UC Irvine Kuali Coeus Project Charter

UC Irvine Kuali Coeus Project Charter Project Name: Business Unit/Program Area Project Sponsors: Kuali Steering Committee: Project Manager: Technical Manager: Functional Manager: Kuali Coeus Implementation Project Office of Research Wendall Brase, Sue Bryant Rich Andrews, Mark Askren, Chris Hansen, Rich Lynch, Paige Macias, Sinqui Musto, Jim Pavelko, Mark Warner Janet Mendoza Carmen Roode Isabelle Liu Proposed Project Start Date: January 1, 2009 Proposed Project End Date: March 30, 2010 Date Submitted: March 30, 2009 Date Approved: Version: 1.2 Last Updated: May 13, 2009 UCI KC Project Charter 1

Change Record Date Author Version Change Reference 04/03/09 Janet Mendoza 1.0 Add to 4.0 Scope: Install standalone Rice Change to 5.0: Strike A&BS vision Add campus vision Add to 9.0 Milestones: Conduct parallel testing 05/13/09 Janet Mendoza 1.1 Change to 1.0 Introduction: Strike: and convert in first sentence Change to 3.0 Objectives: Add: 8. Minimize implementation costs Change to 4.0 Scope: Add: spell-out IRB and COI Change to 5.0 Strategic Business Alignment: Add: The at beginning of first sentence UCI KC Project Charter 2

Change to 6.0 New Processes and Process Modification: Replace: we expect to see with included Replace: cost pools with cost categories Replace: which-onblack with older Strike: the same Change to 7.0 Roles and Responsibilities: Add: Projects to Kuali Steering Committee Replace: KC Management with KC Advisory Group Add: Timothy Brooks Add: Kuali Projects to Project Manager, Technical Manager, and Functional Manager Add: KC to PM Team, Technical Team, Communication Coordinator, Work UCI KC Project Charter 3

Group Leads, User Test Group, Training Coordinator, and Help Desk Coordinator Change to 8.0 Organization: Replace: Project Management Team with KC Project Advisory Group Add: Timothy Brooks to KC Project Advisory Group Change to 9.0 Major Milestones and Activities: Replace: campus approval with OR and A&BS Change to 13.0 Budget Summary Strike: Year 2 Add: hardware and maintenance costs will continue in subsequent years UCI KC Project Charter 4

UCI KC Project Charter 5

1.0 INTRODUCTION In December 2008, the Office of Research (OR) and Administrative and Business Services (A&BS) partnered in an effort to streamline the current paper-based grant proposal submission process at UC Irvine. In January 2009, a Memorandum of Understanding between OR and A&BS was approved. This confirmed the business case to move forward with implementation of Kuali Coeus (KC) Research Administration System at UC Irvine. The KC system was created to assist the research community in proposal development and pre- and post- award management. The purpose of the system is to standardize and increase the efficiency of award acquisition and administration for all participants contributing to the research enterprise. KC now includes a comprehensive proposal development module including system-to-system submission of applications to grants.gov. Having a good system for development and management of proposals will contribute to the University s success in gaining research awards within an increasingly competitive arena as well as protecting the institutional integrity and future eligibility of awards. 2.0 MISSION STATEMENT The mission of this project is to implement and sustain the Kuali Coeus system for Proposal & Budget Development and Submission. This Charter shall provide overall guidance for the project and any changes must be approved by the Kuali Steering Committee. 3.0 OBJECTIVES Our objective is to: 1. Implement a system that manages all proposal preparation and proposal routing for the campus. 2. Implement a system that is easy to use, intuitive, and simplifies training. 3. Implement a system that will help to enforce university policy. 4. Capture and provide information needed by existing Office of Research systems. 5. Implement a system out of the box as much as possible and keep customizations to a minimum in order to facilitate future upgrades. 6. Integrate with Kuali Financial System (KFS) in the future. 7. Streamline proposal submission to grants.gov. 8. Minimize implementation costs. 4.0 SCOPE The overall scope of this project includes the implementation of Kuali Coeus Release 2.0 Proposal & Budget Development functionality, installation of standalone Rice, solutions UCI KC Project Charter 6

