request for proposal · b. rfp proposal submission ... the successful bidder’s proposal. 2. in...

REQUEST FOR PROPOSAL

For

Enterprise-wide Pre-Award and Compliance System (PACS)

Issued

December 5, 2014

The Research Foundation for The State University of New York 35 State Street

Albany, New York 12207-2826

Submission Deadline: January 5, 2015 at Noon E.S.T.

www.rfsuny.org

http://www.rfsuny.org/

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Table of Contents

Section Contents Page Section 1: General Information and Instructions ........................................................................................... 2

A. Summary and Scope ......................................................................................................... 2

B. RFP Proposal Submission and Due Date .......................................................................... 3

C. Response to Inquiries/Bidder’s Conference ....................................................................... 3

D. Reserved Rights ................................................................................................................ 3

E. Compliance with Laws and Regulations: Non-Discrimination, Equal Opportunity and Affirmative Action Obligations ............................................................................................ 4

F. Liability and Indemnification ............................................................................................... 4

G. Additional Terms and/or Conditions ................................................................................... 5

H. Bidder Certification ............................................................................................................. 6

Section 2: Proposal Requirements ................................................................................................................ 7

A. Overview ............................................................................................................................ 7

B. Mandatory Elements for Qualification ................................................................................ 7

Section 3: Selection and Evaluation Criteria and Timelines ........................................................................... 9

A. General Selection Criteria .................................................................................................. 9

B. Proposal Review Process Timeline .................................................................................... 9

C. Evaluation Process and Criteria ......................................................................................... 9

Section 4: Business Requirements .............................................................................................................. 11

A. Pre-Award ........................................................................................................................ 11

B. Regulatory Research Compliance ................................................................................... 13

C. System Integration ........................................................................................................... 15

D. Data Warehousing and Reporting .................................................................................... 17

E. Data Conversion, Maintenance, Support, Performance, Testing and Knowledge Transfer Objectives ........................................................................................................................ 18

F. Cooperation with Independent Verification and Validation (IV&V) ................................... 19

Section 5: Implementation Strategy ............................................................................................................. 20

Section 6: Attachments ................................................................................................................................ 21

Attachment A: Application for Contract with the Research Foundation for SUNY and Bidder Certification ............................................................................................................................ 21

Attachment B: Overview of the RF’s Existing Business Systems ........................................... 21

Attachment C: PACS Business Requirements (Detailed List) ................................................ 29

Attachment D: List of Requested Standard Reports .............................................................. 38

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You are invited to submit a bid proposal to The Research Foundation for SUNY (RF) in response to this Request for Proposal (RFP). For more information about the RF visit our website @ www.rfsuny.org

Section 1: General Information and Instructions

A. Summary and Scope The purpose of this RFP is to solicit and evaluate bids to procure a pre-award and regulatory and research compliance administration software platform. The mandatory components of this RFP are for software license and implementation, including:

Data conversion

Configuration

Customization

Testing

Deployment

Maintenance

Support

System performance management

Training For purposes of this RFP mandatory implementation is defined as the installation, data conversion, configuration, customization, out-of-the-box reporting, training, testing, deployment go-live support, and ongoing support and maintenance of a pre-award and regulatory research compliance administration software platform. The optional components of this RFP include:

System integration

Data warehousing

Ad-hoc reporting Vendors may submit proposals including the mandatory components only or the mandatory components plus one or more of the optional components. At the end of the project the RF would like a solution that is a scalable, multi-instance product suite for use by the RF’s central office and the 31 campus locations within the RF system that addresses core business processes in the following areas:

Pre-Award, including interactive proposal development

Regulatory research compliance, including: Institutional Review Board (IRB - human subjects), Institutional Animal Care and Use Committee (IACUC – animals), financial conflict of interest, Institutional Bio-safety Committee (IBC), export controls, and responsible conduct of research.

Workflow routing and approvals

System integration, including the RF’s business applications and sponsor/third-party interfaces*

Data warehousing*

Reporting* *Note: These components may be awarded to separate vendors depending on whether or not the winning bidder for this proposal included these optional components in their proposed solution.

http://www.rfsuny.org/

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B. RFP Proposal Submission and Due Date When submitting a proposal, you must: 1. Prepare a clearly readable document that provides information in the order requested and attach all required

information. 2. Indicate any deviations from the specifications. 3. Sign the proposal. Your signature indicates full knowledge and acceptance of this RFP. 4. Submit five (5) hard copies of the complete proposal, one of which must have original signatures. Proposals

should be sealed, clearly marked “Sealed Proposal: PACS Software Project,” and addressed to: The Research Foundation for SUNY 35 State Street 2nd Floor Albany, New York 12207-2026 Attn: Dr. Hao Wang 5. Submit the proposal so that it is received by noon E.S.T. on Monday, January 5, 2015. This is a sealed bid.

We will not accept electronic submission of proposals. Note: The vendors selected as finalists after review of the sealed bids will be able to submit materials for their product demonstrations electronically.

C. Response to Inquiries/Bidder’s Conference Any inquiries about the requirements of this RFP or any apparent omission or discrepancy will be addressed during a bidder conference call on December 19, 2014 from 1 – 3 p.m. All bidders are invited to participate to assure an equitable distribution of information. Please register by sending an e-mail to Min Yu ([email protected]). The RF also asks that you submit your questions in advance by close of business on Monday, December 15, 2014. The bidder conference call information will be sent to those registered bidders. If necessary, the RF representative will issue a written amendment to the Request for Proposal. Oral statements or instructions do not constitute an amendment to this Request for Proposal.

D. Reserved Rights The RF reserves the right to: 1. Reject any and all proposals received in response to this RFP.

2. Request references and financial statements for the most recently completed fiscal year.

3. Contact any or all references.

4. Waive requirements or amend this RFP on notification to all bidders. Mandatory requirements may be eliminated if unmet by all bidders.

mailto:[email protected]

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5. Adjust or correct cost or cost figures with the concurrence of the bidders if mathematical or typographical errors exist.

6. Negotiate with bidders responding to this RFP within the requirements necessary to serve the best interests

of the RF. 7. Begin contract negotiations with another bidder in order to serve the best interests of the RF, should the RF

be unsuccessful in negotiating a contract with the successful bidder within an acceptable time frame. 8. Reject any or all portions of any offer, to negotiate terms and conditions consistent with the solicitation, and

to make an award for any or all remaining portions. 9. Request clarifications from bidders for purposes of assuring a full understanding of responsiveness, and

further to permit revisions from all bidders being considered for contract award, prior to award. 10. Waive minor irregularities.

E. Compliance with Laws and Regulations: Non-Discrimination, Equal Opportunity and Affirmative Action Obligations

The awarding of this business and continuation of services are subject to the requirements of Executive Order 11246 and 11375 and the rules and regulations of the Secretary of Labor (41 CFR Chapter 60) in promoting Equal Employment Opportunities. The successful bidder must certify that it does not and will not discriminate or unduly favor any employees or agents on the basis of race, gender, national origin, religion or disability. As part of this contract, bidder must agree to comply with all applicable provisions of Section 503, Title V of the Vietnam Era Veterans’ Readjustment Assistance Act of 1972, as the same may be from time to time amended, together with all applicable regulations there under and all applicable provisions of Sections 503 and 504 of the Rehabilitation Act of 1973 (Public Law 93-516) as the same may be from time to time amended, together with all applicable regulations there under.

F. Liability and Indemnification The successful bidder will be responsible for the work, direction and compensation of its employees, consultants, agents and contractors. Nothing in the resulting agreement or the performance thereof by the successful bidder will impose any liability or duty whatsoever on the Research Foundation including, but not limited to, any liability for taxes, compensation, commissions, unemployment insurance, Workers’ Compensation, disability benefits, Social Security, or other employee benefits for any person or entity. The successful bidder shall hold harmless and indemnify the Research Foundation, their officers and employees from and against any injury, damage, loss of liability to persons or property resulting from or arising out of (a) the agreement, and (b) the acts, omissions, liabilities, or obligations of the successful bidder, any affiliate, or any person or entity engaged by the successful bidder as an expert, consultant, independent contractor, subcontractor, employee or agent.

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G. Additional Terms and/or Conditions

1. The following items will be incorporated into, and made part of, the formal agreement: (1) the RF’s RFP; (2) the successful bidder’s proposal.

2. In the event of any inconsistency in or conflict among the document elements of the agreement

described above, such inconsistency or conflict shall be resolved by giving precedence to the document elements in the following order: (1) the Agreement (2) this RFP (3) the successful bidder’s proposal.

3. Any terms that are attached or referenced with a submission shall not be considered part of the bid or

proposal, but shall be deemed included for informational purposes only.

4. The resulting agreement shall be binding upon its execution by both parties.

5. The agreement may be revised at any time upon mutual consent of the parties in writing. Such written consent will not be effective until signed by both parties.

6. The relationship of the successful bidder to the Research Foundation shall be that of independent

contractor.

7. Proposed prices should reflect all discounts including educational discounts.

8. The submission of a proposal constitutes a binding offer to perform and provide said services and cannot be unilaterally changed by the vendor. Such binding offer shall be firm and not revocable for a period of 180 days after the deadline for proposal submission and will continue thereafter until the successful bidder notifies the Research Foundation otherwise, in writing. Such deadline may be further extended by mutual agreement.

9. In the event the successful bidder uses partners, subcontracts or subcontractors, the successful bidder

will remain responsible for compliance with all specifications and performance of all obligations under the contract resulting from this RFP.

10. The Research Foundation will not be liable for any cost associated with the preparation, transmittal, or

presentation of any proposals or materials submitted in response to this RFP.

11. All bids or proposals submitted in response to the solicitation become and remain the property of the Research Foundation and should any doubt or difference of opinion arise between the Research Foundation and the bidder as to the items to be furnished or the interpretation of the provisions in the solicitation, the decision of the Research Foundation shall be final and binding upon all parties.

12. This RFP and the resulting contract shall be governed by the Laws of the State of New York.

13. Public announcements or news releases regarding this RFP or any subsequent award of a contract must

not be made by any bidder without the prior written approval of the Research Foundation.

14. The successful bidder is responsible for compliance with all applicable rules and regulations pertaining to cities, towns, counties and State where the services are provided, and all other laws applicable to the performance of the resulting contract. The successful bidder shall provide all necessary safeguards for safety and protection as set forth by the United States Department of Labor, Occupational Safety and Health Administration.

