National Council of University Research Administrators

© National Council of University Research
Administrators FRA IX Conference 2008




National Council of University
Research Administrators


Financial Research Administration IX:

Financial Research Administration in a Climate of Change

Ellen Feldman

Senior Specialist
-

Project Cafe: Financial Management Systems
Replacement

Northwestern University


Scott McNeal

Director, Enterprise Research Applications

Partners Healthcare System


February 2008

© National Council of University Research
Administrators FRA IX Conference 2008

Agenda


Introductions


Opportunities for automation of research enterprise


Northwestern and Partners Healthcare Experiences


Implementations/eRA capabilities


Perceived vs. Actual Benefits


Challenges and Lessons Learned

© National Council of University Research
Administrators FRA IX Conference 2008

What is Northwestern’s

Research System Philosophy?


Create integrated eRA (electronic research
administration) environment that encompasses:


“Best of breed” software solutions


Integration through interfaces


Related Research systems


University Core systems


Portal
–
single point of access by role


Single sign
-
on via internet and vpn


© National Council of University Research
Administrators FRA IX Conference 2008

Northwestern

Research System Initiatives



XX


XXX


XX

Software Solution

Process

Implementation

InfoEd Proposal Tracking

Proposal Tracking

July, 2007

InfoEd Proposal
Development

Proposal Development

Calendar 2009

PeopleSoft Grants

Post Award Management

September, 2008

Cognos
-
( for InfoEd data)

Cognos
-

( for PeopleSoft
data)

Reporting (Proposals and Awards)

July, 2007

September, 2008

Maximus

Effort

September, 2005

eIRB

Human Subject Protocol Submission &
Review

May, 2006

Granite/Topaz

Animal Subject Protocol Submission &
Review

May, 2006

Granite


Animal Facility Management

October, 2006

ISIS

Research Safety (web
-
based)

February, 2007

© National Council of University Research
Administrators FRA IX Conference 2008

Northwestern
–
Benefits



Enables integrated solution for research data


Facilitates Compliance


Provides easy access to real
-
time data on demand


Improves accuracy & efficiency



© National Council of University Research
Administrators FRA IX Conference 2008

What are Northwestern’s Challenges



Change Management


Process


Project Scope


Surprise !




© National Council of University Research
Administrators FRA IX Conference 2008

Northwestern’s Challenges

Change Management



Manage Expectations


Communicate (positively!) what is changing


Communicate what will remain the same


Change the “status quo”


Incorporate process improvements in system replacements


Examine and refine internal policies


Communicate and translate impact of change


Provide tools to examine impact on staffing


Conduct Transition Workshops prior to training





© National Council of University Research
Administrators FRA IX Conference 2008

Northwestern’s Challenges

Process


Multiple Project Owners for various systems


Office for Research


Project Café


Controller’s Office


Optimal Business Owner Involvement


Internal personnel should be deeply involved in the project


Identify and engage senior staff


Encourage the use of
backfill

to dedicate internal personnel



© National Council of University Research
Administrators FRA IX Conference 2008

Northwestern’s Challenges

Project Scope


Software


Juggle multiple vendors at different points in life cycle


Minimize modifications to purchased software


Historical Data Conversion


Identify and manage the monumental data clean
-
up!


Coordinate efforts of business offices and project team


Interface coordination and development


Time (and money!)



© National Council of University Research
Administrators FRA IX Conference 2008



“Best of Breed” breeds..

A Northwestern Challenge
-

Interface Map

© National Council of University Research
Administrators FRA IX Conference 2008

Northwestern: Lessons Learned



Change Management: Address the fear of change through
Implementation Readiness =

Communication + Training + Transition Workshops


Transition Workshops for PeopleSoft: Role
-
based


Chart of Accounts


Purchasing & Procurement


Budget and Spending Mechanics


What’s New with General Ledger


Grants Overview







© National Council of University Research
Administrators FRA IX Conference 2008

Northwestern: Lessons Learned


Process: Balance of Resources


Internal vs. external (consultants)


Project vs. process owner


Scope: Management of Project Scope


Time vs. Scope vs. Money


Recognition as university priority




© National Council of University Research
Administrators FRA IX Conference 2008

Pre and Post Award

System Project Highlights


Financial Management Replacement (Project Café)


PeopleSoft Financials


Replacing university’s financial system (CUFS)


Scope: Procurement, Chart of Accounts, Grants


InfoEd


Proposal Tracking
-

Replaced legacy tracking system


Proposal Development
-
create, route, electronic submission


Cognos
-

Budgeting and Reporting


FAMIS
-

Facilities Management Information System


© National Council of University Research
Administrators FRA IX Conference 2008

Northwestern
-

Lessons Learned
Project Organization


Insert my wheel slide


© National Council of University Research
Administrators FRA IX Conference 2008

Northwestern
-

Lessons Learned

Feature: Reporting


Objective: Facilitate data delivery to distributed
end users


Perceived Benefit:


Provide real
-
time data access


Eliminate shadow systems


Meet approved end user requirements


Utilize one reporting tool to deliver data from multiple sources










© National Council of University Research
Administrators FRA IX Conference 2008

Northwestern: Lessons Learned

Feature: Reporting


Result: Cognos reports on InfoEd and PeopleSoft
data


Actual (and anticipated!) Benefits:


Provide data access to proposal and award data not previously
accessible by schools/units/faculty


Eliminate shadow systems


Engage end users in design and mock
-
up of reports


Utilize one reporting tool to deliver data from multiple sources










© National Council of University Research
Administrators FRA IX Conference 2008

Cognos Reporting

Key InfoEd Proposal Tracking
Reports


Award & Proposal Summary: Management Area or
Sponsor Type


Faculty Proposal and Award Activity


Monthly Award and Proposal Detail: School/PI/Dept.


