when telephone calls were made through an

operator

Dial zero

This is creating a record in the proposal system

The operator came on and said ‘How can I direct your call?’ and the user provided a number

This is gathering Investigator and Proposal information into the middle layer

The operator connects the call on the switchboard

This is the web service entering the data provided into the correct fields in eCOI

The operator listens to make sure a connection was made and then leaves the line

eCOI will continually listen to see if any changes are made to the proposal record, and reflects those changes in eCOI

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Presenter

Presentation Notes

Research Project: When a Project Aggregator enters proposal and Investigator information into ePD or IP, that data is pulled into eCOI, and is used to create a Research Project (a Research Project can also be created manually in eCOI)

Discloser Selection (PHS Projects): Project Aggregator’s eCOI Experience

The Project Aggregator will receive a notification to select who needs to disclose, select a email link and be directed to log into eCOI using their Business Systems Single Sign on (SSO)

Principal Investigators and Co-Investigators are automatically selected as needing to disclose by eCOI. However, other research team members are designated as ‘Disclosers’ by the Project Aggregator

Proceeding discloser selection, eCOI will send a notification to the discloser to create a Disclosure Portfolio, if they have not created/updated a portfolio in the last 365 days

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Presenter

Presentation Notes

Project Aggregator: A system user who enters proposal information into ePD or IP, and will select disclosers for the research project in eCOI (Fund Manager, SPO Analyst, etcetera)

Disclosure Report: COI Status Detail

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Presenter

Presentation Notes

When the disclosers are notified that they must disclose, a Discloser Report is created in eCOI for the Research Project This report serves as a detailed special review line report, to reflect the status of COI disclosures. Conflict of Interest Special Review line information will no longer be entered manually in the proposal systems, but instead created and stored in eCOI. When a disclosure reaches an end status, overall COI status information will display the proposal systems for informational purposes

My Proxy: Discloser’s eCOI Supporter

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Presenter

Presentation Notes

Proxy: A system user that a Discloser selects to populate the disclosure portfolios and answer disclosure questions for them. A Proxy cannot certify and submit disclosure information in eCOI, they can only submit information, which triggers a notification to the discloser to certify and submit the disclosure. A Proxy will receive all the system notifications the discloser receives, and have a dashboard of items they can complete for the discloser The discloser can have as many proxies as they wish, but must communicate the allocation of tasks with each proxy


Sam (Discloser)

IBM (Entity)

Position and Compensation

(Financial Interest)

Intuit (Entity)

Travel (Financial Interest)

Jamba Juice (Entity)

Stock (Financial Interest)

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Presenter

Presentation Notes

The Disclosure portfolio entitles are connected to the discloser, and when the discloser updates or adds entities to their portfolio, eCOI triggers the COI Office to compare these modifications to the active projects the with which the discloser has association The discloser could have 1 organization in their disclosure portfolio, or multiple, and the disclosure portfolio will change over time The Disclosure Portfolio must be updated every 365 days or with each change of financial interest

Disclosure Portfolio: Disclosing Interests

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Presenter

Presentation Notes

After selecting an entity, eCOI takes the discloser to a set of leading questions about this specific entity All of the questions in the portfolio describe the entity and discloser relationship

Disclosure Portfolio: Disclosing Interests

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Presenter

Presentation Notes

Selecting the Yes radio button next to a interest type, will display a detailed question set for that interest Furthermore, selecting Yes or No to questions within the interests will show additional questions

Research Project and Disclosure Portfolio Relatedness

Project


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Presenter

Presentation Notes

Since only ~ 30% of PHS proposals are funded, eCOI will request the discloser/proxy to provide supplemental information for funded PHS proposals only The web service trigger is set up to listen for when the award is linked to the proposal and when this occurs, the Agency/Grant information will be transferred to eCOI and linked to the research project

Research Project and Disclosure Portfolio Relatedness: Questions Reviewer Notes and Objectivity in Research

If the Conflict of Interest Office determines the discloser’s financial interest are possibly related to the project, the discloser/proxy is sent a notification to answer additional questions