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H. Bidder Certification

As evidence of bidders’ financial stability and ability to meet the service and requirements, Bidder MUST complete all information requested in Attachment A: Application for Contract with the Research Foundation for SUNY and Bidder Certification.

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Section 2: Proposal Requirements

A. Overview This RFP asks bidders for a proposal to license and implement a pre-award and regulatory and research compliance administration software platform for the Research Foundation for SUNY. The requirements established by this RFP will be enforced in evaluating proposals. The bidder’s compliance with the format prescribed herein, as well as the bidder’s response to each specific requirement stated in the RFP will be considered during the evaluation process. Therefore, it is in the best interest of each bidder to become familiar with the content and format required.

B. Mandatory Elements for Qualification Bidders must submit the following: 1. The completed and signed Attachment A: Application for Contract with the Research Foundation for SUNY

and Bidder Certification. This form must have an original signature signed by an official authorized to bind the bidder to its provisions.

2. Describe how the features and functionality of your system provide the ability to meet the RF’s business requirements as stated in Section 4: Business Requirements of this RFP. Note: A secure online questionnaire covering the RF’s business requirements will be sent to those vendors moving forward with a proposal.

3. Your company’s most recently audited financial statements, as a separate attachment.

4. Describe your company’s ability to:

a. Provide the mandatory services related to license and implementation, including: Data conversion, maintenance, support, performance, testing and training support.

b. Deliver an implementation strategy as set forth by the RF. c. Interface with the RF’s business systems (refer to Attachment B: Overview of the RF’s Existing

Business Systems) and sponsor/third-party interfaces—including the technical architecture that is used.

5. Description of experience, resources and references to include the following information:

Experience:

a. Provide a brief company history and the year your entity was founded. b. Describe your experience in Higher Education and Sponsored Programs specifically. c. Describe your company’s size and commitment to Higher Education (including percentage of total

revenue derived from Higher Education clients and level of investment on pre-award and regulatory research compliance technology on an annual basis).

d. How much experience does your firm have with similar implementations? e. Tell us anything else about your company’s mission or vision that you think is important for us to

know. f. Include any other factors which you believe make your organization especially qualified to perform

this service.

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Resources:

a. Describe the background and experience of the specific personnel that will be assigned to the

implementation. b. Describe the specific personnel who will have overall responsibility for the project. c. Clearly state and specifically identify any subcontractors or subcontracts which are to be used to

deliver any of the services contained in the proposal. If any, approval of their involvement by the RF will be required.

d. Indicate resources/personnel that are required from the RF Information Services team and functional staff to implement and maintain the system.

e. Do you conduct annual users meetings?

References: a. List the organization name, address, telephone number, and name of a contact person for three

references with whom you have worked within the past two years and who can measure and attest to your qualifications specific to this area and to the persons you will assign to this project. Please provide a description of the services provided and the length of the relationship.

b. Confirm that, as part of this RFP process, your entity would be willing to participate in interviews with the RF. The specific date and location of such interviews will be determined subsequent to the review of proposal submissions.

6. Fee Proposal: The RF is seeking top quality services and expertise and understands that organizations

that can offer such services are entitled to fair compensation for their services. At the same time, complete transparency in compensation for services is essential. Bidders must submit a separate financial exhibit (as an attachment to the RFP response) showing the fee for services within the scope of this RFP.

7. Information Security: Describe your ability to protect and secure campus data and to segregate campus data within one system.

8. Disaster Preparedness: The RF’s strategy is to use a third-party cloud computing solution such as Amazon

Web Services (AWS). Describe the critical aspects of your disaster recovery plan in the event of a systems failure or other disaster at the primary processing site related to these services. Provide the date when the relevant aspects of the plan were last tested and the frequency by which the plan will be tested and updated.

9. Insurance: Bidder will at all times during the term of this contract, at their own expense, carry commercial

general liability insurance and property damage insurance in the amount of $2,000,000 naming The Research Foundation for the State University of New York and the State University of New York as additional insured, and required professional liability insurance in the amount of $5,000,000. Excess policies can be used to meet required limits.

If you are not submitting a proposal the RF requests that you send an e-mail to Min Yu ([email protected]) stating the reason why you are not submitting a bid.

mailto:[email protected]

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Section 3: Selection and Evaluation Criteria and Timelines

A. General Selection Criteria The contract award will be based on “best value” that optimizes quality, fees, and efficiency among responsive and responsible bidders. Proposals deemed by the RF to satisfy the requirement set forth in this RFP will be evaluated for the awarding of a contract. Bidder must bid as requested. Award will be to one contractor in total. However, the RF reserves the right to award in its best interest. The award process is based on best value with the award being made to the highest scoring bidder. If all requirements of bid submissions are met to the RF’s satisfaction, a contract agreement or purchase order may be issued after review and analysis of proposals and confirmation of qualifications, references, etc. Any contract or purchase order that results from this RFP will incorporate the terms and conditions of this RFP, unless otherwise agreed to in writing. Termination of Contract: Failure of firm to meet the requirements of a contract shall constitute default. In such event, the Research Foundation for the State of New York reserves the right to cancel the contract for cause or convenience on written notice as further addressed in the resulting contract.

B. Proposal Review Process Timeline December 19, 2014: Bidder conference call; Online business requirements survey opens January 5, 2014: Proposals/responses due; Online business requirements survey closes January 12, 2015: Top 2 finalists are selected and notified by close of business January 20 – 21, 2015 Online vendor demonstrations by finalists January 22 – 23, 2015 Steering Committee meeting and vendor leadership interview January 26, 2015 Final vendor selected by close of business February 26, 2015 Negotiated and signed contract in place by close of business

C. Evaluation Process and Criteria All qualified proposals will be evaluated against the following criteria:

1. Cost effectiveness: The RF’s total cost for the mandatory components of the proposal, including: Software licensing, implementation costs, and ongoing maintenance costs.

2. Functionality: The degree to which the functionality of the solution meets RF business requirements. 3. User experience: The satisfaction of the user experience. 4. Ability to deliver: Bidder’s ability to deliver the software and implementation according to the RF’s

implementation strategy and its ability for knowledge transfer and ongoing support. A total of 100 points will be awarded based on the following:

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Criteria Points subtotal

When to evaluate

Who evaluates

Point Total

Cost Effectiveness 30***

Software License Fee* 10 Before demo Scoring; PLC**

Implementation Cost 10 Before demo Scoring; PLC

Maintenance and support costs for five years after go live

10 Before demo Scoring; PLC

Functionality 30

Meets business requirements 30 Before and at demo

Campuses

User Experience

Good user experience 10 At demo Campuses 10

Ability to Deliver 30

Leadership team interview 10 After demo Steering Committee

Ability to maintain and support the system after go live

10 After demo Steering Committee

References 10 After demo Steering Committee

Total Score 100

* For open source software, the software license fee would be the required consortium fee to obtain the right of use or access to maintenance and upgrades **PLC: Project Leadership Committee *** Bold numbers in the above chart indicate the scoring criteria that will be used to select the final two vendors who will proceed forward for the rest of the proposal review/selection process. The top two candidates will be selected based on their total scores for the Cost Effectiveness and Functionality criteria. The finalists will be invited to the RF for:

A demonstration of their solution to RF and SUNY faculty and administrators.

A management interview with their proposed project leadership team.

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Section 4: Business Requirements

Note Refer to Attachment C: PACS Business Requirements (Detailed List) for a complete list of the requirements that must be provided in the business solution.

A. Pre-Award The Research Foundation (RF) wants to provide systems and tools that help principal investigators (PIs) increase their research capacity and performance.

Helping PIs author larger number of high quality proposals that are compliant with federal and state regulations as well as RF policies and procedures.

Reducing the administrative burden on researchers so they may generate more grant applications and focus more on creative ideas and innovations.

The following sections outline the RF’s business requirements for these pre-award functions: 1. Funding Opportunities The proposed solution should include a user friendly interface that allows principal investigators (PIs) and research administrators identify funding opportunities, maintain HR profiles, and find potential collaborators. This includes the ability to search and match PIs with funding opportunities from all potential sources, including, but not limited to: Federal, state, industry and internal. Users should receive real-time notification of new opportunities that are available. It should be easy to maintain HR profiles and the profiles should connect with external sources of information including expertise, training, certification and salary. HR profiles should be available to be used to identify collaboration partners, develop budgets, and identify key personnel during proposal development. 2. Proposal Development The proposed solution should allow PIs and research administrators to construct and collaborate on the creation of proposals. Standard templates and questionnaires, sometimes campus-specific, that help drive proposal development should be available. Research compliance areas including, but not limited to radiation safety, stem cell, FCOI, IRB and IACUC need to be identified early in the proposal process. Proposal development should include the ability to reuse common proposal elements. Searching on existing proposal documentation and attachments needs to be available. All aspects of collaboration need to be supported during narrative, abstracts, personnel identification and budget development. HR profiles for staff identified during the funding opportunities should be readily available but not limited to PI for personnel and subcontractors. Additional HR profiles should be available during proposal to identify key personnel so the PI does not need to jump between applications to search and view expertise, training and certifications for individuals. Budget development should be as basic or complex as needed, allowing for the upload or attachment of budget information. Standard budget templates, sometimes driven by funding opportunity type, should be made available as designed by both its central office and campus locations. Budgeting should use expenditure categories as defined in the RF Grants Management module, along with multiple fringe benefit and F&A rates and associated burden structures and rules for calculation. Multiple versions of budgets should be tracked for

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collaboration. Budgeting should include both paid and non-paid effort including identification of mandatory and voluntary cost sharing activities as well as multiple levels of credit distribution to faculty and organizations.