Negotiation: Status or Notes


Cost Sharing: Proposed and Funded


“Other Support Form/Current and Pending” Data


Proposal Success: Hit Rate, Funded %









© National Council of University Research
Administrators FRA IX Conference 2008

Northwestern
-

Lessons Learned

Feature: Reporting


Challenges


Provide the tools to use the system


Offer training


Deliver supporting documents (on
-
line)


Enable end users to utilize the information


Vision: How to incorporate the data into business management


Provide guidance and resources after initial training


“Match” end users together to share experiences










© National Council of University Research
Administrators FRA IX Conference 2008

What is Partners?


Boston
-
based integrated healthcare delivery system


academic medical centers, primary care and specialty
physicians, community and specialty hospitals, health centers
and home care.



Founding members include Massachusetts General Hospital and
Brigham and Women’s Hospital


Affiliate of Harvard Medical School


Over $4B in annual operating revenue


One of the largest biomedical research centers in the US
–

20%
of revenue


Strong commitment to eRA initiatives to innovate, automate and
modernize the processes around research administration





© National Council of University Research
Administrators FRA IX Conference 2008

Research at Partners Hospitals


Research portfolio at approximately $1B annually


Annual growth outpacing the clinical practice


Over 12,000 research funds under management


3500 investigators


23 research space locations across Boston


5600 grant applications/3000 IRB applications processed in last
12 months


Over 1800 sponsors
–

60% NIH





© National Council of University Research
Administrators FRA IX Conference 2008

Research at Partners Hospitals



Complex organization


Partners
–

executive leadership


Hospital
-
based operations (grants/contract, finance, IACUC,
space management, etc.) and executive leadership


Clinical research programs


Hospital
-
based departmental leadership and research focus


Distributed research operations across Boston







© National Council of University Research
Administrators FRA IX Conference 2008

History


Fragmented focus on the processes of research


Different solutions implemented to satisfy specific operations only


IACUC, IRB, Grants and Contracts, etc.


Various tools and technologies used


Access, Excel, Email, etc.


Heavy investment in manual process


More IT focus on clinical operations and enterprise solutions


PeopleSoft, electronic medical records, etc.


Lack of Mac support across the system


Little understanding of IT needs and investment

© National Council of University Research
Administrators FRA IX Conference 2008

Research Enterprise Applications Group


Formed four (4) years ago to support all of research administration
functions


Integrated resources housed in various business offices


Moved out of research operations and into a new division Partners
Information Systems focused on supporting all of research


Admin systems, Computational Clusters, Network service levels for
research facilities, Clinical Research Initiatives, and Genetics/Genomics


Organization of a technical systems architecture for connection
and integration of applications


Commitment from research leadership and business offices


Execution of electronic research administration (eRA) strategy



© National Council of University Research
Administrators FRA IX Conference 2008

Research Administration and IT


Strong commitment at Partners Research Admin to invest in technology


Environment of competing resources


Invest in systems or more bodies to do the work


Time dedicated to making the right decisions


Technology as the enabler not the solution


The system will not solve all problems


Bridging the language gap between offices


Wire frames, data schemas, xml, etc.


COIs, RO1s, Expedited, PA, etc.


Team cultures


Buried in paper vs. the great clean desk

© National Council of University Research
Administrators FRA IX Conference 2008

Partners eRA Initiatives


Insight 2.1 Integrated eRA Portal


eIRB w/ electronic submission and routing


eGrant submission via InfoEd


Personnel salary planning and effort management


Enterprise financial and operational reporting


Conflict of Interest Reporting


Electronic Grants Management System


InfoEd Grants Management


Online Grants submission with work flow


Distributed system access across the community


Billing and Accounts Receivable Automation


PS Grants 8.9 Implementation



Tight integration with Grants management system


Enterprise Online Training


Adobe Connect


New Research Content Management System/Portal


Interwoven


Intellectual Property Management


Knowligent


Enterprise Research Space Management System



Core Facilities Management Application

© National Council of University Research
Administrators FRA IX Conference 2008

2007 Achievements


Go Live of eIRB to automate over 6,000 transactions
submitted to the Office of Human Subjects protection
annually


Implementation of InfoEd’s Proposal Tracking Module to
support the transition of all PHS Grants and Contracts offices
and Clinical Research Office off of legacy system


Deployment of PS 8.9 Grants, Contracts, Projects, Billing and
AR Modules


Complete rewrite of Insight platform


Partners Research Portal

© National Council of University Research
Administrators FRA IX Conference 2008

2007 Accomplishments


Delivery of new TIMI and Device Tracking databases from Clinical
Research Office and migration off of legacy system


