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

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SPARCS

Sponsored

Programs

And

Research

Compliance

System

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Agenda

-Background

-SPEX Limitations

-Opportunities

-Scope & Objectives

-Survey Results

-Governance Model

-Project Timeline

-System Requirements

-Vendor Shortlist

-Stakeholder Participation

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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.

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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

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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

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Project Phases

· Discovery Phase: January 2013 – June 2013· Implementation Phase: July 2013 – June 2015 · Today’s focus on Discovery Phase

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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.

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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

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Survey

· Purpose ° Solicit input from users° Solicit volunteers

· Early February 2013 survey sent to multiple distribution lists

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Survey Respondents

Central Admin Manager/Staff3%

Dept/School Business Man-

ager31%

Dept/School Research Admin-istration Manager/Staff

19%

Faculty Member27%

OSP/ORIC Staff Member

17%

SPA Staff Member3%

Survey Participants (96)

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

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Some systems are difficult and/or costly to modify to match current university practices and processes. In choosing a new

system we should:

Consider systems that work well but require

changes to our process; 83%

Only consider systems that can be modified to match how we do things

today; 17%

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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 CommitteePSC, ORIC, OSP,

Business Managers,Researchers

Infrastructure (I) Leadership CommitteePSC, Computing

Services(ISO,SAIS,AC, Architecture, Contract) Campus Stakeholders

PA Project Team CommitteePSC, 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 CommitteePSC, Computing

Services(ISO,SAIS,AC, Architecture, Contract,

PPMO) Campus Stakeholders

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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

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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

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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

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Reminders

· Functional Requirement Gathering Meetings will be held:° Tuesday March 12th, UC Rangos 1 & 2, 1:00-2:30pm° Thursday March 14th, 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 13th, 4pm

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Reminders, (continued)

· Vendor Demos are planned for April 2013· Please make sure to put your name on the sign-in

sheet

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Comments & Questions

?

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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

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Modules

· Proposal and Budgeting· Award & Subaward· Negotiations & Tracking· IRB· IACUC· COI· Reporting & Communication· rDNA (outside original scope)

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Vendors Selected

· Selected based on modules available· Experience within the market segment· Top solutions utilized by peer institutions