Collaboration with subcontractors is also included during proposal development. This includes risk analysis of potential subcontractors. Once vetted, subcontractor could be part of proposal development and will need access to the application. 3. Institutional Routing and Approval The proposed solution should handle the routing of proposals through the organizational unit hierarchy, including complex rules with multi-step, delegated access and notification requirements. The routing and approval process should allow for flexibility, adaptation and collaboration throughout. As comments, feedback and collaboration occur during the approval process, adjustments to the routing path could change and need to be flexible. Multiple users should be able to work on the proposal in a controlled environment during this process and allow for redirecting of approvals to occur when appropriate. The history and monitoring of progress of proposal through the routing and approval function should be available to PI and administrators. 4. Submission to Sponsor The solution should provide the ability for various types of submission—electronic, e-mail and paper-based—with tracking of submission status. Grants.gov is used often so the solution needs to interface with Grants.gov and offer system-to-system submission that is as easy as clicking a button. Tracking the status of any submitted proposal should be readily available for monitoring. The solution should capture sponsor confirmation of the receipt, potential resubmission, deadlines, dates and updates as part of the history of the proposal. 5. Sponsor Review, Negotiation and Acceptance The proposed solution should offer negotiation tracking to record any amendments or changes made to the award. There are many collaborators from various departments, including compliance offices and outside entities, so flexible collaboration is imperative. The RF needs the ability to load agreement templates that are designed by both its central office and campus locations. All actions taken, communications and annotations, need to be tracked and sometimes controlled—not every collaborator should have access to update or even view all information. The history and monitoring of progress from proposal through sponsor review, negotiation and acceptance should be available to PIs and administrators. 6. Award Establishment The proposed solution should offer the ability to transfer proposal information needed for account establishment to the RF Grants Management Oracle module. This transfer of information should include both sponsored and non-sponsored proposals. Once an award is created in the RF Grants Management Oracle module specific award, project and task information needs to be sent back to the pre-award and regulatory research compliance system to complete the connection between the systems. 7. Close-Out The proposed solution should offer the ability to transmit close-out information from the RF Grants Management Oracle module to the proposed solution.

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B. Regulatory Research Compliance The RF, as a grantee institution receiving federally sponsored awards, and the State University of New York (SUNY) campuses where the research (sponsored and non-sponsored) is conducted are responsible to assure due diligence compliance with the U.S. federal government statutes and regulations that apply to the conduct of research. The research compliance areas are heavily regulated—often by several federal government agencies—and include:

1. Protection of human subjects 2. Protection of animal subjects 3. Disclosure of financial conflict of interest 4. Identification of hazardous/select agents and toxins 5. Identification of export control situations – and licensing (if appropriate) 6. Development of a responsible conduct in research program

1. Protection of Human Subjects In brief, the campus Institutional Review Board (IRB) assures that all sponsored and non-sponsored research involving human subjects, including vulnerable populations (e.g., children), is in compliance with federal government statute (e.g., The Public Health Service Act) and regulation (e.g., Department of Health and Human Services). The sanctions for noncompliance (e.g., civil and criminal penalties) and potential damage to institutional reputation/integrity are significant/severe. The functions the business solution must provide include, but are not limited to: Tracking and monitoring the IRB membership, identifying IRB member terms; routing phases for protocols between/among various campus offices; identifying different protocol phases (e.g., continuations); identifying different types of protocol review (e.g., exempt, expedited); documenting protocol approval; sending impact notifications (e.g., stop payment); connecting to other impact areas (e.g., biosafety); documenting the completion of applicable trainings; and assuring confidentiality is maintained. 2. Protection of Animal Subjects In brief, the campus Institutional Animal Care and Use Committee (IACUC) assures that all sponsored and non-sponsored research that involves the use of, or intended use of, vertebrate animals in research, experimentation, testing, training, or related purposes is in compliance with federal government statute (e.g., The Animal Welfare Act) and regulations (e.g., Department of Agriculture). The sanctions (e.g., civil and criminal penalties) and potential damage to institutional reputation/integrity are significant/severe. The functions the business solution must provide include, but are not limited to: Tracking and monitoring the IACUC membership; identifying IACUC member terms; routing phases for protocols between/among various campus offices; identifying different protocol phases (e.g., renewals); identifying different types of protocol review; documenting protocol approval; sending impact notifications (e.g., approval to order animal species - purchasing); connecting to other impact areas (e.g., facilities for inspections); documenting the completion of applicable trainings; and assuring confidentiality is maintained. 3. Disclosure of Financial Conflict of Interest In brief, the campus assures that all persons responsible for proposing, conducting, and reporting sponsored research are required to disclose the existence of certain financial interests. The campus is required to review the disclosures to determine if any potential conflict of interest exists, and to establish mechanisms to manage,

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reduce or eliminate the conflict. The originating authorities for the regulations are the National Science Foundation and the Public Health Service. The sanctions for noncompliance are significant. The functions the business solution must provide include, but are not limited to: Supporting a repository for disclosures, identifying institutional responsibilities; connecting financial disclosures to institutional responsibilities; connecting to other impact areas (e.g., research compliance -IRB); sending impact notifications (e.g., post award); documenting the completion of applicable trainings, and assuring confidentiality is maintained. 4. Identification of Hazardous/Select Agents and Toxins In brief, the campus Institutional Biosafety Committee (IBC) assures that all sponsored and non-sponsored research using an identified hazardous/select agent or toxin is in compliance with federal government statute (e.g., The Agricultural Bioterrorism Protection Act) and regulations (e.g., Centers for Disease Control and Prevention). The sanctions (e.g., civil and criminal penalties) and potential damage to institutional reputation/integrity are significant/severe. The functions the business solution must provide include, but are not limited to: Tracking and monitoring the IBC membership; identifying IBC member terms; routing phases for reviews/approvals among various campus offices; identifying different and specific requirements (e.g., radiation, biohazards); connecting to other impact areas (e.g., research compliance - IRB); documenting the completion of applicable specific trainings (e.g., select agents, infectious agents); and assuring confidentiality is maintained. 5. Identification of Export Control Situations – and Licensing (if appropriate) In brief, the campus assures that all sponsored and non-sponsored research that includes potential export control situations and impacts are identified. This includes but is not limited to: The export of controlled technical information to a restricted country/person; the transfer of deemed export services to a foreign national; and the transfer of funds to an embargoed country. Compliance is required with federal government statute (e.g., The Export Administration Act) and regulations (e.g., Department of Commerce). The sanctions (e.g., civil and criminal) for noncompliance are significant/severe. The functions the business solution must provide include, but are not limited to: Identifying the different federal government requirements (e.g., three agencies) and the applicability; developing standard questions to trigger initial review (i.e., proposal submission); routing phases for license review/approval among various campus offices (if applicable); connecting to other impact areas (e.g., award establishment, post award); integrating with other impacted system modules (e.g., human resources/personnel); and assuring confidentiality is maintained. 6. Development of a Responsible Conduct in Research Program In brief, the campus develops a campus-specific Responsible Conduct in Research (RCR) program to assure that the practice of scientific investigation is done with integrity. The program involves the awareness and application of established professional norms and ethical principles in the performance of all activities related to scientific research. The originating authority is the National Institute of Health. The sanctions for noncompliance are customary to a grantee institution (e.g., auditable findings/remediation). The functions the business solution must provide include, but are not limited to: Documenting the campus-specific program components; developing a schedule to identify and document that the various trainings associated with the campus-specific program (e.g., IRB, IACUC, FCOI) are completed – as applicable; and connecting to other impact areas (e.g., human resources).

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C. System Integration The RF gathers data from many sources throughout the research life cycle, and pre-award and post award activities require many of the same data elements. The RF needs to integrate this data to improve our efficiency by eliminating duplicate entry and reducing data entry errors. The integration of data from different sources is also part of our data management lifecycle and is needed to conduct the data analysis that supports the RF’s decision-making process. The bidder’s solution must allow for system integration between the bidder’s product and the RF’s current pre-award and post award systems and its reporting environment. The bidder’s solution is expected to adhere to industry standards for data and application integration. Standard integration framework such as Service Oriented Architecture (SOA) should be employed and standard data interfaces should be part of the solution. The solution must also contain the necessary protocols to extract, insert and/or attach information from third-party or Internet-based data sources. The RF requires the following: Funding Opportunities 1. Solution should provide the ability to export and import data to update faculty profiles. Proposal Development 1. Solution should provide a protocol for the production of a flat file for use of exporting data from software

systems such as Oracle EBS, third-party software and Oracle OBIEE to the bidder’s software such as: a. Integrating HR information in all pre-award modules for each of the campuses participating in this

project, with ability to interface cost structures and data such as personnel cost data, multiple department and center affiliations, bio-demographical information, educational qualifications, compliance HR data and indirect cost structures.

b. Integration of Oracle EBS, third-party software code tables for use in production of the pre-award proposal such as expense codes, sponsor, training, effort reporting, F&A codes, vendor (supplier) information, etc.

c. Integration of award, project and task information, including closing information back to vendor’s pre-award software.

2. Solution should provide ability to access Oracle EBS, OBIEE or third party software data information for use in proposal such as supplier file, sponsor files, expense codes, HR data, etc.

3. Each import and export should facilitate data conversion and ongoing pertinent information from existing RF sources and third-party systems including attachments:

a. COEUS (pre-award information, regulatory research compliance, subcontracts, award, negotiations) b. INFOED c. Microsoft Excel based files d. Microsoft Access based files e. Microsoft Word based files f. IRBNET(human subjects, animal use, bio safety, stem cells) g. OSPREY(COI)

4. Solution should provide the capability to attach information from Oracle EBS, third-party software and internet based systems. The internet based systems should include compliance information that could be added as an attachment.

5. Solution should provide integration from third party and internet based compliance systems into vendor’s software solution.

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6. Solution’s integration method should adopt industry standard approach and architecture such as Service Oriented Architecture (SOA), data dictionary, enterprise service bus, etc.

7. Solution should allow for monitoring and support current technologies such as XML, JSON, SFTP and REST Web services.

8. Connection to data source/database and data model and separation of data by campuses, row level security by campus.

9. Daily/real time interface with CITI training/trainee information. Institutional Routing/Approvals 1. Solution should support all campus approval hierarchy utilizing HR Org Structure that exist in Oracle EBS

and campus based software

Submission to Sponsor 1. Solution should support system to system integration for submission/resubmission of proposal to sponsor. Sponsor Review, Negotiation and Acceptance 1. Solution should support the ability to attach additional information necessary to complete the negotiation

and acceptance. 2. Solution should provide the ability to upload documents from a variety of sources. 3. Solution should provide the integration with email for approvals and correspondence to all engaged parties. Award Establishment 1. Solution should provide a protocol for the production of a flat file for use of importing data to software

systems such as Oracle EBS, third-party software and Oracle OBIEE. 2. Porting award and proposal information from pre-award to the RF’s post award Oracle business applications

once the proposal is successfully funded: a. Includes budget, personnel, department credit distributions, person credit distributions, title,

sponsor, dates, installments, terms and conditions, F&A base, abstracts, effort, billing terms, reporting requirements, award notes, and references (e.g., human subject approvals, conflict of interest).

b. Standard approach to integrated data across systems and make data available for RF Report Center

3. Solution should provide the capability to attach information from Oracle EBS, third-party software and internet based systems. The internet based systems should include compliance information that could be added as an attachment.

