{"source":"Research administration functions and features most commonly offered by Kuali Research, Huron Research Suite and Cayuse, as identified by Claude, Perplexity and Grok and reconciled into one set. src: C = Claude, P = Perplexity, G = Grok. Levels: area > functional area > function > feature.","scope":"Covers pre-award, sponsored-project administration, agreements, human and animal protocols and research compliance, and excludes the general ledger, payables and post-award costing, which stay in the finance ERP except at their award-setup and status interface.","vendors":["Kuali Research","Huron Research Suite","Cayuse"],"groups":[{"k":"F","name":"Proposal and award","ds":["1","2","3","4","5"],"desc":"Finding funding, building and submitting proposals, and accepting and managing sponsored awards, subawards and agreements."},{"k":"P","name":"Research protocols","ds":["6","7","8"],"desc":"Review and oversight of human, animal and hazardous research by the institution’s committees."},{"k":"R","name":"Research integrity and compliance","ds":["9","10","11","12"],"desc":"Disclosures, export control, effort and the training obligations that apply across research."},{"k":"E","name":"Oversight and shared enablers","ds":["13","14","15"],"desc":"Reporting, audit evidence, investigator and research office workflow, integration and security."}],"domains":[{"n":"1","name":"Opportunity and proposal development","desc":"Finds funding and assembles a complete, compliant proposal.","caps":[{"id":"1.1","n":"Funding opportunity discovery","subs":[{"id":"1.1.1","n":"Funding opportunity search","d":"Searches sponsor opportunities by keyword, sponsor, deadline and eligibility.","cls":"Expected","src":["C","P","G"],"herm":"BC066"},{"id":"1.1.2","n":"Opportunity alerts and saved searches","d":"Notifies researchers of new opportunities that match saved searches or profile interests.","cls":"Expected","src":["C"],"herm":"BC066"},{"id":"1.1.3","n":"Federal opportunity import","d":"Pulls the opportunity number, form set and deadlines from Grants.gov into a new proposal.","cls":"Core","src":["C"],"herm":"BC066"},{"id":"1.1.4","n":"Limited submission competitions","d":"Runs internal competitions to pick nominees for programs that cap applications per institution.","cls":"Expected","src":["C","P","G"],"herm":"BC066"},{"id":"1.1.5","n":"Intent to submit","d":"Lets a PI register an upcoming proposal so the research office can plan its review.","cls":"Expected","src":["C"],"herm":"BC066"},{"id":"1.1.6","n":"Opportunity and collaborator recommendations","d":"Suggests opportunities or collaborators from a researcher's publications and prior awards.","cls":"Emerging","src":["C"],"herm":"BC144"}],"herm":["BC066","BC072","BC067","BC144"]},{"id":"1.2","n":"Sponsor and rate reference data","subs":[{"id":"1.2.1","n":"Sponsor master","d":"Maintains sponsors, sponsor hierarchy, sponsor type and contacts used for routing and reporting.","cls":"Core","src":["C"],"herm":"BC072"},{"id":"1.2.2","n":"Sponsor rules library","d":"Stores sponsor-specific rules such as F&A caps, salary caps, page limits and allowable costs.","cls":"Expected","src":["C","G"],"herm":"BC072"},{"id":"1.2.3","n":"Negotiated F&A rate tables","d":"Holds negotiated F&A rates by rate type, location and effective period.","cls":"Core","src":["C"],"herm":"BC215"},{"id":"1.2.4","n":"Fringe and escalation rate tables","d":"Holds fringe rates by employee class and annual escalation rates used in budgets.","cls":"Core","src":["C"],"herm":"BC215"},{"id":"1.2.5","n":"Proposal and activity type codes","d":"Classifies proposals as new, renewal, resubmission or supplement and by research, instruction or service activity.","cls":"Core","src":["C"],"herm":"BC215"}],"herm":["BC215","BC072"]},{"id":"1.3","n":"Proposal preparation","subs":[{"id":"1.3.1","n":"Proposal record","d":"Captures title, sponsor, project dates, lead unit, PI and sponsor deadline for each proposal.","cls":"Core","src":["C","P","G"],"herm":"BC070"},{"id":"1.3.2","n":"Proposal team and roles","d":"Lists PI, co-investigators, key personnel and other participants with their units.","cls":"Core","src":["C"],"herm":"BC070"},{"id":"1.3.3","n":"Investigator and unit credit splits","d":"Splits recognition and F&A credit across investigators and units.","cls":"Expected","src":["C"],"herm":"BC070"},{"id":"1.3.4","n":"Proposal copy and templates","d":"Starts a proposal from a template or by copying a prior proposal.","cls":"Expected","src":["C","P"],"herm":"BC070"},{"id":"1.3.5","n":"Proposal attachments with versions","d":"Stores narratives, biosketches and other attachments with version history.","cls":"Core","src":["C","P"],"herm":"BC070"},{"id":"1.3.6","n":"Proposal access permissions","d":"Controls who can view, edit and approve each proposal by role.","cls":"Core","src":["C"],"herm":"BC070"},{"id":"1.3.7","n":"Compliance questionnaire","d":"Asks standard questions on human subjects, animals, hazards, export control, conflicts and cost share.","cls":"Core","src":["C"],"herm":"BC070"},{"id":"1.3.8","n":"Answer-driven document requirements","d":"Requires specific attachments or reviews based on sponsor and questionnaire answers.","cls":"Expected","src":["C"],"herm":"BC070"},{"id":"1.3.9","n":"Proposal completeness validation","d":"Checks required fields, attachments and sponsor rules before the proposal can route.","cls":"Core","src":["C"],"herm":"BC070"},{"id":"1.3.10","n":"Resubmission and renewal linking","d":"Links a proposal to its prior submission or to the award it renews or supplements.","cls":"Expected","src":["C"],"herm":"BC070"},{"id":"1.3.11","n":"Biosketch and other support generation","d":"Produces biosketches and current-and-pending support documents in sponsor formats from researcher data.","cls":"Expected","src":["C"],"herm":"BC070"},{"id":"1.3.12","n":"Researcher profile data import","d":"Imports profile, appointment and publication data from ORCID or campus profile systems.","cls":"Emerging","src":["C"],"herm":"BC070"},{"id":"1.3.13","n":"Collaborating organization records","d":"Record external collaborators and proposed subrecipients with their roles and required proposal documentation.","cls":"Expected","src":["P"],"herm":"BC070"},{"id":"1.3.14","n":"AI-assisted proposal administrative checks","d":"Suggest missing administrative content and solicitation inconsistencies for human review before submission.","cls":"Emerging","src":["P"],"herm":"BC144"}],"herm":["BC070","BC066","BC144"]},{"id":"1.4","n":"Budget development","subs":[{"id":"1.4.1","n":"Line-item budget builder","d":"Builds budgets by period and cost category with direct costs, F&A and totals.","cls":"Core","src":["C","G"],"herm":"BC073"},{"id":"1.4.2","n":"Personnel salary and effort budgeting","d":"Calculates requested salary from base salary, appointment, effort and escalation.","cls":"Core","src":["C"],"herm":"BC073"},{"id":"1.4.3","n":"Automatic fringe and F&A calculation","d":"Applies fringe and F&A rates by cost element, date and location, including rate changes mid-project.","cls":"Core","src":["C"],"herm":"BC073"},{"id":"1.4.4","n":"Modular budgets","d":"Builds NIH modular budgets in module increments with personnel justification.","cls":"Core","src":["C"],"herm":"BC070"},{"id":"1.4.5","n":"Budget versions","d":"Keeps alternative budget versions and marks one as final for submission.","cls":"Expected","src":["C","P"],"herm":"BC070"},{"id":"1.4.6","n":"Subrecipient budgets in the prime budget","d":"Imports subrecipient budgets and applies F&A only to the allowable portion of each subaward.","cls":"Core","src":["C","P"],"herm":"BC073"},{"id":"1.4.7","n":"Committed cost share","d":"Records mandatory and voluntary committed cost share with its sources and units.","cls":"Core","src":["C","G"],"herm":"BC073"},{"id":"1.4.8","n":"Unrecovered F&A calculation","d":"Calculates F&A not