Transcript Electronic Research Administration

Mapping an Electronic Research
Administration System
Discussion and Review Points for
UC Davis
Critical Considerations
1)
2)
3)
4)
5)
Policy and Procedures
Staffing and Infrastructure
Campus Culture and Structure
Regulatory Environment
Existing Technology
Process (Researcher)
Idea Conception
 Source of Funds
 Sponsor
 Collaborators (UC Davis / External)
 Proposal Development
 Budget Development
 Forms Completion
 Approval
Process (continued)
Approval
 Submission
 Award / Project Set-up
 Project Implementation
 Budget Oversight
 Project Renewal
 CLOSE OUT
Research Administration Process
Grants Information
 Proposal Development Assistance
 Proposal Review
1) Format / Forms
2) Sponsor Requirements
3) Budget
4) Compliance
Research Admin Process (cont.)
Proposal Approval
 Proposal Data Tracking
 Proposal Submission
 Award Acceptance / Negotiation (Tracking)
 Award Set up
 Project Monitoring
 PROJECT CLOSE OUT
Units Involved
Departments/ Colleges/ ORU’s
Sponsored Projects
Technology Transfer
Grants/Contracts Accounting
Business Contracts
Compliance (OHRP, Animals, COI, EHS etc.)
Basic Requirements (all units)
Integrated Information Tracking
Data Synthesis
Report Generation
Education and Training
Considerations
Cost / funding available
Functionality & ease of use
Timeline – when can types of functionality be
made available?
UC System requirements
Federal Sponsor requirements
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)
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
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
Discussion Points:
Top 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.
Discussion Points:
Top Functional Criteria, Con’t
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
The Benefits of Expanding DaFIS to Include
C&G 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.
DaFIS Benefits (cont.)
Ease of transferring information into financial account
structure when award is funded.
Award amounts & budget information.
Beginning & ending dates.
PI’s, Co-PI’s, 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.
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.
DaFIS Benefits (cont.)
Functionality consistent with other administrative
(financial, business contracts, etc.) responsibilities.
Most departmental C&G (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, webbased learning resources).
Reduced cost with economies of scale.
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.