Close-out 1. Solution should provide the transmission of closeout information including closure dates to the vendor’s pre-

award system.

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D. Data Warehousing and Reporting The RF wants to provide its users with robust reporting capabilities directly from the software solution and from the RF’s existing reporting solution—the RF Report Center. The RF’s current pre-award solution does not provide standard out-of-the-box reports and there is a limited set of data in the data warehouse that is available to the user community for ad-hoc reporting. The RF wants the selected solution to provide many standard reports directly from the software application to the users. We need to build a strong data warehouse that will encompass all existing data points from the application, since users often get requests for data that might not be met by standard reports from the application. To create a data warehouse the RF needs access to all applications tables via data extract on at least a nightly basis. The RF can then enhance its existing reporting solution—the RF Report Center—to provide users with strong reporting capabilities that include dashboards, reports, and flexible ad-hoc query ability. These data extracts will also be used to feed campus-specific data warehouses and other campus ancillary systems. To meet these reporting needs the RF identified business requirements in the following sections:

1. Standard and Ad-hoc Reporting 2. External System Integration 3. Security 4. Documentation

1. Standard and Ad-Hoc Reporting The proposed solution should provide users with as many out-of-the-box standard reports as possible. A listing of the RF’s requested standard reports is included in Attachment D: List of Requested Standard Reports. The new software should provide access to software database tables on a nightly basis to provide an extract of data to build our data warehouse. This nightly feed needs to include all data points from the software. The RF’s preference would be for any software product to integrate with Oracle Business Intelligence Enterprise Edition. 2. External System Integration Any new software solution should successfully integrate with other systems and tools (e.g., ETL tools, Microsoft Excel, Microsoft Access, Oracle RDBMS, etc.). The solution should assimilate metadata from ETL tools from other vendors, including Informatica. Also, metadata should segregated by campus in case of multi-campus instances. 3. Security Any new software solution should protect standard reports delivered through the software from unauthorized users. Also, the solution should allow for single sign-on access based on Shibboleth/InCommon and allow for multiple identity providers in one instance. 4. Documentation The proposed solution should include providing the RF with a full, detailed data dictionary that outlines all data points by module to help with the creation of training materials.

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E. Data Conversion, Maintenance, Support, Performance, Testing and Knowledge Transfer Objectives

The RF’s existing pre-award and regulatory research compliance system contains multiple years of data for many campuses. The RF will require in its contract that existing data be converted to the new pre-award and regulatory research compliance system prior to launch in order to provide continuity. The new system must:

Be easily maintained

Allow for cost-effective support

Deliver high performance The selected vendor must have sound financial strength and long-term sustainability, including:

A clear support model for configuration, customization, and routine release management.

Clearly defined pricing structures for configuration, customization, release management, and continuous training and upgrade.

Ample documentation, including manuals for users, administrators and developers. Software and system maintainability is defined as the low and tolerable degree of difficulty for changes that can be made to the software and system. Changes can include bug correction, adaptation of a new RF business requirement or process, expansion to include new features and functionalities, and integration with other sister systems within the RF. Fulfillment of these change requests should be supported by a clearly defined Service Level Agreement (SLA). The estimated RF user base is about 5,000 across 31 campuses. At any given time the RF expects that approximately 100 users will simultaneously access the system with this figure increasing to 250 during peak times. The PACS should deliver a speed of page refresh less than 5 seconds during both regular and peak times. The selected vendor is expected to provide sufficient test plans for User Acceptance Test (UAT), system integration test, performance test, data integrity test and inter-instance segregation test. The RF expects the selected vendor to transfer necessary knowledge and provide training to RF staff, including, but not limited to:

Technical knowledge of architecture and applications.

Daily care and maintenance of the system.

Third-party software required to support the system.

Interfaces between the new system and other RF systems.

PACS database.

PACS modules.

PACS administration.

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F. Cooperation with Independent Verification and Validation (IV&V) This project will be a significant multi-year investment that is cross-functional and cross-campus. To assure its success the RF will acquire, through a competitive RFP process, the services of a separate vendor to provide Independent Validation and Verification (IV&V) services. The IV&V vendor will assist the RF by:

Providing quality assurance services during the project.

Determining if deliverables are acceptable, and thus eligible for payment, during User Acceptance Testing.

Assuring that a full range of performance standards are met by the winning bidder, including, but not limited to:

o Information security o Data integrity o Data conversion completeness and accuracy o System availability o System performance o Defect resolution speed and yield o Availability and quality of support o Timeliness of deliverables

Any bidder that is awarded the contract for this RFP must withdraw their IV&V bid if they submitted one. Performance Standards shall be negotiated and finalized during contract negotiation with the winning bidder. The winning bidder will be required to engage and support the IV&V vendor for fulfilling routine audit and documentation of performance standards. The winning bidder will track and submit all relevant data and reports required by the IV&V vendor. In addition to assist Performance Standards, The IV&V vendor is expected to:

Review and evaluate deliverables.

Independently report on the project status.

Monitor the winning bidder’s quality management processes.

Assess implementation processes.

Monitor knowledge transfer.

Provide ongoing risk management.

Assess system testing. The winning bidder is expected to fully cooperate with the IV&V vendor to fulfill the above functions.

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Section 5: Implementation Strategy The RF’s desired implementation strategy is illustrated below:

10/1/2014 7/1/2016

1/1/2015 4/1/2015 7/1/2015 10/1/2015 1/1/2016 4/1/2016

12/5/2014

Issue RFP

1/31/2015

IV&V RFP

2/28/2015

PACS Contract

4/15/2015

UB and SBU

Vanilla PACS Install

7/1/2016

All Campus Live

3/31/2016

SBU and UB Live with

PACS

General Release 1

Pilot Implementation The vendor software will be implemented within 45 calendar days, on or about April 15th, 2015, in a centralized cloud environment for two or more of our campuses. The vendor software will also be installed in a centralized cloud environment as a development sandbox for all campuses. This pilot arrangement is to demonstrate that:

1. The software of choice can be installed out of the box and largely meets our business requirements. 2. The software of choice can be installed and operated securely in a cloud computing environment. 3. The software of choice can allow data conversion from existing RF systems and largely meets the RF’s

data conversion needs out of the box—such data conversion should not be cumbersome. 4. The vendor of choice can provide basic training to our campuses for adoption of the software. 5. The software of choice can provide the foundation for multi-tenancy.

First Release of Customization and Configuration 12 months after the pilot implementation, the vendor of choice will customize and configure the software to meet the majority of our business requirements including all high priority requirements. This new release will replace the pilot install for those pilot campuses and become the system of record for the RF’s pre-award and regulatory research compliance system (PACS). During this release, knowledge transfer and broader training will happen. Deployment to All Campuses All other campuses will access and use the PACS Release 1. During the roll-out, the ability of regular releases and routine updates will be tested and certified and the support model will be established.

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Section 6: Attachments Attachment A: Application for Contract with the Research Foundation for SUNY and Bidder Certification Attachment B: Overview of the RF’s Existing Business Systems Attachment C: PACS Business Requirements (Detailed List) Attachment D: List of Requested Standard Reports

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Attachment A

APPLICATION FOR CONTRACT WITH THE RESEARCH FOUNDATION FOR SUNY AND BIDDER CERTIFICATION

PROGRAM TITLE: Pre-Award and Regulatory Research Compliance Administration Software Platform

BIDDER NAME: (company):______________________________________________________ BIDDER CONTACT NAME:__________________________________________________________ ADDRESS: _____________________________________________________________________ TELEPHONE: ( ) ______________________ FAX NUMBER: ( ) _________________________ EMPLOYER’S FEDERAL ID # _____________________ E-MAIL ADDRESS: _____________________ Bidder Certification

1. Is the price quoted the same as or lower than that quoted other corporations, institutions or governmental

agencies for similar service and/or like equipment or supplies? Yes: _____ No: _____ If no, explain:

2. Does your firm agree that all presentations and materials will be free from racial, religious, or sexual bias? Yes: _____ No: _____

3. Are you or any officer of your organization or any part owning or controlling more than 10 percent of your stock if you are a corporation or any member if you are a firm or association, an officer or employee of the Research Foundation of SUNY or of a public benefit corporation of the State of New York? Yes: _____ No: _____

4. Within the past five years has your firm, any affiliate, any predecessor company or entity, owner, director, officer, partner or proprietor been the subject of a government suspension or debarment? Yes: _____ No: _____ If yes, explain:

Compliance with RFP Conditions and State and Federal Laws I (we), the undersigned affirm the bidder is willing to comply with all the conditions set forth in this Request For Proposal, and with all applicable laws of the State of New York and the Government of the United States.

Willing To Contract I (we), the undersigned affirm the bidder understands that a separate contract will be established which will fully detail each party’s responsibilities in relation to the services requested by this RFP.

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I (We), the undersigned, attest that I am (we are) authorized to bind the bidder to the provisions of the attached

proposal.

NAME AND TITLE OF INDIVIDUAL OR FIRM’S OFFICER AUTHORIZED TO SIGN CONTRACT:

(PLEASE PRINT OR TYPE)

DATE: _________________ SIGNATURE: ____________________________________________

NAME AND TITLE OF PROJECT DIRECTOR (IF DIFFERENT FROM ABOVE):

(PLEASE PRINT OR TYPE)

DATE: _________________ SIGNATURE:_____________________________________________

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Attachment B

Overview of the RF’s Existing Business Systems The RF uses various systems to conduct all business activity. This attachment provides a high-level overview of the business systems the RF uses in these categories:

A. Pre-Award B. Regulatory Research Compliance C. Post Award Management D. Enterprise Reporting

A. Pre-Award Summary The University at Albany, Binghamton University, University at Buffalo (UB), Stony Brook University, SUNY ESF and Upstate Medical University currently use an electronic pre-award and regulatory research compliance software system. There are roughly 5,000 individuals who have access to this system. The system provides pre-award data entry, approval routing, and submission of proposals for several campuses. It has functionality for award tracking, negotiations, regulatory research compliance, (e.g., Institutional Review Board (IRB), Institutional Animal Care and Use Committee (IACUC)), subaward monitoring, and conflict of interest management. It also supports automated proposal submission to Grants.gov and other federal agency applications. There are two interfaces used by campus staff, including:

A web-based version that allows principal investigators (PIs) and research administrators to view and create proposals, input budgets, complete regulatory research compliance questionnaires, and submit proposals for approval.

