Executive Steering Committee May 2, 2012 Today’s Agenda Introductions eRA Rationale eRA Background eRA Vision and Scope eRA Project Updates eRA Next Steps Executive Steering Committee May 2, 2012 CHERYL Thanks for joining us as a partner on the eRA executive Steering Committee. The eRA project is one the largest and most influential projects for the research enterprise Partnerships is one of the major themes of eRA project and our presentation today. Special thanks to ITS and Mike Noel for being a strong partnership through the transition and pre planning aspects of the project Jordan comments – as executive sponsors Steve comments – as executive sponsors

Rationale The research enterprise is increasingly critical to the University’s mission. Federal regulations for fiscal and regulatory accountability have strained the research compliance environment across all units. Investments in electronic systems and research administration staff have not kept pace with the growth of sponsored research. There are significant strategic, financial, compliance, and reputational risks in mismanagement of sponsored research. Renewing The Iowa Promise Recommendation: Implementation of a robust and integrated research information system for pre- and post-award administration. An integrated system would simplify the processes and reduce the amount of effort required for grant management and administration. CHERYL Increasingly competitive funding landscape requires that we are effective and efficient in facilitating a strong research enterprise = eRA is of one many interlocking initiatives Other Examples - Research Handbook, Easy to Navigate Research Administration websites (consistent look and feel), faculty orientation and training, communication strategy) Research 450 plus million dollar enterprise Increase in fiscal and compliance regulations ARRA reporting and COGR document on compliance changes over a 20 year period (over 60 major changes) Funding climate has changed and for faculty to remain competitiveness competitive landscape for Faculty and researchers efficient and effective administrative processes. expect to submit more grants in order to maintain level of funding Year to date numbers are up 5% Funding down ~10% Risk Management - Significant institution exposure, risk, and liability with sponsored research

Background VPR & ITS partner to evaluate the research administrative systems Internal and external review of systems, services and organization Performed an extensive evaluation of vended and open/community source solutions Recommendation Based on functionality, implementation costs, change management issues, and timeline we selected a best of breed approach leveraging existing or available systems MIKE Have been working on this since 2010 Extensive due diligence, very similar to process we’ve used in selecting other major systems – 3 consulting engagements with 2 different firms – including a fit/gap analysis Reviewed 2 commercial and 1 open source solution Attended user group meetings/conferences and CIC Conferences Talked with 10 universities – Chicago, Indiana, Michigan, Boston University, Cornell, Arkansas, West Virginia, Arizona, Colorado and Iowa State Based upon all our investigations, research and analysis – there wasn’t one system that could provide us a solution we believe that enhancing and extending our existing environment is the best solution Improvements, enhancements, and extensions can be made in cost effective manner that limits change management and reduce administrative burden

Vision An innovative system that will transform research administration and enhance the University’s ability to procure, administer, and monitor research grants and contracts. MIKE Vision/Goals handout Collectively we arrived at the eRA vision and associated goals Key themes – Engagement, collaboration, partnerships Partnerships between - Research Administration and faculty/PIs Research admins and Central Units Advisory Groups Central Units Integration, transparency Process improvement, increasing effectiveness and decreasing burden and processing times Encourage feedback to accomplish the continuous quality improvements.

Researcher Administrators Key Partnerships Provost Office MIKE Partnerships and relationships are critical success factors for the eRA project There are more – Research Council eResearch Research Administrators Assistant Deans for Research Faculty & Researcher Administrators

Scope The scope of eRA is composed of four subprojects: Animal protocol and regulations Conflict of interest Pre-award Research portal MIKE

Developed Project Documents Early Project Success Restructuring of Research Information Systems (RIS) New focus on application development and eRA Centralized VPR server, desktop, and helpdesk support to ITS Joint reporting relationship between AIS and VPR Resources November 2011 - JJ Jimenez new RIS Director hired 6 Developers hired over the last 9 months 2 Technical leads hired since January 2012 Strategy and Planning CHERYL Restructuring RIS – Partnership with ITS Leverage central services for server management and desktop support Dedicated webmaster – leveraging Drupal Service Joint report to AIS RIS – Focused Effort on Application Development = eRA JJ = New leadership and development resources (strong pools of IT applicants) Significant time spent exploring the options and determining the solution September 2011 – eRA solution strategy and evaluation process retreat November 2011 - Developed high-level plan Spring 2012 - Developed eRA Project vision, governance, charter, budget and funding plans eRA Strategy Retreat Sept 2011 High-level Plan Nov 2011 Developed Project Documents Spring 2012