recovered from the sponsor and distributes it to units.","cls":"Expected","src":["C"],"herm":"BC073"},{"id":"1.4.9","n":"Sponsor salary cap in budgets","d":"Limits requested salary to sponsor caps and shows the difference as institutional cost.","cls":"Expected","src":["C"],"herm":"BC073"},{"id":"1.4.10","n":"Participant support costs","d":"Budgets participant support separately and excludes it from the F&A base.","cls":"Expected","src":["C"],"herm":"BC073"},{"id":"1.4.11","n":"Budget justification","d":"Attaches or generates the budget justification aligned to budget categories.","cls":"Expected","src":["C","P"],"herm":"BC070"},{"id":"1.4.12","n":"Budget spreadsheet import and export","d":"Moves budgets between the system and spreadsheets without rekeying.","cls":"Expected","src":["C"],"herm":"BC070"},{"id":"1.4.13","n":"Multi-project and multi-PI budgets","d":"Components, cores, and linked sites on one proposal","cls":"Expected","src":["G"],"herm":"BC070"}],"herm":["BC070","BC073"]}]},{"n":"2","name":"Proposal review and submission","desc":"Routes proposals for institutional approval and delivers them to sponsors.","caps":[{"id":"2.1","n":"Internal routing and approval","subs":[{"id":"2.1.1","n":"Rule-based approval routing","d":"Routes each proposal by unit hierarchy, role, sponsor and questionnaire answers.","cls":"Core","src":["C"],"herm":"BC216"},{"id":"2.1.2","n":"Investigator certifications","d":"Collects PI and key-person certifications required before submission.","cls":"Core","src":["C"],"herm":"BC072"},{"id":"2.1.3","n":"Ad hoc approvers","d":"Adds reviewers or approvers to a single proposal's route.","cls":"Expected","src":["C"],"herm":"BC072"},{"id":"2.1.4","n":"Return for revision","d":"Sends a proposal back to its preparer with comments and keeps prior approvals visible.","cls":"Expected","src":["C"],"herm":"BC216"},{"id":"2.1.5","n":"Internal deadline tracking","d":"Shows days to the sponsor deadline and flags proposals that miss the internal deadline.","cls":"Expected","src":["C","P"],"herm":"BC072"},{"id":"2.1.6","n":"Compliance readiness check","d":"Flags missing protocols, disclosures or training that the proposal's answers require.","cls":"Expected","src":["C"],"herm":"BC072"}],"herm":["BC072","BC216"]},{"id":"2.2","n":"Research office review","subs":[{"id":"2.2.1","n":"Specialist assignment","d":"Assigns proposals to research office specialists by unit, sponsor or workload.","cls":"Expected","src":["C"],"herm":"BC072"},{"id":"2.2.2","n":"Pre-award review checklist","d":"Records the specialist's review of budget, rates, terms and sponsor rules.","cls":"Expected","src":["C"],"herm":"BC072"},{"id":"2.2.3","n":"Proposal status tracking","d":"Tracks each proposal from draft through routing, submission and sponsor decision.","cls":"Core","src":["C"],"herm":"BC072"},{"id":"2.2.4","n":"Just-in-time requests","d":"Tracks sponsor just-in-time requests and the documents sent in response.","cls":"Expected","src":["C"],"herm":"BC072"},{"id":"2.2.5","n":"Proposal outcome recording","d":"Records funded, not funded, withdrawn and pending outcomes with dates.","cls":"Expected","src":["C","P","G"],"herm":"BC072"}],"herm":["BC072","BC215"]},{"id":"2.3","n":"Sponsor submission","subs":[{"id":"2.3.1","n":"Federal form generation","d":"Fills SF424 R&R and agency-specific forms from proposal and budget data.","cls":"Core","src":["C"],"herm":"BC072"},{"id":"2.3.2","n":"System-to-system federal submission","d":"Submits forms and attachments directly to Grants.gov and records the receipt.","cls":"Core","src":["C","P","G"],"herm":"BC072"},{"id":"2.3.3","n":"Sponsor validation before submission","d":"Runs Grants.gov and agency validation rules and shows errors before submission.","cls":"Core","src":["C","P"],"herm":"BC072"},{"id":"2.3.4","n":"Submission status retrieval","d":"Retrieves Grants.gov and agency status and stores agency tracking numbers.","cls":"Core","src":["C"],"herm":"BC072"},{"id":"2.3.5","n":"Changed and corrected submissions","d":"Resubmits a corrected application before the deadline and keeps each submitted version.","cls":"Expected","src":["C","P"],"herm":"BC072"},{"id":"2.3.6","n":"Agency portal submission support","d":"Prepares proposals for NSF Research.gov and other agency portals that do not take Grants.gov packages.","cls":"Expected","src":["C"],"herm":"BC072"},{"id":"2.3.7","n":"Non-federal submission package","d":"Assembles a final PDF package for sponsors without electronic submission.","cls":"Expected","src":["C"],"herm":"BC072"}],"herm":["BC072"]}]},{"n":"3","name":"Award acceptance and finance handoff","desc":"Accepts awards, records their terms and sets them up in the finance ERP.","caps":[{"id":"3.1","n":"Award intake and negotiation","subs":[{"id":"3.1.1","n":"Award notice intake","d":"Records each notice of award and links it to the funded proposal.","cls":"Core","src":["C","P","G"],"herm":"BC215"},{"id":"3.1.2","n":"Award terms review","d":"Records special terms, restrictions and deviations from institutional standards.","cls":"Core","src":["C","P"],"herm":"BC215"},{"id":"3.1.3","n":"Award negotiation log","d":"Tracks negotiation issues, positions and resolution with the sponsor.","cls":"Expected","src":["C"],"herm":"BC156"},{"id":"3.1.4","n":"Award acceptance routing","d":"Routes the award for review and authorized signature before acceptance.","cls":"Core","src":["C","P"],"herm":"BC215"},{"id":"3.1.5","n":"Compliance hold before setup","d":"Holds award setup until required protocols, disclosures and training are confirmed.","cls":"Core","src":["C"],"herm":"BC215"},{"id":"3.1.6","n":"Advance account requests","d":"Approves spending before the award is final with a named guarantor for the risk.","cls":"Expected","src":["C","P","G"],"herm":"BC215"}],"herm":["BC215","BC156"]},{"id":"3.2","n":"Award structure and terms","subs":[{"id":"3.2.1","n":"Award hierarchy","d":"Models a parent award with child awards, projects or cores beneath it.","cls":"Core","src":["C"],"herm":"BC215"},{"id":"3.2.2","n":"Project and budget periods","d":"Tracks the project period, budget periods, obligated amount and anticipated amount.","cls":"Core","src":["C"],"herm":"BC215"},{"id":"3.2.3","n":"Approved award budget","d":"Records the sponsor-approved budget by category and period.","cls":"Core","src":["C"],"herm":"BC215"},{"id":"3.2.4","n":"Award personnel","d":"Records PI, co-investigators and key personnel on the award and their effort commitments.","cls":"Core","src":["C"],"herm":"BC215"},{"id":"3.2.5","n":"Sponsor reporting schedule","d":"Sets report types, frequencies and due dates from the award terms.","cls":"Core","src":["C","P"],"herm":"BC215"},{"id":"3.2.6","n":"Payment and billing terms","d":"Records payment method such as letter of credit, cost reimbursement, fixed price or milestone.","cls":"Core","src":["C"],"herm":"BC215"},{"id":"3.2.7","n":"Award cost share commitments","d":"Carries committed cost share onto the award so finance can track it.","cls":"Expected","src":["C"],"herm":"BC215"},{"id":"3.2.8","n":"Terms and conditions coding","d":"Prior-approval items, publication, carryforward, rebudget authority","cls":"Core","src":["G"],"herm":"BC215"}],"herm":["BC215"]},{"id":"3.3","n":"Finance ERP handoff","subs":[{"id":"3.3.1","n":"Award setup in the finance ERP","d":"Sends award, project, budget, F&A and sponsor data to create grant accounts in the finance ERP.","cls":"Core","src":["C","P","G"],"herm":"BC073"},{"id":"3.3.2","n":"Chart of accounts validation","d":"Validates fund, organization and project values against the finance ERP before handoff.","cls":"Expected","src":["C"],"herm":"BC073"},{"id":"3.3.3","n":"ERP identifiers on the award","d":"Stores the grant, project or fund identifiers that the finance ERP returns.","cls":"Expected","src":["C","G"],"herm":"BC073"},{"id":"3.3.4","n":"Award change synchronization","d":"Sends