A full-featured application interface for research administrative staff to complete special requirements for institutional approval of proposals, additional budgeting functionality, and the ability to view institutional proposals and awards. This version is also used by system administrators to manage the system’s functionality.

The remaining campuses use a variety of tools to track pre-award data, including:

Microsoft Access

Microsoft Excel

A custom pre-award form in the Oracle business applications

Paper

InfoEd

PDF/Smart Forms

E-mail Hosting/Administration The campuses who use the current electronic pre-award and regulatory research compliance software system share a common production instance that is hosted at UB. There are four database instances that include development, training, quality assurance and production.

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These instances are supported during regular business hours, Monday through Friday, by UB’s Administrative Computing Services (ACS) group. Routine maintenance and regular backups occur outside of regular business hours. Modules Available in Current System The decision to adopt the current system was based on many factors. The most important factor was the flexibility of the system to meet the individual needs of the campuses—whether university center, medical school or comprehensive college. Currently, the various modules available for implementation include:

The Proposal Development module allows PIs and research administrators to construct and route

complete proposals from their desktop computers. Significant Proposal Development components include

detailed cover-sheet information, Proposal Personnel, Budget, Narrative, Questionnaires, and Certifications.

The Proposal Development module is integrated with centrally supported database information maintained

in the Sponsor table (list of sponsors), Person table (updated by HR), Organization table (list of peer

institutions for performance sites and subawards), and Rolodex table (list of outside contacts). These

extensive data tables are easily accessed via searches, and the resulting data is consistently applied to

each proposal. This module allows for proposals to be submitted to sponsors electronically.

The Institute Proposal contains summary data of proposals that have been approved and submitted to

sponsoring organizations. While works-in-progress are stored and edited in the Proposal Development

module, only complete submitted works are tracked and stored in the Institute Proposal module. Each

proposal is assigned a unique identifier once it has been officially authorized by the organization prior to

submission to a sponsor. Through this identifier the user can view basic data on funding source, title,

department, PIs, and the amount proposed. Institute Proposal records may be modified to update pertinent

information, such as the status of intellectual property review or special review status. Once a proposal is

funded, the data in the Institute Proposal record may be used to form the basis of the Award module record

or may be linked to an existing award.

The Institutional Review Board (IRB) module allows campuses to electronically submit, review, and

monitor IRB protocols. This also allows the protocol and grant proposal to be linked, making the information

easily accessible to the compliance and sponsored programs offices, enabling regulatory research

compliance review to be more efficient.

The Subcontract module provides campuses with a subrecipient monitoring tool, tracking detailed

information on subaward agreements, and maintaining historical information for the life of the award.

The Negotiation module allows sponsored programs offices to track negotiations for individual proposals

and stand-alone contracts, which provides administrators with a tool to keep notes and track progress of a

negotiation, facilitates sharing of electronic fields, and generates status reports.

The Conflict of Interest module allows users to complete and maintain all conflict of interest and financial interest disclosures. The module allows for flexibility with disclosure submission requirements across the campuses. Regulatory research compliance boards can review and track potential conflicts through the resolution.

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Support of Current System Different levels of support and service are required across campuses using the same module because each module is adaptable for local requirements. Each campus provides functional support for their own campus administration, including items such as maintaining user accounts, unit hierarchies, F&A rates, and supporting other operational functions specific to their instance. There are other functional maintenance issues that are maintained at the campus level that demand a certain degree of technical know-how, such as maintaining routing rules, validation rules, routing maps, questionnaires, and customizing style sheets for campus specific templates. While each campus is responsible for maintaining these items, a consortium of users from the larger campuses relies on the system administrator and application administrator at UB and a RF business analyst. Even though the existing system is installed, hosted and managed at UB there are many integration points between the host servers at UB and servers at each of the campuses. These integration points are necessary to ensure the system uses the most recent and accurate person-data from campus-specific sources, as well as providing campus authentication of user log-in credentials. Each campus and RF central office IT Services provides technical support for the acquisition, formatting and delivery of person-data to the host servers at UB, as well as providing support for the coordinated authentication of user log-in credentials via a campus LDAP server or OID.

B. Regulatory Research Compliance The RF’s existing system and processes do not include many of the features and functionality desired in a comprehensive regulatory research compliance system. The regulatory research compliance areas listed below need to be linked to pre-award, post award, compliance and other campus offices (e.g., purchasing) to make the information easily accessible. This will enable the campus sponsored programs and research compliance offices’ review processes to be more efficient and maintain confidentiality.

FCOI (Financial Conflict of Interest) includes annual disclosures, identification of financial entities, and links between financial entities and proposals and awards. Authorized users need to check and maintain all conflict of interest and financial interest disclosures that may compromise professional judgment in carrying out research work. Note: FCOI is more applicable to the campuses; the RF has a Corporate Conflict of Interest program outside of pre-award processes.

The IRB (Institutional Review Board) allows campuses to electronically submit, review and monitor IRB protocols. This also allows the human subjects protocol and the grant proposal to be linked, making the information easily accessible to the research compliance and sponsored programs offices, enabling their mutual reviews to be collaborative and efficient.

The IACUC (Institutional Animal Care and Use Committee) Protocol allows departmental administrators and investigators to develop complete protocols and electronically route them for IACUC review.

Export Controls consists of federal laws that require standards to be met which may include federal agency approval before the export of designated or controlled items, commodities, technology, software, or intellectual property can occur to restricted foreign countries, persons, or other entities, such as universities.

Responsible Conduct of Research includes most of the professional activities that are included in a PI’s research work to assure that the practice of scientific investigation is done with integrity. The campus determines the components of its responsible conduct in research program based on the types of research programs conducted at the institution. The program can include, but is not limited to: protection of human subjects and protection of animal subjects.

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The Institutional Biosafety Committee allows campuses to electronically submit, review and monitor the biosafety committee protocols, track required training, provide links to guidance and regulations, create questionnaires, and the ability to add additional committees and processing/routing.

The Radiation Safety Committee allows campuses to electronically submit, review and monitor the radiation committee protocols, track required training, provide links to guidance and regulations, create questionnaires, and the ability to add additional committees and processing/routing.

Campuses use a variety of tools to track regulatory research compliance data, including:

The existing system to the extent available in implemented modules.

IRBNet

Microsoft Excel

COI – Smart

Paper

InfoEd

Microsoft Access

COI Risk Manager (Osprey)

PDF/Smart Forms

E-mail

CITI Training

Homegrown databases

C. Post-Award Management The RF uses the Oracle E-Business suite as its Enterprise Resource Planning (ERP) system for post award management activities. All campus locations use the Oracle business system to enter transactions, run reports, complete reports and analyze data. The RF’s ERP is grants-centric so that all transactions done in the system have the award, project, and task information embedded in them. The RF uses these Oracle modules:

Human Resources (HR)

Labor Distribution (LD)

Accounts Payable (AP)

General Ledger (GL)

Accounts Receivable (AR)

Grants Accounting (GA) In addition, the RF uses these third-party tools in conjunction with Oracle:

Kbace for in-depth reporting and analysis for HR/payroll transactions.

GL Wand for general ledger analysis with the capability to drill into the other modules.

EiS for entering hourly and overtime information for the calculation of the biweekly payroll.

ECRT for effort reporting.

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D. Enterprise Reporting Summary The RF uses a reporting application called the RF Report Center that was built using Oracle Business Intelligence Enterprise Edition (OBIEE). The RF Report Center provides an analytical tool that allows campuses to view integrated information from the RF business system. The tool provides data through interactive dashboards and an ad hoc analysis reporting tool. The RF offers two dashboards—the PI dashboard and the RF Activity Interface Reporting dashboard—to help users quickly and easily find data. The RF Report Center consists of 28 subjects that provide data for both pre-award and post award management and is refreshed on a nightly basis. The data is primarily from the Oracle E-Business Suite but some data is sourced from the RF’s existing pre-award and regulatory research compliance system and other minor systems. RF Data Warehouse Architecture

Extract Transform and Load (ETL) processing o Informatica 9.l Mapping and Data Extraction toolset o Oracle Database 11.2 G, PL/SQL o Appworx process flow and job scheduler o Daily processing-- Net Change of Data or Incremental change—from midnight to 4 a.m.

Database Environment

o Primarily Oracle 11.2 G for EBS Source Data

o Oracle 11.2G for ETL/Data Warehouse Database

Business Intelligence Software and Environment

o Oracle Business Intelligence Enterprise Edition Suite 11.1.1.7

o Dashboards, Ad hoc Queries, BI Publisher, BI Map View, Score Cards

o Scheduled Reports and Queries

Servers

o Primarily an IBM LPAR 770 Virtual Unix environment running AIX 6.1

Availability The RF Report Center and data warehouse are available 18-20 hours per day. ETL processing occurs daily-- net change of data or incremental change—from midnight to 4 a.m. Monday through Friday.

Req.

ID

Pre-Award Requirement

Category

Pre-Award

Requirement Sub-

category Short Description of the Pre-Award Requirement

Bidder Meets

Req. (Y or N)

Describe how Bidder Solution

Meets the Requirement Additional Notes

1 Funding Opportunities Data Integration Bring relevant data in and out

2 Funding Opportunities Data Integration Specifically, bring training data in and out

3 Funding Opportunities General User friendly interface

4 Funding Opportunities Profiles and

Opportunities

Search potential opportunities


Opportunities

Create robust faculty profile to include expertise keywords, training history, etc.


Opportunities

Provide mechanism for providing funding matches directly to faculty


Opportunities

Allow all PACS users to search funding opportunities


Opportunities

Generate proposal template from selected funding opportunity


Opportunities

Allow addition of internal (campus- or system-based) funding

opportunities


Opportunities

Allow faculty updating of profiles


Opportunities

Allow all PACS users to search faculty profiles for potential collaborators

12 Proposal Development Approval Allow editing of standard routing email messages

13 Proposal Development Approval Allow campus-level definition of user roles and responsibilities

14 Proposal Development Approval multiple users to work on same proposals, check out check in and locking

15 Proposal Development Budget Development Allow the designation of financial and recognition credit for Key Personnel

16 Proposal Development Budget Development document intellectual contribution

17 Proposal Development Budget Development Allow the inclusion of paid and unpaid effort

18 Proposal Development Budget Development Populate cost element code tables with Oracle EBS cost elements

19 Proposal Development Budget Development Support the use of multiple rates in multi-year budgets

20 Proposal Development Budget Development Reflect appointment terms and actual (current) salaries (both RF and

SUNY) in the calculation of personnel salaries

21 Proposal Development Budget Development Incorporate relevant salary caps and inflation in budget calculation

22 Proposal Development Budget Development Budget Exception Handling

23 Proposal Development Budget Development Integrated with each SUNY HR and RF IBS for salary

24 Proposal Development Budget Development Allow the inclusion of cost share commitments (including indirect cost under

recovery) in budget; allow designation of type of cost share (mandatory,

voluntary committed, etc.)