for central office reporting requirements, and the appropriate user training. Gaps in the system will be documented and evaluated. Solutions to bridge any gaps may need to be developed. The following is not in scope: 1. Departmental/school reporting. 2. Awards module. 3. Institutional Review Board module. 4. Conflict of Interest module. 5.0 STRATEGIC BUSINESS ALIGNMENT The Kuali Coeus Research Administration System will assist faculty and staff in accomplishing the University s research, instruction and public service mission. In addition, KC will also serve as a scalable system to meet the campus vision of Growth with Excellence and UCI s long range strategic goals, including: 1. Enhanced research administration. Campus faculty need an efficient cradle to grave electronic research administration system to help them acquire and manage research projects. KC will assist faculty in proposal development, electronic routing of proposals and electronic submission to Grants.gov. 2. Increased functionality. Kuali s efficiencies and enhanced functionality will benefit departments trying to reduce administrative expenses. Creates efficiencies for campus departments supporting research. 6.0 NEW PROCESSES AND PROCESS MODIFICATION A. Below are the new processes included in this implementation. Proposal Preparation: This module includes two primary functions that work together with the Budget Development Module to complete the proposal process: Proposal Routing Form For collecting and distilling proposal information for institutional review and approvals. Institutions engaged in research or other sponsorfunded activities normally have some sort of routing form that gathers information on the proposal budget (including cost sharing commitments), sponsoring agency, personnel involved, research risk items, proposal submission requirements, project start and end dates, project title, and other data elements that are specific to each proposal for external funding. The Proposal Routing Form is used for sponsored proposals regardless of funding agency. Proposal Components A place to attach/upload proposal components for electronic proposal submission and for institutional retention where necessary. This section will allow upload and retention of proposal documents such as: Project Abstracts, Narratives, UCI KC Project Charter 7

Biographical Sketches, Current and Pending Support Pages, Appendices, Letters of Support, and others. Budget Development: This module includes tools to create proposal budgets for sponsors of all types. The budget builder uses budget categories and subcategories that map to an institution s cost categories and object codes. Created budgets are compatible with a number of budget formats, including the NIH PHS 398, SF 424 R&R, and sponsor-neutral institution form sets. The proposal budget is saved/accessed through KC and can be output to grants.gov via system to system interfaces. B. Benefits of the KC system. 1. Data is stored centrally and in real time : A user can change something at their desk and someone across campus can see that change immediately. A user can repurpose/copy an existing proposal. 2. Point-and-click interface: No memorizing keystrokes or older mainframe screens. Reduces errors and data entry time. 3. Web-Based, platform-independent software: KC will run on any computer with an Internet connection. That includes PC s and Macs, Linux, and any Web browser (such as Firefox, Internet Explorer, Netscape, Opera, Sasfari, etc). As long as there is an internet connection, a PI can access the application from anywhere in the world and submit. 4. Links to other UCI data: Makes more data readily available for the user to use in a budget. KC allows the preparer of a proposal budget to easily access personnel data through payroll in order to correctly identify personnel titles, salary and actual fringe benefits. 5. Performs budget calculations: By automatically applying F&A (indirect costs), inflation and fringe benefit rates to a first-period budget, the user can focus on the budget items and not on all of the calculations. Once a detailed budget is entered for the first year, KC automatically calculates the outlying years budgets, whether modular or detailed formats are required. 6. Reduction of errors and improved internal controls: Due to the use of internal business rules in KC, electronic errors and warnings are reduced at submission, internal controls are improved, and internal reviews are based on consistent information. 7.0 ROLES AND RESPONSIBILITIES The following chart illustrates the project roles and associated responsibilities of the project team. Role KC Project Sponsors: Wendall Brase Responsibilities executives representing the impacted functional areas of the organization UCI KC Project Charter 8

