Mapping an Electronic Research Administration System

1
Mapping an Electronic Research Administration
System

• Discussion and Review Points for
• UC Davis

2
Critical Considerations

• 1) Policy and Procedures
• 2) Staffing and Infrastructure
• 3) Campus Culture and Structure
• 4) Regulatory Environment
• 5) Existing Technology
• 
  

3
Process (Researcher)

• Idea Conception
• ? Source of Funds
• ? Sponsor
• ? Collaborators (UC Davis / External)
• ? Proposal Development
• ? Budget Development
• ? Forms Completion
• ? Approval

4
Process (continued)

• Approval
• ? Submission
• ? Award / Project Set-up
• ? Project Implementation
• ? Budget Oversight
• ? Project Renewal
• ? CLOSE OUT

5
Research Administration Process

• Grants Information
• ? Proposal Development Assistance
• ? Proposal Review
• 1) Format / Forms
• 2) Sponsor Requirements
• 3) Budget
• 4) Compliance

6
Research Admin Process (cont.)

• Proposal Approval
• ? Proposal Data Tracking
• ? Proposal Submission
• ? Award Acceptance / Negotiation (Tracking)
• ? Award Set up
• ? Project Monitoring
• ? PROJECT CLOSE OUT

7
Units Involved

• Departments/ Colleges/ ORUs
• Sponsored Projects
• Technology Transfer
• Grants/Contracts Accounting
• Business Contracts
• Compliance (OHRP, Animals, COI, EHS etc.)

8
Basic Requirements (all units)

• Integrated Information Tracking
• Data Synthesis
• Report Generation
• Education and Training

9
Considerations

• Cost / funding available
• Functionality ease of use
• Timeline when can types of functionality be
  made available?
• UC System requirements
• Federal Sponsor requirements

10
Question

• Build or Buy?
• BUY
• People Soft not a consideration
• Banner not a consideration
• Orac10le not a consideration
• InfoEd
• Coeus
• GAMS
• BUILD
• Expand DaFIS (In collaboration with Indiana
  University)

11
Survey of Other UC Campuses

• What UC Campuses Are Doing
• Purchased ERA systems 5
• UCB Coeus, UCLA Coeus, UCR Coeus,
• UCSD Coeus, UCSF PeopleSoft
• Recently built ERA systems (UCI, UCSC) 2
• Reviewing possible ERA systems (UCD, UCSB) 2

12
Discussion Points High-level Criteria

• Criteria for High-level Assessment include
• Capacity to integrate with DaFIS
• Capacity to integrate with MyUCDavis
• Web-based architecture
• Campus-level security authentication,
  clear-text encryption, and authorization

13
Discussion PointsTop Functional Criteria

• Mac and PC desktop compatibility
• Sponsor guidelines compatibility
• Federal
• Non-profit
• Corporate
• 24x7 end-user access
• Collaborative proposal development within the
  system
• Integration with Compliance Boards, e.g. Human
  Subjects, Vertebrate Animals, Conflict of
  Interests, Environmental Health and Safety, etc.

14
Discussion PointsTop Functional Criteria, Cont

• Routing and approval workflow within the system
• Electronic proposal submission according to
  sponsor guidelines
• Award management, including electronic award
  acceptance, budget modifications, submission to
  Accounting
• Cradle to Grave functionality, including
  proposal and budget preparation, routing,
  approval, award tracking, and the like
• Report generation financials, progress,
  intellectual property, equipment, and ad hoc
  statistical reports for campus management

15
The Benefits of Expanding DaFIS to Include CG
Functionality

• A common database for populating or validating
  initial proposal information.
• PI information (payroll title, employee ID,
  telephone, email, etc.).
• Administration information (department/unit,
  dept. contact, telephone, etc.).
• Sponsor information (ID, name, address, etc.).
• Indirect cost rate information.
• Budget object codes.
• Existing proposal information for revision
  requests.
• Existing award information for continuation
  requests.
• Proposal tracking ID.

16
DaFIS Benefits (cont.)

• Ease of transferring information into financial
  account structure when award is funded.
• Award amounts budget information.
• Beginning ending dates.
• PIs, Co-PIs, Associates information.
• Information about safety, vertebrate animal
  protocols, human subject protocols, equipment
  purchases, subcontracting, matching funds, etc.
• Invoicing information.
• Close-out requirements.
• Electronic access to Proposal and Award documents.

17
DaFIS Benefits (cont.)

• Consistent workflow throughout the lifecycle of
  the award.
• One inbox.
• One place to track status of proposal, award,
  funding, spending.
• One process/workflow could extend across many
  administrative units. Including
• Multiple departments.
• Protocol committees.
• OVCR.
• Extramural Accounting.
• Business Contracts.
• Purchasing.
• Equipment management.

18
DaFIS Benefits (cont.)

• Functionality consistent with other
  administrative (financial, business contracts,
  etc.) responsibilities.
• Most departmental CG (and Business Contracts)
  administrators also have DaFIS responsibilities.
• Predictable usability and on-line help minimizes
  the system learning curve.
• Built-in tier-1 system support structure.
• Dedicated database systems administration.
• Physical and database security.
• Regular hardware replacement.
• Client Services support (Help Desk, classroom
  training, web-based learning resources).
• Reduced cost with economies of scale.

19
DaFIS Benefits (cont.)

• Design control for UCD-specific functionality.
• Unique relationships between Proposal, Award, OP
  Fund, and DaFIS Account.
• Custom workflow needs.
• Data access/security.
• Design control for implementation options.
• Quick hits can be designed for early release.
• Proposal data sheet (possibly based on IU ERA).
• Simple routing/notification.
• More functionality can be phased in as developed.
• Complex routing rules.
• Electronic proposal budget development (i.e. IU
  ERA).
• Electronic document management.
• Electronic proposal submission.