25 Proposal Development Budget Development Allow budgeting of subawards, to include corresponding subaward detail budget

26 Proposal Development Budget Development Allow the calculation of indirect cost rates on all existing bases

27 Proposal Development Budget Development there has to be a user defined rate

28 Proposal Development Budget Development under recover, the cost share

The Research Foundation for SUNY

Attachment C: PACS Business Requirements (Detailed List)

Request for Proposal


Page 29

Req.

ID


Category

Pre-Award

Requirement Sub-


Bidder Meets

Req. (Y or N)







29 Proposal Development Budget Development identify mandatory cost share requirement

30 Proposal Development Budget Development Allow users to designate budget type (detailed, basic, modular,

continuation, clinical trial, etc.)

31 Proposal Development Budget Development Allow users to populate budget form from Excel spreadsheet

32 Proposal Development Budget Development allow budget versioning

33 Proposal Development Budget Development Automatically generate future budget periods from existing period's information

34 Proposal Development Budget Development handle continuation

35 Proposal Development Budget Development F&A rate

36 Proposal Development Budget Development support multiple bases

37 Proposal Development Budget Development ability to include subaward budgeting

38 Proposal Development Data Integration Populate sponsor tables from Oracle EBS Supplier file

39 Proposal Development Data Integration supplier file needs to be accessible to PACS

40 Proposal Development Data Integration integration with CITI, WeComply, or training data

41 Proposal Development General Use and maintain standard definitions for all data fields

42 Proposal Development General pull budget data into application automatically

43 Proposal Development General Provide keyword search functionality for all system fields and attachments

44 Proposal Development General ability to define business rules

45 Proposal Development General Allow the creation of validation rules for workflow, data entry, and special

requirements and review process

46 Proposal Development General Allow campus-level override of standard field values

47 Proposal Development General Allow the designation of relevant compliance review processes

48 Proposal Development General Standardize code table entries and maintenance for values including F&A and

fringe benefit rates, etc.

49 Proposal Development General Capture proposal type (new, revision, resubmission, etc.)

50 Proposal Development General Allow system-to-system submission of proposals

51 Proposal Development General Allow validation of proposals w/r/t funding opportunity, grants.gov and

agency validation rules

52 Proposal Development General support additional specific agencies validation

53 Proposal Development General Allow users to easily monitor proposal status (e.g., "train station navigation")

54 Proposal Development General Allow the uploading of relevant/required proposal attachments

55 Proposal Development General attachment should be searchable

56 Proposal Development General Allow users to print and download full proposals (to include the identification of

password-protected files)

57 Proposal Development General protect information security

58 Proposal Development General system notification

59 Proposal Development General Identify and protect confidential data during proposal development and

routing

60 Proposal Development Institution

Identification

identify institution


Identification

Create robust organization profile to include standard organizational information,

rates, etc.

Page 30

Req.

ID


Category

Pre-Award

Requirement Sub-


Bidder Meets

Req. (Y or N)








Identification

Allow all users to add performance sites pending approval

63 Proposal Development Key Personnel Allow selection of Co-PIs and Key Personnel from People data

64 Proposal Development Key Personnel Allow the designation of any eligible individual as Key Personnel

65 Proposal Development Narratives and Forms faculty will write proposal segments offline, cut and paste in

66 Proposal Development Narratives and Forms Provide warehouse of commonly-used documentation for proposal

development (also see Items 5.16 and 5.17)

67 Proposal Development Narratives and Forms system to system forms

68 Proposal Development Narratives and Forms Allow the designation and inclusion of campus-defined data, attachments, and

forms

69 Proposal Development Profiles and

Opportunities

validate certification and training of the PIs

70 Proposal Development Profiles and

Opportunities

Allow faculty to access all relevant profile information on one screen

71 Proposal Development Questionnaires ability to report on NSF question 1 and 2

72 Proposal Development Questionnaires Allow creation of system-wide questionnaires

73 Proposal Development Questionnaires Allow creation of campus-level questionnaires

74 Proposal Development Subcontract Allow external users to add/edit relevant organizational data (i.e.,

subaward risk analysis elements)

75 Proposal Development Subcontract subcontractor self service function

76 Proposal Development Subcontract risk analysis on subcontractor

77 Routing and Approval Approval Use PACS organizational hierarchy in configuring approval routing paths

78 Routing and Approval Approval Allow proposal-level customization of approval routing paths

79 Routing and Approval Approval Allow multiple approvals at any given approval level

80 Routing and Approval Approval allow additional routing

81 Routing and Approval Approval Allow approvers and PIs to provide comments and attachments

82 Routing and Approval Approval allow alternative approvers

83 Routing and Approval Approval proposal and routing status

84 Routing and Approval Approval train station navigation

85 Routing and Approval Approval allow faculty to upload narratives

86 Routing and Approval Approval validation of completeness before routing

87 Routing and Approval Approval Allow the recall of proposals in routing status

88 Routing and Approval Approval configure campus with exception

89 Routing and Approval Approval swap out swap in by campuses

90 Routing and Approval Approval validation by campuses

91 Routing and Approval Approval Allow preliminary approval stage

92 Routing and Approval Approval Block concurrent editing by locking proposal when checked out

93 Routing and Approval Approval proposal version control

94 Submission Submission Allow entry of basic information (with generation of proposal #) prior to routing

for non-system-to-system submissions

Page 31

Req.

ID


Category

Pre-Award

Requirement Sub-


Bidder Meets

Req. (Y or N)







95 Submission Submission Email submission; and other submission

96 Submission Submission System to System Submission

97 Submission Submission Formal record of proposal

98 Submission Submission Reflect grants.gov and proposalCENTRAL status in PACS status

99 Submission Submission Re-submission

100 Submission Submission Allow OSP to edit/add PACS status update(s)

101 Submission Submission Maintain record of user action, including timestamp

102 Submission Submission Timestamps

103 Submission Submission Query on submission activities

104 Submission Submission Export proposal to PDF to be moved to knowledge

105 Submission Submission PI portal for information

106 Submission Submission Ability to incorporate winning bidder info?

107 Submission Submission Rejection and close out

108 Sponsor Review and

Negotiation

Annotation interaction with sponsors be updated in the PACS

109 Sponsor Review and Negotiation Annotation Allow additional routing of revised proposal versions during negotiation

phase

110 Sponsor Review and Negotiation Annotation ability to tracking negotiations

111 Sponsor Review and Negotiation Annotation annotation for negotiation documents

112 Sponsor Review and Negotiation Approval ability for the campus to add additional users to the proposal

113 Sponsor Review and Negotiation Attachment Allow OSP to log comments and attachments during negotiation phase

114 Sponsor Review and Negotiation Attachment award documentation to be uploaded to PACS

115 Sponsor Review and Negotiation Attachment upload negotiation documents

116 Sponsor Review and Negotiation Budget Development Allow revision of budget during negotiation phase

117 Sponsor Review and Negotiation Compliance compliance checklist for subcontractor

118 Sponsor Review and Negotiation Data Integration Populate Oracle EBS with final awarded proposal budget

119 Sponsor Review and Negotiation Data Integration Provide system-hosted email for all notifications

120 Sponsor Review and Negotiation Proposal

Development

Allow revision of proposal elements during negotiation phase

121 Sponsor Review and Negotiation Proposal

Development

ability to go back to proposal to enter revised components

Page 32

Req.

ID


Category

Pre-Award

Requirement Sub-


Bidder Meets

Req. (Y or N)







122 Sponsor Review and Negotiation Subcontract ability to issue subcontract, agreements, and track the changes

123 Sponsor Review and Negotiation Subcontract PI will be able to add new subcontractors for approval

124 Sponsor Review and Negotiation Subcontract Allow ongoing monitoring of subcontract/subaward

125 Sponsor Review and Negotiation Subcontract subcontractor portal for self services

126 Sponsor Review and Negotiation Submission Allow OSP to update status of proposal (pending/awarded/declined, etc.)

127 Sponsor Review and Negotiation Submission ability to add post submission and pre-award information

128 Sponsor Review and Negotiation Templates Provide warehouse of commonly-used agreement documentation (also

see Items 2.5 and 2.17)

129 Sponsor Review and Negotiation Templates Provide warehouse of commonly-used compliance documentation (also

see Items 2.5 and 5.16)

130 Award Establishment Data Integration Upon request and review, provide available award establishment data

from PACS to Oracle EBS

131 Award Establishment Data Integration review PACS data before sending to Oracle

132 Award Establishment Data Integration Upon request and review, provide relevant award data (including

establishment and closeout) from Oracle EBS to PACS

133 Award Establishment Data Integration build action form and send to establish people

134 Award Establishment General Allow the inclusion of non-sponsored projects

135 Award Establishment Notification notification campuses and PIs

136 Close out Data Integration when Oracle close out an award, the status come back to PACS

137 Close out Data Integration Upon request and review, provide relevant effort reporting data from ecrt

to PACS

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Req.

