UH Informational Session Campus Center Ballroom September 21, 2011 myGRANT - Kuali-Coeus ( KC) – UH Plan

UH Informational Session

Campus Center Ballroom

September 21, 2011

myGRANT - Kuali-Coeus ( KC) – UH Plan

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Kuali Coeus (KC)

One of the major projects developed by the Kuali Foundation

A comprehensive research administration system that fully addresses the needs from the faculty researcher through grants administration to federal funding agencies

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Background

UH Electronic Research Administration (eRA); Legacy ORSIS database (July 1997 – September

2008) InfoEd proposal and award tracking database

(September 2008 – Present) Kuali-Coeus implementation begins Fall 2009

UH eRA Executive Committee

James Gaines – VP Research David Lassner – VP IT/CIO Gary Ostrander – VC Research, UH Manoa Shirley Daniel – Faculty SEC Secretary , UH Manoa David Duffy – Faculty Senate Vice Chair, UH Manoa Yaa-Yin Fong – Director, ORS Mike Hamnett – Executive Director

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KC Tech CORE Team

Ron Gouldner – Technical Lead, ORS Shaun Blake – IT Specialist, ITS Lane Fukuda – ISS Manager, ORS Gang Yuan – IT Specialist, ORS Mitchell Anicas – IT Specialist, ITS Gregory B. Mandryk – IT Specialist, ITS

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KC Functional Team

Andrew Tefft – eRA Project Coordinator, ORS Jennifer Halaszyn – Contract & Grant Adm, ORS Kaka’ako Site Janis Morita – Project Fiscal Accounting Mgr, ORS Naomi Mitake – Pre-Award Specialist, ORS Cheryl Reeser – Contract Specialist, ORS Maui Site Kathy Oshiro – Director of Admin, CMMED Daniel Shelverton – Grant & Contract Specialist, ORS Kevin Hanaoka – Cost Studies Chief, ORS Royce Hanada – ORS Helpline, ORS Mike Morimoto – IT Specialist, ORS

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Important eRA Factors for UH

On-line proposal development S2S integration with Grants.gov Electronic approval routing Integration with UH Financial System – New Kuali

Financial System (KFS) Monitor post-award reporting administration and

deliverables Integration with research compliance modules and

monitor compliance protocols for active awards

Important eRA Factors for UH (cont.)

Integrate post-award invoicing, receivable aging reports, collections and closeout process with KFS Contracts & Grants A/R module

Meeting compliance and reporting requirements for federal, state, and private funding agencies

Generate BOR and management reports and tracking reports inventory for statistical data

User security profile

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Limitations of Current InfoEd at UH

No Proposal Development No S2S integration to Grants.gov No interface between InfoEd and UH Financial

System No integrated cost sharing system No integrated research compliance No deliverable or tracking report No sub-awards tracking

Limitations of Current InfoEd at UH (cont.)

No integration with Contracts and Grants A/R system– Stand alone in-house invoice database– Stand alone in-house A/R aging reports– Stand alone in-house close out notification

system– Stand alone in-house receivable collection

process

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Integration Between KFS and KC

Contracts and Grants Module Cost Share System Effort Reporting Contracts and Grants Billing/Accounts

Receivable (CGBARS) Module UH implementation of KFS in July 2012

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Kuali-Coeus (KC) Schools

Colorado State University Michigan State University Cornell University University of California Davis Indiana University University of Arizona Massachusetts Institute of Technology Iowa State University West Virginia University University of California Berkeley University of Hawaii Coeus Consortium

UH KC Implementation Timelines

2009• Fall - Created KC 2.0 sandbox for testing

2010• Spring - Two IT developers hired; 1 in ITS & 1 in ORS• Summer - Secured UH IT environment for KC• Fall - Commenced ORS KC Technical Team testing

- Performed Cognos reporting tool assessments• December - Created KC 3.0 sandbox for testing

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UH KC Implementation Timelines (cont.)

