RISe-COI User Guide: Outline
Contents
1. Feedback Committee Meetings My Inbox Conflict of Interest Human Ethics Animal Care Inactive Reports Applications gt Name Filter by State M E T Clear Advanced ee a eee 31D Name Type Owner State Last State Change cologs PI pee 27 07 2005 9 09 Pree e o Af Goons CO COC Declaration COI fest Pre Submission a Human PI ren 22 08 2005 11 06 Sof oestrone SE D HO5 0017 Copy of bbb Ethics test Pre Submission AM Human PI Changes Required by 16 09 2005 1 31 op ode dS eae HOS 0022 Copy of Copy of bbb Ethirs test Denartment Reviewer PM amp Internet The light blue bar along the top of your declaration form provides several options that will be useful when creating your COI COC declaration e Save This button allows you to save your work in progress it is recommended that you use it often e Exit This button allows you to exit your declaration and return to the declaration home page You will be prompted to save your work e Print Click this button for a printer friendly version of your in progress declaration e Jump to This drop down menu lets you to jump to different sections of the declaration form This is especially helpful when you are resuming work on an existing declaration Here is a list of pages you may be asked to complete when creating your online COI COC declaration Page 1 General Disclosure The first page of the COI COC declaration requires you to answer a2. amp Project com webridge entity Entity OID 6B1411B001746D44955F 15EA5418FEAC amp DestURL https rise ubc cajrise UBC Go Links i y The University of Briti olumbia Ww Office of Research Services Edit COI CO6 00444 Save Exit Hide Show Errors Print Jump To Save Declaration COI COC Save amp Close SAVE DECLARATION Conflict of Interest Conflict of Commitment If you wish to attach documents to this declaration you can do so by selecting the Add button Title There are no items to display Copyright 2005 The University of British Columbia Save Exit Hide Show Errors Print Jump To Save Declaration COI COC Save amp Close B internet Z COI 4 COC Declaration Microsoft Internet Explorer File Edit View Favorites Tools Help ay Q ex amp x a JO search Sie Favorites amp A 2 a 33 Address a https rise ubc ca rise Rooms DisplayPages LayoutInitial Container com webridge entity Entity OID DF59493C52D3F64DA7AEESECEE676CFD v Go Links crl n The University of British Columbia Office of Research Services Jennifer W H Chan My Home Clipboard Projects Logoff RISe Welcome Page Committees Reports Site Administration Root gt Studies gt COI COC Declaration Layout Current State Help J Pre Submission TEREST CONFLICT OF COMMITMENT Activities Department real aea Department Approver GOD r
3. b are currently engaged in i e present and c anticipate you might be engaged in within the next 12 months i e future Committee a committee established by the University Counsel to assess disclosures and to develop and monitor protocols in situations where Conflicts of Interest are identified and including at least one independent person who is neither a faculty nor a staff member of the University Executive Position any position that includes responsibilities for a material function of the operation or management of a Business Financial Interest an opportunity to receive greater than 5 ownership interest in a single entity or anything having a monetary value exceeding 10 000 per annum including remuneration e g salary consulting fees retainers honoraria bonuses gifts speaker s fees advisory board remuneration finders or recruitment fees equity interests e g stocks stock options or other ownership interests and intellectual property rights e g patents copyrights royalties or other payments from such rights Human Resource Decisions include recruitment offer of employment evaluation of performance promotion granting of tenure or termination of employment Initial Reviewer the individual responsible for initially reviewing a Member s disclosures of Conflicts of Interest or approving a Member s Conflict of Commitment Except as otherwise designated by the University Counsel a Member s Administrative Head
4. of Unit is the Initial Reviewer Management Plan a plan that sets out a plan commitment or method to remove a Conflict of Interest or Conflict of Commitment or to mitigate a perception of such conflict Member any individual who teaches conducts research or works at or under the auspices of the University and includes without limitation any person acting in his or her capacity as full time or part time faculty or staff or clinical faculty Non University Activity any activity outside a Member s scope of work with the University and includes Outside Professional Activities Outside Professional Activity any activity outside a Member s scope of work with the University that involves the same specialized skill and knowledge that the member utilizes in his or her work with the University and includes the operation of a Business consulting or advisory services and speaking engagements Personal Benefit examples of a Personal Benefit could include but are not limited to a being in a personal relationship with a student b employing a student to work in a Business in which you or a Related Party have a Financial Interest or holds an Executive Position requiring a student to work on a project sponsored by a Business in which you or a Related Party have a Financial Interest or holds an Executive Position Related Party a Member s immediate family member e g spouse child parent or sibling or other person living in the sa
