Paperless Sponsored Research Preparing for Organizational Change

1
Paperless Sponsored Research Preparing for
Organizational Change

• April 18, 2005
• Richard G. Schaefer
• Chief Executive Officer
• Research funded by NIH SBIR U44RR018073

2
Objectives

• Turn technical eGov jargon into vocabulary you
  can understand
• Learn what Grants.gov, FastLane, and eCGAP (NIH)
  can and cant do.
• Update eGov initiatives (NIH, Grants.gov) from
  a software system perspective
• Identify steps to prepare your institution for
  conversion to electronic research systems

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Objectives

• Identify steps to prepare your institution for
  conversion to electronic research systems
• Why consider the move to paperless research?
• What are the types of electronic research
  systems?
• How do we determine the right type of paperless
  system for us?
• Who needs to be involved in the decision?
• When, if ever, should we make the change?

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What is paperless (electronic) research
administration?

• Many Definitions
• Electronic Proposal Creation/ Submission
• Proposal Status Internal Communications
• Institutional Routing and Approval
• Award Management
• Advanced Functionality
• Compliance
• Project Management
• Time Effort
• Billing Receivables

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No Single Definition

• Think railway line rather than airport
• All passengers do not board the train at the same
  place
• We will get off the train at different
  places/ times
• Final destinations for some will be starting
  points for others
• eSubmission vs.. Grant life cycle management

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No Single Definition

• Working Definition
• Convert paper-based business process into
  electronic processes that eliminate paper forms,
  file folders, documents, and the inefficiencies
  associated with these.
• Completely automate steps by integrating with
  enterprise applications
• Add intelligence to forms to reduce errors of
  omission (required data not filled out) or
  inaccurate date (e.g. pull part numbers from a
  database rather than have a user enter it.)
• Incorporate control features that ensure
  integrity of processes and compensate for human
  or system failure
• Provide real-time visibility about the status of
  processes
• Gartner Group as quoted by Ultimus A Closer
  Look at BPM January 2005. www. Ultimus.com

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What is paperless research?

• Motivations for Going Paperless
• Sponsors/Programs eSubmission
• Current Major Initiatives - Driven by PL 106-107
• OMB mandate to sponsors to integrate electronic
  submission with back office systems
• Increased emphasis on Grants.gov
• OMB will require Agencies to post the higher of
  25 of all packages in Find or all packages using
  the basic SF 424. That target will raised in the
  future fiscal years. (Peter Bruner.
  Grants.gov/ S2S meeting 3/31/05)
• Transaction Efficiencies
• Lower Total Costs
• Information Management

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Paperless Vocabulary List

• Think English, not geekspeak
• Alphabetized for easier reference
• Covering this fast
• Impact on paperless research
• Who should know about this?
• First..Forms vs.. Schema

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Paperless Vocabulary List

• Forms and Schema are definitions and/or
  representations of a set of data
• Form Paper format, organization, and output of
  a data set
• Schema Electronic format, organization, and
  output of a data set

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Vocabulary List (cont.)

• Agency eForms Think Standard Sponsor Information
• A form or group of forms that are required by an
  e-Opportunity
• 398 PHS398 forms required to submit and
  application to the NIH
• SF424 Paper version. Standardized form used
  across many agencies and programs. Does not
  contain agency specific data elements.
• RR 424 Foundation of Grants.gov. Consolidated
  version with additional core elements added. The
  next version of the RR 424 may be available as
  soon as the Summer of 2005.

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Vocabulary List (cont.)

• Agency Specific eForms/Schema/Procedure
• Think Unique Sponsor Information
• Forms, or data, required by agencies applications
  that were not accepted as part of the RR data
  set. When an agency required a specific data
  element or set of related data elements (form)
  that was not considered to be core to all
  agencies, each data element of collection of data
  elements is defined in an agency specific
  form/schema.
• ASP (Hosted) - Think Software Run at Other
  Location
• Application Service Provider Institution
  software installed and maintained at the service
  providers site. The researcher (or research
  institution) uses a web browser to create and
  submit proposals.

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Vocabulary List (cont.)