2011

Spring - ORS CORE team testing, mapping, and uploading UH look-up tables, ORS Functional Team testing, Created logo

July - KC 3.1 release and set up in production environment

Summer - End-user training (ongoing), Cognos testing

August-October - Open for Pilot Schools

November - goes live

2012

Spring - End user training (ongoing)

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UH Timeline (Proposed)

module go-live note

PD/AW 2011 w/ KC 3.1

IRB 2012 w/ KC 3.1

COI 2013 w/ KC 4.0

Subawards 2014 w/KC4.0

IACUC TBD w/ KC 5.0

NEG TBD w/ KC 5.0

RT TBD w/ KC 5.0

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UH KC Functional Challenges

Re-engineer proposal submission process Paperless concept Establish organizational structure Set up User profile Establish security profile Upload rates and other look-up tables for Proposal

Development into UH KC Develop on-line and hands-on training On-going and just-in-time end-user training New reporting tool – Cognos

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What Does UH KC Mean for Principal Investigators and Staff?

One tool for proposal & budget creation and grants administration

Automatic routing for approvals Eliminate redundant data entry and submissions Enter CFDA Number or Opportunity ID from grants.gov

and UH KC will include forms in proposal Data entered during creation process is used to populate

grants.gov forms File uploader will no longer be needed for grants.gov S2S

applications

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What Does KC Mean for Principal Investigators and Staff? (cont.)

Access through UH single sign-on via web browser Proposal and budget creation with robust

calculations Consistency in budgeting Template proposals to use again Speed up processing through electronic routing PI can only view his/her own proposals/awards

online Initial pain during the learning curve phase

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Questions?

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Contact Information

Andrew Tefft – eRA Project Coordinator– Email: [email protected]– (808) 956-5986

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Comparison of Current Proposal Submission Process and myGRANT (Draft 08/26/2011)

Comparison of Current Proposal Submission Process with the myGRANT Proposal Submission Process– Scenarios

G/G S2S = Grants.gov system-to-system submission (approximately 80% of Grants.gov proposals)

G/G NON = Grants.gov non-system-to-system submission (approximately 20% of Grants.gov proposals)

OES = Non-Grants.gov electronic submission H/C = Hard copy submission

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Comparison of Current Proposal Submission Process and myGRANT (Draft 08/26/2011) (cont.)

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# Submission Type Current myGRANT

1 RFP AND APPLICATION PACKAGE ISSUED (if non-solicited, skip to Step 2)G/G S2S

PI locates and downloads or otherwise obtains hard copy of RFP and relevant forms.

PI obtains Grants.gov opportunity number to populate the field for myGRANT proposal applications. Once entered in myGRANT, application package is pulled in to myGRANT for completion. PI uploads RFP to myGRANT as attachment.

G/G NON

OES PI locates and downloads or otherwise obtains hard copy of RFP and relevant forms.

PI locates and downloads or otherwise obtains hard copy of RFP and relevant forms. PI uploads RFP to myGRANT as attachment. Application package is prepared as set forth below.

H/C PI locates and downloads or otherwise obtains hard copy of RFP and relevant forms.

PI locates and downloads or otherwise obtains hard copy of RFP and relevant forms. PI uploads RFP to myGRANT as attachment. Application package is prepared as set forth below.

2 PROPOSAL PREPARATION

A. Proposal fileG/G S2S

PI prepares hard copy of application package by completing all sections, e.g., narrative, current and pending, etc., and compiles into Grants.gov package. Package is uploaded to file uploader after completion and all necessary authorizations have been obtained.

PI creates proposal record, answers Grants.gov specific questions and completes application package in myGRANT.

G/G NON

PI prepares hard copy of application package by completing all sections, e.g., narrative, current and pending, etc., and compiles into Grants.gov package.

PI creates proposal record in myGRANT, answers Grants.gov specific questions and prepares Grants.gov downloaded application package by completing all sections, e.g., narrative, current and pending, etc., and compiles into Grants.gov active package which is uploaded into myGRANT as an attachment.


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2 PROPOSAL PREPARATION (continued)

A. Proposal file (continued)

OES Depending on sponsor requirements, PI either:1) Prepares hard copy of application by completing all sections, e.g., narrative, current and pending, etc., and compiles documents into proposal package; OR2) Completes the entire proposal in the agency-specific system (e.g., NSPIRES, FASTLANE, STSCI, SFCA, Department of Energy, etc.)After obtaining departmental approval, proposal package is uploaded to file uploader and hard copy of the proposal package is provided to ORS for review.