increments, rebudgets and date changes to the finance ERP as they are approved.","cls":"Core","src":["C","P"],"herm":"BC073"},{"id":"3.3.5","n":"Financial status from the ERP","d":"Shows expenditures, encumbrances and balance read from the finance ERP without storing a ledger.","cls":"Expected","src":["C"],"herm":"BC073"},{"id":"3.3.6","n":"Notice of award distribution","d":"Sends an award summary to the PI, department and finance when the award is set up.","cls":"Expected","src":["C","P","G"],"herm":"BC215"},{"id":"3.3.7","n":"Budget reconciliation to the grant ledger","d":"Research-office budget matches what finance loaded","cls":"Expected","src":["G"],"herm":"BC073"}],"herm":["BC215","BC073"]}]},{"n":"4","name":"Sponsored project administration","desc":"Manages non-financial award changes, deliverables and closeout over the project's life.","caps":[{"id":"4.1","n":"Award modifications","subs":[{"id":"4.1.1","n":"Award modification records","d":"Records supplements, increments, extensions, reductions and rebudgets as versioned actions.","cls":"Core","src":["C","G"],"herm":"BC215"},{"id":"4.1.2","n":"No-cost extension requests","d":"Prepares, approves and tracks requests to extend the project end date without new funds.","cls":"Expected","src":["C"],"herm":"BC215"},{"id":"4.1.3","n":"Sponsor prior approval requests","d":"Tracks requests needing sponsor approval such as PI absence, rebudgeting or a foreign component.","cls":"Expected","src":["C","P"],"herm":"BC215"},{"id":"4.1.4","n":"PI change and award transfer","d":"Changes the PI or moves an award to or from another institution.","cls":"Expected","src":["C","P"],"herm":"BC215"},{"id":"4.1.5","n":"Award version history","d":"Shows the award as it stood after each modification.","cls":"Expected","src":["C","P"],"herm":"BC215"},{"id":"4.1.6","n":"Material change reapproval","d":"Restart required reviews when material record changes invalidate prior approval conditions.","cls":"Core","src":["P"],"herm":"BC215"}],"herm":["BC215","BC069"]},{"id":"4.2","n":"Deliverables and progress","subs":[{"id":"4.2.1","n":"Deliverable tracking with reminders","d":"Tracks technical, financial, invention and property reports with due dates and reminders.","cls":"Core","src":["C"],"herm":"BC069"},{"id":"4.2.2","n":"Progress report coordination","d":"Coordinates assembly and submission of progress reports such as the RPPR.","cls":"Expected","src":["C"],"herm":"BC069"},{"id":"4.2.3","n":"Milestone tracking","d":"Tracks milestones and payment triggers on fixed-price and industry awards.","cls":"Expected","src":["C"],"herm":"BC069"},{"id":"4.2.4","n":"Invention reporting obligations","d":"Records invention reporting obligations and hands them to the technology transfer office.","cls":"Expected","src":["C"],"herm":"BC141"}],"herm":["BC069","BC237","BC141"]},{"id":"4.3","n":"Closeout","subs":[{"id":"4.3.1","n":"Closeout checklist","d":"Tracks each closeout step for an award from final reports to account closure.","cls":"Expected","src":["C","G"],"herm":"BC215"},{"id":"4.3.2","n":"Final report tracking","d":"Tracks final technical, invention and financial report due dates and submission.","cls":"Expected","src":["C"],"herm":"BC215"},{"id":"4.3.3","n":"Closeout handoff to the finance ERP","d":"Signals finance to close accounts and resolve residual balances.","cls":"Expected","src":["C"],"herm":"BC073"},{"id":"4.3.4","n":"Records retention dates","d":"Sets retention end dates for award records from closeout and sponsor rules.","cls":"Expected","src":["C"],"herm":"BC145"}],"herm":["BC215","BC073","BC145"]}]},{"n":"5","name":"Subawards and research agreements","desc":"Issues subawards and negotiates the agreements research depends on.","caps":[{"id":"5.1","n":"Outgoing subawards","subs":[{"id":"5.1.1","n":"Subaward request from an award","d":"Starts a subaward from a funded award with scope, budget and subrecipient.","cls":"Core","src":["C"],"herm":"BC215"},{"id":"5.1.2","n":"Subrecipient profile","d":"Holds subrecipient legal name, UEI, contacts, audit status and rates.","cls":"Core","src":["C"],"herm":"BC215"},{"id":"5.1.3","n":"Subrecipient risk assessment","d":"Scores subrecipient risk and records the resulting monitoring plan.","cls":"Core","src":["C","P","G"],"herm":"BC168"},{"id":"5.1.4","n":"Subrecipient clearinghouse lookup","d":"Retrieves subrecipient institutional data from the FDP Expanded Clearinghouse.","cls":"Expected","src":["C"],"herm":"BC215"},{"id":"5.1.5","n":"Subaward agreement templates","d":"Generates subaward agreements from FDP and institutional templates.","cls":"Expected","src":["C","P"],"herm":"BC215"},{"id":"5.1.6","n":"Subaward modifications","d":"Issues amendments for funding, dates and scope to an existing subaward.","cls":"Expected","src":["C"],"herm":"BC215"},{"id":"5.1.7","n":"Subrecipient invoice approval","d":"Routes subrecipient invoices to the PI for approval before payment in the finance ERP.","cls":"Expected","src":["C","P","G"],"herm":"BC073"},{"id":"5.1.8","n":"Subrecipient monitoring","d":"Records monitoring activities, audit findings and follow-up for each subrecipient.","cls":"Expected","src":["C","P","G"],"herm":"BC215"},{"id":"5.1.9","n":"Federal subaward reporting","d":"Prepares FFATA subaward reports for awards above the federal threshold.","cls":"Expected","src":["C"],"herm":"BC215"},{"id":"5.1.10","n":"Subaward closeout","d":"Collects final invoices and reports and closes the subaward.","cls":"Expected","src":["C","P"],"herm":"BC073"},{"id":"5.1.11","n":"Subaward financial handoff","d":"Send executed subaward terms and authorized changes to finance for commitment and payment administration.","cls":"Expected","src":["P"],"herm":"BC073"}],"herm":["BC215","BC168","BC073"]},{"id":"5.2","n":"Research agreements","subs":[{"id":"5.2.1","n":"Agreement intake by type","d":"Starts NDAs, MTAs, DUAs, collaboration, teaming and sponsored research agreements from one intake.","cls":"Expected","src":["C","P"],"herm":"BC156"},{"id":"5.2.2","n":"Material transfer agreements","d":"Manages incoming and outgoing MTAs including standard UBMTA terms.","cls":"Expected","src":["C","P"],"herm":"BC156"},{"id":"5.2.3","n":"Data use agreements","d":"Manages agreements governing receipt and sharing of restricted data.","cls":"Expected","src":["C","P"],"herm":"BC156"},{"id":"5.2.4","n":"Industry sponsored research agreements","d":"Manages industry research agreements including IP, publication and confidentiality terms.","cls":"Expected","src":["C"],"herm":"BC156"},{"id":"5.2.5","n":"Clinical trial agreements","d":"Manages clinical trial agreements and their per-patient budgets.","cls":"Specialized","src":["C","P"],"herm":"BC156"},{"id":"5.2.6","n":"Negotiation versions and redlines","d":"Keeps each draft, redline and negotiation note for an agreement.","cls":"Expected","src":["C"],"herm":"BC156"},{"id":"5.2.7","n":"Clause library","d":"Stores standard clauses and approved fallback positions for negotiators.","cls":"Expected","src":["C","G"],"herm":"BC156"},{"id":"5.2.8","n":"Agreement e-signature","d":"Collects institutional and counterparty signatures electronically.","cls":"Expected","src":["C","P"],"herm":"BC156"},{"id":"5.2.9","n":"Agreement linking","d":"Links agreements to the proposals, awards and protocols they support.","cls":"Expected","src":["C"],"herm":"BC156"},{"id":"5.2.10","n":"Agreement obligations and expiry","d":"Tracks agreement obligations, end dates and renewals with reminders.","cls":"Expected","src":["C","P"],"herm":"BC156"},{"id":"5.2.11","n":"Automated clause review","d":"Flags nonstandard clauses in counterparty drafts against the clause library.","cls":"Emerging","src":["C"],"herm":"BC144"},{"id":"5.2.12","n":"Confidentiality agreement administration","d":"Track confidentiality agreements, covered information, permitted purposes, and disclosure