Rollout of Budget Builder module to support clinical research trials


Integration with charge masters from MGH and BWH


Delivery of new Reporting module


Migration of reports out of ReX for broader community distribution


Implementation of new Conflict of Interest Module


First solution to support users outside of the research community


Online learning infrastructure using Adobe’s GetConnect


Construction of over 60 online training modules


New research intranet content management system



© National Council of University Research
Administrators FRA IX Conference 2008

2007 Accomplishments


Deployment of 7 new modules on top of the Insight 2.0 platform:


Agreements


Purchasing


Personnel


eIRB


Conflict of Interest


Reporting


Administration


Continued to support of ReX and Insight during the transition



© National Council of University Research
Administrators FRA IX Conference 2008





© National Council of University Research
Administrators FRA IX Conference 2008





Insight Infrastructure:


Integration point of all research related data across systems


G/C, IRB, IACUC, Clinical Research, Patents, Inventions, Financials,
etc.


Security Infrastructure to segment utilization


PHS, Hospital, Department, Lab, PI, Project


Web
-
based
–

platform independent


Scalable for future use and integration


InfoEd PD/PT

© National Council of University Research
Administrators FRA IX Conference 2008

Integrated Grants Activities:


Online Grant Submission for all proposals


Distributed pre
-
post award tracking


Aggregated financial reporting by program
project, investigator, research program


Subcontract status


Salary expenses by week for the life of the
project


Effort commitments to sponsors


InfoEd PD/PT

© National Council of University Research
Administrators FRA IX Conference 2008

Integrated Human Studies Activities:


Automated eIRB using ‘smart forms’


Forms management tools available to
administrators with the human research office


Research document storage


Validation of proposals before submission


Real
-
time tracking of status and reporting


eSignatures


InfoEd PD/PT

© National Council of University Research
Administrators FRA IX Conference 2008

Integrated Animal Studies Activities:


Automated IACUC using ‘smart forms’


Forms management tools available to
administrators with the human research office


Protocol associated document storage


Validation of proposals before submission


Real
-
time tracking of status and reporting


eSignatures


InfoEd PD/PT

© National Council of University Research
Administrators FRA IX Conference 2008

Integrated Clinical Research Activities:


Budget Development tool for trial budgets
based on hospital costs plus other
administrative and salary costs


Tracking of expenses to project charges and
future reconciliation


Integration with electronic data capture upon
enrollment


Connection to IRB renewal with number of
subjects enrolled


InfoEd PD/PT

© National Council of University Research
Administrators FRA IX Conference 2008

Integrated Procurement Activities:


Track expenditures by lab and project


Report on expenditures with different
vendors


Enter transactions for reconciliation
against hospital systems


InfoEd PD/PT

© National Council of University Research
Administrators FRA IX Conference 2008

Integrated Personnel Activities:


Salary and budget plans by person across
research projects crossing fiscal years


Integrated into financial reports


Tracking of effort vs. salary commitments


Viewing salaries on projects ending


Reviewing actual salary pay history with
charges across grants


InfoEd PD/PT

© National Council of University Research
Administrators FRA IX Conference 2008

Integrated Reporting Activities:


Tracking of key data points across the
enterprise


Expenditures


Success rates


Space and density


Timelines for processes

InfoEd PD/PT

© National Council of University Research
Administrators FRA IX Conference 2008

Assessment


Evaluate the current states of your organization


Identify primary areas of focus


Business flows and intersections


Evaluate hospital/university and departmental shadow
systems


Secure capital seed funding to develop further concepts
and justify returns on investment


Build vs. buy





© National Council of University Research
Administrators FRA IX Conference 2008

Assessment


Locate common data sources


Investigators, sponsors, security guidelines, etc


Coordinate activities to obtain necessary data feeds


Plan, plan and plan






© National Council of University Research
Administrators FRA IX Conference 2008

Making it Work
…
.


Form strong partnerships


IT and Research Leadership


Project teams and research operations


Break down the barriers


Need for sharing of information and data across the research processes


Inclusion of all offices, hospital departments and investigators


Strong leadership to ensure commitment


Develop an overall vision and strategy for execution


eRA committee, shared collective responsibilities


External factors already forcing change
–

Grants.gov, increased oversight,
regulations, etc.


Understand the budget process


Money and investment required

© National Council of University Research
Administrators FRA IX Conference 2008

Lessons Learned


Strong central leadership required to keep everyone on the
same page


Significant investment necessary to develop or implement all
services


There will be periods where the skeptics are the loudest voices


People say they need the information until they have it


Obtaining necessary data is not straightforward


Data merging and cleanup can be a painful process


Establish key goals and meet them as best you can





© National Council of University Research
Administrators FRA IX Conference 2008

Lessons Learned


If you are working with vendors, structure contracts so that
payments are contingent upon successful milestones


Hire the right talent
–

analysts, project managers, engineers
and data administrators


Establish clear technical and operational standards and stick
to them


Include everyone in the process at various points


The benefits of a modern and efficient research administration
process is important for us all…