5. series of yes or no questions lettered A M that will help to determine whether a potential COI or COC exists Your answers to these questions will determine which subsequent pages you will be asked to complete You may not be required to complete all of the pages listed here Page 2 Board Membership Page 3 Financial Interest Executive Position Page 4 Gift Page 5 Other Page 6 Non University Activity Page 7 HR amp Admissions Page 8 Use of University Resources Save Declaration This is the final page of the declaration Click Save and Close in the top or bottom right corner of the screen to save and exit the application Closing the application will send you to the application homepage where you will be able to submit the declaration to your Department or Division Head for review Once your declaration has moved to Initial Review state you will be able to locate and view it under the Conflict of Interest tab from your My Home page You may also click Save and Close if you are in the midst of the declaration and would like to continue completing the declaration at a later time Your declaration will exist in a Pre submission state and will be accessible to view and edit from your My Inbox rosoft Internet Explorer File Edit View Favorites Tools Help ae Qm O DAOA germ O82 a DMB Address a https jrise ubc cajrise ResourceAdministration Project ProjectEditor Mode smartform
6. Care Inactive iet Animal Care I would like to EJ Send Feedback Committee Meetings Applications A Name Pieiyistate EE Advanced a no o a ID Name Type Owner State Last State Change 5 k eclaration 2 re Submission j 22 Animal Care Committee n0004 Poar OT Tora cor test ie dad ie Human PI TAE 22 08 2005 11 06 BCC A 3 Z T f 2A a naced D H05 0017 Copy of bbb Ethics test Pre Submission AM Human PI Changes Required by 16 09 2005 1 31 op Behavioural Rescate HOS 0022 Copy of Copy of bbb Fthirs test Denartment Reviewer PM v amp Internet 1 Navigator Bar This bar runs across the top of your screen and is visible both from your My Home page and while you navigate the system to view your applications The navigator bar includes the following links e Personal Profile You can access your profile by clicking on your name in the top right corner of your Home page Your profile is important as it determines what level of access you are assigned what department to electronically send your COl COC declaration to for review and approval and how to contact you with information requests and status updates Check that your profile is up to date to help ensure that your declaration is processed as quickly and efficiently as possible e MyHome Clicking on the My Home link in the top right corner of the screen returns you to your personal My Home page which is the central resource for managing your research appl
7. Researcher Information Services RlSe Conflict of Interest Conflict of Commitment User Guide for Principle Investigators Created by the Office of Research Services September 2006 Table of Contents Table of Contents Overview of the RISe COI COC Process Privacy Statement Approval Process for COI COC Declarations Accessing RlSe through CWL My Home Page Completing a COI Declaration Amending a COI Declaration Renewing a COI Declaration Appendix A RlSe enabled Ranks Appendix B Glossary of terms Resources 13 14 15 16 18 Overview of the RISe COI COC Process Faculty members can now complete their Conflict of Interest Conflict of Commitment COI COC declarations online using the Researcher Information Services RISe system For most researchers this system replaces the paper based process see Appendix A of this document for a complete list of RISe enabled ranks Under UBC Policy 97 governing Conflicts of Interest and Conflicts of Commitment all researchers and full time faculty members are required to complete COI COC declarations to renew them annually and to amend them whenever there is a material change from the previous disclosure RlSe makes it easy for faculty members to submit their declarations and track them through the approval process Use this guide in conjunction with the online instructions to help you complete your online COI declaration renewals and amendments Privacy Statement By submi
8. anon Meeting Date amp Time fac Submit COI Version Viewing Printing Activities options Below you will find the correspondence related to your COI COC Declaration The Activity column under the the state changes of this declaration Any additional information entered during the state change will show up as text under the activity re details about the activity The Amendments tab contains any amendments to this COI COC declaration Selecting an amendment will ce for that amendment Application Printer Friendly A Application Changes Activity Log Admin The query produced no results amp internet Remember to keep these points in mind when completing your online declaration e Guidelines are provided in the shaded area on the right hand side of each page follow these notes to ensure you are providing the correct information e A list of relevant defined terms is provided in the shaded area on the right hand side of each page e A red asterisk indicates a required field the system will not allow you to proceed to the next screen or submit your declaration until all required fields have been completed Documents can be attached at the bottom of each page RlSe supports all file formats Upon initial review of your declaration your Department Head Dean or the COI Committee may request that you initiate a management plan which is defined as a plan commitment or method to remove a Conflict of Interest or Conflic