Sue Bryant Kuali Projects Steering Committee: Rich Andrews Mark Askren Chris Hansen Rich Lynch Paige Macias Sinqui Musto Jim Pavelko Mark Warner KC Advisory Group: Rich Andrews Mark Askren Timothy Brooks Chris Hansen Sinqui Musto Kuali Projects Project Manager: Janet Mendoza process owners for the major affected business areas who fund the project provides and sets vision for the project provides project resources to support the project activities provides campus level strategic direction provides campus level authorization with regard to overall project budget provides campus level guidance with regard to staffing, budget, schedule reviews and approves policy recommendations and budget changes meets regularly with the project management team communicates to Project Sponsors creates the organization mission and goals that provide the framework for the project provides guidance for addressing priorities and conflicts provides facilities and equipment to support project work defines the framework of managers decision-making authority reviews, accepts and/or modifies the project deliverables collectively makes high level decisions impacting the project provides guidance and is involved in managing the project scope, objectives, and critical success factors provides guidance and is involved in establishing criteria for the project milestones reviews and comments on major procedural issues before they are implemented meets regularly with the project management team to review project progress, key milestones and outstanding issues provides approval and sign-off of project communicates to Steering Committee responsible for overall project administration, including highlevel project plan, execution of the plan, resolution of the issues to keep the project on track ensures a clear, feasible project plan to reach performance targets coordinates the activities of the PM Team creates and sustains a well-organized, focused, and committed team ensures that objectives are accomplished within time and budget targets keeps upper management and project team informed provides guidance over campus change management effort provides liaison and coordination between staff, committees, UCI KC Project Charter 9

Kuali Projects Technical Manager: Carmen Roode Kuali Projects Functional Manager: Isabelle Liu KC Project Management Team: Chris Hansen Isabelle Liu Janet Mendoza Carmen Roode KC Project Technical Team: Marina Arseniev Katya Sadovsky Valerie Jones Dennis Wiedeman Glenn Sasano system-wide teams and committee throughout project planning, design, development and implementation facilitates Steering Committee meetings provides overall technical oversight of the project reviews and approves technical procedures and standards provides guidance and review of software change technical effort coordinates assignments among different project activities and tasks develops plans that specify the type, timing, and amount of resources to perform tasks in their areas of specialty provides expertise and guidance to help team members solve problems related to their project assignments ensures members of the technical group use consistent methodological approaches on all of their projects leads the assessment of the technical approach both for the implementation of KC and all interface systems that need to be integrated with KC provides overall project guidance on priorities and decision on KC functionality to UCI project management team and Subject Matter Experts (SMEs) coordinates assignments among different work groups provides expertise and guidance to help team members solve problems related to their project assignments develops plans that specify the type, timing, and amount of resources to perform tasks determines objectives, schedule, resource budgets identifies and manages project risks selects or creates team s operating practices and procedures monitors performance against plans and dealing with any problems that arise sets priorities, resolves work approach conflicts controls project changes provides leadership in assessing the technical approach for the implementation of KC and its infrastructure anticipates, escalates, and resolves project risks and issues as appropriate, keeps Technical Manager appraised of any potential issues works to define operating environment responsible for coordinating system installation and upgrades leads research projects responsible for system performance and stability designs the high-level technical solution and proposes the use of technology designs, develops and tests all required system enhancements UCI KC Project Charter 10

KC Project Communication Coordinator: Jackie Carew Diane Nunes KC Project Work Group Leads: Comprised of the individuals whom will be using KC applications once deployed KC Project User Test Group: Comprised of the individuals whom will be using KC applications once deployed KC Project Training Coordinator: Jackie Carew Diane Nunes KC Project Help Desk Coordinator: Jackie Carew and configuration programming responsible for executing the data migration responsible for identifying project team communication needs and facilitating their preparation relating to KC project efforts coordinates the development of UC Irvine KC web page coordinates the marketing, producing and delivering of forums and presentations responsible for the delivery of the business rules setup, fit/gap analysis, and documenting functional requirements for system implementation and/or modifications facilitates the work group meetings responsible for end-user testing, documentation of system problems, and documenting usability concerns responsible for coordinating the design, development, and delivery of training materials and processes for end users identifies training opportunities and delivery methods across the organization responsible for coordinating the establishment of a help desk consisting of members from the campus community, which provides for the information and assistance resource coordinates the establishment of any online assistance tools for the system 8.0 ORGANIZATION The complete project organization includes the project sponsors that approve scope and major deliverables, the steering committee that provides forums for discussing functional and technical issues, advises on project scope and drives issue resolution, and the project team. These committees will convene regularly throughout the project. Work Groups are chartered as needed to address specific issues within more circumscribed timeframes. The overall project reporting and advisory structure is shown below. UCI KC Project Charter 11