• Authentication/ Authorization
• Think Who are you? What can you do?
• Authentication The process for certifying that
  a person/user/computer is who they say they are.
  This can be done in many ways but the most simple
  and common method of authentication is to ask
  for a user name and password.
• Authorization Occurs only after
  person/user/computer is authenticated and is the
  process of assigning system privileges or rights
  to a person/user/computer.
• Auto Fill Think fast, automatic forms
• Method of automatically populating data in an
  application based on previous work or system
  profiles. Reduces the need for data entry.

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Vocabulary List (cont.)

• Back Office - Think Big Computer System
• An operational system currently in place. Back
  office systems can be manual systems, home grown
  systems, commercially off the shelf systems
  (COTS), or customized systems. Much of the
  confusion among agency systems is based on
  sponsors needs to connect to their unique back
  office system. Multiple back office systems at
  sponsors guarantee different data requirements.
• Budget Builder - Think Easy Math
• Calculators that can perform simple mathematical
  operations or even manager complex institutional
  and agency specific rules that simplify and
  even accelerate the preparation of simple and
  complex budgets.

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Vocabulary List (cont.)

• Certification Think blessed
• Certification is an official or unofficial
  process for testing a software application to
  verify that it functions as expected.
• Commons ID Why tell Noah about a flood?
• Login name, or user ID, that NIH has assigned a
  person.
• Correction Resubmission Think oops
• The resubmission of an application previously
  submitted for the current submission deadline.
  This is not a Revised Application or
  Revision, but is, in essence, saving over top
  of a previous submission.
• Database Think big storage buckets
• Application used for storing and retrieving large
  quantities of data (SQL Server, Oracle, DB2, MS
  Access )

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Vocabulary List (cont.)

• Document Conversion-File Formats Think
  translator
• A file format is an organized method in which a
  document (or file) is created and/or maintained.
  File formats are unique to types of electronic
  systems. When a document is moved from one system
  to another, it must be translated to the new
  structure.
• Encryption - Think secret decoder rings
• A process used to convert human readable data
  into secure non human readable data.
  Encryption is used to secure data passed from one
  computer to another, predominantly over publicly
  accessible networks (i.e. the internet).

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Vocabulary List (cont.)

• Notification
• The process of sending and receiving of data
  electronically to indicate status changes,
  deliverable requirements, or other important
  information to one or more persons. Notification
  can also occur from one system to another with no
  person involved. Two commons notification
  mediums are email and system messages.
• Open Access Think Sharing the Sandbox
• Current status of eCGAP Pilot (after Pilot and
  before Production.) Permits testing by additional
  service providers.
• Opportunity
• A funding source available to all qualified
  applicants.

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Vocabulary List (cont.)

• Opportunity Schema Think electronic form
• A document that defines the required and optional
  forms to be submitted for a specific opportunity.
• P2S Person to system Think ordering via
  Amazon
• Non-automated transaction between computers
  requiring a person to initiate a single action or
  actions
• Pilot Think pioneer
• The phase in the application acceptance testing
  where real or live applications are submitted
  electronically under limited and controlled
  circumstances.
• Portal More Amazon
• A web site entry point to a back office system.

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Vocabulary List (cont.)

• Profile Think standard , stored information
• A set of related data about a person or entity
  (institution, agency, program, faculty )
• Routing and Approval Think sneakernet vs.
  Internet
• Process of passing a proposal through an
  institutional approval hierarchy/process in order
  prior to submitting the proposal to the agency.
• S2S System to System Institution to government
• Transactions between two computer systems that
  are fully automated

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Vocabulary List (cont.)

• Service Provider Think friendly, helpful, noble
  ?
• Any organization private or university that has
  been certified by the NIH to submit applications
  electronically to using the eCGAP interface.
• SOAP Dont try thinking about anything ?
• Simple Object Access Protocol is a standard used
  for encapsulating XML documents and attachments
  to send over a network.
• SSL Think secret decoder rings again
• Secure Sockets Layer is a protocol for encrypting
  data passed over a network between a client and a
  server. When used in conjunction with HTTP this
  is know as HTTPS or Hyper Text Transfer Protocol
  Secure Sockets.

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Vocabulary List (cont.)

