Transcript Slide 1

“What is Research Administration?
A Primer for IT Professionals”
NCURA Region VI & VII Meeting
Research Administration: Striving
for Gold at the Summit
April 22 – 25, 2007
Park City, Utah
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Speakers
Kevon Balls
Project Director
University of Utah
Administrative
Computing Services
Terri Pianka
Manager
University of Utah
College of Nursing
[email protected]
[email protected]
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
University of Utah
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~ $300 million externally sponsored
research and development
29,000 students
15,000 faculty and staff
1,297 research labs; 48 instruction labs
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Topics of Discussion
I.
II.
III.
IV.
V.
VI.
What is Research Administration?
Common Terms
Organizational Components and Service
Highlights
Lifecycle of a Sponsored Project
Pre- and Post-Award Processes
Technical Systems
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
What is Research Administration?
 “Research administration is the support
required for success on research
programs.”
Research Administration and Management, Kulakowski and Chronister, 2006
Researcher
Research
Administrator
Institution
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Sponsor
Common Terms
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Sponsored projects
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Programs and projects financed by Federal and
non-Federal agencies and organizations, with
obligated deliverables in return
Includes contracts, grants, cooperative
agreements, and other types of agreements
Activities include research, sponsored
instructions, health service projects, community
service projects, and clinical trials
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Common Terms
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Contract
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A bilateral agreement that outlines the
performance of work and compensation the
institution will receive for that work
Very specific as to scope of work
Outlines ownership of inventions, publication
rights, and disclosure rights
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Common Terms
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Departmental Administrator – DA
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Assists research with the day to day functions of
running a research lab
Assists with the preparation of grants
applications or review of contracts
Assists with financial administrative duties
Electronic Research Administration – eRA
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Paperless research administration
All processes are conducted electronically
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Common Terms
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Facilities & Administration – F&A
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Also referred to as overhead costs
Costs incurred for common or joint objectives that
cannot be readily attributed to a particular sponsored
project
Includes depreciation and use allowances, general
administration and general expenses, sponsored
projects administration expenses, operation and
maintenance expenses, library expenses,
departmental administration expenses, and student
administration and services
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Common Terms
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Financial Status Report – FSR
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Line item report sent to the sponsoring agency
detailing how their money was spent and how
much has been spent
Fiscal Year – FY
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A one year accounting period for an institution
Generally runs Jul 1 to Jun 30 for educational
institutions
Runs Oct 1 to Sep 30 for federal gov’t
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Common Terms
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Grant
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A unilateral agreement where a sponsor provides
funding for a research or service project
Less specific as to scope of work
Allows more flexibility on use of funds
Grants.gov
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Central source for all federal agencies
Find federal grant opportunities
Apply to federal agencies
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Common Terms
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Intellectual Property - IP
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“In law, intellectual property (IP) is an umbrella term for
various legal entitlements which attach to certain names,
written and recorded media, and inventions. The holders
of these legal entitlements are generally entitled to
exercise various exclusive rights in relation to the subject
matter of the IP. The term intellectual property reflects the
idea that this subject matter is the product of the mind or
the intellect, though the term is a matter of some
controversy.” Wikipedia, http://en.wikipedia.org/wiki/Intellectual_property
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Common Terms
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Principal Investigator or Project Director –
PI or PD
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Conducts the research or oversees the service
for which sponsor funding was provided
Manages the technical and programmatic
aspects of a project
Manages physical and logistical aspects of a
project
Exercises fiscal control of the project
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Common Terms
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Assures regulatory compliance for the project
Completes all technical reports and closing
reports
Discloses intellectual property
Program Announcement – PA
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A formal announcement by a sponsor of a
funding program
Program has broad guidelines
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Common Terms
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Request for Application or Proposal – RFA
or RFP
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An announcement by sponsor of specific funding
opportunity
Generally narrow in scope
Sponsored Projects Officer or Administrator
– SPO or SPA
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Works in Sponsored Projects Office
Liaison between institution and sponsor
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Organizational Components
 Research Administration
Offices
Conflict of Interest - CoI
 Institutional Review Board – IRB
 Institutional Animal Care & Use Committee
– IACUC
 Radiological Health or Radiological Safety
Office - RSO
 Research Integrity
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April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Organizational Components
Office of Sponsored Projects (Programs) –
OSP or
 Office of Sponsored Research – OSR
 Grants & Contracts Accounting - GCA
 Research Education
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April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Organizational Components
