Summary of Milestones and Due Dates - Duke University



RQMP Year 2 “Group A” Milestones:Detailed HandoutContents TOC \o "1-3" \h \z \u Summary of Milestones and Due Dates PAGEREF _Toc53445440 \h 2New RQMP Project in REDCap PAGEREF _Toc53445441 \h 2Group A Milestone Details PAGEREF _Toc53445442 \h 2SCAP Maintenance Plan PAGEREF _Toc53445443 \h 2Unit Escalation Path PAGEREF _Toc53445444 \h 4Sub-Unit Data Management Practices PAGEREF _Toc53445445 \h 5RQMP Operational Plans PAGEREF _Toc53445446 \h 6Summary of Milestones and Due DatesMilestone/Sub-Milestones for Year 2 “Group A”Due Date?1. SCAP Maintenance Plan – Input into Section J.510/30/202a. Upload Survey Participant List into Section P. or Contact RQMP Central10/30/203. Describe Escalation Path – Input into Section R.11/30/202b. Ensure all Sub-units Respond to Data Management Survey12/18/204. Submit Updated Operation Plan – Sections J-M*, Q for Org Chart03/31/21*If applicable, depending on needed updates and feedback from Central RQMP Office?Please note that milestones are due at 11:59:59pm of the due dateNew RQMP Project in REDCapThe “Research Admin. Operational Standards Toolkit” project in REDCap has been retired. A new project called “RQMP” has been developed in REDCap and is the new “working” REDCap project for the RQMP program. Your RQMP operational plan from Year 1 has been copied to the new project database. Use the new location to make updates to your plan moving forward. The same users who had access to the “Research Admin. Operational Standards Toolkit” project have been granted access to the new project. If you need to add users, email rqmp@duke.edu with the person’s name, NetID and whether or not they already have access to any REDCap project at Duke.Group A Milestone DetailsSCAP Maintenance PlanExplicitly state the strategy for keeping SCAP relevant and the timeline for obtaining ongoing attestations in section J.5 of the RQMP REDCap project by 10/30/2020.BACKGROUND: The Science Culture & Accountability Plan (SCAP) is a cornerstone for establishing a culture of quality, integrity and accountability. In Year 1, RQOs were asked to ensure that all faculty and staff engaged in research attested to their unit-level SCAP by June 30, 2020. The central office supported this Year 1 milestone by providing a SCAP attestation survey link (via Qualtrics), centrally tracking attestations, and providing teams with frequent reports that showed faculty and staff who were still outstanding. The following steps outline the expectations of the RQO or designee in Year 2:Write a plan for keeping your unit-level SCAP relevant and obtaining ongoing attestations in the future. Components to include:Who within the unit is expected to attest?At a minimum, all faculty and staff (F/S) engaged in research.How will attestations be obtained and tracked? (see additional information below regarding optional resources)How often will review/revision of the SCAP be required? State the frequency and target due dates for routine review/update of the SCAP by the RQT. At a minimum this should be every three years.State the timeline for obtaining attestations if ad-hoc, significant updates are made, e.g., if an important culture and accountability issue arises on the institute, school, or unit level in between the established routine SCAP revision frequency. At a minimum, all F/S engaged in research should re-attest to the SCAP within 90 days of a significant update to the SCAPEstablish the plan for obtaining attestations from new F/S and deciding how often all F/S need to re-attest to the SCAP.At a minimum, new F/S engaged in research should attest within 90 days of hire.At a minimum, all F/S engaged in research should attest to the SCAP every three years, even if no significant updates are made since the last attestation.F/S moving into new positions within the same unit will not be required to re-attest.Submit this information via REDCap (section J.5) by 10/30/20. Be sure to use the new RQMP project.Additional Information for Tracking Attestations:Although not mandatory, you can continue to use the Qualtrics survey link that was provided in Year 1 to obtain and track attestations. Here’s what our office will provide and what we ask of you (or your designee) if you wish to use the Qualtrics survey method: RQMP office will provide an attestation report once per quarter starting on October 15, 2020. The spreadsheet will contain the following information:The names of the F/S primarily affiliated with your unit who are engaged in research according to the RCR database. Remember, this may not include additional F/S who you have identified as needing to attest to the SCAP. If your cohort is broader than the standard RCR cohort, you will need to track those separately. (NOTE: The Qualtrics survey will have a record of anybody who attests, so the raw data can be provided to the RQT upon request but tracking of the raw data versus a cohort beyond F/S engaged in research will be up to the unit in question.)A column denoting whether or not each person has attested to the SCAP and the date on which they last attested according to the Qualtrics survey. Remember, this will not include attestations obtained via some other mechanism. If you are giving F/S multiple ways in which they can attest, you will need to track those separately. You will still need to provide the link to the Qualtrics survey to your F/S. If relying on the RCR-based training cohort, simply forward the Qualtrics link to F/S on the attestation report who need to attest. Whenever you need to obtain attestations, via the Qualtrics survey, for a SCAP that has undergone significant updates:Inform the RQMP central office via email. Include the URL path for the revised document.The RQMP office will reset the attestations for your unit and embed the new URL in the survey.You can then forward the Qualtrics link with the new SCAP to the F/S who need to attest. The RQMP office will provide an updated report according to the regular (quarterly) schedule.If you choose to track attestations on your own, the