periods.","cls":"Expected","src":["P"],"herm":"BC156"}],"herm":["BC156","BC067","BC141","BC144"]}]},{"n":"6","name":"Human research protection (IRB)","desc":"Submits, reviews and oversees research involving human participants.","caps":[{"id":"6.1","n":"Study submission","subs":[{"id":"6.1.1","n":"Branching study application","d":"Shows only the IRB application questions that apply to the study design.","cls":"Core","src":["C"],"herm":"BC094"},{"id":"6.1.2","n":"Exempt determination","d":"Supports exempt category determination by staff or guided self-determination.","cls":"Expected","src":["C","G"],"herm":"BC094"},{"id":"6.1.3","n":"Not human research determination","d":"Records determinations that an activity is not human subjects research.","cls":"Expected","src":["C","P","G"],"herm":"BC094"},{"id":"6.1.4","n":"Study team management","d":"Records study personnel and roles and keeps them current through amendments.","cls":"Core","src":["C","P"],"herm":"BC094"},{"id":"6.1.5","n":"Consent document management","d":"Keeps consent forms versioned and releases approved, stamped final versions.","cls":"Core","src":["C","P","G"],"herm":"BC094"},{"id":"6.1.6","n":"Study document versioning","d":"Keeps every version of protocols, recruitment materials and instruments.","cls":"Core","src":["C"],"herm":"BC094"},{"id":"6.1.7","n":"Ancillary reviews","d":"Routes studies to pharmacy, radiation, scientific review, privacy and other ancillary reviewers.","cls":"Expected","src":["C","P"],"herm":"BC094"}],"herm":["BC094"]},{"id":"6.2","n":"IRB review","subs":[{"id":"6.2.1","n":"Review level assignment","d":"Assigns studies to exempt, expedited or convened review.","cls":"Core","src":["C","P"],"herm":"BC094"},{"id":"6.2.2","n":"IRB reviewer assignment and checklists","d":"Assigns reviewers and gives them regulatory checklists for the review type.","cls":"Core","src":["C","P"],"herm":"BC094"},{"id":"6.2.3","n":"Pre-review clarifications","d":"Sends clarification requests to the study team and tracks responses.","cls":"Core","src":["C"],"herm":"BC094"},{"id":"6.2.4","n":"IRB meeting management","d":"Builds agendas, records attendance, quorum, votes and minutes for convened meetings.","cls":"Core","src":["C","P"],"herm":"BC094"},{"id":"6.2.5","n":"IRB determination letters","d":"Generates approval, modification and disapproval letters from templates.","cls":"Core","src":["C","G"],"herm":"BC094"},{"id":"6.2.6","n":"Regulatory criteria documentation","d":"Documents Common Rule, FDA and HIPAA waiver findings for each approval.","cls":"Core","src":["C"],"herm":"BC094"},{"id":"6.2.7","n":"Reviewer conflict recusal","d":"Records reviewer conflicts and excludes conflicted members from review and votes.","cls":"Expected","src":["C"],"herm":"BC094"}],"herm":["BC094"]},{"id":"6.3","n":"Post-approval oversight","subs":[{"id":"6.3.1","n":"Continuing review","d":"Schedules and processes continuing review and annual check-ins.","cls":"Core","src":["C","P","G"],"herm":"BC094"},{"id":"6.3.2","n":"Study modifications","d":"Submits and reviews changes to approved studies.","cls":"Core","src":["C"],"herm":"BC094"},{"id":"6.3.3","n":"Reportable new information","d":"Captures unanticipated problems, adverse events and other reportable events.","cls":"Core","src":["C"],"herm":"BC094"},{"id":"6.3.4","n":"Noncompliance and deviation handling","d":"Records deviations and noncompliance and tracks corrective actions.","cls":"Core","src":["C"],"herm":"BC094"},{"id":"6.3.5","n":"Study closure","d":"Closes studies and records final enrollment.","cls":"Core","src":["C","P"],"herm":"BC094"},{"id":"6.3.6","n":"Approval lapse enforcement","d":"Flags expired studies and stops research activity tied to them.","cls":"Expected","src":["C"],"herm":"BC094"},{"id":"6.3.7","n":"Human research post-approval monitoring","d":"Schedules monitoring visits and records findings.","cls":"Expected","src":["C","P"],"herm":"BC094"}],"herm":["BC094","BC212"]},{"id":"6.4","n":"Multi-site and reliance","subs":[{"id":"6.4.1","n":"Reliance agreements","d":"Records IRB authorization agreements for studies relying on another IRB.","cls":"Expected","src":["C","P"],"herm":"BC067"},{"id":"6.4.2","n":"Single IRB of record management","d":"Manages studies where this IRB reviews for other sites.","cls":"Expected","src":["C","G"],"herm":"BC094"},{"id":"6.4.3","n":"National reliance network integration","d":"Exchanges reliance requests with SMART IRB and similar networks.","cls":"Expected","src":["C"],"herm":"BC067"},{"id":"6.4.4","n":"External IRB study tracking","d":"Tracks local requirements for studies approved by an external or commercial IRB.","cls":"Expected","src":["C"],"herm":"BC094"},{"id":"6.4.5","n":"Reviewing and relying site responsibilities","d":"Track site-specific responsibilities, local context, and required institutional clearances.","cls":"Expected","src":["P"],"herm":"BC067"}],"herm":["BC094","BC067"]},{"id":"6.5","n":"Clinical research linkage","subs":[{"id":"6.5.1","n":"Clinical trial registration tracking","d":"Tracks ClinicalTrials.gov registration and results reporting obligations.","cls":"Expected","src":["C"],"herm":"BC069"},{"id":"6.5.2","n":"CTMS and EHR study feed","d":"Sends approved study status and personnel to the clinical trial management system and EHR.","cls":"Specialized","src":["C"],"herm":"BC069"}],"herm":["BC094","BC069"]}]},{"n":"7","name":"Animal care and use (IACUC)","desc":"Submits, reviews and oversees research using vertebrate animals.","caps":[{"id":"7.1","n":"Animal protocol submission","subs":[{"id":"7.1.1","n":"Animal protocol application","d":"Captures aims, species, procedures, housing and justification for animal use.","cls":"Core","src":["C","P","G"],"herm":"BC094"},{"id":"7.1.2","n":"Animal numbers and pain categories","d":"Records animal numbers by species and USDA pain category with justification.","cls":"Core","src":["C"],"herm":"BC094"},{"id":"7.1.3","n":"Procedure library","d":"Reuses standard procedure, surgery and euthanasia descriptions across protocols.","cls":"Expected","src":["C"],"herm":"BC094"},{"id":"7.1.4","n":"Hazardous agents in animal work","d":"Records hazardous agents used in animals and links the related biosafety approval.","cls":"Expected","src":["C"],"herm":"BC180"},{"id":"7.1.5","n":"Procedure-level personnel qualifications","d":"Records which personnel perform each procedure and their qualifications.","cls":"Expected","src":["C"],"herm":"BC094"}],"herm":["BC094","BC180"]},{"id":"7.2","n":"IACUC review","subs":[{"id":"7.2.1","n":"Veterinary pre-review","d":"Routes protocols to the attending veterinarian before committee review.","cls":"Core","src":["C","G"],"herm":"BC094"},{"id":"7.2.2","n":"Designated and full committee review","d":"Assigns designated member or full committee review and records the decision.","cls":"Core","src":["C","P"],"herm":"BC094"},{"id":"7.2.3","n":"IACUC meeting management","d":"Builds agendas, records quorum, votes and minutes for IACUC meetings.","cls":"Core","src":["C"],"herm":"BC094"},{"id":"7.2.4","n":"IACUC approval notices","d":"Generates approval and modification-required notices.","cls":"Core","src":["C"],"herm":"BC094"}],"herm":["BC094"]},{"id":"7.3","n":"Animal program oversight","subs":[{"id":"7.3.1","n":"Annual review and triennial renewal","d":"Runs annual reviews and de novo renewals before approval expires.","cls":"Core","src":["C"],"herm":"BC094"},{"id":"7.3.2","n":"Animal protocol amendments","d":"Submits and reviews changes to approved animal protocols.","cls":"Core","src":["C","P","G"],"herm":"BC094"},{"id":"7.3.3","n":"Animal welfare incident reporting","d":"Records adverse events and noncompliance and tracks required reporting.","cls":"Core","src":["C","P"],"herm":"BC094"},{"id":"7.3.4","n":"Semiannual program review and inspections","d":"Schedules semiannual program reviews and facility inspections and tracks