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Conflict of Interest
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Federal government requires disclosure prior to
submission of a grant application
Many researchers transfer technology to private
companies for use by the population
Committee reviews private interests against
research to be performed
Determines whether or not a management plan
is required
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Organizational Components
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Institutional Review Board
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Responsible to ensure that research is conducted
ethically, that participants’ rights are protected, that risks
are minimized, and there are benefits to participants
and/or society
Committee that reviews all research projects that involve
any human subjects, including surveys
Audits all studies to ensure protocol being followed
Any institution conducting research involving human
subjects MUST have oversight by an IRB
Reports to Department of Health and Human Services
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Organizational Components
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Institutional Animal Care & Use Committee
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Responsible for the oversight of research involving
vertebrate animals
Provide guidance for the care and use of laboratory
animals
Committee reviews and approves applications for the use
of animals
Animal safety officers regularly visit labs and check on the
animals
Reports to U.S. Department of Agriculture
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Organizational Components
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Radiological Health
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Oversee the use of radiation on humans, animals
or in the laboratory
Provide training and authorize people to use
radiation or order radiologic materials
Committee reviews applications for the use of
radiologic materials
Inspect facilities on campus
Reports to U.S. Nuclear Regulatory Commission
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Organizational Components
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Research Integrity
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Educates faculty and staff on the proper conduct
of research
Investigates allegations of research misconduct
Coordinates the education of students regarding
ethics in their field of study
Reports to Dept. of Health and Human Services
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Organizational Components
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Office of Sponsored Projects, Programs or
Research
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Identifies and matches funding opportunities to
faculty and resources
Reviews all proposals prior to submission for
accuracy, correctness, legal sufficiency and in
consideration of agency funding requirements,
institutional and sponsor policies and practice
Assists faculty in preparing grant applications
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Organizational Components
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Negotiates the terms and conditions of grant
awards and contracts with sponsors
Acts as the institution’s authorized representative
and signatory for all sponsored projects and
programs
Coordinates activity with other research
administration units at the institution
Manages projects and programs as needed to
meet institution obligations to sponsors
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Organizational Components
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Maintain a sponsored project database for
proposals, awards, and other relevant
information to provide institution management
Some offices perform the post-award accounting
function, or
Sends award information to accounting office for
the establishment of spending accounts
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Organizational Components
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Conducts or participates in training for institution
researchers and staff regarding the policies,
compliance issues, procedures, proposal
improvement and agency specific issues
Reports to Vice-President for Research or
Institutional Advancement
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Organizational Components
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Grants & Contracts Accounting or
Research Accounting
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Reviews all expenditures on sponsored projects
for adherence and appropriateness to federal
and agency guidelines
Some perform all post-award negotiations with
sponsoring agencies
Files financial reports with sponsoring agencies
per their guidelines
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Organizational Components
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Maintains financial database for faculty and staff
Reports to PIs on the financial status of their
projects
Often tracks institutional assets (computer
equipment, lab equipment), especially those
purchased with sponsor funds
Reports to Vice-President for Research or VicePresident for Financial Services
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Organizational Components
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Research Education
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Facilitates a trained workforce in research administration
supporting the mission of the institution
Provides coordinated education and training programs
which assist faculty and staff in the management of
research activities
Promotes compliance and research integrity at the
institution
Reports to Vice-President for Research
Sometimes located within OSP
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Lifecycle of a Sponsored Project
PI wants to
submit a proposal
PI and staff prepare
applications and institutional
documents
•OSP forms
•IRB applications
•IACUC applications
PI and post-award office
close out project once
completed
PI submits documents for
institutional approvals and
forward to OSP for review
OSP reviews application,
makes appropriate
revisions and submits to
sponsor
PI performs research or service and
submits financial and technical
reports through post-award office
Sponsor sends award letter or
declination letter to PI and OSP
OSP verifies all approvals have been received
then sets up spending account for PI
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Pre-Award Processes
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PI prepares application package and internal
approval forms and delivers to OSP. This
includes:
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Original signature page or electronic file
Research or Work Plan
Budget and budget justification
Certification or assurance pages
Approval forms with Chair and Deans signatures
CoI Number
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Pre-Award Processes
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If applicable, also submit:
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Sponsor and program guidelines or applicable
web address.
Copies of relevant compliance documentation.