• Submit
• Action of packaging and transferring all related
  files and document(s) to the agency.
• Ticket Number Not Grants.gov Tracking Number
• Unique identifier assigned by the NIH that
  identifies the proposal submitted.
• Time Stamp Think postmark
• Indicates the date and time (local time to
  institution) in which a proposal submission is
  recognized by an agency. This does differ among
  electronic systems, whether person to system or
  system to system.
• Tracking Number- Not NIH Ticket Number
• Unique identifier assigned by the Grants.gov that
  identifies the proposal submitted.

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Vocabulary List (cont.)

• Validation Think irritating pop-up menus when
  format is wrong
• The process of verifying a proposal. The first
  step of validation is XML Validation, which
  verifies that a document is properly constructed.
  The next step is the process of verifying the
  application meets to a set of business rules.
• Web Browsers Think www.
• Software program that enables viewing of
  documents over the internet. Types of browsers
  include Mozilla, Firefox, and Internet Explorer
• XML Think shared Internet language
• Extensible Markup Language (XML) is a simple and
  flexible computer language used to share both
  formats and data on the World Wide Web. It
  serves as a way to create an information standard
  that is widely used when moving data from system
  to system.
• I think were all done

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Types of Paperless Systems

• eGov Provided Portal
• eGov System to System
• Third Party eSubmission
• Life Cycle Management Systems

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eGov Provided Portal

• Defined
• A website maintained by a sponsor (or agent). The
  proposal is entered and directly submitted to the
  sponsor
• Major Initiatives
• FastLane / NIH Commons
• Provides consistent way of collecting data from
  applicant that provides a high level of data
  integrity. Enforces agency rules so that
  applications are rarely rejected or delayed due
  to inaccurate data, incomplete data, or
  formatting errors.
• Grants.gov - Person to System
• Provides a consistent way for the applicant
  community to submit applications to many federal
  agencies.

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eGov System to System

• Defined
• Government computers talking to institution or
  service provider computers designed to handle
  multiple proposals. Proposals are entered into an
  outside computer which transmits them to the
  sponsors computer system.
• Major Initiatives
• Grants.gov System to System
• Provides a consistent way for institutions to
  manage proposal development
• prior to submitting applications to many federal
  sponsors.
• NIH (eCGAP)
• Provides a mechanism for institutions to submit
  paperless proposals to the NIH only
• .

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eGov System to System

• Defined
• Government computers talking to institution or
  service provider computers designed to handle
  multiple proposals. Proposals are entered into an
  outside computer which transmits them to the
  sponsors computer system.
• Major Initiatives
• Grants.gov System to System
• Think Post Office
• Provides a consistent way for institutions to
  manage proposal development
• prior to submitting applications to many federal
  sponsors.
• NIH (eCGAP)
• Think FedEx Full Service Office
• Provides a mechanism for institutions to submit
  paperless proposals to the NIH only
• .

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Feature Comparison Major eGov Systems
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Feature Comparison (cont.)
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Feature Comparison (cont.)
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Third Party Systems (Commercial)

• eSubmission only
• Pay per Use
• Installed Application
• Life Cycle Systems with eSubmission
• ASP or Hosted
• Enterprise Level

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Third Party Systems (Commercial) - eSubmission
Only

• Pay per Use
• Defined- A website application where researcher
  is charged for each proposal.
• Advantages - Only pay for proposals you submit.
  Used by smaller institutions or individuals for
  single or occasional submission.
• Disadvantages Information may not be stored.
  Usually unable to be integrated into larger
  systems. No system for managing businesses
  process or awards.

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Third Party Systems (Commercial) - eSubmission
Only

• Installed Application
• Defined- A software program is loaded onto a
  computer, and the computer processes and stores
  the information.
• Two types of application installations
• Stand Alone The software program runs on a
  single computer.
• Client-Server The software runs on both an
  individual computer and a server connected by a
  local area network (LAN). Information is entered
  at the desktop but is stored and retrieved from
  the separate server.
• Advantages
• Uses processing power of both desktop and server.
  Records stored and maintained locally.
• Disadvantages
• No access via web. Can only be used at computers
  where software installed. Difficult to maintain.

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Third Party (Commercial) Life Cycle Systems
w/eSubmission

• ASP or Hosted
• Defined - Application Service Provider. Software
  is installed and maintained at the service
  providers site. The researcher (or research
  institution) uses a web browser to create and
  submit proposals.
• Pre Award and/or Post Award Functions
• Advantages- Power features. Lower price,
  simplicity of use, reduced IT support, faster to
  implement. Follows best practices.
• Disadvantages- Difficult to customize. Some
  institutions wish to keep data on site.

