Kuali Research Administration (KRA)

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Kuali Research Administration (KRA)

• Kuali Days / May 2007
• St. Louis, Missouri

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Introduction

• -Kuali History, Structure, and Philosophy
• -Development Process
• -Partner Perspectives
• -KRA Proposed Scope/Phasing

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Kuali History, Structure, and Philosophy
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What is the Kuali Project?

• Kuali started life as a community/open source
  initiative to create a financial system for
  higher education.
• This project (now known as KFS) is a re-factor of
  Indiana Universitys FIS.
• Veterans of Sakai opted to try collaboration vs.
  doing this alone or buying off the shelf
• Kuali started with 6 university partners
  Indiana, Arizona, Cornell, Michigan State,
  Hawaii, Delta

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The Kuali Project

• Kuali is a Malaysian word for wok, or utensil
  that is a kitchen staple
• Work under the Kuali project umbrella is
  available under the foundations Educational
  Community License
• Kuali membership is fee-based, but the software
  is free to download
• Kuali is funded, in part, by the Mellon Foundation

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What is KRA?

• Cradle-to-grave research administration system,
  based on MITs Coeus
• Preaward (proposals, budgets, Grants.gov)
• Postaward (contracts, grants, negotiations,
  report tracking, subcontracting)
• Research Risks (IRB, IACUC, COI, etc)
• Links with KFS or your financial system

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How did we get to KRA?

• KFS scope includes Proposal and Award docs
• Proposal captures high-level data
• Award links to Proposal
• Both are used to transmit attributes to the
  account
• KFS scope has a routing form and budget
• No Grants.gov S2S capability (as of Feb 2007)
• No research risks modules
• No modules for contract management
• Negotiations, CDAs, NDAs, MTAs, etc.

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How did we get to KRA?

• Partners would continue to use legacy systems to
  cover some of these items
• Contract management was the perceived biggest
  missing piece at the time
• Schools would continue with PureEdge or an
  institutional solution for Grants.gov proposal
  submissions
• Schools would continue to use manual systems for
  research risks compliance

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How did we get to KRA?

• Kuali partners set out to identify research
  administration best practices, and ultimately
  drew up an agreement for use of Coeus
• KRA has 5 partners Arizona, Cornell, Indiana,
  Michigan State, and MIT/Coeus
• KRA Scope goes beyond whats offered in KFS
• KRA will be designed to work with KFS and other
  financial systems

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Coeus to KRA

• Coeus is one of the first cradle-to-grave
  research administration systems in the nation
• Developed at MIT
• 38 partner schools in the Coeus consortium
• Collaboration with Coeus
• Maximizes best practices
• Sustainability of the system with the Coeus
  community in mind

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Kuali Organization
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KRA Philosophy

• Maximizing common business practices
• Identifying best practices in research
  administration
• Collaboration is key
• Scope is managed within the Reality Triangle
• Governance follows specific procedures

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KRA Philosophy Reality Triangle
You get control of two of the sides, I get the
other. The 3rd side follows the constraints of
the other two -Rigid scope tight timeline
big resources -Limited resources big scope
long timeline
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KRA Philosophy - Governance
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Development Process
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KRA Functional Council

• Made up of participants from each partner school.
  One partner school One vote
• Prioritize/manage project scope and resources,
  monitors progress/direct work of SME groups
• Approves/Rejects enhancement requests and other
  functionality, based on the reality triangle
• Weekly phone calls, quarterly face-to-face,
  reports to the KRA Board weekly, and as needed

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Subject Matter Experts (SMEs)

• Group is formed with two to four members per
  partner institution. Participants part time
• Lead SME is identified. Works closely with
  development manager business analyst
• Weekly conference calls and possible, but
  infrequent face-to-face meeting
• Translates functionality into specifications
• Validates code generated by developers.

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Developers

• Each partner contributes 3 full time staff
• Divided into module teams
• Developers work from home institution, but may
  report to manager at another partner site
• Team interacts daily with regular video
  conferencing use
• Meet a number of times a year for coding camps

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Module Development Steps

• SMEs review current product (Coeus) functionality
• SMEs write specification documents
• Enhancements to FC for review/vote
• FC keeps tabs on scope throughout
• Developers build screen mockups
• SMEs review screen mockups
• Developers build code
• Testers do quality assurance and report issues

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Partner Perspectives
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Why are schools participating?

• Legacy systems are old and lack functionality
• In the case of one partner, they are running
  unsupported hardware/software
• Budget for a vended project isnt forthcoming ?
• No one wants to be forced into a decision
• Paper routing process for proposals, PureEdge for
  Grants.gov submissions
• Procedures for research risks are not cohesive,
  and many are still paper-based

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Why are schools participating?

