Kuali Coeus Project Kickoff

September 9, 2011 Norris Research Tower LG 503/504

Health Sciences Campus

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Christine Lavoie

Director, Research Administration Office of Research

213-821-5537 clavoie@usc.edu

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Agenda

9:00 Welcome Christine Lavoie

9:05 USC’s Research Administration System Randolph Hall

9:15 Renewing USC’s Administrative Systems Ilee Rhimes

9:25 Introduction to Kuali Coeus Bill Bowers Jennifer Love

9:50 Project Timeline and Structure Tim Woodward

10:00 Opportunities and Issues Group Margaret Harrington

10:20 Wrap Up and Next Steps Christine

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Session Objectives

• Mark official start of project • Communicate goals for USC systems

replacement and Kuali Coeus • Introduce features of Kuali Coeus • Inform community of project timeline

and structure • Emphasize user engagement of research

community in the project

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USC’s Research Administration System

Randolph Hall Vice President, Research

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Goals

• Simplify proposal generation, submission and management

• Improve proposal success rate due to increase in quality

• Increase accuracy • Make it possible to grow research at USC • Eliminate need for shadow systems

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Approach

• What Must Software Do to Meet USC’s Needs for Research Administration?

• Understand Needs of All Constituencies: staff and students in departments, centers, schools, central

• Clarify Roles and Responsibilities of all research administration entities

• Reviewed by Research Administration Task Force and faculty groups

• Posted on University Website, Inviting Comments

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What You Want https://research.usc.edu/files/2011/06/RASRequirements_3_7

_2011.pdf

• Cradle to Grave System, Budget Creation to Account Close Out

• Minimize Data Entry/Pre-population of Fields • Automatically Pull Data: Rates, Salaries, etc. • Flexibility: Account for Alternative Approval

Pathways and Budgeting Approaches • Appropriate Security and Privacy • System-to-System Submission • Real-time Obligation of Expenses

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More Requirements

• Portable Web Access, Single Log-in • Around the Clock Access • Accommodate Surges at Proposal Deadlines • Proposal Error Checking • Track Negotiation Process with Automatic

Notifications – Visibility to Proposers • Simplified Effort Reporting • Automated Performance Tracking

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RAS Components

• Pre-Award – Kuali • Post-Award – Kuali • Account Closeout – Kuali • Regulatory/Ethics (IRB,Animal Research,

Conflict of Interest, Safety) – Click Commerce • Business Intelligence – Cognos

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Project Execution

• Significant User Input Prior to Development • Open Design Process with Opportunity for

User Community to Review Specifications and Intermediate Products

• User Testing and Feedback Prior to Release • Documentation and Training

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Starting Points: Ethics/Regulatory

• iStar: IRB system fully implemented • iStar for IACUC: to be deployed in October • Conflict of Interest: deployed by summer 2012 • Lab Safety: deployed end of 2012 • Systems interface to Kuali

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Renewing USC’s Administrative Systems

Ilee Rhimes, CIO and Vice Provost Co-Executive Sponsor with Bob Abeles,

CFO and Sr Vice President, for the Kuali Coeus Project

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Why replace our administrative information systems?

Current systems don’t support USC’s management needs Reporting and analytical support Operational functionality Automated processes

Current systems are built on out-dated technology Operating system no longer widely used Skilled developers and support personnel hard to find Changes to software are time-consuming and expensive

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What will we gain?

Automated routing

Improved business processes

Enhanced reporting and analysis

Modern technical infrastructure

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What other system implementations are underway?

KFS with SciQuest (Spring 2012) • General Ledger • Chart of Accounts • Purchasing • Accounts Payable • On-line catalogue • Capital Asset Management • Budget Construction

Workday (January 2013) • Payroll • Compensation • Workforce planning • Benefits Administration • Hiring and On-boarding • Status Changes (promotions, leaves, etc.) • Personnel File Maintenance • Retirement, resignation, call to duty

Business Intelligence (2011-on-going) • Data warehouse • Standard reports • Ad hoc reporting

Trojan Time (Q1 2012) • Time and attendance

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What other systems are on the roadmap?

Kuali Student Curriculum management Enrollment management Program audit and evaluation Student financials Admissions Scheduling Financial Aid

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Insert PMO Bertha Here

System Choices Kuali is community source software, developed

by a consortium of universities, specifically for higher education.

Kuali Coeus is based on the Coeus research administration system developed at MIT and used by 40 research universities.

Workday is a hosted software service providing state-of-the-art processes for payroll and human resource functions.

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Challenge to the User Community

Successful system implementation is not primarily technical. Without your active engagement and feedback, we cannot deliver a system that meets USC’s needs.

Please stay informed, participate and

communicate!