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Third Party (Commercial) Life Cycle Systems
w/eSubmission

• Enterprise Level System
• Defined- Software is installed either on a
  central computer server or series (clusters) of
  central computers.
• Advantages- Powerful. Customizable. Ability to
  handle complex organizational structures. Data
  stays on site computers.
• Disadvantages- Higher Cost. Longer implementation
  time. Requires IT expertise inside Sponsored
  Research Department.

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Latest News

• Grants.gov
• Revised RR 424 expected Summer 2005
• Scheduling release of System to System in Summer
  of 2005
• Continuing work with Federal Agencies to bring
  them all online
• Grants.gov ''Spread the Word'' Encore Webcast -
  Live Update and QA Session - April 21st 2pm EST
• NIH
• Next Pilot Submission Date June 1st
• Introducing new 398 formset to eCGAP for June 05
• Electronic Notice of Grant Award expected May
  2005
• Working with Grants.gov to finalize RR 424

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Preparing for Organizational Change

• Why consider the move to electronic research
  administration systems?
• How do we determine the right type of system for
  us?
• Who needs to be involved in the decision?
• When, if ever, should we make the change?
• Dos Dontsor learning from the errors of
  others.
• 10 Action Steps

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Preparing for Organizational Change

• Is going paperless the right move for us?
• Evidence is pouring in that BPM is delivering
  cost benefits, while reducing error cycles,
  increasing value and enabling differentiation. A
  recent survey cited many benefits of BPM.
  Although some of the benefits, such as customer
  satisfaction were soft, others provided
  concrete cost savings, including the following
• A reduction in time for process completion
• A reduction in the number of steps
• A reduction in error cycles
• Automation of administrative tasks
• ..
• Gartner Group as quoted by Ultimus A Closer
  Look at BPM January 2005. www. Ultimus.com

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Preparing for Organizational Change

• Is going paperless the right move for us?
• Benefits
• 3 Cs
• Communication
• Collaboration
• Cooperation
• Triple A
• Accuracy
• Accountability
• Auditability
• Increase funding by focusing sponsored research
  on opportunities rather than Mine data for better
  business decisions
• Streamline Processes- Do more with existing
  resources

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Preparing for Organizational Change

• Is going paperless the right move for us?
• Challenges
• Resistance to Change New processes hurt before
  they heal
• Lack of Technical Support- Who will install? Who
  will maintain?
• Research administrators not experienced in
  systems/software rollout
• Shortage of time
• Limited knowledge of options
• Security

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Preparing for Organizational Change

• Who needs to be involved in the decision?
• Best search committees are cross functional
• IT must be involved. Put the e in eRA
• Involve multiple faculty representatives
• Include finance/provost/business functions
• Encourage early participation. Late vetos kill
  morale and momentum!
• Schedule smaller blocks of time or prepare team
  for boredom.

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Preparing for Organizational Change

• How do we determine the right type of paperless
  system for us?
• Evaluating current system
• Is it working?
• How long will it handle institutional goals for
  growth?
• Does it meet the eGov requirements?
• Is it compatible with our major sponsors eGov
  systems?
• Does current system support eSubmission?
• What is a NEED TO HAVE? What is a NICE TO
  HAVE?
• Can our business processes change?
• What is the cost of delay?

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Preparing for Organizational Change

• How do we determine the right type of paperless
  system for us
• Evaluate Alternative Solutions
• Enhance existing system
• Build our own
• COTS
• Custom
• Imitate an Ostrich

42
Preparing for Organizational Change

• When, if ever, should we make the change?
• Pioneer vs. Settler mentality
• Does the 2nd mouse always get the cheese?
• When will our major sponsor go live?
• Its about the money! You need to be able to
  present the financial case effectively.
• Dont get frustrated

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Preparing for Organizational Change

• Dos and Donts
• Don't
• assume any one sponsors eGov system is going to
  do everything you need
• ...try flying solo without IT support
• ...be passive in system selection
• underestimate the overall time the process will
  take
• ...forget to prepare for the impact that this
  will have on all stakeholders- change is hard
• reinvent the wheel. Share knowledge with other
  institutions