deficiencies.","cls":"Core","src":["C"],"herm":"BC094"},{"id":"7.3.5","n":"Animal usage against approval","d":"Tracks animals used against the numbers approved on each protocol.","cls":"Expected","src":["C"],"herm":"BC094"},{"id":"7.3.6","n":"Animal ordering and census integration","d":"Checks animal orders against approved protocols and exchanges census with the vivarium system.","cls":"Expected","src":["C"],"herm":"BC236"},{"id":"7.3.7","n":"Federal animal program reporting","d":"Produces the USDA annual report and OLAW reporting content.","cls":"Core","src":["C"],"herm":"BC094"},{"id":"7.3.8","n":"Animal post-approval monitoring","d":"Schedules post-approval monitoring visits and records findings.","cls":"Expected","src":["C","G"],"herm":"BC094"},{"id":"7.3.9","n":"Animal activity authorization handoff","d":"Send approved species, quantities, personnel, and status to animal operations systems without administering husbandry or purchasing.","cls":"Expected","src":["P"],"herm":"BC094"}],"herm":["BC094","BC212","BC236"]}]},{"n":"8","name":"Biosafety and research safety committees","desc":"Registers and reviews hazardous and specially regulated research.","caps":[{"id":"8.1","n":"Biosafety","subs":[{"id":"8.1.1","n":"Biosafety registration","d":"Registers recombinant, synthetic and infectious agent research for IBC review.","cls":"Core","src":["C"],"herm":"BC180"},{"id":"8.1.2","n":"Biological agent inventory","d":"Records agents, risk groups and containment levels by lab.","cls":"Expected","src":["C"],"herm":"BC180"},{"id":"8.1.3","n":"IBC review and meetings","d":"Assigns IBC reviewers and records meetings, votes and determinations.","cls":"Core","src":["C","P"],"herm":"BC212"},{"id":"8.1.4","n":"IBC minutes publication","d":"Produces IBC minutes in a form suitable for public posting.","cls":"Expected","src":["C"],"herm":"BC212"},{"id":"8.1.5","n":"Lab registration and inspections","d":"Registers labs and records safety inspections and corrective actions.","cls":"Expected","src":["C"],"herm":"BC180"},{"id":"8.1.6","n":"Biological risk and containment assessment","d":"Record risk-group assessments, containment requirements, exposure controls, and specialist review findings.","cls":"Core","src":["P"],"herm":"BC180"},{"id":"8.1.7","n":"Biosafety incidents and corrective actions","d":"Track exposures, containment failures, reportable incidents, and required remediation.","cls":"Expected","src":["P"],"herm":"BC180"}],"herm":["BC212","BC180"]},{"id":"8.2","n":"Specialized committees","subs":[{"id":"8.2.1","n":"Radiation safety approvals","d":"Registers authorized users and radioactive material or radiation-producing device use.","cls":"Specialized","src":["C"],"herm":"BC180"},{"id":"8.2.2","n":"Stem cell research oversight","d":"Reviews human embryonic and pluripotent stem cell research for a stem cell committee.","cls":"Specialized","src":["C","P","G"],"herm":"BC212"},{"id":"8.2.3","n":"Dual use research review","d":"Identifies and reviews dual use research of concern and enhanced pathogens.","cls":"Specialized","src":["C"],"herm":"BC212"},{"id":"8.2.4","n":"Select agent and toxin registration","d":"Tracks select agent and toxin registrations, personnel clearance and inventory.","cls":"Specialized","src":["C"],"herm":"BC212"},{"id":"8.2.5","n":"Controlled substance research registration","d":"Tracks researcher registrations and protocols involving controlled substances.","cls":"Specialized","src":["C"],"herm":"BC180"},{"id":"8.2.6","n":"Cross-committee protocol linking","d":"Links IRB, IACUC, IBC and other approvals that cover the same project.","cls":"Expected","src":["C","G"],"herm":"BC212"}],"herm":["BC212","BC180","BC094"]}]},{"n":"9","name":"Conflict of interest and commitment","desc":"Collects disclosures and manages conflicts of interest and commitment.","caps":[{"id":"9.1","n":"Disclosure","subs":[{"id":"9.1.1","n":"Annual disclosure","d":"Collects annual financial interest disclosures from covered individuals.","cls":"Core","src":["C","P","G"],"herm":"BC212"},{"id":"9.1.2","n":"Proposal-triggered disclosure","d":"Requires current disclosures from investigators before a proposal can submit.","cls":"Core","src":["C","G"],"herm":"BC212"},{"id":"9.1.3","n":"PHS financial interest disclosure","d":"Collects disclosures meeting PHS financial conflict of interest rules.","cls":"Core","src":["C"],"herm":"BC212"},{"id":"9.1.4","n":"Sponsored travel disclosure","d":"Collects reimbursed and sponsored travel disclosures required by PHS rules.","cls":"Core","src":["C","P"],"herm":"BC212"},{"id":"9.1.5","n":"Foreign appointments and support disclosure","d":"Collects foreign appointments, talent programs and in-kind support.","cls":"Core","src":["C"],"herm":"BC212"},{"id":"9.1.6","n":"Outside activities disclosure","d":"Collects consulting, board service and other outside professional activities.","cls":"Expected","src":["C","P"],"herm":"BC212"},{"id":"9.1.7","n":"Prefilled disclosure updates","d":"Starts each disclosure from the prior one so only changes are entered.","cls":"Expected","src":["C"],"herm":"BC212"}],"herm":["BC212"]},{"id":"9.2","n":"Conflict review and management","subs":[{"id":"9.2.1","n":"Relatedness and significance review","d":"Determines whether a financial interest is significant and related to research.","cls":"Core","src":["C"],"herm":"BC212"},{"id":"9.2.2","n":"Conflict management plans","d":"Records management plans and tracks the reports they require.","cls":"Core","src":["C","P","G"],"herm":"BC212"},{"id":"9.2.3","n":"Conflict committee review","d":"Routes cases to a conflict committee and records its decisions.","cls":"Expected","src":["C","P"],"herm":"BC212"},{"id":"9.2.4","n":"Sponsor FCOI reporting","d":"Prepares initial, annual and revised FCOI reports to sponsors.","cls":"Core","src":["C","P"],"herm":"BC170"},{"id":"9.2.5","n":"Public FCOI disclosure responses","d":"Records and answers public requests for information on identified conflicts.","cls":"Expected","src":["C"],"herm":"BC170"},{"id":"9.2.6","n":"Retrospective conflict review","d":"Runs and documents retrospective reviews when a disclosure was late.","cls":"Expected","src":["C","P"],"herm":"BC212"},{"id":"9.2.7","n":"Conflict of commitment approvals","d":"Routes outside activities to supervisors for approval against time limits.","cls":"Expected","src":["C"],"herm":"BC212"},{"id":"9.2.8","n":"Institutional conflict of interest","d":"Tracks conflicts held by the institution or its senior officials.","cls":"Specialized","src":["C","P"],"herm":"BC212"}],"herm":["BC212","BC170"]}]},{"n":"10","name":"Export control and research security","desc":"Screens research for export restrictions and foreign-influence risk.","caps":[{"id":"10.1","n":"Export control","subs":[{"id":"10.1.1","n":"Restricted party screening","d":"Screens people and organizations against government restricted-party lists.","cls":"Expected","src":["C","P"],"herm":"BC170"},{"id":"10.1.2","n":"Export control flags on proposals and agreements","d":"Flags proposals and agreements with restrictive clauses or controlled topics.","cls":"Expected","src":["C"],"herm":"BC170"},{"id":"10.1.3","n":"Export classification records","d":"Records export classifications for technology, software and equipment.","cls":"Specialized","src":["C","P"],"herm":"BC170"},{"id":"10.1.4","n":"Technology control plans","d":"Records technology control plans and the personnel bound by them.","cls":"Specialized","src":["C","P","G"],"herm":"BC170"},{"id":"10.1.5","n":"Export license tracking","d":"Tracks export license applications, approvals and conditions.","cls":"Specialized","src":["C","P"],"herm":"BC170"},{"id":"10.1.6","n":"International travel and shipment review","d":"Reviews international travel and shipments for export and sanctions issues.","cls":"Expected","src":["C"],"herm":"BC170"},{"id":"10.1.7","n":"Visiting scholar