Research Administration Records Management

Katherine J. Ranes - ECURE 2005

Research Administration Records Research Administration Records ManagementManagement

Case Study and Issues at Case Study and Issues at Arizona State UniversityArizona State University

Katherine J. RanesKatherine J. Ranes


AgendaAgenda

• Scope of Research AdministrationScope of Research Administration• Introduce ASU structureIntroduce ASU structure• National trends in Electronic Research National trends in Electronic Research

AdministrationAdministration• ASU response – Research Information ASU response – Research Information

System ProjectSystem Project• Issues/futuresIssues/futures• Questions/DiscussionQuestions/Discussion

Katherine Ranes ECURE 2005


Research AdministrationResearch Administration

• Looking for fundingLooking for funding• Sending the Sending the

proposalproposal• Receiving the awardReceiving the award• Administering the Administering the

awardaward

• Ensuring Ensuring compliancecompliance

• Sharing research Sharing research findingsfindings

• Preparing cost Preparing cost proposalsproposals

• •


Who are the stakeholders?Who are the stakeholders?

Investigator, Researcher

Sponsor

Institution

Research Administrator


Arizona State University ContextArizona State University Context

• Large institution across multiple locationsLarge institution across multiple locations• Increasing research activityIncreasing research activity• Central Research Administration (ORSPA)Central Research Administration (ORSPA)

– Proposals– Awards– Compliance– Etc.

• Diverse technologyDiverse technology• Central Information Technology supportCentral Information Technology support


National TrendsNational Trends

“The Internet changes everything.”

- everybody

Federal Law – Public Law 106 -107 Federal Financial Assistance Management Improvement Act of 1999


Electronic Research AdministrationElectronic Research Administration

• Electronic media – most research Electronic media – most research administration records exist in administration records exist in electronic formelectronic form

• Electronic communication – email, fax, Electronic communication – email, fax, webweb

• Electronic financial transactionsElectronic financial transactions• Electronic systems for reportingElectronic systems for reporting• Problem - integrationProblem - integration


We know it’s possible!We know it’s possible!


National LandscapeNational Landscape

• Federal electronic web portals (federal Federal electronic web portals (federal demonstration project)demonstration project)

• Service agreements with vendorsService agreements with vendors• ERP systems ERP systems • Web-based systems/workflowWeb-based systems/workflow• Research Administration Systems Research Administration Systems • Document Management Systems Document Management Systems

(document imaging)(document imaging)


ASU Research Information SystemASU Research Information System

• Step one – Establish systems for Step one – Establish systems for research administration as an research administration as an “Enterprise System”“Enterprise System”– Central Support– Institution-wide Audience– System of record


ASU Research Information SystemASU Research Information System• ResourcesResources• ExposureExposure• Focus across the Focus across the

institutioninstitution• Institution Institution

responsibility vs. responsibility vs. unit responsibilityunit responsibility

• More robust More robust computing computing environmentenvironment



• Step two – Convert data to new Step two – Convert data to new Research Information System.Research Information System.– Chose Coeus, a system developed by MIT– Converted data and business processes– Implement 7/1/2003– Establish security and production

environment for university-wide system– Add to data warehouse– Integrate with HR and financial system– Active in national Coeus community



• Before – paper file Before – paper file and various and various computer files for computer files for reportingreporting

• After – integrated After – integrated computer system for computer system for reporting and reporting and reference, still much reference, still much in paperin paper



• Step three – Expand use of Coeus Step three – Expand use of Coeus beyond central office to research unit beyond central office to research unit administratorsadministrators– Common data language– System of record– Faster information– Pilot Spring 2004, complete roll-out Fall

2005



• BeforeBefore– Official record in the

central research administration office (ORSPA)

– Shadow systems in unit offices

– Communication of the record is in paper documents



• AfterAfter– One system of record

(Coeus and Sponsored Data Warehouse populated from Coeus)

– Units don’t need paper to know what is happening

– Still a lot of paper as back-up for system

– Still some unit systems



• Step four – Extend Coeus to researchersStep four – Extend Coeus to researchersWeb-based forms/processWeb-based reports

– Use Coeus for proposal development– Workflow for proposal routing and approval

within Coeus



• FuturesFutures– Use Coeus to integrate with compliance

committees– Use Coeus with a Document Management

System • Integrate structured data with unstructured• Provide security and access• Manage the document life-cycle

– Use Coeus with federal systems (to integrate with outside sponsor)


We did it!We did it!


Issues/DiscussionIssues/Discussion

• Identity – securityIdentity – security• Cross organization collaborationCross organization collaboration• Competing ownershipCompeting ownership• Different cultures/valuesDifferent cultures/values• New role for research administrators as New role for research administrators as

record managers record managers • New role for research administrators as New role for research administrators as

information policy makersinformation policy makers


Questions/DiscussionQuestions/Discussion


Contact InformationContact Information

Katherine Ranes

Information Technology

Arizona State University

Tempe, AZ 85287- 0101

Phone: 480 965 2772

Email: [email protected]


ReferencesReferences

• ASU Research Administration website ASU Research Administration website http://researchadmin.asu.eduhttp://researchadmin.asu.edu

• National Council of University Research National Council of University Research Administrators Administrators http://www.ncura.eduhttp://www.ncura.edu

• Coeus site at MIT Coeus site at MIT http://web.mit.edu/coeus/www/http://web.mit.edu/coeus/www/

• Federal sitesFederal sites– http://www.grants.gov/– https://www.fastlane.nsf.gov/fastlane.jsp

http://researchadmin.asu.edu/

http://www.ncura.edu/

http://web.mit.edu/coeus/www/

http://www.grants.gov/

Research Administration Records Management

Documents

Transcript of Research Administration Records Management