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Preparing for Organizational Change

• Dos and Donts
• Do
• Identify eGov system used by your major sponsor
• (You may have to compromise on the Nice to Have)
• Have clear list of your Need to Have vs..
  Nice to Have functions
• What processes are unique? What can be
  standardized?
• Determine S2S vs. P2S
• Pay close attention to institutional security
  policies
• Build a collaborative team using centers of
  influence
• Involve IT NOW eRA needs e support
• Create a strategy within team
• Use centers to prepare for change

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Preparing for Organizational Change

• Dos and Donts
• Do
• Set the tone for organizational change
• Dig your well before you are thirsty- Start now
• Educate vertically within organization
• Involve all stakeholders
• Emphasize patience. The end result is long way
  off
• Find a pilot and participate early
• Be the expert on campus
• Learn the pitfalls as well as the benefits
• Happy early adopters important in creating good
  climate for change
• Stand strong for your expertise
• Sponsored research is complex
• Cautious of systems that do not have current
  experience in eGov

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Preparing for Organizational Change

• Dos and Donts
• Do
• Stay up to date
• Sponsors are inexperienced as software providers
• Information fragments are released more often
  than big announcements
• Speak with other institutions
• Identify public information webcasts, meetings,
  email groups
• Attend.. Dont delegate SRA/NCURA/Sponsor
  meetings
• Adopt a service provider (even better, adopt 2)
• One measurement is no measurement

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10 Action Steps Inform, Inform, Inform

• Step 1- Inform Yourself
• Regional and National Conferences
• Webcasts
• Service Providers
• Pilots and Prototypes

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10 Action Steps Inform, Inform, Inform

• Step 2 - Inform your Boss
• List benefits of going paperless (keep it
  current)
• Who benefits? Who pays?
• Costs of inaction, too
• Prepare for presentations up the food chain

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10 Action Steps Inform, Inform, Inform

• Step 3- Inform your Community
• Prepare to make regular presentations
• Wear out that benefit list!
• Hold on campus seminars
• Update webpage with eResearch news
• Identify potential early adopters/pioneers

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10 Action Steps

• Step 4- Prioritize Sponsor List
• Focus on major funding sources

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10 Action Steps

• Step 5- Analyze Existing System
• Create Need to Have vs.. Nice to Have
  functionality
• eSubmission
• vs..
• Life Cycle Management
• Pre Award
• Post Award
• Advanced Functionality

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10 Action Steps

• Step 6- Identify possible alternative solutions
• Convert existing system
• Partnering
• Build our own
• COTS
• Custom
• Ostrich

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10 Action Steps

• Step 7- Create centers of influence
• The greater the user buy-in, the easier the
  change
• Give early adopters visibility
• Gather testimonials
• Shout victories from the rooftops!

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10 Action Steps

• Step 8- Build External Network
• Dont shoulder the burden alone
• Pool your knowledge with others outside

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10 Action Steps

• Step 9- Adopt a Service Provider
• Learn information early
• Get the inside scoop

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10 Action Steps

• Step 10- Be Patient
• Remember traveling by rail- every institution
  will have a different starting and ending point
• Its going to be worth it!!

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10 Action Steps - Inform Inform Inform

• 1) Inform Yourself
• 2) Inform Your Boss
• 3) Inform Your Community
• 4) Prioritize Sponsor List
• 5) Analyze Existing System
• 6) Identify Possible Alternative Solutions
• 7) Create Centers of Influence
• 8) Build External Network
• 9) Adopt a Service Provider
• 10) Be Patient

58
ERA Software Systems, Inc. www.gams.org (562)
983-7510 [phone] Richard G. Schaefer,
Chief Executive Officer rschaefer_at_erasoftwaresyste
ms.com
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10 Action Steps - Inform Inform Inform

• 1) Inform Yourself
• 2) Inform Your Boss
• 3) Inform your Community
• 4) Prioritize Sponsor List
• 5) Analyze Existing System
• 6) Identify possible alternative solutions
• 7) Create centers of influence
• 8) Build External Network
• 9) Adopt a Service Provider
• 10) Be Patient
• Richard G. Schaefer, Chief Executive Officer
• rschaefer_at_erasoftwaresystems.com
• [phone]