Research Administration Records
Management
Case Study and Issues at
Arizona State University
Katherine J. Ranes
Katherine J. Ranes - ECURE 2005

Agenda
• Scope of Research Administration
• Introduce ASU structure
• National trends in Electronic Research
Administration
• ASU response – Research Information
System Project
• Issues/futures
• Questions/Discussion

Research Administration
• Looking for funding
• Sending the proposal
• Receiving the award
• Administering the award
•
•
• Ensuring compliance
• Sharing research findings
• Preparing cost proposals
Katherine J. Ranes - ECURE 2005

Who are the stakeholders?
Investigator,
Researcher
Research Administrator
Sponsor
Institution
Katherine J. Ranes - ECURE 2005

Arizona State University Context
• Large institution across multiple locations
• Increasing research activity
• Central Research Administration (ORSPA)
– Proposals
– Awards
– Compliance
– Etc.
• Diverse technology
• Central Information Technology support
Katherine J. Ranes - ECURE 2005

National Trends
“The Internet changes everything.”
- everybody
Federal Law – Public Law 106 -
107 Federal Financial
Assistance Management
Improvement Act of 1999
Katherine J. Ranes - ECURE 2005

Electronic Research Administration
• Electronic media – most research administration records exist in electronic form
• Electronic communication – email, fax, web
• Electronic financial transactions
• Electronic systems for reporting
• Problem - integration
Katherine J. Ranes - ECURE 2005

We know it’s possible!
Katherine J. Ranes - ECURE 2005

National Landscape
• Federal electronic web portals (federal demonstration project)
• Service agreements with vendors
• ERP systems
• Web-based systems/workflow
• Research Administration Systems
• Document Management Systems
(document imaging)
Katherine J. Ranes - ECURE 2005

ASU Research Information System
• Step one – Establish systems for research administration as an
“Enterprise System”
– Central Support
– Institution-wide Audience
– System of record
Katherine J. Ranes - ECURE 2005

ASU Research Information System
• Resources
• Exposure
• Focus across the institution
• Institution responsibility vs. unit responsibility
• More robust computing environment
Katherine J. Ranes - ECURE 2005

ASU Research Information System
• Step two – Convert data to new
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
Katherine J. Ranes - ECURE 2005

ASU Research Information System
• Before – paper file and various computer files for reporting
• After – integrated computer system for reporting and reference, still much in paper
Katherine J. Ranes - ECURE 2005

ASU Research Information System
• Step three – Expand use of Coeus beyond central office to research unit administrators
– Common data language
– System of record
– Faster information
– Pilot Spring 2004, complete roll-out Fall
2005
Katherine J. Ranes - ECURE 2005

ASU Research Information System
• Before
– Official record in the central research administration office
(ORSPA)
– Shadow systems in unit offices
– Communication of the record is in paper documents
Katherine J. Ranes - ECURE 2005

ASU Research Information System
• After
– 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
Katherine J. Ranes - ECURE 2005

ASU Research Information System
• Step four – Extend Coeus to researchers
Web-based forms/process
Web-based reports
– Use Coeus for proposal development
– Workflow for proposal routing and approval within Coeus
Katherine J. Ranes - ECURE 2005

ASU Research Information System
• Futures
– 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)
Katherine J. Ranes - ECURE 2005

We did it!
Katherine J. Ranes - ECURE 2005

Issues/Discussion
• Identity – security
• Cross organization collaboration
• Competing ownership
• Different cultures/values
• New role for research administrators as record managers
• New role for research administrators as information policy makers
Katherine J. Ranes - ECURE 2005

Questions/Discussion
Katherine J. Ranes - ECURE 2005

Contact Information
Katherine Ranes
Information Technology
Arizona State University
Tempe, AZ 85287- 0101
Phone: 480 965 2772
Email: kranes@asu.edu
Katherine J. Ranes - ECURE 2005

References
• ASU Research Administration website http://researchadmin.asu.edu
• National Council of University Research
Administrators http://www.ncura.edu
• Coeus site at MIT http://web.mit.edu/coeus/www/
• Federal sites
– http://www.grants.gov/
– https://www.fastlane.nsf.gov/fastlane.jsp
Katherine J. Ranes - ECURE 2005