screening","d":"Screens visiting scholars before access to labs or controlled technology.","cls":"Expected","src":["C"],"herm":"BC170"},{"id":"10.1.8","n":"Controlled research access eligibility","d":"Record approved participant eligibility and send access conditions to responsible institutional services.","cls":"Specialized","src":["P"],"herm":"BC170"},{"id":"10.1.9","n":"Export compliance incidents","d":"Track suspected violations, investigations, required notifications, and remediation actions.","cls":"Specialized","src":["P"],"herm":"BC170"},{"id":"10.1.10","n":"Export exclusion and exemption determinations","d":"Document applicable exclusions, exemptions, or exceptions with justification and approval evidence.","cls":"Specialized","src":["P"],"herm":"BC170"}],"herm":["BC170","BC212"]},{"id":"10.2","n":"Research security","subs":[{"id":"10.2.1","n":"Foreign component tracking","d":"Tracks foreign components and collaborators on proposals and awards.","cls":"Expected","src":["C"],"herm":"BC212"},{"id":"10.2.2","n":"Malign talent program certification","d":"Collects investigator certifications that they are not in a malign foreign talent program.","cls":"Expected","src":["C"],"herm":"BC212"},{"id":"10.2.3","n":"International collaboration risk review","d":"Scores international collaborations for research security risk and records decisions.","cls":"Emerging","src":["C"],"herm":"BC212"},{"id":"10.2.4","n":"Controlled unclassified information flag","d":"Flags projects handling controlled unclassified information and their security requirements.","cls":"Specialized","src":["C"],"herm":"BC138"},{"id":"10.2.5","n":"Research security program reporting","d":"Produces evidence for federal research security program certification.","cls":"Emerging","src":["C","P"],"herm":"BC170"},{"id":"10.2.6","n":"AI-assisted research security triage","d":"Highlight potential risk indicators with evidence for specialist review without making autonomous eligibility decisions.","cls":"Emerging","src":["P"],"herm":"BC144"}],"herm":["BC212","BC170","BC138","BC144"]}]},{"n":"11","name":"Effort reporting","desc":"Certifies that effort charged and committed to sponsored projects is accurate.","caps":[{"id":"11.1","n":"Effort commitments","subs":[{"id":"11.1.1","n":"Committed effort tracking","d":"Tracks effort committed in proposals and awards by person and period.","cls":"Expected","src":["C","G"],"herm":"BC073"},{"id":"11.1.2","n":"Overcommitment alerts","d":"Flags people whose total committed effort exceeds full time.","cls":"Expected","src":["C"],"herm":"BC073"},{"id":"11.1.3","n":"Effort reduction alerts","d":"Flags key personnel whose effort drops more than the sponsor allows without approval.","cls":"Expected","src":["C"],"herm":"BC073"},{"id":"11.1.4","n":"Cost-shared effort","d":"Tracks effort contributed as committed cost share.","cls":"Expected","src":["C"],"herm":"BC073"},{"id":"11.1.5","n":"Approved effort commitment changes","d":"Track revised effort commitments and any required sponsor authorization.","cls":"Expected","src":["P"],"herm":"BC073"}],"herm":["BC073","BC214"]},{"id":"11.2","n":"Effort certification","subs":[{"id":"11.2.1","n":"Effort statement generation","d":"Builds effort statements from payroll distribution read from the payroll system.","cls":"Expected","src":["C","P"],"herm":"BC214"},{"id":"11.2.2","n":"Effort certification workflow","d":"Routes statements to certifiers and records certification with date and signer.","cls":"Expected","src":["C","P"],"herm":"BC073"},{"id":"11.2.3","n":"Recertification after cost transfers","d":"Reopens certified statements when salary is moved after certification.","cls":"Expected","src":["C"],"herm":"BC073"},{"id":"11.2.4","n":"Project-based payroll certification","d":"Certifies salary charged by project rather than by person.","cls":"Specialized","src":["C"],"herm":"BC214"},{"id":"11.2.5","n":"Effort certification status tracking","d":"Shows certification completion and overdue statements by unit.","cls":"Expected","src":["C"],"herm":"BC073"},{"id":"11.2.6","n":"Payroll and costing evidence ingestion","d":"Receive labor distributions and related HR attributes from authoritative payroll and finance sources.","cls":"Expected","src":["P"],"herm":"BC214"},{"id":"11.2.7","n":"Certification population and period setup","d":"Determine required certification populations, reporting periods, and responsible reviewers using institutional rules.","cls":"Expected","src":["P"],"herm":"BC073"},{"id":"11.2.8","n":"Effort exception and correction handoff","d":"Send approved labor-distribution correction requests to authoritative costing systems and track implementation status.","cls":"Expected","src":["P"],"herm":"BC073"}],"herm":["BC073","BC214"]}]},{"n":"12","name":"Training and qualification gates","desc":"Tracks required training and blocks research activity until it is current.","caps":[{"id":"12.1","n":"Training requirements","subs":[{"id":"12.1.1","n":"Training requirements by role","d":"Defines required courses by role, protocol type, sponsor and hazard.","cls":"Core","src":["C","P","G"],"herm":"BC182"},{"id":"12.1.2","n":"Training completion import","d":"Imports completions from external providers such as CITI and the campus learning system.","cls":"Expected","src":["C","P"],"herm":"BC182"},{"id":"12.1.3","n":"Responsible conduct of research training","d":"Tracks RCR training required by NSF, NIH and USDA.","cls":"Core","src":["C","P"],"herm":"BC182"},{"id":"12.1.4","n":"Research security training","d":"Tracks research security training required of federal award personnel.","cls":"Core","src":["C","P"],"herm":"BC182"},{"id":"12.1.5","n":"Clinical research training","d":"Tracks GCP and other clinical research training for study teams.","cls":"Expected","src":["C","P"],"herm":"BC182"},{"id":"12.1.6","n":"Animal user training and occupational health","d":"Tracks animal user training and occupational health enrollment.","cls":"Expected","src":["C"],"herm":"BC180"},{"id":"12.1.7","n":"Lab safety and biosafety training","d":"Tracks lab safety and biosafety training for lab personnel.","cls":"Expected","src":["C"],"herm":"BC180"},{"id":"12.1.8","n":"Training equivalency and exemptions","d":"Records accepted equivalent training and approved exemptions.","cls":"Expected","src":["C","P"],"herm":"BC182"}],"herm":["BC182","BC212","BC180"]},{"id":"12.2","n":"Gate enforcement","subs":[{"id":"12.2.1","n":"Training gate on approval","d":"Blocks protocol approval, personnel additions or proposal submission until training is current.","cls":"Core","src":["C"],"herm":"BC182"},{"id":"12.2.2","n":"Training expiry reminders","d":"Notifies people and administrators before required training expires.","cls":"Expected","src":["C"],"herm":"BC182"},{"id":"12.2.3","n":"Personnel qualification view","d":"Shows each person's training status on proposals, awards and protocols.","cls":"Expected","src":["C"],"herm":"BC182"},{"id":"12.2.4","n":"Specialized competency clearance","d":"Record required procedural, animal-handling, laboratory, or clinical competency clearances from responsible authorities.","cls":"Specialized","src":["P"],"herm":"BC182"},{"id":"12.2.5","n":"Training lapse impact review","d":"Identify active projects and protocols affected by lapsed qualifications and track required remedial actions.","cls":"Expected","src":["P"],"herm":"BC182"}],"herm":["BC182","BC212"]}]},{"n":"13","name":"Reporting, analytics and audit evidence","desc":"Reports on research administration and preserves the evidence behind every decision.","caps":[{"id":"13.1","n":"Operational reporting","subs":[{"id":"13.1.1","n":"Proposal and award dashboards","d":"Shows proposal volume, success rates and award totals by unit, sponsor and PI.","cls":"Expected","src":["C","G"],"herm":"BC211"},{"id":"13.1.2","n":"Research office turnaround metrics","d":"Measures review