1. Kuali Research Administration (KRA) Kuali Days / May 2007 St. Louis, Missouri

2. Introduction -Kuali History, Structure, and Philosophy -Development Process -Partner Perspectives -KRA Proposed Scope/Phasing

3. Kuali History, Structure, and Philosophy

4. What is the Kuali Project? Kuali started life as a community/open source initiative to create a financial system for higher education. This project (now known as KFS) is a re- factor of Indiana University’s FIS. –Veterans of Sakai opted to try collaboration vs. doing this alone or buying off the shelf –Kuali started with 6 university partners: Indiana, Arizona, Cornell, Michigan State, Hawaii, Delta

5. The Kuali Project “Kuali” is a Malaysian word for wok, or utensil that is a kitchen staple Work under the Kuali project umbrella is available under the foundation’s Educational Community License Kuali membership is fee-based, but the software is free to download Kuali is funded, in part, by the Mellon Foundation

6. What is KRA? Cradle-to-grave research administration system, based on MIT’s Coeus: –Preaward (proposals, budgets, Grants.gov) –Postaward (contracts, grants, negotiations, report tracking, subcontracting) –Research Risks (IRB, IACUC, COI, etc) Links with KFS or your financial system

7. How did we get to KRA? KFS scope includes Proposal and Award docs –Proposal captures high-level data –Award links to Proposal –Both are used to transmit attributes to the account KFS scope has a routing form and budget –No Grants.gov S2S capability (as of Feb 2007) –No research risks modules –No modules for contract management Negotiations, CDAs, NDAs, MTAs, etc.

8. How did we get to KRA? Partners would continue to use legacy systems to cover some of these items –Contract management was the perceived “biggest missing piece” at the time –Schools would continue with PureEdge or an institutional solution for Grants.gov proposal submissions –Schools would continue to use manual systems for research risks compliance

9. How did we get to KRA? Kuali partners set out to identify research administration best practices, and ultimately drew up an agreement for use of Coeus KRA has 5 partners: Arizona, Cornell, Indiana, Michigan State, and MIT/Coeus KRA Scope goes beyond what’s offered in KFS KRA will be designed to work with KFS and other financial systems

10. Coeus to KRA Coeus is one of the first cradle-to-grave research administration systems in the nation Developed at MIT 38 partner schools in the Coeus consortium Collaboration with Coeus: –Maximizes best practices –Sustainability of the system with the Coeus community in mind

11. Kuali Organization

12. KRA Philosophy Maximizing common business practices Identifying best practices in research administration Collaboration is key Scope is managed within the “Reality Triangle” Governance follows specific procedures

13. KRA Philosophy – Reality Triangle You get control of two of the sides, I get the other. The 3 rd side follows the constraints of the other two: -Rigid scope & tight timeline = big resources -Limited resources & big scope = long timeline

14. KRA Philosophy - Governance

15. Development Process

17. KRA Functional Council Made up of participants from each partner school. One partner school = One vote Prioritize/manage project scope and resources, monitors progress/direct work of SME groups Approves/Rejects enhancement requests and other functionality, based on the reality triangle Weekly phone calls, quarterly face-to-face, reports to the KRA Board weekly, and as needed

18. Subject Matter Experts (SMEs) Group is formed with two to four members per partner institution. Participants part time Lead SME is identified. Works closely with development manager & business analyst Weekly conference calls and possible, but infrequent face-to-face meeting Translates functionality into specifications Validates code generated by developers.

19. Developers Each partner contributes 3 full time staff Divided into module teams Developers work from home institution, but may report to manager at another partner site Team interacts daily with regular video conferencing use Meet a number of times a year for coding camps

20. Module Development Steps 1.SMEs review current product (Coeus) functionality 2.SMEs write specification documents a.Enhancements to FC for review/vote b.FC keeps tabs on scope throughout 3.Developers build screen mockups 4.SMEs review screen mockups 5.Developers build code 6.Testers do quality assurance and report issues

21. Partner Perspectives

22. Why are schools participating? Legacy systems are old and lack functionality –In the case of one partner, they are running unsupported hardware/software –Budget for a vended project isn’t forthcoming –No one wants to be “forced” into a decision Paper routing process for proposals, PureEdge for Grants.gov submissions Procedures for research risks are not cohesive, and many are still paper-based

23. Why are schools participating? Need for financial system upgrade lead to joining KFS effort Belief in community source model Recognition of gap in KFS functionality lead to support of and membership in KRA Interest in integration of financial, sponsored and research compliance systems Need for Grants.gov S2S and research compliance systems

24. Arizona’s experience We started with KFS in 2005, and joined KRA in 2006. The process has resulted in efficiencies in current processes –You can’t help but examine your business processes as you perform a gap analysis! Being closely involved means we get more than we’d get from a vendor We’re able to train our implementation staff as we go along – both technical and functional We’re in charge of our own destiny