ID

Compliance Requirement

Category

Compliance

Requirement Sub-

category Short Description of the Compliance Requirement

Bidder Meets

Req. (Y or N)



1 Institutional Review Board (IRB) Adverse Events Provide method for submission & review of adverse events

2 IRB Amendments Ability to create and submit protocol amendments

3 IRB Close-out Ability to record terminated protocols

4 IRB Committee Ability create multiple committees

5 IRB Committee Ability to populate committees with members who are both internal and

external to campus

6 IRB Committee Ability to auto-generate committee meeting schedule

7 IRB Committee Identify the terms of committee members

8 IRB Committee Provide for protocol assignment to full IRB or individual members

9 IRB Continuations /

Continuing Review

Ability to create and submit protocol continuations and continuing reviews

10 IRB Continuations /

Continuing Review

Renewal of IRB will come back to PACS

11 IRB Correspondence Ability to create batch correspondence based on protocol status

12 IRB Correspondence Provide method for IRB meeting notes, protocol review, documentation &

document versioning

13 IRB Integration to Oracle Provide ability to inform postward of IRB & protocol renewal information

14 IRB Integration to Oracle Notify postaward to stop all payment if/when IRB renewal expires

15 IRB Integration to Oracle Provide for exception handling for award establishment

16 IRB Integration to Oracle Assure IRB approval is obtained prior to research starts/award

establishment

17 IRB Integration to Oracle Allow modifications to protocol due to changes of sponsor funding

18 IRB Integration to Oracle Provide vendor system/customer support

19 IRB Meeting Management Allow for additional items, non-specific protocol discussions, to be placed

into agenda, as well as removing items from agenda

20 IRB Meeting Management Auto-generate system emails to IRB/reviewers when protocol has been

placed on agenda

21 IRB Meeting Management Ability to document & record meeting specifics (record attendance,

recuses, meeting start/end times)

22 IRB Meeting Management Ability to document & record protocol review specific determinations &

decisions (motions, voting, abstainers, any comments)

23 IRB Meeting Management Auto-generate an IRB decision letter to PI

24 IRB Meeting Management Identify any risk levels, auto-generate protocol expiration date (if protocol

is approved)

25 IRB Meeting Management Auto-create IRB meeting minutes

26 IRB Other Provide for IRB services to third parties

27 IRB Other Decide on when trigger off IRB review table and when it is done

28 IRB Other Maintain IRB collaborator and affiliate actions

29 IRB Other Identify required trainings

30 IRB Other Assure IRB is the notification center for compliance





Page 34

Req.

ID


Category

Compliance

Requirement Sub-


Bidder Meets

Req. (Y or N)







31 IRB Other Provide a queue for IRB management items

32 IRB Other Connect biosafety with IRB (if appropriate)

33 IRB Other Ability for reviewer to flag IRB approval

34 IRB Other Connect COI with IRB (if appropriate)

35 IRB Protocol Review Allow for system generated email notifications to PI at all stages of IRB

review

36 IRB Protocol Review Allow for PI to access protocol to make specific minor revisions or

substantive revisions requested by IRB

37 IRB Protocol Review Allow for protocol assignment to various committees for review

38 IRB Protocol Review Allow for protocol assignment to reviewers (primary, secondary and

others) 39 IRB Protocol Review Allow for protocol assignment to particular meeting and inclusion in

agenda

40 IRB Protocol Review Set critical dates for IRB compliance/process

41 IRB Protocol Review Identify different routings/approvals (dependent on type of submission)

42 IRB Protocol Review Provide method for online protocol review by IRB

43 IRB Protocol

Validation/Submission

Apply validation rules and submit for review based on individual campus

approval hierarchy

44 IRB Protocol


Auto-generate communication confirming submission of protocol to the

IRB with protocol number for tracking and correspondence

45 IRB Protocol


Include protocol submission according to IRB required elements

46 IRB Protocols Ability to create, copy, withdraw and delete protocols

47 IRB Protocols Ability to identify campus IRB, as well as cross-campus IRB

48 IRB Protocols Ability to identify exemption determinations

49 IRB Protocols Allow PI to give additional rights to protocol

50 IRB Protocols Ability to indicate (and remove) correspondents, those who in addition to

the PI should be copied on all IRB communications

51 IRB Protocols Ability to indicate funding sources and link to proposal within same system

52 IRB Protocols Ability to develop multiple questionnaires based on the specific

submission53 IRB Protocols Ability to upload attachments

54 IRB Protocols Support unique protocol arrangements

55 IRB System-Wide Full Integration with other modules

56 IRB System-Wide Insure full and timely vendor support

57 IRB System-Wide Provide electronic signature by log in

58 IRB System-Wide Assure full and total confidentiality

59 IRB System-Wide Ability to assign multiple roles/rights

60 IRB System-Wide Support both sponsored and non-sponsor projects

61 IRB System-Wide Include IRB "tab" in PI portal which includes all IRB activity related to PI

Page 35

Req.

ID


Category

Compliance

Requirement Sub-


Bidder Meets

Req. (Y or N)







62 IRB System-Wide Real-time record of current status all actions performed on a protocol,

populated automatically as actions are taken, and ensuring attachments

are available based on particular action

63 IRB System-Wide Ability to over-ride fields and allow administrative corrections to protocols

64 IRB System-Wide Ability to generate multiple forms and correspondence templates for use

within system and link them with specific actions

65 IRB System-Wide Ability to report on all data fields collected

66 Institutional Animal Care and

Use Committee (IACUC)

Include all of the 66 IRB requirements

67 IACUC Track facility inspection

68 IACUC Tie in with laboratory animal census

69 IACUC Identify if the protocol is for teaching or research purpose

70 IACUC Provide method to document ordering of animals

71 Financial Conflict of Interest

(FCOI)

Identify PI Public Health Services (PHS) disclosure

72 FCOI Identify PI disclosure of financial interest in relation to institutional

responsibilities

73 FCOI Identify institutional conflict of interests

74 FCOI Develop method to assure & maintain data security and privacy for PI

disclosure

75 FCOI Assure PI for PHS awards get required training before award establishment

76 FCOI Assure training is completed/documented when proposal is submitted

77 FCOI Assure annual COI training/proposal submission

78 FCOI Develop one repository with COI disclosure statement

79 FCOI Include travel questions

80 FCOI Complete campus COI disclosure statement

81 FCOI Identify subrecipient COI status

82 FCOI Provide self service information for external entities

83 FCOI Provide method for annual COI notifications and reminders

84 FCOI Include management plan template

85 FCOI Identify institutional responsibilities as defined by PHS for flagging conflicts

86 FCOI Identify entities with supplier files and sponsors

87 FCOI Auto-search disclosed entity against activities

88 FCOI Provide for data integration with postaward

89 FCOI Identify all requirements for compliance committee constitution for the

IRB90 FCOI Develop method to assure & maintain confidentiality

91 FCOI Ability to report on all data collected

92 FCOI Allow for changes to system function

Page 36

Req.

ID


Category

Compliance

Requirement Sub-


Bidder Meets

Req. (Y or N)







93 Institutional Biosafety

Committee (IBC)

Include all of the 66 IRB requirements

94 IBC Identify the requirements for different trainings

95 IBC Hyperlink to guidance & regulation & campus material

96 IBC Ability to create campus-specific questionnaires

97 IBC Ability to add additional committee and process/routing

98 Export Control Include standard questions at proposal submission/trigger for initial

review

99 Export Control Support review procedures for reviews of sponsors, personnel, travel,

shipping, purchases

100 Export Control Support both sponsored and non-sponsored projects

101 Export Control Identify international components at proposal submission

102 Export Control Ability to set up document and template and campus process and routing

103 Export Control Hyperlink to guidance & regulation & campus material

104 Export Control Identify deemed export situation

105 Export Control Determine if license request is necessary at proposal submission

106 Export Control Hyperlink eCustoms Visual Compliance Research Edition

107 Export Control Develop method to assure & maintain confidentiality

108 Export Control Identify campus visitors/delegations (future phases)

109 Export Control Integrate with personnel system

110 Export Control Provide for reporting of export control violations

111 Export Control Identify persons prohibited from export transactions

112 Export Control Ability to report on all data collected

113 Export Control Allow for changes to system function

114 Responsible Conduct of

Research (RCR)

Develop method to identify campus-specific program & associated training

requirements

115 RCR Assure training is completed before appointment to NSF awards

116 RCR Needs notification by PACS

117 RCR Ability to report on all data collected

118 RCR Allow for changes to system function

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Rep.

ID Report Name Description Category

1 Award Reporting Requirements Tracks reports due by factors such as Principal

Investigator (PI), Due Date, Sponsor, and Report type.

Awards

2 Active Grants By Unit Active Grants Awards

3 Closed Awards By Unit/Date List closed awards by unit and date Awards

4 Active Grants By Sponsor Type Active awards by sponsor type Awards

5 Active Grants By Activity Type Active awards by activity type Awards

6 Active Grants by Award Type Active awards by award type Awards

7 Active Grants By Principal Investigator Active awards by PI Awards

8 Summary of Active Grants By Unit Summary of Awards by Unit Awards

9 Summary of Active Grants By Investigator Summary of active awards by Investigator Awards

10 Current Active Grants By Unit Current active awards by unit Awards

11 Current Active Grants By Special Review By Unit Current active awards by Special Review by Unit Awards

12 Graph - Active Grants By Sponsor Type Graph active awards by Sponsor Type Awards

13 Graph - Active Grants by Activity Type Graph active awards by Activity Type Awards

14 Graph - Active Grants by Award Type Graph Active awards by Award Type Awards

15 Active Grants by Primary Investigator Active Awards by PI Awards

16 Master Detail Report of Awards by PI On-line view of awards by PI Awards

17 Active Awards (all) All active awards Awards


Enterprise-wide Pre-Award and Compliance System (PACS)Attachment D: List of Requested Standard Reports

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Rep.




18 Awards by date/sponsor/PI/Co-PI/department/etc. List of awards by parameters Awards

19 Federal Awards by date/PI/Co-PI/department/etc. List federal awards by these parameters Awards

20 Federal Flow-Through Awards by date/PI/Co-

PI/department/etc.

List Federal Flow Through Awards by these

parameters.

Awards

21 Non-Federal Awards by date/PI/Co-PI/department/etc. List Non-Federal Awards by these parameters Awards

22 Industry Awards by date/PI/Co-PI/department/etc. List Industry awards by these parameters Awards

23 Award Reports Detail New Track awards by investigators, investigator credit,

investigator effort, department, departmental credit,

school, direct cost, indirect cost, total, sponsor,

proposal number, APT

Awards

24 Award reports Detail Current Track awards by investigators, investigator credit,




Awards

25 Award Reports Detail Historical Track awards by investigators, investigator credit,




Awards

26 Award Reports DetailTuition Track awards by investigators, investigator credit,




Awards

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Rep.




27 Award Reports Detail Budgeted IFR Track awards by investigators, investigator credit,




Awards

28 Award Reports Detail by Award Type Track awards by investigators, investigator credit,




Awards

29 Award Reports Detail by Investigator Track awards by investigators, investigator credit,




Awards

30 Award Reports Detail by Department Track awards by investigators, investigator credit,




Awards

31 Award Reports Detail by School Track awards by investigators, investigator credit,




Awards

32 Award Reports Detail by Sponsor Track awards by investigators, investigator credit,




Awards

33 Award Reports Detail by Sponsor Type (i.e. Fed, State,

etc.)

Track awards by investigators, investigator credit,




Awards

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Rep.