PI creates proposal record in myGRANT. Depending on sponsor requirements, PI also either:1) Prepares application package by completing all sections, e.g., narrative, current and pending, etc., and compiles documents into proposal package; OR2) Completes the entire proposal in the agency-specific system (e.g., NSPIRES, FASTLANE, STSCI, SFCA, Department of Energy, etc.).Proposal package is uploaded into myGRANT as an attachment and electronically routed through myGRANT for approval.

H/C

PI prepares hard copy of application package by completing all sections, e.g., narrative, current and pending, etc., and compiles documents into proposal package. Hard copy is provided to ORS for review.

PI creates proposal record in myGRANT and prepares hard copy of application package by completing all sections, e.g., narrative, current and pending, etc., and compiles documents into proposal package. Hard copy is provided to ORS for review.

B. Budget

G/G S2S

PI/FO prepares budget and incorporates into proposal package for later uploading.

PI/FO uses budget creation tool in myGRANT to input data and create budget. Budget figures, including F&A, fringe benefits and cost-sharing, are calculated automatically.


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2 PROPOSAL PREPARATION (continued)B. Budget (continued)

G/G NON OES PI/FO completes budget in the agency-specific system (e.g., NSPIRES, FASTLANE, STSCI, SFCA, Department of Energy, etc.).

PI/FO uses budget creation tool in myGRANT to input data and create budget. Budget figures, including F&A, fringe benefits and cost-sharing, are calculated automatically.Depending on sponsor requirements, PI/FO also:1) Completes budget in the agency-specific system (e.g., NSPIRES, FASTLANE, STSCI, SFCA, Department of Energy, etc.);OR2) Populates sponsor-specific budget form;AND uploads a copy of the budget to myGRANT as an attachment as part of their proposal package.

H/C PI/FO completes budget in the agency-specific system (e.g., NSPIRES, FASTLANE, STSCI, SFCA, Department of Energy, etc.)

PI/FO uses budget creation tool in myGRANT to input data and create budget. Budget figures, including F&A, fringe benefits and cost-sharing, are calculated automatically.Depending on sponsor requirements, PI/FO also:1) Completes budget in the agency-specific system (e.g., NSPIRES, FASTLANE, STSCI, SFCA, Department of Energy, etc.);OR2) Populates sponsor-specific budget form;AND uploads a copy of the budget to myGRANT as an attachment as part of their proposal package.

C. Form 5 (and as applicable, Forms 5A, 5B & 5C)G/G S2S

G/G NON OES H/C PI prepares hard copy. PI answers relevant institutional required questions contained in myGRANT.

D. Other documents as requiredG/G S2S

PI/FO prepares hard copy. PI/FO completes in myGRANT as populated from proposal package.

G/G NON OES H/C PI/FO prepares hard copy. PI/FO prepares hard copy. Depending on sponsor requirements, PI also completes additional documentation in the agency-specific system (e.g., NSPIRES, FASTLANE, STSCI, SFCA, Department of Energy, etc.) and upload copies to myGRANT as an attachment as part of their proposal package.


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3 IRB REVIEW (as applicable)G/G S2S

G/G NON OES H/C Application submitted to appropriate UH IRB. When approval/exemption is received, it is attached to the proposal if received prior to submission, or sent to ORS if received after submission.

Application submitted to appropriate UH IRB. When approval/exemption is received, it is uploaded to myGRANT as attachment with proposal submission, or uploaded to myGRANT separately if received after submission.

4 COST SHARING COMMITMENTS (Internal and External)G/G S2S

G/G NON OES H/C Letters of commitment are attached to proposal. Letters of commitment are uploaded to myGRANT as attachment as part of proposal package..

5 INDIRECT COST CAPS/WAIVERSG/G S2S

G/G NON OES H/C Copy of any sponsor limited indirect cost or authorized waiver (approved by chancellor or campus designee) is attached to the Form 5 if the appropriate box is checked.

Copy of any sponsor limited indirect cost or authorized waiver (approved by chancellor or campus designee) is uploaded to myGRANT as an attachment as part of proposal package if the applicable question is answered with “yes”.

6 APPROVING AUTHORITY(if designated approving authority is away or on leave, authority may be delegated to a designee)G/G S2S

Hard copy of proposal and Forms 5, 5A, 5B & 5C, as applicable, are routed to appropriate authority for approval Hard copy original signatures are obtained.