PI may work collaboratively with OSP to
develop their proposal
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Pre-Award Processes
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Internal routing form:
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Summarizes content of the proposal/contract
application for deans, chairs and OSP
Alerts PI to other regulatory issues and offices
Contents
 General Information
 Compliance Questions
 University Resources
 Signatures
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Pre-Award Processes
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PI Signature
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“I certify that the statements herein are true,
complete and accurate to the best of my knowledge,
and accept the obligation to comply with Public
Health Services terms and conditions if a grant is
awarded as a result of this application. I am aware
that any false, fictitious, or fraudulent statements or
claims may subject me to criminal, civil, or
administrative penalties.”
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Pre-Award Processes
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Dean and Department Chair Signatures:
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Verify applicant is eligible to be PI
Verify PI has the knowledge, time and ability to complete
the scope of work
Responsible if Principal Investigator is not able, capable,
or willing
Confirm resources, space, equipment, and support
Conflict of Interest
Cost Sharing or Matching
Over-Expenditures / Non-Payment
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Pre-Award Processes
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OSP Reviews application or contract for:
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Compliance with sponsoring agency’s policies and
guidelines
Compliance with institution policies and guidelines
Appropriateness of budget
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Calculations
Conforms to agency requirements
Verify for allowable costs, salary cap, appropriate
charges, and appropriate F&A costs
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Pre-Award Processes
Appropriate application forms that are correctly
completed
 All required information has been provided by PI
After review and/or negotiation is completed, OSP
will provide institutional signature or complete
electronic submission
 This signature legally binds the institution
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April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Pre-Award Processes
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OSP and PI submit proposal
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Electronically
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Uploads and electronically signs application, or
PI uploads application and OSP electronically signs, or
PI uploads application and submits directly
Paper
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OSP signs sponsor cover page or “face page”
Returns to PI who sends to sponsor, or
Mails application to sponsor
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Pre-Award Processes
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Contract – OSP negotiates terms with sponsor
Application reviewed by sponsor
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Can take 2 weeks to 10 months
While application is being reviewed or negotiation
is taking place
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PI will process applications to other research
administration offices such as IRB, IACUC
Forwards those approvals to OSP once received
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Post-Award Processes
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Congratulations! PI receives award letter
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OSP or Post-Award Office or Grants & Contracts
Accounting
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Reviews terms and negotiates with sponsor if
necessary
Verifies dates of performance for the award
Gets final approval from PI to accept award
Establishes internal account for spending and
reporting purposes
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Post-Award Processes
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Grants & Contracts Accounting
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Reviews all expenditures being charged to award
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Adherence to agency spending policies
Adherence to institution spending policies
Sufficient funds exist
Performs billing and receivables function with
sponsoring agency
Submits FSR to sponsor
Verifies technical report has been submitted by
PI
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Post-Award Processes
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OSP or Post-Award Office or Grants &
Contracts Accounting
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Performs close-out functions
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Final technical and financial reports
Property status reports
Intellectual property reports
Closes internal spending account
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Technical Systems
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PeopleSoft – owned by Oracle
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Enterprise Service Automation – grants and
project administration
Financial Management – asset and financial
management, government portal
Campus Solutions – student administration
Human Capital Management – human resources
and payroll
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Technical Systems
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Banner – owned by Sungard Higher
Education
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Advancement
Finance
Financial Aid
Human Resources
Performance Reporting
Student
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Technical Systems
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InfoEd
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Pre & Post Award – proposal development and
tracking, project management, time & effort
Compliance Systems – IRB, IACUC, radiation
safety
Clinical Trials – data collection, tracking adverse
events, regulatory compliance
Tech Transfer – inventors, patents, key dates,
expenses and royalties
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Technical Systems
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iRIS – integrated Research Information
System
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Study Management
Review Board Management
Compliance Management
Grant & Contract Management
Financial Management
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Technical Systems
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ClickCommerce – eResearch Portal
Software
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IRB
CoI
IACUC
Grants & Contracts Management
SF424 eSubmission
Level of Effort Management
Clinical Trials Management
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Technical Systems
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Many institutions use a variety of software
platforms
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University of Utah
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PeopleSoft – Student services, financial aid,
human resources, financial management, grants
eProposal – web-based proposal submission site
ERICA – Electronic Research Integrity &
Compliance Administration for CoI and IRB
IACUC – Word documents submitted
electronically
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Technical Systems
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Challenges
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Can make process more confusing and difficult
for PIs and their staff
Difficult for PI hardware to perform properly
across a variety of applications
Often does not support non-Windows based
systems
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Technical Systems
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What would be ideal?
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One system to manage all functions
Transparent portal
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PI can access all eRA needs and applications at
one site
Must work across a variety of platforms
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals
Thank you!
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Questions?
April 23, 2007 1:30pm
What is Research Administration?
A Primer for IT Professionals