1. Carnegie Mellon Sponsored Programs and Research Compliance System (SPARCS) Kick-Off Meeting March 6, 2013 Presenters: Ann Mathias, Office of Research Integrity and Compliance Jeff Abels, Office of Sponsored Programs Krishna Meringenti, Computing Services

2. Carnegie Mellon SPARCS S ponsored P rograms A nd R esearch C ompliance S ystem

3. Carnegie Mellon Agenda -Background -SPEX Limitations -Opportunities -Scope & Objectives -Survey Results -Governance Model -Project Timeline -System Requirements -Vendor Shortlist -Stakeholder Participation

4. Carnegie Mellon Background  Sponsored programs activities account for approximately 37 percent of CMU’s fiscal year 2013 revenue.  Sponsored Projects Exchange (SPEX) currently supports Carnegie Mellon University’s sponsored programs activities including: proposal development and submission, award management, and some research compliance activities.  The technology utilized by the federal government for grant/contract proposal, award, compliance and reporting is considerably more sophisticated than the current SPEX system.

5. Carnegie Mellon SPEX Limitations Functional Lacks S2S Submissions Electronic Routing Module Cross Validation Compliance Limited IRB Limited IACUC No FCOI No Export No Tracking of Training Efficiency Access & Reporting Communications CMU System Integration

6. Carnegie Mellon Opportunities  A new system will afford CMU many opportunities: °Re-engineer current business processes °Improve process efficiencies °Meet and keep pace with regulatory requirements °Improve communication with the research community. °Incorporate new technologies

7. Carnegie Mellon Project Phases  Discovery Phase: January 2013 – June 2013  Implementation Phase: July 2013 – June 2015  Today’s focus on Discovery Phase

8. Carnegie Mellon Discovery Phase Scope & Objectives  This project is intended to develop an integrated system that supports CMU’s sponsored program functions. °Establish a project governance structure °Solicit input from business and technical stakeholders °Develop a requirements document based on input from stakeholders °Draft a formal Request for Proposal (RFP) document. °Identify, evaluate and select a solution that fits CMU’s unique requirements.

9. Carnegie Mellon Discovery Phase Scope & Objectives, continued °Identify the necessary resources. °Outline a secure and trusted IT environment that fosters collaboration. °Address integrations with the Oracle Financial system, HRIS Workday system, and other CMU systems. °Complete Discovery Phase by June 30, 2013

10. Carnegie Mellon Survey  Purpose °Solicit input from users °Solicit volunteers  Early February 2013 survey sent to multiple distribution lists

11. Carnegie Mellon Survey Respondents

12. Carnegie Mellon I think the following research administration functions are important and should be included in a new system:

13. Carnegie Mellon Some systems are difficult and/or costly to modify to match current university practices and processes. In choosing a new system we should:

14. Carnegie Mellon Pre-Award (PA) Leadership Committee PSC, OSP, ORIC, and Campus Stakeholders System and Reporting (SR) Leadership Committee PSC, OSP, ORIC, Computing Services, Financial Systems, and Campus Stakeholders Project Steering Committee (PSC) Ann Mathias– ORIC Jeff Abels – OSP Krishna Meringenti - CS Discovery Phase Committee Structure Executive Steering Committee (ESC) Dave Dzombak Steve Huth Lynn Young Ann Mathias Jeff Abels Krishna Meringenti RC Project Team Committee PSC, ORIC, OSP, Business Managers, Researchers Infrastructure (I) Leadership Committee PSC, Computing Services(ISO,SAIS,AC, Architecture, Contract) Campus Stakeholders PA Project Team Committee PSC, ORIC, OSP, Business Managers, Researchers SR Project Team Committee PSC, ORIC, OSP, FS, SPA, Business Managers, Researchers Research Compliance (RC) Leadership Committee PSC, OSP, ORIC, and Campus Stakeholders I Project Team Committee PSC, Computing Services(ISO,SAIS,AC, Architecture, Contract, PPMO) Campus Stakeholders

15. Carnegie Mellon Project Time Line Governance Model High Level Requirements Pass Two Test & Validate Pass Three Go Live Validation RFPs & Demos Select Solution Analysis Go-Live Feb 2013 June 2015 Design Development Go-Live June 2013 Training, Deploy & Go-Live

16. Carnegie Mellon Project Assumptions Functional Requirements Proposal & Budget Development S2S submission Electronic Routing Award Management Negotiations & Reporting Research Compliance Infrastructure Requirements End User Security and Data Entry Audit Integrate with other CMU enterprise systems Access to CMU’s USA and Global Campuses Secure Document Mgmt Vendors Click Commerce Evisions (Cayeuse) Kuali Coeus InfoEd IMedRIS

17. Carnegie Mellon Stakeholder Participation  System stakeholder participation is vital to successful select and deploy SPARCS.  Stakeholders will be solicited to participate in: °Discovery Phase Requirements Gathering Committee Meetings Vendor Demo and Analysis °Implementation Phase Project Committee Meetings Testing

18. Carnegie Mellon Reminders  Functional Requirement Gathering Meetings will be held: °Tuesday March 12 th, UC Rangos 1 & 2, 1:00-2:30pm °Thursday March 14 th, UC Rangos 1 & 2, 1:00-2:30pm °Topics covered will be proposal development, budget development, award, negotiations, research compliance, reporting, and system integration.  Technical Requirement Gathering Meeting °Wednesday March 13 th, 4pm

19. Carnegie Mellon Reminders, (continued)  Vendor Demos are planned for April 2013  Please make sure to put your name on the sign-in sheet

20. Carnegie Mellon Comments & Questions ?

21. Carnegie Mellon Contact Us  The SPARCS Project Team: Ann Mathias, Office of Regulatory Integrity and Compliance Jeff Abels, Office of Sponsored Programs Krishna Meringenti, Computing Services  The SPARCS Project Team e-mail: sparcs@andrew.cmu.edu  SPARCS website coming soon

22. Carnegie Mellon

23. Modules  Proposal and Budgeting  Award & Subaward  Negotiations & Tracking  IRB  IACUC  COI  Reporting & Communication  rDNA (outside original scope)

24. Carnegie Mellon Vendors Selected  Selected based on modules available  Experience within the market segment  Top solutions utilized by peer institutions