9. cation 3 Forward to the Faculty Reviewer for further review 4 Prohibit the COI COC declaration Faculty Reviewer After reviewing the declaration the Faculty Reviewer has four options 1 Approve 2 Send back to the PI for revision or clarification 3 Forward to the COI Administrator for further review 4 Prohibit the COI COC declaration COI Administrator COIA When the COIA receives a declaration he she has 4 options 1 Approve 2 Send back to the PI for revision or clarification 3 Forward to the COI Committee for further review 4 Prohibit the COI COC declaration COI Committee Member When a COI COC declaration is sent for Committee review Committee Members will review and comment on the application COI Administrator COIA Based on the comments of Committee Members following review of the declaration the COIA has the following options 1 Approve 2 Send back to the PI for revision or clarification 3 Reject 4 Prohibit the COI COC declaration Principle Investigator The PI will be notified of the Committee s decision via email If approved the PI must renew the declaration annually and amend it when his or her conflict situation changes The Current State of a declaration is displayed in the activities bar on the left hand 7 side of the declaration home page The State will change as your declaration When a declaration moves throughout the approval process Here is an explana
10. clarification from the PI Approved The declaration has been approved The PI must renew the declaration annually and amend it when his or her conflict situation changes Prohibited Appealable The declaration has been rejected however the PI may consult with his her reviewers to determine a course of action to resolve any potential or existing conflicts Prohibited No Appeal The declaration has been rejected and a new application will be required Suspended The COI Administrator may suspend an approved declaration as conflict situations arise Once the situation has been resolved the COI Administrator will return the declaration to an Approved state Terminated The COI Administrator will terminate an approved declaration when a PI is no longer in the employ of the University Expired If the declaration has not been renewed by the expiration date it will automatically expire The PI will then have a limited amount of time to submit a renewal Otherwise a new application will be required Inactive The declaration has expired and the time in which a renewal may be submitted has lapsed The application has been archived and is no longer valid Approval Revoked The approval for your COI COC declaration has been revoked The PI must seek advice from the COI Administrator immediately The PI will be required to submit a new COI COC declaration Accessing RlSe through CWL Please visit www it ubc ca cwl homelink shtml and follow the dir
11. e COI COC declarations online Professor Professor Emeritus a Associate Professor Associate Professor Emeritus a Assistant Professor Assistant Professor Emeritus a Clinical Professor Clinical Instructor Clinical Associate Professor Research Associate Clinical Assistant Professor Instructor Lecturer Appendix B Glossary of terms Administrative Head of Unit Director of a service unit a Head of an academic department a Director of a centre institute or school a Principal of a college a Dean an Associate Vice President the Registrar the University Librarian a Vice President or the President or the equivalent Business a corporation partnership sole proprietorship firm franchise association organization holding company joint stock company receivership business or real estate trust or other legal entity organized for profit or charitable purposes but excluding the University an affiliated Hospital a private medical practice or other entity controlled by controlling or under common control with the University or an affiliated Hospital Conflict of Commitment COC a situation where the Outside Professional Activities of a Member are so substantial or demanding of the Member s time and attention as to adversely affect the discharge of the Member s responsibilities to the University or where the Non University Activities of a Member involve the use of University resources The following activities are examples of activi
12. e a COI COC declaration click the Conflict of Interest button on the left hand side of your Home page This will take you to the first page of the declaration form i My Home for test PI Fie Edit Microsoft Internet Explorer Tools Help m fa A Aa ti a A po Search Se Favorites amp Ca fal Liss ree 3 i Jubctest Rooms DisplayPages LayoutInitial Container tity Entity oSBOID 5B8240BB310D54324DADADEESADSE2Z9E3B SD 5D Y Go G search ge Snopopups M Check N Autolink lt The University of British Columbia Office of Research Services ek View Favorites Links Welcome to Researcher Information Services RISe v2 6 My Home for test PI A Pi and Staff My Home for test PI My Roles PI amp Staff Welcome to your Personal My Home the central resource for managing your Studies Please select the tabs below for information on what each one contains To view or update your profile please select the link to your name in the top right corner If your original application was entered on UBC s previous researcher system ORSIL and was converted i j leat j ji s those fields were not entered into the ORSIL system If it an amendment To submit an amendment click on the click the New Amendment button on the left hand side of I would like to create an application for Conflict of Interest Human Ethics 3 Animal Care I would like to x Send
