Conflict of Interest: Edoc-Lite Use

Table of Contents

1.0 Conflict of Interest eDoc -Lite Step-by-Step Instructions

1.1 General Document Overview ...... 1 1.1.1 Rules...... 1 1.1.2 Buttons and Navigation...... 1 1.1.3 Field Definitions...... 2 1.2 Getting Started...... 3 1.2.1 Navigation...... 3 1.2.2 Central Authentication Service...... 4

2.0 Input, Review, and Submission Screens

2.1 Research-Related Financial Interest Disclosure Form...... 4 2.2 Appearance of Review Screen when NO Conflict of Interest...... 7 2.3 Create Note Box...... 9 2.4 Directing the Document into Review, Submit, Save, or Cancel...... 9 2.5 Disclosure Number 1 Form...... 9 2.6 Completing the Submission Process with a Disclosure...... 11

3.0 Confirmation E-Mail...... 11

4.0 Viewing Status of COI Document Submission

4.1 Overview...... 11 4.2 Opening OneStart and Workflow to View COI Document Status...... 12 4.3 Document Search...... 12 4.4 Entering Document Type...... 12 4.5 Accessing the COI Document...... 13 4.6 Entering Initiator Network ID Search for the Disclosure……………………………………. 13 4.7 Viewing the Disclosure...... 14

5.0 Contact Information

5.1 Indiana University Bloomington and Regional Campuses...... 15 5.2 Indiana University Purdue University Indianapolis and Columbus...... 15

List of Screen Shots

Screen Shot A: COI Home Page 3 Screen Shot B: CAS Screen Shot 4 Screen Shot C: Research Related Financial Interest Disclosure Form 6 Screen Shot D: Research Related Financial Interest Disclosure Form with No Disclosure Reported 8 Screen Shot E: Create a Note Box 9 Screen Shot F: Submit, Save, or Cancel Button 9 Screen Shot G: Disclosure Number 1 Form 10 Screen Shot H: Submit, Save, or Cancel Function 11 Screen Shot I: Document Search 12 Screen Shot J: Entering a Document 12 Screen Shot K: Accessing COI Document 13 Screen Shot L: Entering Initiator Network ID 13 Screen Shot M:Viewing the Disclosure 14 1.0 COI eDoc-Lite Step-by-Step Instructions

1.1General Document Overview

1.1.1 Rules

The COI eDoc-Lite uses the Kuali Enterprise Workflow System which is a general purpose electronic routing infrastructure or ‘Workflow’ engine for the IU community. Workflow manages the creation, routing, and processing of electronic documents (eDocs) necessary to complete a transaction. An eDoc is an electronic document containing the information for an IU business transaction routed for approval through the Action List in OneStart.

Scenario: For the purposes of this User Documentation we will illustrate the submission of a Research-Related Financial Interest Disclosure made by Professor Rick Jagger, a fictitious faculty member. Mr. Jagger is declaring a research-related financial interest disclosure because he is the CEO of a music production company that operates in his area of research. Professor Jagger’s wife acts as the Treasurer of the company, and he utilizes research, rehearsal and production space at the Jacobs School of Music. Mr. Jagger’s research is sponsored by both federal and foundation sources of funding.

1.1.2 Buttons and Navigation

Button Navigation Add Allows the addition of another COI disclosure Attachment Allows document to be attached to the disclosure Browse Allows user to search for attachments Cancel Cancels the entire disclosure action Clear Clears the current field Delete Removes the action Edit Allows to alter text or change information Login Provides access to the COI environment No Negative response Remove this disclosure Removes/deletes the disclosure Save Saves the document Search Searches within the Workflow system for a document Submit Submits the document into the Workflow system and begins routing Yes Affirmative response