times, workload and deadline compliance for staff.","cls":"Expected","src":["C"],"herm":"BC090"},{"id":"13.1.3","n":"Protocol program metrics","d":"Reports protocol volume, review times and outcomes for IRB, IACUC and IBC.","cls":"Expected","src":["C"],"herm":"BC090"},{"id":"13.1.4","n":"Ad hoc report builder","d":"Lets staff build and save reports across research administration records.","cls":"Expected","src":["C"],"herm":"BC211"},{"id":"13.1.5","n":"Scheduled report delivery","d":"Runs saved reports on a schedule and distributes the results.","cls":"Expected","src":["C"],"herm":"BC211"},{"id":"13.1.6","n":"Natural language research queries","d":"Answers plain-language questions about proposals, awards and protocols.","cls":"Emerging","src":["C","P"],"herm":"BC144"},{"id":"13.1.7","n":"Agreement and subaward reporting","d":"Report agreement inventories, negotiation status, execution dates, subrecipient relationships, and outstanding obligations.","cls":"Expected","src":["P"],"herm":"BC211"},{"id":"13.1.8","n":"Historical research snapshots","d":"Reconstruct proposal, award, protocol, and compliance status as of selected reporting dates.","cls":"Expected","src":["P"],"herm":"BC211"}],"herm":["BC211","BC090","BC144"]},{"id":"13.2","n":"External reporting","subs":[{"id":"13.2.1","n":"HERD survey support","d":"Supplies proposal and award data for the NSF Higher Education R&D survey.","cls":"Expected","src":["C"],"herm":"BC211"},{"id":"13.2.2","n":"Sponsor and agency data calls","d":"Produces data for sponsor, agency and state data requests.","cls":"Expected","src":["C"],"herm":"BC211"},{"id":"13.2.3","n":"Accreditation evidence","d":"Produces evidence for AAHRPP and AAALAC accreditation.","cls":"Specialized","src":["C"],"herm":"BC211"},{"id":"13.2.4","n":"Regulatory submission preparation","d":"Compile applicable committee and research compliance reports with reviewable source records and submission history.","cls":"Expected","src":["P"],"herm":"BC170"}],"herm":["BC211","BC170"]},{"id":"13.3","n":"Audit evidence","subs":[{"id":"13.3.1","n":"Complete audit trail","d":"Records who changed what and when on every record.","cls":"Core","src":["C","P","G"],"herm":"BC163"},{"id":"13.3.2","n":"Submitted version snapshots","d":"Preserves exactly what was submitted, approved or certified at each point.","cls":"Core","src":["C"],"herm":"BC163"},{"id":"13.3.3","n":"Regulated electronic signatures","d":"Applies electronic signatures that meet FDA 21 CFR Part 11 requirements.","cls":"Specialized","src":["C","P"],"herm":"BC163"},{"id":"13.3.4","n":"Record retention and legal hold","d":"Applies retention schedules and suspends disposal for records under legal hold.","cls":"Expected","src":["C"],"herm":"BC145"},{"id":"13.3.5","n":"Audit evidence packages","d":"Assembles records, approvals and documents for an audit request.","cls":"Expected","src":["C","P"],"herm":"BC163"},{"id":"13.3.6","n":"Compliance findings and remediation","d":"Track audit or oversight findings, assigned corrective actions, deadlines, and closure evidence.","cls":"Expected","src":["P"],"herm":"BC163"},{"id":"13.3.7","n":"AI-assisted compliance anomaly detection","d":"Flag unusual administrative patterns or conflicting records with evidence for authorized compliance review.","cls":"Emerging","src":["P"],"herm":"BC144"},{"id":"13.3.8","n":"Cross-record compliance congruence","d":"Identify inconsistencies among linked projects, protocols, investigators, disclosures, and approval conditions.","cls":"Expected","src":["P"],"herm":"BC163"}],"herm":["BC163","BC145","BC144"]}]},{"n":"14","name":"PI and research office workflow","desc":"Gives investigators and staff one place to see and act on their research administration work.","caps":[{"id":"14.1","n":"Investigator experience","subs":[{"id":"14.1.1","n":"Investigator dashboard","d":"Shows a PI's proposals, awards, protocols, disclosures and training in one view.","cls":"Expected","src":["C"],"herm":"BC069"},{"id":"14.1.2","n":"Personal task inbox","d":"Lists approvals, revisions and certifications awaiting each user.","cls":"Core","src":["C"],"herm":"BC216"},{"id":"14.1.3","n":"Notifications and reminders","d":"Sends email and in-app notices for tasks, deadlines and status changes.","cls":"Core","src":["C"],"herm":"BC069"},{"id":"14.1.4","n":"Mobile approvals","d":"Lets users review and approve items on a phone.","cls":"Expected","src":["C"],"herm":"BC216"},{"id":"14.1.5","n":"Delegate preparers","d":"Lets a PI authorize staff to prepare submissions on their behalf.","cls":"Expected","src":["C"],"herm":"BC069"},{"id":"14.1.6","n":"Contextual guidance","d":"Shows institution-written help text and links beside forms and questions.","cls":"Expected","src":["C","P"],"herm":"BC069"},{"id":"14.1.7","n":"Assisted form completion","d":"Drafts answers and summaries from existing documents for the user to confirm.","cls":"Emerging","src":["C"],"herm":"BC144"}],"herm":["BC069","BC216","BC144"]},{"id":"14.2","n":"Research office operations","subs":[{"id":"14.2.1","n":"Work queues and assignment","d":"Assigns submissions to staff queues by type, unit or sponsor.","cls":"Expected","src":["C","P"],"herm":"BC216"},{"id":"14.2.2","n":"Configurable workflows","d":"Lets administrators change steps, routing and forms without code.","cls":"Expected","src":["C"],"herm":"BC216"},{"id":"14.2.3","n":"Correspondence templates","d":"Generates letters and emails from templates with record data merged in.","cls":"Expected","src":["C"],"herm":"BC216"},{"id":"14.2.4","n":"Internal notes","d":"Keeps staff notes on records that investigators cannot see.","cls":"Expected","src":["C"],"herm":"BC216"},{"id":"14.2.5","n":"Turnaround timers","d":"Tracks elapsed and remaining time against service targets for each item.","cls":"Expected","src":["C"],"herm":"BC216"},{"id":"14.2.6","n":"Linked research record","d":"Links proposals, awards, agreements, protocols and disclosures for the same project.","cls":"Expected","src":["C"],"herm":"BC216"},{"id":"14.2.7","n":"Department administrator views","d":"Shows department staff all research administration activity for their units.","cls":"Expected","src":["C"],"herm":"BC216"},{"id":"14.2.8","n":"Bulk administrative actions","d":"Applies the same update, reassignment or notice to many records at once.","cls":"Expected","src":["C"],"herm":"BC216"},{"id":"14.2.9","n":"Document data extraction","d":"Extracts key data from award notices and agreements into draft records for review.","cls":"Emerging","src":["C"],"herm":"BC144"},{"id":"14.2.10","n":"Sequential and parallel review coordination","d":"Manage ordered or concurrent reviews with explicit prerequisites and completion conditions.","cls":"Expected","src":["P"],"herm":"BC216"},{"id":"14.2.11","n":"Review comments and response cycles","d":"Exchange reviewer questions and investigator responses while preserving resolved and outstanding issues.","cls":"Core","src":["P"],"herm":"BC216"},{"id":"14.2.12","n":"Cross-office dependency tracking","d":"Track dependencies among sponsored programs, compliance committees, legal review, and financial setup.","cls":"Expected","src":["P"],"herm":"BC216"},{"id":"14.2.13","n":"Research service request intake","d":"Capture requests for administrative assistance and assign responsible offices and resolution status.","cls":"Expected","src":["P"],"herm":"BC216"},{"id":"14.2.14","n":"AI-assisted administrative response drafting","d":"Draft routine research-office responses from approved sources for authorized staff review.","cls":"Emerging","src":["P"],"herm":"BC144"},{"id":"14.2.15","n":"Guardrailed research administration agents","d":"Execute explicitly authorized routine administrative steps without bypassing investigator attestations or institutional decisions.","cls":"Emerging","src":["P"],"herm":"BC144"}],"herm":["BC216","BC069","BC144"]}]},{"n":"15","name":"Integration, security