Mapping an Electronic Research Administration System Discussion and Review Points for UC Davis

Critical Considerations 1) Policy and Procedures 2) Staffing and Infrastructure 3) Campus Culture and Structure 4) Regulatory Environment 5) 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, , 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, web- based 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.