expectations are that your “tracker” includes, at a minimum, the person’s full name and the date of the last attestation. Keep the list up to date as it will eventually be the record that we upload into the new database once the “SCAP Tracker” infrastructure is completed.Unit Escalation PathDevelop an escalation path for grants and research administrative issues and upload a list of individuals within your unit involved in that escalation path in Section R of the RQMP REDCap project by 11/30/2020. BACKGROUND: The LRA is the primary liaison between the unit and Office of Research Administration (ORA) for grant and research administrative issues. The purpose of an escalation plan is to establish a pathway to avoid premature or unnecessary escalation of issues to ORA, when often the issues can be resolved internally. The escalation plan will also help ORA identify who, beyond the RQT, to contact if needed. Having a clear escalation path helps minimize delays, preserve intra-unit relationships between investigators and administrators, and improve efficiency, accountability, and integrity of all activities within the unit. The following steps outline the expectations of the LRA or designee:Use the provided template to describe the escalation path within your unit when a grants or research administration issue arises.When developing your escalation path, consider who within your unit is responsible and accountable for resolving grant or research administrative issues; along with internal parties who should be consulted or informed when an issue arises. Individuals listed in the escalation path should be included with full name, title and email address, and should include the LRA, RQO, Vice Chair for Research (if applicable), and Org Unit Head (i.e. Chair, institute or Center Director).Note: If you are having difficulty defining an escalation plan due to the structure of your unit or uncertainty of the details needed, contact us at rqmp@duke.edu for a consultation.Sub-Unit Data Management PracticesIdentify and upload a list of all sub-units in Section P of the RQMP REDCap project or contact the RQMP Central Office for consultation by 10/30/2020. Ensure that identified sub-units respond to data management survey by 12/18/2020. BACKGROUND: There is variability in the way units (departments, centers, and institutes) and research labs manage data throughout the SOM/SON. The Research Quality Management Program is collecting data on current data documentation practices with the potential to identify risks and foster adoption of best practices in the future. The goal of this survey is to take the temperature and understand baseline data documentation practices across the SOM/SON, not to impose changes at this time. The following steps outline the expectations of the RQO or designee:Determine if there is a logical way to “group” research within your unit into formal, administrative sub-units, e.g., research labs directed by a PI(s) or Director(s) where the responsibility for the research is under the same leadership. DECISION TREE:If the answer is no, reach out to the RQMP central office by 10/30/20 (if we haven’t reached out to you already) so that we can meet to discuss further. Our objective will be to tailor the data collection for your unit in a way that best meets the underlying objectives.If the answer is yes, then proceed with making a list of the formal, administrative sub-units within your overall unit and upload by 10/30/20.Make a list of the formal, administrative sub-units within your overall unit with the following details.Name/title of the Sub-Unit. E.g. Raul Doyle Lab, or Science Research Core.Name of the “head” of the sub-unit. E.g. PI of lab, or director of coreBest email address to contact the “head” of the sub-unit or designee who will be completing the survey for the sub-unitEnter the list into the template Excel spreadsheet and upload the file into Section P (Sub-unit Data Management Practices)Tally the number of ‘sub-units’ on your list and input the number into the corresponding question in Section P. Note: Count service centers within your unit as a ‘sub-unit’The Central RQMP Team will send out the survey to the identified sub-units once the list is submitted. The RQMP Central Office will contact the RQT for assistance if there is difficulty in receiving completed surveys. Our goal is for 100% of sub-units to complete the survey by 12/18/20. ***Note: If you believe you will have difficulty curating a list by the 10/30/20 deadline, please reach out to us at rqmp@duke.edu***RQMP Operational PlansIncorporate overall improvements to operational plans in Sections J-M, and upload a new organizational chart in Section Q of the RQMP REDCap project by 3/31/2021. BACKGROUND: The RQMP operational plans developed in Year 1 are living documents that should be updated as needed. In Year 2, we have identified a few ways to help you improve and keep your Plans relevant. The final deadline tied to the SOM metric is 3/31/21 but don’t wait, add information as soon as you can.The following steps outline the expectations of the RQO and LRA or designee:Ensure that the specific Year 1 feedback provided by the RQMP office in May 2020 has been implemented (if applicable). Review the global feedback document (available on RQMP website) and incorporate aspects that your peers are doing that would add value in your own unit in the applicable sections of your Plan. Add updated plan for keeping SCAPs relevant in section J.5. Reminder, this needs to be completed by 10/30/20. Note that this is a separate milestone in amongst itself.Confirm that the RQO and LRA names listed at the beginning of section J and L (respectively) are accurate; and update if needed. NOTE: notify RQMP office via email anytime a change to the RQO or LRA is needed. Confirm that the delegate information in sections K and M is accurate; and update if needed.Submit an updated org chart for your unit via Section Q (Organizational Chart) of the REDCap project. ................
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