13. ections for setting up a standard CWL account Non UBC employees can sign up for a basic account Once you have created your CWL account you can gain access to RlSe either by visiting the website rise ubc ca or by clicking on the RlSe link found on the ORS website www ors ubc ca If you did not previously have a CWL account you will need to provide your Researcher Number upon your initial login in order to access RlSe If you are listed on an application for ethics review or research at UBC since January 1 2000 you will have been provided a Researcher Number via email If you do not know your Researcher Number or do not have one please email the RISe Administrator at ors ors ubc ca with your name department s rank email and phone number Indicate whether or not you have been listed on an application for ethics review or research at UBC since January 1 2000 and if applicable provide your previous protocol application number s Once you have been registered your Researcher Number will be emailed to you Upon logging in through CWL you will be directed to the RISe My Home page and will be ready to manage your COI COC declarations My Home Page Your personal My Home page is the central resource for managing your COI COC declaration From here you can create submit edit amend renew and view your declaration Your Home page is made up of the following components Z My Home for test PI Microsoft Internet Expl
14. ications e Logoff Clicking on this link allows you to exit the RISe system Activities Bar This is located on the left side of your Home page and includes the following components My Roles RlSe will assign user roles based on your rank and responsibilities All researchers will have a role called PI amp Staff which is used to create renew or amend your COI COC declaration Some users will also have other roles listed such as Department Approver or Committee Member Click on the appropriate hyperlink to navigate to the desired role s workspace would like to create an application for Click on the Conflict of Interest button to create your COI COC declaration Workspace The workspace is in the centre of your Home page and includes a number of tabs used to help manage your studies The following tabs relate to your COI COC declaration My Inbox Your Inbox is the default tab for your Home page Your COI COC declaration will appear in your Inbox if it requires action on your part This could mean that it is still in progress and has yet to be submitted to your Initial Reviewer or that the declaration has been reviewed and requires further action on your part Items in your Inbox require your immediate attention and should be dealt with in a timely manner Conflict of Interest This tab contains your COI COC declarations and amendments including those in the Approved state Completing a COI Declaration To creat
15. me household or any other person with whom the Member shares a Financial Interest either directly or indirectly Resources For more information on UBC s Conflict of Interest and Conflict of Commitment Policy visit http www universitycounsel ubc ca policies policy97 pdf For further clarification on the online COI COC declaration process or if you have any questions please contact Angela Siu Conflict of Interest Administrator Office of the University Counsel by telephone at 604 822 8623 or by e mail at conflict of interest ubc ca
16. orer File Edit View Favorites Tools Help ay Q sxx es ix E A po Search J Favorites da a m Fel 33 Address al http lidev rise ube cafubctest Rooms DisplayPages Layoutinitial Container com webridge entity Entity 5601D 568240BB310D54324DADADEESADSEZ9E3B 5D 5D V ZA GO Links Google IG Search we Sino popups aK Check aq Autolink The University of British Columbia Office of Research Services test PI My Home Logoff Welcome to Researcher Information Services RISe v2 6 My Home for test PI Layout My Home for test PI My Roles Help Welcome to your Personal My Home the central resource for managing your Studies Please select the tabs below for erred information on what each one contains To view or update your profile please select the link to your name in the top PI amp Staff right corner If your original application was entered on UBC s previous researcher system ORSIL and was converted over to RISe some fields in your application will be missing as those fields were not entered into the ORSIL system If you wish to enter those fields please do so if when you submit an amendment To submit an amendment click on the imal Care tab select the application to be amended and click the New Amendment button on the left hand side of I would like to create an application for aja Conflict of Interest G Human Ethics Conflict of Interest Human Ethics Animal
17. t of Commitment or to mitigate a perception of such conflict A management plan text field appears at the bottom of each page if such a plan is requested Amending a COI Declaration A COI COC declaration needs to be amended whenever there is a material change from the previous disclosure It is up to you the researcher to initiate an amendment when necessary Follow these steps to create an amendment From your Home page click the Conflict of Interest tab From the Conflict of Interest tab click the name of your COI COC declaration this will direct you to the declaration home page From the declaration home page click New Amendment Renewal in the Activities Bar on the left hand side of the page You will be directed to a page asking you to confirm whether or not you will be making changes to your declaration Select Yes and click Continue to proceed to your declaration Make any required changes to your declaration and click Save and Close when changes are complete Note You may also click Save and Close and return to the declaration at a later date to continue making changes Click on the Submit COI button to submit your amendment Once an amendment has been submitted it will proceed through the same approval process as your original COI COC declaration When an amendment is approved it replaces the original declaration Renewing a COI Declaration Your COI COC declaration must be renewed annuall