PI “submits” proposal. Notification is sent to appropriate authorities for review/approval via established workflow for PI. Authorities designate their approval electronically. E-mail confirmation is sent to the PI. If the proposal is not approved, PI makes changes in myGRANT, then resends for approval by appropriate authorities.

G/G NON OES H/C Hard copy of proposal and Forms 5, 5A, 5B & 5C, as applicable, are routed to appropriate authority for approval Hard copy original signatures are obtained.

PI makes sure that all relevant documents to myGRANT have been uploaded as attachments and “submits” proposal. Notification is sent to appropriate authorities for review/approval via established workflow for PI. Authorities designate their approval electronically. E-mail confirmation is sent to the PI. If the proposal is not approved, PI makes changes in myGRANT, then resends for approval by appropriate authorities.


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7 APPROVAL DELEGATION (if designated approving authority is away or on leave)G/G S2S

G/G NON

OES H/C If ORS does not already have on file a standing signature delegation, a signature delegation memo for approving authority is provided to ORS.

Approving authority contacts ORS to set up approval delegation. Approving authority delegations will be set up for standing delegations.

8 SUBMISSION TO ORSA. Intended for electronic submission

G/G S2S

G/G NON

OES Proposal packet uploaded to file uploader. Hard copy of Forms 5, 5A, 5B and 5C (as applicable), RFP and proposal packet provided to ORS for review.

Once all necessary approvals have been obtained, electronic notice provided to ORS through workflow process. Pre‑Award specialist accesses through action list.

B. Intended for hard copy submissionH/C Hard copy of proposal packet physically transmitted to ORS Once all necessary approvals have been obtained, electronic notice provided to

ORS through workflow process. Pre‑Award specialist accesses through action list. If the sponsor requires original signatures on the submittal, hard copy of proposal packet physically transmitted to ORS.

9 ORS REVIEW

A. Forms 5, 5A, 5B & 5C, as applicableG/G S2S

G/G NON

OES H/C Reviewed by ORS for proper authorizations. Missing documents are requested via telephone or e-mail before proposal will be submitted.

Electronic routing through workflow process ensures that proper authorizations from department/school have been obtain prior to proposal submission.

B. Compliance approval/exemption and other certifications, as applicable(e.g., risk management, conflict of interest, etc.)

G/G S2S

G/G NON

OES H/C Reviewed by ORS for compliance with proposal requirements. With the exception of any pending compliance approval or exemption, missing documents are requested via telephone or e-mail before proposal will be submitted.

Reviewed by ORS for compliance with proposal requirements. With the exception of any pending compliance approval or exemption, any missing information or documents may cause Pre-Award to “release” the proposal record to the PI (see Item #9 “Changes Required” section, below).


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9. ORS Review (continued)

C. Other proposal documents(including, but not limited to narrative/summary, bio sketch, budget, budget narrative)

G/G S2S

Reviewed by ORS for compliance with proposal requirements. If corrections are required, they are requested via phone or e-mail before proposal will be submitted (see Item #9 “Changes Required” section, below).

Reviewed by ORS for compliance with proposal requirements, applicable laws and UH policies. If corrections are required, Pre-Award may “release” the proposal record to the PI (see Item #9 “Changes Required” section, below).

G/G NON

Reviewed by ORS for compliance with proposal requirements. Uploaded file is verified against hard copy received to ensure that all attachments are properly visible. If corrections are required, they are requested via phone or e-mail before proposal will be submitted (see Item #9 “Changes Required” section, below).

Reviewed by ORS for compliance with proposal requirements. If corrections are required, Pre-Award may “release” the proposal record to the PI (see Item #9 “Changes Required” section, below).

OES Reviewed by ORS for compliance with proposal requirements. Uploaded file is verified against hard copy received to ensure that all attachments are properly visible. If corrections are required, they are requested via phone or e-mail before proposal will be submitted (see Item #9 “Changes Required” section, below).


D. Current and pendingH/C Reviewed by ORS for compliance with proposal requirements. If

corrections are required, they are requested via phone or e-mail before proposal will be submitted (see Item #9 “Changes Required” section, below).