and operations","desc":"Connects to campus systems and keeps the platform secure and current.","caps":[{"id":"15.1","n":"Integration","subs":[{"id":"15.1.1","n":"Person and appointment feed","d":"Loads people, appointments and units from HR and identity systems.","cls":"Platform","src":["C","G"],"herm":"BC143"},{"id":"15.1.2","n":"Student and affiliate feed","d":"Loads students and non-employees who work on research.","cls":"Platform","src":["C"],"herm":"BC143"},{"id":"15.1.3","n":"Finance ERP integration services","d":"Provides supported interfaces for award setup and financial status with the finance ERP.","cls":"Platform","src":["C"],"herm":"BC204"},{"id":"15.1.4","n":"Federal entity registration lookup","d":"Retrieves entity and exclusion data from SAM.gov.","cls":"Platform","src":["C"],"herm":"BC204"},{"id":"15.1.5","n":"Published APIs","d":"Exposes documented APIs to read and write research administration records.","cls":"Platform","src":["C"],"herm":"BC204"},{"id":"15.1.6","n":"Event notifications to other systems","d":"Publishes record changes as events or webhooks other systems can consume.","cls":"Platform","src":["C","P"],"herm":"BC204"},{"id":"15.1.7","n":"Bulk import and export","d":"Loads and extracts data in bulk for conversions and reporting.","cls":"Platform","src":["C"],"herm":"BC143"},{"id":"15.1.8","n":"Data warehouse feed","d":"Delivers research administration data to the campus data warehouse.","cls":"Platform","src":["C","G"],"herm":"BC143"},{"id":"15.1.9","n":"E-signature service integration","d":"Uses a campus e-signature service for agreements and approvals.","cls":"Platform","src":["C"],"herm":"BC204"},{"id":"15.1.10","n":"Shared identifiers and cross-system references","d":"Maintain persistent links among research records and corresponding finance, HR, learning, and external system identifiers.","cls":"Platform","src":["P"],"herm":"BC143"},{"id":"15.1.11","n":"Integration monitoring and replay","d":"Monitor failed exchanges and support correction, duplicate prevention, and controlled reprocessing.","cls":"Platform","src":["P"],"herm":"BC204"},{"id":"15.1.12","n":"Interface control reconciliation","d":"Validate record counts, identifiers, status changes, and relevant control amounts between connected systems.","cls":"Platform","src":["P"],"herm":"BC143"},{"id":"15.1.13","n":"Integration version compatibility","d":"Document interface versions, deprecation timelines, and compatibility requirements across releases.","cls":"Platform","src":["P"],"herm":"BC204"}],"herm":["BC204","BC143"]},{"id":"15.2","n":"Security and access","subs":[{"id":"15.2.1","n":"Single sign-on","d":"Authenticates through campus SAML or OIDC identity providers.","cls":"Platform","src":["C"],"herm":"BC139"},{"id":"15.2.2","n":"Multi-factor authentication","d":"Requires multi-factor authentication for users and administrators.","cls":"Platform","src":["C"],"herm":"BC139"},{"id":"15.2.3","n":"Role-based access control","d":"Grants access by role and unit hierarchy.","cls":"Platform","src":["C"],"herm":"BC139"},{"id":"15.2.4","n":"Confidential record restrictions","d":"Restricts access to sensitive records such as disclosures and export reviews.","cls":"Platform","src":["C"],"herm":"BC138"},{"id":"15.2.5","n":"Encryption in transit and at rest","d":"Encrypts data in transit and in storage.","cls":"Platform","src":["C"],"herm":"BC138"},{"id":"15.2.6","n":"Security attestations","d":"Provides SOC 2 or equivalent independent security reports.","cls":"Platform","src":["C"],"herm":"BC138"},{"id":"15.2.7","n":"Controlled data hosting","d":"Offers hosting that meets FedRAMP or controlled unclassified information requirements.","cls":"Platform","src":["C","P"],"herm":"BC139"},{"id":"15.2.8","n":"Segregation-of-duties enforcement","d":"Detect or prevent conflicting preparation, certification, approval, and administrative privileges.","cls":"Platform","src":["P"],"herm":"BC139"},{"id":"15.2.9","n":"External collaborator access","d":"Provide time-limited and scoped access for authorized external investigators, reviewers, and collaborating institutions.","cls":"Platform","src":["P"],"herm":"BC139"},{"id":"15.2.10","n":"Access review and certification","d":"Provide entitlement inventories and retain periodic access review and removal decisions.","cls":"Platform","src":["P"],"herm":"BC139"},{"id":"15.2.11","n":"Privileged and service-account controls","d":"Limit elevated and machine access using scoped permissions, credential controls, and activity records.","cls":"Platform","src":["P"],"herm":"BC139"},{"id":"15.2.12","n":"Security monitoring integration","d":"Export authentication, access, and administrative events to institutional security monitoring services.","cls":"Platform","src":["P"],"herm":"BC138"}],"herm":["BC139","BC138"]},{"id":"15.3","n":"Tenancy and deployment","subs":[{"id":"15.3.1","n":"Multi-tenant SaaS","d":"Runs as vendor-hosted software shared across institutions.","cls":"Platform","src":["C"],"herm":"BC204"},{"id":"15.3.2","n":"Self-hosted option","d":"Allows the institution to host and operate the software itself.","cls":"Platform","src":["C"],"herm":"BC204"},{"id":"15.3.3","n":"Non-production environments","d":"Provides test and sandbox environments refreshed from production.","cls":"Platform","src":["C"],"herm":"BC204"},{"id":"15.3.4","n":"Data residency","d":"Keeps data in a stated country or region.","cls":"Platform","src":["C","P"],"herm":"BC204"},{"id":"15.3.5","n":"Nonproduction research data protection","d":"Mask or substitute sensitive proposal, protocol, disclosure, and agreement data in testing and training environments.","cls":"Platform","src":["P"],"herm":"BC138"},{"id":"15.3.6","n":"Research data portability","d":"Export records, relationships, attachments, configuration references, and audit history in documented usable formats.","cls":"Platform","src":["P"],"herm":"BC204"}],"herm":["BC204","BC203","BC138"]},{"id":"15.4","n":"Upgrades and operations","subs":[{"id":"15.4.1","n":"Continuous release model","d":"Delivers updates on a regular vendor schedule without institution-run upgrades.","cls":"Platform","src":["C"],"herm":"BC203"},{"id":"15.4.2","n":"Configuration preserved across upgrades","d":"Keeps institution configuration intact when new releases are applied.","cls":"Platform","src":["C"],"herm":"BC203"},{"id":"15.4.3","n":"Sponsor form and rule updates","d":"Updates federal forms and sponsor rules as agencies change them.","cls":"Platform","src":["C"],"herm":"BC203"},{"id":"15.4.4","n":"Availability commitments","d":"Commits to uptime targets and publishes service status.","cls":"Platform","src":["C"],"herm":"BC161"},{"id":"15.4.5","n":"Legacy data migration","d":"Provides tools and services to migrate history from legacy systems.","cls":"Platform","src":["C"],"herm":"BC203"},{"id":"15.4.6","n":"Accessibility conformance","d":"Meets WCAG 2.1 AA for researcher and staff interfaces.","cls":"Platform","src":["C"],"herm":"BC203"},{"id":"15.4.7","n":"Peak submission performance","d":"Monitor response times and processing capacity during sponsor deadlines and high-volume review cycles.","cls":"Platform","src":["P"],"herm":"BC203"},{"id":"15.4.8","n":"Governed application extensions","d":"Support extensions through documented mechanisms with controlled permissions and defined upgrade compatibility.","cls":"Platform","src":["P"],"herm":"BC203"},{"id":"15.4.9","n":"Job scheduling and operational monitoring","d":"Schedule imports, notifications, and reporting jobs and monitor completion, failures, and duration.","cls":"Platform","src":["P"],"herm":"BC203"},{"id":"15.4.10","n":"Research process regression testing","d":"Support repeatable validation of submission packages, review rules, approvals, and integrations after changes.","cls":"Platform","src":["P"],"herm":"BC203"}],"herm":["BC203","BC204","BC161"]}]}]}