18. ties which give rise to a Conflict of Commitment a where a Member uses any University resource for Non University Activities unless the use is merely inconsequential b where a staff Member engages in Non University Activities during their normal work hours at the University c where a full time faculty Member s total involvement in Outside Professional Activities is greater than 52 days per year including evenings weekends and vacations and where a full time faculty Member will be off campus for a period of 30 consecutive days excluding holidays as a result of the Member s Outside Professional Activities Conflict of Interest COI a situation where a Member is in a position to influence either directly or indirectly University business research or other decisions in ways that could advance the Member s own interests or the interests of a Related Party to the detriment of the University s interests integrity or fundamental mission In the research context Conflict of Interest includes a situation where financial or other personal considerations may compromise or have the appearance of compromising an investigator s professional judgment in conducting or reporting research Conflicts of Interest may be potential actual or apparent Conflicts Timeframe the timeframe in which activities occur that you a have been engaged in since your last disclosure pursuant to Policy 97 even if it is not a current activity i e past
19. tion of what each enters a new State state means the party that is required to complete an action will be notified via email For example when a declaration moves to Initial Review State the system will send an email notification e Pre Submission Declaration is in progress and has yet to be submitted to the Initial Reviewer Department or Division Head for review e Initial Review Declaration has been submitted by PI and is awaiting review by the Initial Reviewer Department or Division Head e Changes required by Initial Reviewer The Department or Division Head has requested changes or clarification from the PI e Faculty Review Declaration has been forwarded by the Department or Division Head to the Faculty for further review i i ie appropriate l l epartment Division e Changes required by Faculty Reviewer The Faculty Reviewer has Head requested changes or clarification from the PI oe e COIA Screening The application has been forwarded by the Faculty Reviewer to the COI Administrator for further review e Changes Required by COI Administrator The COI Administrator has requested changes or clarification from the PI e Assigned for Committee Review Declaration has been forwarded by the COI Administrator to the COI Committee for further review Meeting Complete The COI Committee has reviewed the declaration and a decision is pending Changes Required by Committee The COI Committee has requested changes or
20. tting personal information pertaining to Conflicts of Interest Conflicts of Commitment Non University Activities Executive Positions and Financial Interests as defined in University Policy 97 the Information 1 The Information is collected pursuant to section 26 c of the Freedom of Information and Protection of Privacy Act R S B C 1996 c 165 2 The Information will be used internally within the University system for assessing and managing Conflicts of Interest and Conflicts of Commitment and compiling aggregate data 3 In order to fulfill the above mentioned purposes certain persons at the University will have access to the Information including but not limited to my Initial Reviewer my Administrative Head of Unit and the Conflict of Interest Committee If you have any questions regarding the collection of Information please contact Angela Siu Conflict of Interest Administrator Office of the University Counsel by telephone at 604 822 8623 or by e mail at conflict of interest ubc ca Approval Process for COl COC Declarations Role Action Principle Investigator PI Once the PI has completed and submitted a COI COC declaration it will be sent to the Initial Reviewer may be Department or Division Head based on the appointment he she has selected for approval Initial Reviewer After reviewing the declaration the Initial Reviewer has four options 1 Approve 2 Send back to the PI for revision or clarifi
21. y You will be sent an email reminder as your renewal date approaches If there ARE NO CHANGES to the details of your COI COC declaration since it was previously submitted follow these steps to create a renewal From your Home page click the Conflict of Interest tab From the Conflict of Interest tab click the name of your COI COC declaration this will direct you to the declaration home page From the declaration home page click New Amendment Renewal in the Activities Bar on the left hand side of the page You will be directed to a page asking you to confirm whether or not you will be making changes to your declaration Select No and click Continue to proceed Click Save and Close to return to the application homepage Select Submit COI to confirm your intent to renew and submit for review As the details of your declaration have not changed it will not need to go through the formal approval process again Upon submission a window will pop up stating the new approval of your declaration If there ARE CHANGES to the details of your COI COC declaration since it was previously submitted you must select Yes when you are asked whether any changes will be made to the declaration Follow the instructions on the previous page titled Amending a COI COC Declaration to amend your declaration Appendix A RlSe enabled Ranks The following is a complete list of the ranks that are able to access RISe to creat
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