University of California, Irvine Kuali Coeus Implementation Project Organization KUALI COEUS PROJECT SPONSORS Wendall Brase, Sue Bryant KUALI PROJECTS STEERING COMMITTEE Rich Andrews, Mark Askren, Chris Hansen, Rich Lynch, Paige Macias, Sinqui Musto, Jim Pavelko, Mark Warner KUALI COEUS ADVISORY GROUP Rich Andrews, Mark Askren, Timothy Brooks, Chris Hansen, Sinqui Musto KUALI COEUS PROJECT MANAGEMENT TEAM Chris Hansen, Isabelle Liu, Janet Mendoza, Carmen Roode Work Groups: Comprised of Departmental Research Administrators Communication Work Group Workflow Work Group Fit/Gap Work Group QA Testing Work Group User Manual Work Group Communications Coordinator: Jackie Carew Training Coordinator: Jackie Carew Lead - Help Desk Coordinator: Jackie Carew C&G Acct Compliance Officer: Diane Nunes Lead System Architect: Marina Arseniev Katya Sadovsky Lead Kuali Technologies: Katya Sadovsky Lead - Decision Support: Valerie Jones Lead Office of Research: Dennis Wiedeman Glenn Sasano Additional AdCom Staff UCI KC Project Charter 12

9.0 MAJOR MILESTONES AND ACTIVITIES The following chart illustrates a three-phased approach for the implementation, beginning with a Startup & Planning effort. Project Phase Startup & Planning Phase Requirements Definition and Configuration Phase Projected Timeframe January 2009 April 2009 January 2009 December 2009 Activities/Milestones recommend and obtain Office of Research and Administrative & Business Services approval for project, based on high-level requirements develop high level project plan develop project infrastructure and governance, including: 1. build core project team 2. define project team roles & responsibilities 3. review project document standards develop project charter 1. define the goal, specific objectives, & success criteria 2. define project scope 3. develop initial project budget 4. develop the high level schedule and document assumptions 5. establish issue tracking methods 6. develop the high level risk plan identify and document stakeholder involvement develop the communication plan conduct core project team training/learning system functions refine the detailed project plan and resource plan identify and resolve issues perform fit-gap analysis; recommend and obtain approvals for solutions for gaps; document report requirements obtain Oracle Database & Oracle UCI KC Project Charter 13

Implementation Phase January 2010 March 2010 training evaluate KC system through proposal entry by users install standalone Rice 1.0 install the system and any upgrades prepare conversion plan complete functional and technical specifications for workflows, customizations, interfaces, conversions, queries, and reports complete training plan develop test plans and test scripts conduct system/integration, and user acceptance testing; obtain user signoff conduct parallel testing establish development, stage and production environment 1) Pilot Implementation: conduct performance testing conduct live pilot in selected offices complete final versions of training materials and user guides prepare and publicize training schedule disseminate final implementation announcement and instructions conduct data conversion implement interfaces, workflows, reports, queries, customizations conduct campus end-user training for pilot departments conduct production readiness audit migrate to new application 2) Campus Implementation communicate to campus train campus users conduct project close-out evaluate project; document lessons learned conduct product/deliverable verification UCI KC Project Charter 14

The activities in this project will emphasize end-user input in order to ensure (1) stakeholders thorough understanding of application features and capabilities and (2) the project team s accurate interpretation of University requirements. Involvement of representatives from University schools and central administrative offices will be achieved in a variety of ways, including: participation on the project team definition of business requirements and system gaps confirmation that design components meet stated business requirements testing of the application support during the implementation of the application review of deliverables and issues by project participants as well as senior management committee members open forums for the University community that present information about the project and the applications to be implemented, and solicit questions and input 10.0 PROJECT TIMELINE UCI KC Project Charter 15

UCI Kuali Coeus Implementation Timeline Jan Q1 2009 2010 Apr Q2 Jun Q2 Nov Q4 Jan Q1 Mar Q1 STARTUP & PLANNING PHASE -Project Infrastructure/Governance -Project Charter -Conduct Team Training -Issue Identification & Resolution Resources Time REQUIREMENTS & CONFIGURATION PHASE -Workflow Set-up -Install Sandbox -Set-up Development Environment -Set-up User Profiles in KC -Define/Implement System Configurations -Obtain Oracle Database -Implement Interface to Grants.gov -QA Testing -System Sign Off by Sponsors -Determine Roll-out Schedule Scope Upgrade KC 1.1.1 Install Standalone Rice Upgrade KC 2.0 IMPLEMENTATION PHASE Pilot Campus -Transition to - Communications production to the campus -Training campus -Training for users campus users -Bring system live -Project Close-out for Pilot 11.0 WORK BREAKDOWN STRUCTURE/HIGH LEVEL SCHEDULE The work breakdown structure is captured in the project plan as a deliverable-oriented grouping of project elements that organizes and defines the total work scope of the project. Each descending level represents an increasingly detailed definition of the project work. UCI KC Project Charter 16