Some of the questions will be custom to the discloser, and display at the top of the screen in the Reviewer Notes

Standard supplemental Objectivity in Research questions also displays on this screen

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Presenter

Presentation Notes

Communication will go back and forth between the Conflict of interest Office and the discloser/proxy until the all questions are accounted for This communication can all be seen for reference in the reviewer notes Discloser/Proxy will receive notifications to let them know that there are addition questions/comments that need to be addressed

Research Project and Disclosure Portfolio Relatedness: Status Diagram

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Presenter

Presentation Notes

When the discloser/proxy selects the email link to answer Conflict of Interest Office’s questions or goes to their dashboard and selects this project line from the pending tasks, they will be directed to this screen At the top of the screen, is a diagram that shows the discloser/proxy where they are in the disclosure process The discloser/proxy may go to their dashboard at any time, search for a disclosure, and see this diagram to tell them where they are in the disclosure process Pending Submission – The discloser does not have a active portfolio Submitted to COI Office – The discloser/proxy has submitted a portfolio and the research project is funded Reviewing Submission – The Conflict of Interest Office is reviewing the relatedness between the portfolio and the project Request Clarification – The Conflict of Interest Office has additional questions for the discloser/proxy, in the Review Notes and Objectivity in Research and the discloser/proxy is communicating with them in eCOI Approved – The Conflict of Interest Office has Approved the disclosure (This occurs when there are no disclosures, the disclosures are not related or not required to be disclosed) IRC Review Required – The IRC will review the disclosure information and make a decision: Approved, Managed, Not Approved Not Required – The disclosure is not required according to the Conflict of Interest Office

Research Project and Disclosure Portfolio Relatedness: Disclosure Workspace

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Presenter

Presentation Notes

Selecting the ‘Edit Supplemental Questions’ button takes the discloser to the disclosure workspace At the top of the page, we have the Conflict of Interest Required to be Answered by Discloser Notes, this is where the discloser will communicate with the Conflict of Interest Office for custom questions This feature expands and contracts, allowing the discloser/proxy to roll them up or view all communications The next section displays all of the entities entered into the disclosure’s portfolio Workspace contains a hyperlink taking the discloser/proxy to the portfolio When using this feature, the discloser/proxy may edit the portfolio in another window Any edits to the portfolio notify the Conflict of Interest Office to re-assess the relatedness of financial interest One thing to Note: Making a portfolio change not only alerts the Conflict of Interest Office to re-assess the relatedness for this project, but all active projects Therefore, the discloser may receive notification and have additions to their Pending Tasks to update Research Project information for other projects after the Disclosure Portfolio is updated here Each entity the discloser has interest in is listed and selecting the hyperlinks, takes the discloser to a read only view of the answers selected for the entity questions To the left, eCOI displays summary information about the entities interest The last section displays the Objectivity in Research questions to be answered

Data Transfer from eCOI to Coeus: COI Status

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Presenter

Presentation Notes

A new view is proposed to be added to the special review line tab in Coues and at the top of the screen, this view is designated to display Conflict of Interest special review line information only The view will be non editable, but contain a detail button, which when selected will direct the user to detailed information in eCOI – One line per discloser per year or change in financial interest This Special review line information will only be displayed in ePD and IP and not at the award level This proposed functionality will mean that Conflict of Interest special review lines are only update by the Conflict of Interest Office, and there will only be 1 line per year listed in Coeus

General Questions and Comments

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Presenter

Presentation Notes

What would you like to see in eCOI? What are your overall impressions of the system?

Conflict of Interest Office Contacts

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The Conflict of Interest Office: Website: http://coi.ucsd.edu Email: [email protected] Telephone: (858) 534-6465 Angela Fornataro McMahill, Director, Conflict of Interest Email: [email protected] Telephone: (858) 534-7321

http://coi.ucsd.edu/

http://coi.ucsd.edu/

mailto:[email protected]

Electronic Conflict of Interest System (eCOI) Business Administrators June 7, 2016 Kimberly Coburn,...

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