6194 individuals ( 81%) have completed disclosure forms eCOI eCOI Vision – Consolidated Electronic Disclosure System Key Partnerships – UIHC COI, Continuing Medical Education, Provost Office, COI in Research, and RIS Solution Evaluation and Decision – Em0ry University (CTSA) Open Source Software 6194 individuals ( 81%) have completed disclosure forms Fall 2011 Winter 2011 Spring 2012 JIM Consolidating COI reduces administrative burden for Research and central offices Partnerships critical in consolidating COI disclosure Anticipated new regulations and selected the Emory’s open source system that was made available from their CTSA In about 3 months we were able to install, configure, customize and integrate the system Summer 2011 – Solution Evaluation and Decision – Em0ry University (CTSA) Open Source Software Sept. 2011 - New Federal Regulation- COI in Research (by Aug 2012) Oct. 2011 - COI Internal Audit Recommendations Nov. 2011 - Project Charter completed & project leadership team formed Dec. 2012 – Begin eCOI modifications, enhancements, & integrations March 2012 – Phase I launched in UI Health Care April 2012 - eCOI Team recognized with an IOWA award April 2012 - Phase II and III planning and development New Regulations Released Leadership Team Formed Project Charter Complete Begin eCOI Development Phase I Launched IOWA Award Received Phase II Begins

Animal Research Fall 2011 Winter 2011 Spring 2012 A Comprehensive Animal Research Compliance Vision Create an electronic animal(use)protocol (eIACUC) Integrate animal operations system with eIACUC Vision vetted with senior faculty eIACUC solution leveraging electronic (Hawk) IRB application Early Project Success Fall 2011 Winter 2011 Spring 2012 eIACUC Kick Off Retreat Fit Gap Analysis JIM ARIS is a software solutions that inventories, tracks and bills for animal care costs. Technical Proof of Concept Technical Architecture Discussions

Pre Award Summer 2011 Fall 2011 Winter 2012 Spring 2012 Preliminary Pre-award Vision – Enhance existing UIRIS to: Provide better integration with other research administration applications Increase efficiency of electronic processes Provide greater transparency in review/negotiation process Improve quality of data and reporting tools Allow for electronic document retention Early Project Success Summer 2011 Fall 2011 Winter 2012 Spring 2012 eRouting Form released Concluded Contracts Log Reporting Pilot JENNIFER August 2011 - Electronic Routing Form release - Consolidation of CTA and Contract Logs Sept. 2011 – Pre/Post award integration points & business process workflow Oct. 2011 - Fit Gap Analysis Jan. 2012 - Reporting/Data Enhancements pilot April 2012 -Kick Off Retreat May 2012 – Transition paper routing to UIRIS 3 Fit/Gap Analysis Pre/Post award integrations Business Process Flow UIRIS3 Paper Routing Kick off Retreat

A window into Research Administration Portal A window into Research Administration Research Portal Animal Protocol COIR Pre-Award Post-Award Grant Bulletin EHS Human Subjects Messaging Training Reporting Handbook Websites JJ We’ve covered most of the scope of the project at this point: COIR, Animal Protocols, and Pre-Award. What really brings all of those things together is the Research Portal. Portals are a window to services. The quality of the portal is a function of the significance of the content and services and the integration between those services. Our research portal will bring together training, reporting, form tracking, funding sources, and the researcher handbook as well as being a platform for communicating with researchers. Researchers will find information that is relevant to them. Not only links to other systems but direct access to information from each of our projects including conflict of interest and Pre-Award. The Portal will be a visible manifestation of our goal of tightly integrating the components of the eRA system into a comprehensive and efficient tool for facilitating research.

Institutional Investment The initial 5 year total cost of ownership estimate is approximately $4.6M. The majority of budget supports functional backfill and recurring technical staff costs, but also includes hardware, software, and training VPR has committed to fund $2M project cost through patent and license revenues Central Administration has agreed to fund remaining project implementation costs Need to develop post-implementation project funding model CHERYL We anticipate three year implementation with functionality to be to phased over that time period 5 year TCO includes post implementation support VPR and Central Administration partnership on funding Need to determine post implementation funding strategy

Next Steps Project Planning & Infrastructure Goals Develop high-level project roadmap Begin campus communication campaign Complete RIS staffing plan Training for RIS staff and project leaders Create Project Web Site Project Specific Goals eCOI – complete Phase II by Aug. 2012 Pre-award – focused effort on non-monetary routing form Animal Research – Ongoing faculty input on concept, structure, operation Portal – Form Portal Advisory Committee, identify integration points, and integrate reporting tools. MIKE That is current status Going forward focus on the project plan and roadmap, communications and staffing We know that lots can happen over a 3 year project so we’ll plan now and then expect to re-plan as environment and priorities change From a module perspective – (as the slide reads …)

Engagement What Research Administration business processes would you target for reengineering? How would you reduce administrative burden? Help to identify Advisory Group Members Portal Advisory eRA Advisory Groups CHERYL /MIKE Trusting Partnership between research administrations, faculty and administrators is a key to success in the entire enterprise. VPR organization is committed to CQI/business process improvement and we need feedback from all stakeholders Helping Identify key faculty and staff in your areas to guide and advise on the broader eRA project Portal