25. KRA Proposed Scope/Phasing

26. Scope Guiding Principles KRA based on Coeus 4.2 Leverage Kuali Rice architecture and development standards (nervous system, enterprise notification, enterprise workflow and service bus) Implement Kuali web-based user interface (screen shot) (screen shot) KRA easily implemented with KFS, but both products must be able to stand alone Provide Coeus 4.x migration path and tools Maximize probability of future merging with Coeus version 5.X into single product

28. Scope/Phasing Steps Accomplished at first KRA Functional Council meeting (Jan 9-10, 2007, Boston) 1.Map KRA modules to Coeus modules 2.Start with current Coeus modules 3.Prioritize within those by partner rankings 4.Tackle functionality not currently in Coeus And the prioritize scope phasing is …

29. First Priority Modules (01/07) Coeus modules exist - Subject Matter Expert group currently being formed Proposal development (including budget template, routing & Grants.gov S2S) IRB Award Conflict of Interest

30. UPDATED Prioritization First priority modules still stand, as listed, however… We have the opportunity to make Release 1 useful to all Carnegie-class institutions, so: –Proposal/Budget development/Institute Proposal will be offered as a back-to-front module, with Grants.gov S2S for Release 1 (April 1, 2008). –Remaining modules will continue the development process during Phase 1

31. Second Priority Modules (01/07) Coeus modules exist - Subject Matter Expert group not currently active Institute Proposal Negotiations Report Tracking Subcontracts

32. Third Priority Modules (01/07) Coeus modules do not exist - Subject Matter Expert group not currently active Animal Use Export Control Institutional Biosafety Chemical/Radiation safety

33. Near-Term Collaboration Potential Work together on functional specifications for future modules (e.g. Animal Use). Joint KRA SME/Coeus Subcommittees? Agree on common coding and database design conventions where reasonable Incorporate Kuali user interface and navigation components

34. KRA – Shared Services Unit Hierarchy Rolodex Person Organization Workflow Security Role Code/Reference Table Location Sponsor Committee Questionnaire Custom Element Cost Element Comment

35. KRA – Proposal Development Proposal Development Proposal Budget Development Institute Proposal Proposal Routing Grants.gov Integration

36. KRA - IRB Submission of protocols (new, continued, amended) Recording IRB deliberations IRB notifications IRB meeting agendas and minutes Protocol and training queries Special reviews & other committees Human Subjects Training records Committee creation and scheduling Batch correspondence and correspondence generation

37. KRA - Awards Award detail Cost sharing Indirect cost Payment schedule Sponsor funding transfer Approved equipment & foreign travel Award closeout Payment Money and end dates Award Budget Contacts Award Templates Special Reviews Investigator Credit Split Notice of Award Data feed & integration with financials

38. KRA – Conflict of Interest Certifications for faculty, staff, and students Tracking of disclosures, reviews and decisions Separate financial disclosure information –Confidential –Non-confidential This one could be “big” since state laws regarding COI are very different

39. KRA – Future Modules - Negotiations Record actions of Negotiations Management reporting Financial and non-financial actions –Contracts, Agreements –CDAs, MTAs, teaming agreements, etc.

40. KRA – Future Modules – Report Tracking Automatic generation of reporting deliverables and status –Financial, technical, patent reporting Management reporting Submission status

41. KRA – Future Modules - Subcontracting Subcontract detail Funding sources Amount information Subcontract closeout and correspondence Contacts Subrecipient monitoring (A-133) Invoice routing and approval

42. KRA – Future Modules* - IACUC Submission of protocols (new, continued, amended) Recording IACUC deliberations IACUC notifications IACUC meeting agendas and minutes Protocol and training queries Special reviews & other committees Animal Subjects Training records Committee creation and scheduling Batch correspondence and correspondence generation

43. KRA – Future Modules* - Biosafety Submission of MOU on biological materials, including select agents Submission of MOU amendments and renewals Production of IBC minutes Monitoring of approved MOU Reporting of non-compliance Facilities inspection

44. KRA – Future Modules* - Export Control Certification questionnaire with routing approval Office of Foreign Asset Control (OFAC) purchases

45. KRA – Future Modules* - Chemical Controlled substance program Radiation Safety Functionality TBD

46. Final Thoughts Partner? –Take charge of your own destiny! –Be your own best resource! –Work with top people in research administration! Interested? –Yes, it’s free! –Based on proven functionality – Coeus –Based on a successful model - Kuali –Best and Common Business Practices

47. For More Information http://www.kuali.org/ http://rice.kuali.org Lori Ann Schultz (520) 626-6308 lschultz@email.arizona.edu