12.0 RESOURCE REQUIREMENTS (High Level) Resource: Technical personnel: Functional personnel: SME s (departmental) personnel: Time Requirements: 1,432 hours (5 personnel) 5,824 hours (6 personnel) 2,584 hours (67 personnel) 13.0 BUDGET SUMMARY FOR PROJECT PLANNING (High Level) Budget Summary for Project Planning (High Level) Costs Year 1 07/01/09-06/30/10 Capital Oracle Database Oracle Maintenance* Sun Hardware Annual Support for Sun Hardware* Capital Sub Total: $119,000 $26,000 $15,000 $3,000 $163,000 Continue current level of funding for salaries, travel, communication/training $325,000 * hardware and maintenance costs will continue in subsequent years Total Project Costs $488,000 14.0 CONSTRAINTS Project success is dependent upon the following: 1. Timely release of Kuali Coeus 2.0, scheduled for release in November 2009. 2. Further reduction in the State budget that would require the campus to refocus on existing programs and postponing the project. UCI KC Project Charter 17

15.0 ASSUMPTIONS 1. Development of Kuali Coeus 2.0 will be delivered as scheduled by the Kuali Foundation in November 2009. 2. All timelines provided in the project plan will be estimates (provided in ranges). 3. All costs provided in the project plan will be estimates (provided in ranges). 4. Once implemented, the campus community will adopt Kuali Coeus for all proposal management. 5. Campus end-user training and help desk will be performed in partnership with Office of Research and campus subject matter experts. 6. System is audited properly to scale to Irvine s peak times. 16.0 MAJOR OVERALL RISKS 1. Lack or loss of funding and resources to support the project. 2. Lack or loss of resources to support the development effort. 3. Lack of key functionality within Kuali Coeus. 4. Kuali Coeus delivery could experience timeline delays. 5. Irvine staff can support KC database. 6. Turnover in decision-maker positions in stakeholder departments, or issues finding backfill/replacements for individuals dedicated to the project, will affect ability to retain senior functional specialist roles on the project team, and will delay or preclude important requirement and design related decisions. 7. Delayed decisions or decisions to make major changes could delay project timelines. 8. Delay in system to system interface with grants.gov. 17.0 ISSUE MANAGEMENT The Kuali Steering Committee and Management will be responsible for reviewing and approving changes to the project. Request for changes to the scope of the project will be sent to the Kuali Steering Committee utilizing the project change management form. Jira tracking system is used to record and identify project issues. 18.0 COMMUNICATIONS AND CHANGE MANAGEMENT Communications to the University: The team will use a variety of communication mechanisms to inform the University of the project scope, benefits, collaborative approach, progress, and upcoming milestones. These include: UCI KC Project Charter 18

1. Project website. The website will provide the University with easy access to information about the project. It will include posted copies of recent articles and announcements. User training schedules, user guides, and other preimplementation instructions will also be posted on this site once they are developed. 2. Open forums. Meet and Greet forums will be held frequently to publicize the project approach and objectives, and provide an opportunity for University community members to ask questions. 3. Newsletters and listservs. Project information and announcements will be published in existing online newsletters and listservs. Training on the delivered application will include: 1. Training on application functions and features for project team members and project participants. Project team members will access the test drive to learn system functions and features. Schedule sessions with UC collaborators and Foundation SMEs will also occur. 2. End-user training for the University. End-user training will be provided at the outset of the project s Implementation Phase for campus representatives participating on the project. The Training Coordinator will develop a detailed training plan for the campus community that defines the scope, approach, and schedule for end-user training. 3. Technical training for support staff. The Technical Manager, or designee, will define the scope, responsibilities, and schedule for training to be provided to technical staff. Internal Communications and Committee Updates: Project files, including working papers, deliverable templates and instructions, and deliverable documents, will be maintained on the project s confluence site. Status and issues pertaining to assigned work will be communicated via weekly updates to the project plan, entries in the issues log (Jira), and discussion in weekly project team meetings. The KC Management Team will keep the Kuali Steering Committee members informed of project status and issues. UCI KC Project Charter 19