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Introduction to Kuali Coeus

Bill Bowers Jennifer Love

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Overview Bill Bowers Business Analyst Team Lead

Fully Integrated DatabaseShared by All Modules

Other Shared InfrastructureComponents

& KUALI RICE

Proposal Preparation and Submission

Research Compliance Modules

Award, Subawards, Report Tracking, and Close-Out

Proposal Tracking and Negotiation

Grants.govSubmission Negotiations ARRA

Reporting SubawardsReport

Tracking

IRB/Human Participants

BIRT Reporting

Organizational Management

Work Flow and Business

RulesQuestionnaire

IACUC COI BioSafety (Future)

Radiation Safety

(Future)

Other Compliance

Modules (Future)

Proposal Data Proposal Budget

ProposalLog

Awards Award BudgetInstitute Proposal

Kuali Coeus Elements

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Phased Approach

KC Implementation

Post-Award Go-live Fall 2012

Phase 2: Pre-Award

Go-live Fall 2013

Phased Approach

KC Implementation

Pre-Award

Go-live Fall 2013

Phase 1: Post-Award

Go-live gfall 2012

BIRT ARRA System Tests

Sub-award

2011

Phase 1: Post-Award Modules

Q-3 Q-4 2012

Q-1 Q-2 Q-3 Q-4

Award Award Budget

Sept 2011 – Feb 2012

Negotiations

June – Sept 2012

iStar Integration Report Tracking

Workflow UI

KC-KFS Linkage March – June 2012

BIRT ARRA System Tests

Sub-award

2011

Phase 1: User Involvement

Q-3 Q-4 2012

Q-1 Q-2 Q-3 Q-4

Award Award Budget

Sept 2011 – Feb 2012

Negotiations

June – Sept 2012

iStar Integration Report Tracking

Workflow UI

KC-KFS Linkage March – June 2012

Configuration

Main Menu

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Main Menu

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• The Researcher and Unit tabs are where most users will do their work.

• The Central Admin tab is for institutional administrative work. • The Maintenance tab is where KC system configuration is kept

up to date. • The System Admin tab is for KC system-wide admin work.

Module Tabs

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The tabs on each module identify categories into which your data is divided for simplified entry and retrieval.

Panels

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The panels on each tab identify sub-categories into which your data is further divided.

Sub-panels Contain Details

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Some panels have additional sub-panels for even finer data parsing. This is similar to an outline that displays ever finer detail with each level added.

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Configuration Larry Jackson Business Analyst Configuration Team Lead

Configuration Tabs

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• KC configuration involves both the Maintenance Users and System Administrators Tabs.

• The code tables for Maintenance Users are specific to KC. • The code tables for System Administrators are used

system wide within Kuali.

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Shared Code Tables

The Maintenance Code Tables are organized by Function. We have SHARED tables that are used in two or more of the KC Modules or Sub-modules Activity Type Appointment Type Argument Value Lookup Budget Category Budget Category Mapping Budget Category Maps Budget Category Type Budget Category Type Comment Type Cost Sharing Type Custom Attribute Custom Attribute Doc F&A Rate Types Institute La Rate

Institute Rate Investigator Credit Type Keywords Non-employee Lookup Notice of Opportunity NSF Science Code Object Code Organization Organization Type List Person Document Type Proposal Type Rate Class Rate Class Type Rate Type

Question Questionnaire Question Category Question Type Special Review Approval Status Special Review Approval Type Valid Special Review Approval Valid Calculation Type Valid Cost Element Job Code Valid Cost Element Rate Type Unit Administrator Yes/No Questions

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Proposal Code Tables Abstract Type Budget Categories Budget Status Mail Type Object Code Deadline Type Degree Type IP Review Activity Type IP Review Requirement Type IP Review Result Type Job Code Mail By Narrative Status Narrative Types Person Document Type

Person Table Editable Columns Proposal Dev Editable Columns Proposal Development Status Rate Class Rate Type S2S Submission Type S2S Revision Type Valid Calculation Type Valid Cost Element Rate Type Institutional Proposal Status Proposal Log Status Proposal Log Type To Be Named Person

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Award Code Tables

Account Type Attachment Type Award Status Award Type Basis of Payment Valid Award Basis of Payment Valid Class Report Frequency Valid Frequency Base Valid Basis and Method of Payment Contact Type

Distribution Frequency Frequency Base Method of Payment Report Report Class Report Status Sponsor Template Sponsor Terms Award Transaction Type

There are a variety of other code tables in KC; they are related to Sub-modules.

There are also code tables specific to AWARDS

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Activity Code Tables

The Activity Type Code Table is an example of a typical KC Code Table.

Activity Type Description

1 Research 2 Instruction 3 Public Service 4 Clinical Trial 5 other 6 Fellowship - Pre-Doctoral 7 Fellowship - Post-Doctoral 8 Student Services 9 Construction

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Activity Code Tables

• The command elements to all code tables are an identifier such as the Activity_Type and a Description;

• They are used by the system to store data and display data respectively.