• Need for financial system upgrade lead to joining
  KFS effort
• Belief in community source model
• Recognition of gap in KFS functionality lead to
  support of and membership in KRA
• Interest in integration of financial, sponsored
  and research compliance systems
• Need for Grants.gov S2S and research compliance
  systems

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Arizonas experience

• We started with KFS in 2005, and joined KRA in
  2006.
• The process has resulted in efficiencies in
  current processes
• You cant help but examine your business
  processes as you perform a gap analysis!
• Being closely involved means we get more than
  wed get from a vendor
• Were able to train our implementation staff as
  we go along both technical and functional
• Were in charge of our own destiny

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KRA Proposed Scope/Phasing
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Scope Guiding Principles

• KRA based on Coeus 4.2
• Leverage Kuali Rice architecture and development
  standards (nervous system, enterprise
  notification, enterprise workflow and service
  bus)
• Implement Kuali web-based user interface (screen
  shot)
• KRA easily implemented with KFS, but both
  products must be able to stand alone
• Provide Coeus 4.x migration path and tools
• Maximize probability of future merging with Coeus
  version 5.X into single product

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Scope/Phasing Steps

• Accomplished at first KRA Functional Council
  meeting (Jan 9-10, 2007, Boston)
• Map KRA modules to Coeus modules
• Start with current Coeus modules
• Prioritize within those by partner rankings
• Tackle functionality not currently in Coeus
• And the prioritize scope phasing is

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First Priority Modules (01/07)

• Coeus modules exist - Subject Matter Expert
  group currently being formed
• Proposal development (including budget template,
  routing Grants.gov S2S)
• IRB
• Award
• Conflict of Interest

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UPDATED Prioritization

• First priority modules still stand, as listed,
  however
• We have the opportunity to make Release 1 useful
  to all Carnegie-class institutions, so
• Proposal/Budget development/Institute Proposal
  will be offered as a back-to-front module, with
  Grants.gov S2S for Release 1 (April 1, 2008).
• Remaining modules will continue the development
  process during Phase 1

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Second Priority Modules (01/07)

• Coeus modules exist - Subject Matter Expert
  group not currently active
• Institute Proposal
• Negotiations
• Report Tracking
• Subcontracts

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Third Priority Modules (01/07)

• Coeus modules do not exist - Subject Matter
  Expert group not currently active
• Animal Use
• Export Control
• Institutional Biosafety
• Chemical/Radiation safety

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Near-Term Collaboration Potential

• Work together on functional specifications for
  future modules (e.g. Animal Use). Joint KRA
  SME/Coeus Subcommittees?
• Agree on common coding and database design
  conventions where reasonable
• Incorporate Kuali user interface and navigation
  components

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KRA Shared Services

• Unit Hierarchy
• Rolodex
• Person
• Organization
• Workflow
• Security
• Role
• Code/Reference Table

• Location
• Sponsor
• Committee
• Questionnaire
• Custom Element
• Cost Element
• Comment

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KRA Proposal Development

• Proposal Development
• Proposal Budget Development
• Institute Proposal
• Proposal Routing
• Grants.gov Integration

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KRA - IRB

• Submission of protocols (new, continued, amended)
• Recording IRB deliberations
• IRB notifications
• IRB meeting agendas and minutes
• Protocol and training queries
• Special reviews other committees
• Human Subjects Training records
• Committee creation and scheduling
• Batch correspondence and correspondence generation

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KRA - Awards

• Award detail
• Cost sharing
• Indirect cost
• Payment schedule
• Sponsor funding transfer
• Approved equipment foreign travel
• Award closeout
• Payment

• Money and end dates
• Award Budget
• Contacts
• Award Templates
• Special Reviews
• Investigator Credit Split
• Notice of Award
• Data feed integration with financials

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KRA Conflict of Interest

• Certifications for faculty, staff, and students
• Tracking of disclosures, reviews and decisions
• Separate financial disclosure information
• Confidential
• Non-confidential
• This one could be big since state laws
  regarding COI are very different

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KRA Future Modules - Negotiations

• Record actions of Negotiations
• Management reporting
• Financial and non-financial actions
• Contracts, Agreements
• CDAs, MTAs, teaming agreements, etc.

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KRA Future Modules Report Tracking

• Automatic generation of reporting deliverables
  and status
• Financial, technical, patent reporting
• Management reporting
• Submission status

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KRA Future Modules - Subcontracting

• Subcontract detail
• Funding sources
• Amount information
• Subcontract closeout and correspondence
• Contacts
• Subrecipient monitoring (A-133)
• Invoice routing and approval

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KRA Future Modules - IACUC

• Submission of protocols (new, continued, amended)
• Recording IACUC deliberations
• IACUC notifications
• IACUC meeting agendas and minutes
• Protocol and training queries
• Special reviews other committees
• Animal Subjects Training records
• Committee creation and scheduling
• Batch correspondence and correspondence
  generation

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KRA Future Modules - Biosafety

• Submission of MOU on biological materials,
  including select agents
• Submission of MOU amendments and renewals
• Production of IBC minutes
• Monitoring of approved MOU
• Reporting of non-compliance
• Facilities inspection

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KRA Future Modules - Export Control

• Certification questionnaire with routing approval
• Office of Foreign Asset Control (OFAC) purchases

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KRA Future Modules - Chemical

• Controlled substance program
• Radiation Safety
• Functionality TBD

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Final Thoughts

• Partner?
• Take charge of your own destiny!
• Be your own best resource!
• Work with top people in research administration!

• Interested?
• Yes, its free!
• Based on proven functionality Coeus
• Based on a successful model - Kuali
• Best and Common Business Practices

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For More Information

• http//www.kuali.org/
• http//rice.kuali.org
• Lori Ann Schultz
• [phone]
• lschultz_at_email.arizona.edu