[COI eDoc-Lite User Documentation] Page 3 1.1.3 Field Definitions

Field Definition Action Allows for an additional or next event Administrative Positions Director, Chair, Dean, Vice President, etc. Approval Status Allows viewing of the document status in the Workflow system Author Name of individual creating the document Campus The physical location where you conduct the majority of your work for IU Create Date Date and time document was created Date Field The current date and time Department The unit within your School Disclosure Number Assigns a number (1-15) to each disclosure Division Sub-unit within an IU Department or Unit Document ID A unique reference number created by the Workflow system Document Status Indicates review status of the document Document Title Pre-assigned as ‘OVPRA.FinancialConflictDisclosure’ Document Type Pre-assigned as ‘Financial Conflict of Interest Disclosure’ Document Type Name Pre-assigned as ‘Financial Conflict of Interest Disclosure’ Email Address The e-mail address assigned by IU will pre-populate the field. You may change the e-mail address. Has Disclosures? Indicates if the author does or does not have a COI Initiator Name of person creating the document Initiator Network ID A unique number assigned to IU to the Initiator Last Approved Indicates date and time of most recent approval Last Modified Indicates date and time of most recent modification to document Name Name of the individual making the disclosure; signed in at the Central Authentication Service (CAS) Name this search Option to name the search Note Allows for the creation of a note Passphrase Personal access code recognized by the IU system for access purposes Pending Status Indicates status of a document Preferred Phone Number Enter preferred phone number in 999-999-9999 or 9-9999 format Role Status of the individual: Faculty, staff, etc. Route Log Provides a detailed history of document routing Route Status Indicates the status of the document in the Workflow System School The unit in which your academic Department is housed Username Your unique name identifier assigned by IU

[COI eDoc-Lite User Documentation] Page 4 1.2 Getting Started

1.2.1 Navigation

To begin using the COI eDoc-Lite system open a web browser (Firefox, Internet Explorer, etc.) and navigate to the Conflict of Interest home page located at http://researchadmin.iu.edu/COI/coi_home.html.

Click on either of the Research-Related Financial Interest Disclosure Form links. There is a link on the left side navigation (third from the top) and there is another link within the diagram in the middle of the page listed under Basic Step 1. Completing a Disclosure (refer to screen shot below).

Screen Shot A-1: COI Home Page

[COI eDoc-Lite User Documentation] Page 5 You will now be on the Conflict of Interest Environment page located here: http://researchadmin.iu.edu/COI/coi_disclosure.html

Click on the blue ‘LOGIN’ button located in the box on the right side of the page (refer to screen shot below).

Screen Shot A-2: COI Environment Page

1.2.2 Central Authentication Service (CAS)

You will automatically be taken to the IU Central Authentication Service (CAS) Screen. At the CAS screen perform the following: 1. Enter your IU username 2. Enter your IU passphrase 3. Click on the login button

[COI eDoc-Lite User Documentation] Page 6 Screen Shot B: CAS Page

2.0 Input and Review Screens

2.1 Research-Related Financial Interest Disclosure Form

This is the form (Screen Shot 3) you will complete to enter your financial interest disclosure. Referring to the screen-shot below let’s take a look at the key fields in the form:

1. Below is the Workflow box indicating the following:

a. Document Type Name: OVPRA Financial Conflict Disclosure b. Document Status: This area will change as the document is routed through Workflow from Initiated to Saved to Enroute to Final. c. Create Date: Represents the date and time the form was created d. Document ID: The unique number that is assigned to the document. This number must be used to search for the document in One Start upon submission.

2. Your name and e-mail address will be pre-populated from the CAS system. Enter your telephone number using 11 digits such as XXX-555-5555 or the four digit function for IUB or IUPUI as X- XXXX. You may change your e-mail address by clicking in the box and retyping your preferred email.

[COI eDoc-Lite User Documentation] Page 7 3. If a person other than you is completing this document indicate YES. If you are completing the document on your behalf click NO.

4. Enter the Last Name of the person (if other than you).

5. Enter the Middle Initial (if known) of the person (if other than you).

6. Enter your preferred phone number.

7. Use the pull down arrows to select your campus. You will be re-directed for several seconds to a ‘Refresh’ screen while the program populates the next pull down menu unique to your campus. If your campus, school, department or division is not listed select ‘Other’ and specify your school in the next field box.

8. Use the pull down arrow to select your school, department, and/or division.

9. From the pull down arrow select your primary role at the University. If your role is not listed select ‘Other’ and specify your role in the next field box. If you hold any Administrative Positions or have an appointment in another department, school, or unit indicate this as well in the fill-in box.