The content of the various code tables can be modified to fit USC needs.

Activity Type Description

1 Research 2 Instruction 3 Public Service 4 Clinical Trial 5 other 6 Fellowship - Pre-Doctoral 7 Fellowship - Post-Doctoral 8 Student Services 9 Construction

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Award Templates

• Award set up is facilitated by the use of pre-defined Award Templates that contain the standard terms and conditions, contacts, billing data and other information specific to an agency and award type.

• KC has over 200 Templates built-in. • Templates can be easily created or modified to meet USC

needs.

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Custom Attributes

One of the great features to KC is the ability to add custom fields on the fly with no program changes. Thus, a new field can easily be created to meet USC data needs not covered by the code tables.

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System Screen

• System Admin code tables are Universal to the Kuali environment.

• These tables include elements for Identity Management, Workflow and System Notification, among others.

• Another nice feature is that Kuali uses parameters to define many of the variables. This makes it easy to make modifications without having to rewrite system code.

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Functional Jennifer Love Business Analyst Functional Team Lead

Award

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• Track and manage basic information about the award. • Link to an existing proposal to pull in proposal & budget

information. • Use a sponsor template to set up default terms, contacts,

and reports.

Contacts

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• Track award personnel and credit splits. • Manage internal and external contact information.

Commitments

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• Track cost-sharing commitments. • Track F&A and benefits rates. • Track sponsor and institution pre-award authorizations.

Payment, Reports & Terms

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• Manage payment / invoicing schedules. • Manage reporting schedules and submissions. • Track award terms & conditions. • Track special approvals. • Track closeout requirements and submissions.

Special Review

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Indicate special review requirements, if any.

Custom Data

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KC allows the creation of custom data attributes that can be tracked and used for reporting.

Comments, Notes & Attachments

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• Add comments and notes. • Upload attachments to the award.

Award Actions

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• Use data validation to check for errors or missing data. • Hierarchy allows creation of satellite awards. • Print sections of or all of an award. • Route the award for approval in pre-determined workflow

or ad-hoc routing.

Budget Versions

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• View an overview of the budget. • Manage multiple budget versions. • Set budget limits.

Budget Rates

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• Manage F&A rates. • Manage fringe benefits rates. • Manage inflation rates. • Manage vacation rates. • Manage other rates.

Personnel Costs

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Track and manage personnel costs for the award budget.

Non-Personnel Costs

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Track and manage non-personnel costs for the award budget (equipment, travel, participant support, other).

Distribution & Income

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• Track cost-sharing commitments. • Track unrecovered F&A. • Track project income.

Budget Actions

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• Manage budget justifications. • Use data validation to check for errors or missing data. • Route the budget for approval in pre-determined workflow

or ad-hoc routing.

Time and Money

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• Track obligated amounts and dates. • Track anticipated amounts and dates. • Distribute funds across multiple awards in a hierarchy.

KC Project Timeline, Approach and Structure

Tim Woodward Program Director

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Kuali Coeus Timeline

Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep

Planning

Post Award

Pre-Award

Reporting

2011 2012 2013

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Phase 1: Post-Award Modules

Sept 2011 – Feb 2012

• Award • Award Budget • KC-KFS Links

March – April 2012

• Sub-award • Negotiation • iStar Integration • Report Tracking • Workflow User

Interface

May – August 2012

• BIRT Integration • ARRA Reporting • Full System

Testing

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Module Analysis & Development

Fit / Gap Analysis

• Review current USC research admin processes, data, and systems

• Determine how the KC module can meet USC functional needs

Design

• Determine how to implement the KC module at USC

• Create specifications for any development work needed

Develop / Configure

• Perform customization work for the KC module

• Configure KC tables with USC data

Test / Regression

Test

• Test modified code for feature and functionality

• Validate that the KC module meets functional requirements

• Test against all previous modifications

• Add module to Model Office

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Kuali Coeus: Research Administration System Project Governance Structure

Executive Steering Committee

Bob Abeles, Randy Hall Ilee Rhimes and

ESC Advisory Committee

BOT Finance Committee

Project Director

Tim Woodward

Technical Operations

Asbed Bedrossian, Phil Berres

User Input and

Feedback Christine Lavoie

Systems Integration

(TBD)

Data Mapping & Detail Gap Analysis Data Migration Planning Project Plan Maintenance Systems Change Management Systems Documentation

Purpose – to provide executive leadership guidance, advise and advocacy for the project as well as feedback on status reports, milestones and risks.

Purpose – To ensure that business process goals and objectives; and functional requirements are defined and fulfilled.

Purpose – To ensure that the required applications, interfaces and technology are installed/integrated to support the business requirements; and to ensure that required training and documentation is developed and delivered.