34 Award Reports Detail by Awards Ending by Track awards by investigators, investigator credit,




Awards

35 Award Reports Detail by Success Rates Track awards by investigators, investigator credit,




Awards

36 Award Reports Detail by Investigator Crediting Track awards by investigators, investigator credit,




Awards

37 Award Reports Detail by Departmental Crediting Track awards by investigators, investigator credit,




Awards

38 Award Reports Detail by School Crediting Track awards by investigators, investigator credit,




Awards

39 Award Reports Summary by New Track awards by investigators, investigator credit,




Awards

40 Award Reports Summary by Current Track awards by investigators, investigator credit,




Awards

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Rep.




41 Award Reports Summary by Historical Track awards by investigators, investigator credit,




Awards

42 Award Reports Summary by Tuition Track awards by investigators, investigator credit,




Awards

43 Award Reports Summary by Budgeted IFR Track awards by investigators, investigator credit,




Awards

44 Award Reports Summary by Award Type Track awards by investigators, investigator credit,




Awards

45 Award Reports Summary by Award Type Track awards by investigators, investigator credit,




Awards

46 Award Reports Summary by investigator Track awards by investigators, investigator credit,




Awards

47 Award Reports Summary by department Track awards by investigators, investigator credit,




Awards

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Rep.




48 Award Reports Summary by school Track awards by investigators, investigator credit,




Awards

49 Award Reports Summary by sponsor Track awards by investigators, investigator credit,




Awards

50 Award Reports Summary by sponsor type (i.e. fed

state, etc…)

Track awards by investigators, investigator credit,




Awards

51 Award Reports Summary by Investigator Crediting Track awards by investigators, investigator credit,




Awards

52 Award Reports Summary by Departmental Crediting Track awards by investigators, investigator credit,




Awards

53 Award Reports Summary by School Crediting Track awards by investigators, investigator credit,




Awards

54 Subcontract List List of all subcontracts Awards

55 Subcontracting Reports List all awards in the subcontracting tables Awards

Page 43

Rep.




56 Awards with foreign sponsors List all awards with foreign sponsors and the amount

of each award

Awards

57 Awards with foreign nationals working on the award List all awards with foreign nationals and the amount

of each award

Awards

58 Awards with foreign travel List all awards with foreign travel and the amount of

the award, the amount budgeted for travel and the

percent of the budget the travel represents

Awards

59 Awards not meeting the fundamental research

exclusion

List all awards for which a determination has been

made that the award does not meet the standards of

fundamental research exclusion.

Awards

60 Positive disclosures List of positive disclosures COI

61 Positive disclosures deemed to be a FCOI List of positive disclosures by FCOI COI

62 COI by Annual Disclosures Not Submitted Track by investigators, investigator effort,

department, school

COI

63 Positive disclosures resulting in a significant financial

interest (SFI) that is not a COI or FCOI

The regulation requires a disclosure, review of

whether there is an SFI and whether the SFI results in

a COI

COI

64 Submitted protocols List all submitted protocols IACUC

65 Active protocols List all active protocols IACUC

66 Protocols awaiting determination list protocols awaiting determination IACUC

67 IACUC by Active Protocols Track by investigators, investigator effort,

department, school

IACUC

68 IACUC by Investigator Track by investigators, investigator effort,

department, school

IACUC

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Rep.




69 IACUC by Department Track by investigators, investigator effort,

department, school

IACUC

70 IACUC by Funding Source Track by investigators, investigator effort,

department, school

IACUC

71 IACUC by Committee Track by investigators, investigator effort,

department, school

IACUC

72 Non-DLAR facilities use in active projects (for

inspections).

List of non-DLAR Facilities used in active projects IACUC

73 Reports by pain/distress category List of animals by pain and distress IACUC

74 Reports by species List of species IACUC

75 Use of controlled substances List of use of controlled substances IACUC

76 Use of biohazards list of biohazards IACUC

77 Category C animals List of Category C Animals IACUC

78 Deviations from the Guide List of Guide deviations IACUC

79 Single housing approval List of single house approvals IACUC

80 Submitted protocols List submitted protocols IBC

81 Active protocols List active protocols IBC

82 Protocols awaiting determination list protocols awaiting determination IBC

83 Submitted protocols List all submitted protocols IRB

84 Active protocols List all active protocols IRB

85 Protocols awaiting determination list protocols awaiting determination IRB

86 IRB Active Protocols Track by investigators, investigator effort,

department, school

IRB

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Rep.




87 IRB By Investigator Track by investigators, investigator effort,

department, school

IRB

88 IRB by department Track by investigators, investigator effort,

department, school

IRB

89 IRB by Funding Source Track by investigators, investigator effort,

department, school

IRB

90 IRB by Committee Track by investigators, investigator effort,

department, school

IRB

91 Unanticipated problems submissions/IRB

determinations on those submissions

List of submissions and statuses IRB

92 Protocol deviation/noncompliance/IRB determinations

on those submissions

List of non-compliant protocol submission IRB

93 Metrics on time from submissions to approvals for

exempts/expediteds/ fulls (with detail on how long it

was in the investigator's 'hands' vs. administration/

Metrics on time from submission to approvals IRB

94 Active projects involving children List of active projects by children IRB

95 Biosafety containment levels on active studies List of biosafety containment levels on active studies. IRB

96 ORC Applications List of reports by Office Research Compliance

applications

IRB

97 Trainings...IRB, IACUC, IBC, COI List of training by compliance area: IRB, IACUC, IBC,

COI

IRB

98 Proposals with foreign nationals working on the award List all proposals with foreign nationals and the

amount of each proposal

Proposal

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Rep.




99 Proposals with foreign travel List all proposals with foreign travel and the amount

of the proposal, the amount budgeted for travel and

the percent of the budget the travel represents

Proposal

100 Proposals not meeting the fundamental research

exclusion

List all proposals for which a determination has been

made that the proposal does not meet the standards

of fundamental research exclusion.

Proposal

101 Active Projects List of all active projects Proposal

102 Investigator-specific active projects List of investigator active projects by investigator Proposal

103 Externally funded active projects List of externally funded active projects Proposal

104 Active projects within specific departments List of active projects by departments Proposal

105 PIs/study coordinators on active studies List of PIs and study Coordinators on active studies Proposal

106 Withdrawn or incomplete applications List of withdrawn or incomplete applications Proposal

107 International research List of institutional research Proposal

108 Submitted Proposals By Unit List proposals by the status of submitted Proposal

109 Pending Proposals By Unit List Proposals by the status of pending Proposal

110 Proposals for Pending Special Reviews By Unit List Proposals for Pending Special Reviews Proposal

111 Pending Status Report of Proposals By Unit List pending status reports of proposals by Unit Proposal

112 Applications by Department and PI (including credit

distribution)

List proposal applications by these parameters Proposal

113 Applications by date/sponsor/PI/Co-

PI/department/etc.

List proposal applications by these parameters Proposal

114 Federal Applications by date/PI/Co-PI/department/etc. List Federal applications by these parameters Proposal

115 Federal Flow-Through Applications by date/PI/Co-

PI/department/etc.

List Federal Flow Through Awards by these

parameters.

Proposal

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Rep.




116 Non-Federal Applications by date/PI/Co-

PI/department/etc.

List Non-Federal applications by these parameters Proposal

117 Industry Applications by date/PI/Co-

PI/department/etc.

List Industry applications by these parameters Proposal

118 Applications involving IRB/IACUC/etc. List Applications which include compliance related

information.

Proposal

119 Proposal Reports Detail by Investigator Tracks detail by investigators, investigator credit,



proposal number

Proposal

120 Proposal Reports Detail by Department Tracks detail by investigators, investigator credit,



proposal number

Proposal

121 Proposal Reports Detail by School Tracks detail by investigators, investigator credit,



proposal number

Proposal

122 Proposal Reports Detail by Sponsor Tracks detail by investigators, investigator credit,



proposal number

Proposal

123 Proposal Reports Detail by Sponsor Type (i.e. fed, state,

etc.

Tracks detail by investigators, investigator credit,



proposal number

Proposal

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Rep.




124 Proposal Reports Detail by proposal submission data to

SPS

Tracks detail by investigators, investigator credit,



proposal number

Proposal

125 Proposal Reports Detail by Success Rates Tracks detail by investigators, investigator credit,



proposal number

Proposal

126 Proposal Reports Detail by investigator Crediting Tracks detail by investigators, investigator credit,



proposal number

Proposal

127 Proposal Reports Detail by Departmental Crediting Tracks detail by investigators, investigator credit,



proposal number

Proposal

128 Proposal Reports Detail by School Crediting Tracks detail by investigators, investigator credit,



proposal number

Proposal

129 Proposal Reports Summary by Investigator Tracks detail by investigators, investigator credit,



proposal number

Proposal

130 Proposals Reports Summary by Department Tracks detail by investigators, investigator credit,



proposal number

Proposal

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131 Proposals Reports Summary by school Tracks detail by investigators, investigator credit,



proposal number

Proposal

132 Proposal Reports Summary by sponsor Tracks detail by investigators, investigator credit,



proposal number

Proposal

133 Proposal Reports Summary by sponsor type Tracks detail by investigators, investigator credit,



proposal number

Proposal

134 Proposal Report Summary by Investigator Crediting Tracks detail by investigators, investigator credit,



proposal number

Proposal

135 Proposal Report Summary by Departmental Crediting Tracks detail by investigators, investigator credit,



proposal number

Proposal

136 Proposal Report Summary by School Crediting Tracks detail by investigators, investigator credit,



proposal number

Proposal

137 Proposals and Statuses by Faculty Member where PI,

Co-PI, Key Personnel, Credit PI

List of Proposals and statuses by parameters Proposal

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138 Proposals and Statuses by Organization with rollup

security where Lead Unit, Credit Unit or Affiliated Unit

List of Proposals and Statuses by Organization Proposal

139 Committed vs. Awarded Effort by time period List of Committed Vs Award Effort by time Proposal

140 Success Rate for Faculty and Organization Report on Success Rate for Faculty and Organization Proposal

141 Number of Proposals submitted by Fiscal, Sponsor Type

and Organization

Count of proposals submitted by the enclosed

parameters.

Proposal

142 Cost shared budgets and sources Report on cost shared budgets and sources Proposal

143 Proposals with foreign sponsors List all proposals with foreign sponsors and the

amount of each proposal

Proposals

Page 51

request for proposal · b. rfp proposal submission ... the successful bidder’s proposal. 2. in...

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