10. Section 5 directs you to use the radio buttons to mark ‘yes’ or ‘no’ to the three questions regarding your research-related financial interest disclosure.

11. After answering the three questions read the affirmation and click on the Yes button to take you to the next screen.

a. If you mark ‘no’ to all three questions in 5, once you click on ‘Yes’ in 6 you will be automatically directed to the review screen (refer to Section 8.2) and you may submit the form.

b. If ‘yes’ is marked to any of the questions in 5 a Disclosure Number 1 screen will appear (Refer to Section 8.5 for additional instructions).

[COI eDoc-Lite User Documentation] Page 8 Screen Shot C: Research Related Financial Interest Disclosure Form (image continued on next page)

[COI eDoc-Lite User Documentation] Page 9 Screen Shot C: Research Related Financial Interest Disclosure Form

2.2 Appearance of the Review Screen when NO Conflict of Interest is Disclosed

After completing the requested information and clicking the ‘Yes’ button the site will automatically show you a review screen of the form you have just finished. Please look carefully at the document to assure you have completed all of the requested information. You will be prompted with an error message if you have not completed all fields. The following screen shot illustrates how the review form will appear in the event that NO conflict of interest is disclosed. A Create Note (refer to 8.3) box and a Submit, Save, or Cancel (refer to 8.4) area will also appear.

[COI eDoc-Lite User Documentation] Page 10 Screen Shot D: Research Related Financial Interest Disclosure Form with No Disclosure Reported

[COI eDoc-Lite User Documentation] Page 11 2.3 Create a Note Box

At the bottom of the Review Screen a 1 Create Note box will appear. In this box you may add any notes or comments about the disclosure. You must click on the 2 Save button to save the note to the document. Attachments 3 may be added by using the Browse function.

Screen Shot E: Create a Note Box

2.4 Directing the Document Into Review ‘Submit,’ ‘Save,’ or ‘Cancel’ Button

The Submit, Save, or Cancel (refer to screen shot below) allows you to perform three functions. By clicking 1 you submit your disclosure via the Workflow system to the Conflict of Interest Office for review and action (refer to page X for Workprocess Chart). Clicking the 2 button saves your work to this point and you may return to it at another time. Reference the document ID number to retrieve the document via the One Start portal. Click on the 3 Cancel button to cancel the document.

Screen Shot F: Submit, Save, or Cancel Button

2.5 Disclosure Number 1 Form

If you have answered yes to any of the questions in Section 5 of the Research-Related Financial Disclosure Form, after clicking the ‘Yes’ button in section 6 the site will automatically direct you to a screen titled Disclosure Number 1 (see screen shot below). This is the form you complete to provide additional information about the conflict of interest.

1. Enter the name of the entity from which compensation will be received;

2. Use the pull down arrow to select the Type of Entity;

3. Complete the aggregate annual amount and aggregate fair market value by clicking on the appropriate radio button. Fill in the text box to describe the nature of the relationship you have with the entity;

[COI eDoc-Lite User Documentation] Page 12 4. Complete the following questions:

a. Is the disclosed interest royalties of licensing fees? b. Is this entity or any of its employees using space, equipment, or facilities at IU? Click on the radio button to indicate Yes or No. c. If Yes is selected describe where the work will be conducted and the nature of the work. d. Are you involved with IU research and sponsored programs work? Click on the radio button to indicate Yes or No. e. If Yes is selected check all that apply regarding NIH or NSF funding; human subjects; and/or product use.

5. Answer the question Do you have another disclosure? If Yes the system will take you to the Disclosure Number 2 page; if No the system will take you to the Completion page. To remove Disclosure 1 click on the Remove this disclosure button.

Screen Shot G: Disclosure Number 1 Form

[COI eDoc-Lite User Documentation] Page 13 2.6 Completing the Submission Process with a Disclosure

Upon completion of the Disclosure Number 1 Form the Create Note box and Submit fields will appear. Refer back to the directions in 2.4 for submission instructions.