Business Process

Documentation and Training

Margaret Harrington

User Engagement

Processes and Requirements Christine Lavoie

(in collaboration with Margaret Harrington)

Research Administration Task Force

Chair: Jeri Muniz, Functional Requirements

Advisory Committee

Financial Tracking Maria Lam

Project Review Robert Johnson, Ilee Rhimes,

Ken Wozniak

Quality Assurance John Hrusovsky

Architecture Infrastructure Capacity Planning Portal Authentication Security Disaster Recovery Development Platform Production Platform Network

Business Process Specs Functional Specifications Functional Requirements User Documentation User Training Help Desk Orientation

Advisory Working Groups User Acceptance Testing Communications Business Process Review Change Management

Application Development

Mark Morris

Systems Integration

Stephanie Honda

Specification Definition System Design & Configuration System Interfaces Coding Process Automation Unit and System Testing Deployment BI/Reporting technology Technology Change Management Operations Turnover Systems Documentation

Purpose – To oversee project implementation - ensure that project deliverables are successfully implemented on-time and on-budget.

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BOT Finance Committee

Approves all system replacement projects and funding

Project Roles – Governance

Executive Steering Committee

Bob Abeles, Randy Hall Ilee Rhimes and

ESC Advisory Committee

Project Roles – Governance

Provides… • executive leadership guidance • advice and advocacy for the project • feedback on status reports, milestones and risks

Research Administration Task Force

Chair: Jeri Muniz, Functional Requirements

Advisory Committee

Ensures that business process goals, objectives and functional requirements are defined and fulfilled

Project Roles – Governance

User Input and

Feedback Christine Lavoie

Advisory User Groups

• Will articulate needs and preferences for the system

• Will be heavily involved in system testing and training program development

Project Roles – Users Advisory User Groups

User Input and

Feedback Christine Lavoie

Project Teams

• Consists of departmental and central staff

• Will translate USC business needs into detailed functional specifications

Project Roles – Users Project Teams

User Input and

Feedback Christine Lavoie

Research Administrators Forum

Will provide a venue for regular updates and feedback

Project Roles – Users Research Administrators Forum

User Input and

Feedback Christine Lavoie

Focus Groups, Surveys, Briefings

Other methods will be used to solicit user input on specific functionality and issues

Project Roles – Users Focus Groups, Surveys, Briefings

Project Roles – Staff Project Director

Ensures project is successfully implemented on-time and on-budget

Project Director

Tim Woodward

User Engagement

Processes and Requirements Christine Lavoie

(in collaboration with Margaret Harrington)

Project Roles – Staff User Engagement

Ensures appropriate and productive user involvement throughout the project, including effective communication, training and documentation

Technical Operations

Asbed Bedrossian, Phil Berres

Systems Integration

(TBD)

Application Development

Mark Morris

Systems Integration

Stephanie Honda

Project Roles – Staff Technical Teams

Ensure that the required applications, interfaces and technology are installed/integrated to support the business requirements

Technical Teams

User Input and

Feedback Christine Lavoie

Business Analysts

Project Roles – Staff Business Analysts

• Collect, document and communicate user and system requirements

• Serve as key liaisons between the project teams and applications developers

• Perform system testing

Technical Operations Asbed Bedrossian,

Phil Berres

Business Process

Documentation and Training

Margaret Harrington

Application Development

Mark Morris

Systems Integration

Stephanie Honda

Business Analysts

Project Staff

Project Director Tim Woodward User Engagement Christine Lavoie Margaret Harrington Technical Team Leads Mark Morris Stephanie Honda Asbed Bedrossian Phil Berres Business Analysts Bill Bowers Jennifer Love Larry Jackson

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Getting your feedback

Margaret Harrington 213-821-2100

harringt@usc.edu

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Group Discussion

• At your table, spend 10 minutes discussing the questions on the next slide

• Delegate a recorder and reporter for the table • After the table discussions, reporters will be

invited to share an idea or issue from various tables

• At the end of the session, please leave the recorder’s notes on the tables

• We will transcribe your input to inform the work of the project team

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Table Discussion

• What opportunities does the Kuali Coeus project present?

• What concerns do you want us to address either about the upcoming project or our existing research administration processes?

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Next Steps User Groups • Schedule first meeting for early October • Divide user focus groups according to area of RA

expertise/specialty Website dedicated to the KC project • User community central • Access to most up-to-date information on KC project • Ask questions or provide feedback Continue data mapping Reporting requirements

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Resources

Research Administration System Requirements https://research.usc.edu/files/2011/06/RASRequirements_3_7_2011.pdf

Kuali Foundation: www.kuali.org

Kuali Financial System at USC: www.usc.edu/kuali

Kuali Coeus at USC website: coming soon!!

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ADJOURN

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