G/G S2S

G/G NON

OES H/C Reviewed by ORS for completeness. Reviewed by ORS for completeness. If incomplete, Pre-Award may “release” the proposal record to the PI (see Item #9 “Changes Required” section, below).


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10 CHANGES REQUIREDG/G S2S

G/G NON

Applicable document(s) is/are sent back to the PI for review/amendment. After corrections are made, PI uploads revised proposal packet to file uploader and provides hard copies of revised documents to ORS for review.

After review, ORS informs the PI via e-mail of any “minor” typographical or other errors in editable myGRANT fields. Upon receiving e-mail authorization from the PI to make the change(s), ORS will make the correction in myGRANT.If items required by the proposal are missing, e.g., letters of commitment, indirect cost waivers, or any other documents or information, or if changes need to be made to any uploaded attachments, ORS releases the proposal record to the PI to make necessary changes. The PI makes changes directly in myGRANT, and/or uploads revised versions of any attachments, then re‑routes the documents through myGRANT for electronic approval. Once all necessary approvals have been obtained, electronic notice is provided to ORS through workflow process. Pre-Award specialist accesses through action list and continues to process.

OES Applicable document(s) is/are sent back to the PI for review/amendment. As applicable, PI makes corrections in agency-specific system. After corrections are made, PI uploads revised proposal packet to file uploader and provides hard copies of revised documents to ORS for review.

After review, ORS informs the PI via e-mail of any “minor” typographical or other errors in editable myGRANT fields. Upon receiving e-mail authorization from the PI to make the change(s), ORS will make the correction in myGRANT.If items required by the proposal are missing, e.g., letters of commitment, indirect cost waivers, or any other documents or information, or if changes need to be made to any uploaded attachments, ORS releases the proposal record to the PI to make necessary changes. The PI makes changes directly in myGRANT, and/or uploads revised versions of any attachments, then re‑routes the documents through myGRANT for electronic approval. Once all necessary approvals have been obtained, electronic notice is provided to ORS through workflow process. Pre-Award specialist accesses through action list and continues to process.


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10 CHANGES REQUIRED (continued)G/G NON

Applicable document(s) is/are sent back to the PI for review/amendment. PI makes corrections to documents. After corrections are made, PI/FO provides hard copies of revised documents to ORS for review.

After review, ORS informs the PI via e-mail of any “minor” typographical or other errors in editable myGRANT fields. Upon receiving e-mail authorization from the PI to make the change(s), ORS will make the correction in myGRANT.If items required by the proposal are missing, e.g., letters of commitment, indirect cost waivers, or any other documents or information, or if changes need to be made to any uploaded attachments, ORS releases the proposal record to the PI to make necessary changes. The PI makes changes directly in myGRANT, and/or uploads revised versions of any attachments, then re routes the documents through myGRANT for electronic approval. Once all necessary approvals have been obtained, electronic notice is provided to ORS through workflow process. Pre-Award specialist accesses through action list and continues to process.ORS submits the proposal to the sponsor electronically through Grants.gov, then forwards confirmation e-mail to the PI/FO.

11 SUBMISSION TO SPONSORG/G S2S

ORS submits the proposal to the sponsor electronically through Grants.gov, then forwards confirmation e‑mail to PI/FO.

ORS submits the proposal to the sponsor electronically through myGRANT directly to Grants.gov, then forwards confirmation e‑mail to PI/FO.

G/G NON

ORS submits the proposal to the sponsor electronically through Grants.gov, then forwards confirmation e-mail to PI/FO.

ORS submits the proposal to the sponsor electronically through Grants.gov, then forwards confirmation e-mail to the PI/FO.

OES ORS submits the proposal to the sponsor electronically through the designated system, then forwards confirmation e-mail to PI/FO.

ORS submits the proposal to the sponsor electronically through the designated system, then forwards confirmation e-mail to PI/FO.

H/C ORS notifies the contact on the Form 5 that the proposal packet is ready for pick-up. Department sends proposal packet to sponsor.

ORS notifies the contact designated in myGRANT that the proposal packet is ready for pick-up. Department sends proposal packet to sponsor.

Documents

UH Informational Session Campus Center Ballroom September 21, 2011 myGRANT - Kuali-Coeus ( KC) – UH Plan