Screen Shot H: Submit, Save, or Cancel Function

3.0 Confirmation E-Mail

3.1 Congratulations! You have successfully completed the annual Research Related Financial Interest Disclosure Form submission process. Once the document has been submitted you will receive a confirmation e-mail from OneStart Workflow indicating the document has been received and is under review by the Conflict of Interest Office. Retain this e-mail for future reference and retrieval if necessary.

4.0 Viewing the Status of a COI Document Submission

4.1 Overview

A variety of IU personnel may need to view the status of the COI document disclosure, i.e., contracts and grants personnel, research coordinators, department administrators, etc. The OneStart portal provides access to the Workflow engine that can be searched to determine the status of the COI document. The actual financial information disclosed is NOT viewable by these staff members. The disclosed financial information is ONLY viewable by the administrators who support the campus Conflict of Interest Committees. OneStart is IU’s web- based application portal that provides a common front door to online services at all IU campuses.

The following directions and screen shots provide step-by-step instructions on using the Workflow engine to determine document status.

4.2 Opening OneStart and Workflow to View COI Document Status

Open an internet browser and go to https://onestart.iu.edu. You will need to log-in to the Central Authentication System using your IU Username and Passphrase (refer to 7.2.2 for instructions and screen shot).

[COI eDoc-Lite User Documentation] Page 14 Document Search

Once the Workflow portal is open click on Document Search on the left hand side of the screen. Click on the Document Type magnifying glass 1 to enter the document type.

Screen Shot I: Document Search

4.3 Entering Document Type

In the Initiator Network ID field 2 enter the letters OVPRA to search for the appropriate forms as shown in the screen shot below. Once you have entered OVPRA into the document field, hit the search button 3 at the bottom of the look-up box.

Screen Shot J: Entering Document Type

[COI eDoc-Lite User Documentation] Page 15 4.4 Accessing the COI Document

The screen that is returned from your action in 4.4 will list a number of different documents. The document you now need to search for will be titled: OVPRA.FinancialConflictDisclosure. Click the link on the far right column 4 called return value to view the next pre-populated search screen.

Screen Shot K: Accessing COI Document

4.5 Entering Initiator Network ID Search for the Disclosure

The form has now pre-populated the document type. Click on the 5 hourglass to search for the Initiator ID if it is unknown. You may enter initiator network ID in this field as the initiator network ID is the same as the IU username or guest username. Click on the 6 search button to view the disclosure for which you are searching.

Screen Shot L: Entering Initiator Network ID

4.6 Viewing the Disclosure

[COI eDoc-Lite User Documentation] Page 16 An example of the returned search is shown in the screen shot below. You will not be able to open the actual disclosure; however the information needed is provided within this view.

The first column to check will be “Route Status” 7 to determine if it is Enroute or Final. If the form is enroute that will mean that the form is still being processed and may not have an entry in the rest of the columns described below. If the route status is final and there are no disclosures than there will not be any entries in the “Pending Status” or “Approval Status” columns.

The “Pending Status” 8 column will let you know if the disclosure is approved or still pending. ‘Yes’ in this field means the disclosure is still being processed and a ‘No’ in this field means that the document has moved to an approval state.

The column titled “Has Disclosures” 9 will inform you if there were a potential conflict of interest disclosed or if there were no potential conflicts.

The second to last column, “Approval Status” 10 will have one of the following seven statements: - Pending Under COI Office review

- Pending Under COI Committee review

- Pending Awaiting additional information/Signature

- Approved Best Practices Memo

- Approved Management Plan – check with COI office

- Approved No Action Taken

- Other

Screen Shot M: Viewing the Disclosure

This concludes the process used for viewing a COI document in Workflow.

[COI eDoc-Lite User Documentation] Page 17 5.0 Contact Information

5.1 Indiana University – Bloomington and IU Regional Campuses

Stephanie Roberts, RAC, CCRA, Research Compliance Advisor Conflict of Interest Office Office of Research Administration Phone: 812-856-1706 Email: [email protected]

5.2 IUPUI and Columbus Campus

Sherry Oswalt, JD, Conflict of Interest and Export Control Manager Conflict of Interest Office Office of Research Administration Phone: 317-274-7307 Email: [email protected]

[COI eDoc-Lite User Documentation] Page 18