Background and Membership

The Administrative Computing Advisory Committee (ADAC) is appointed by the Executive Vice President and serves in an advisory capacity to the Vice Provost for Information Technology. ADAC is charged to review the University's administrative computing needs and to advise the administration on the best means to meet these needs. This document was prepared by ADAC members as part of the strategic planning process initiated by ITAC (Information Technology Advisory Committee).

During the fall semester 1995, ADAC members were briefed by the appropriate system administrators on major institutional administrative systems (excluding those specific to patient care). ADAC does not have representation from the Medical Center or Hospital, so the opinions of administrative units in those areas are not incorporated into this document. We also met with the Strategic Planning Sub-Committee of ITAC. From these meetings and ensuing discussions, we developed a series of themes from which have emerged a draft vision statement, guiding principles, and goals and objectives for administrative computing. All of these guided the development of specific action recommendations about each institutional administrative system. Our recommendations are focused on systems supporting critical work processes for the institution, not on department level systems.

This document was circulated in draft form to key University managers and officers in February (see Attachment 2 for a list). The majority of opinions received expressed support for the points made in this document or raised questions that led to revisions. Of concern to several reviewers is achieving a balance in setting institutional standards, policies, and workflow that still enables individual departments' to develop and implement technology for their own use and that of their customers or stakeholders in ways that enable quick response to unique and changing environmental pressures. There is also concern that the changes we suggest for funding the improvement of institutional administrative systems not unfairly burden or reward specific units.

The Administrative Computing Advisory Committee (ADAC) consists of the following members:

Annette L. Foster, Administrative Computing Advisory Committee, Chair

Information Technology Procurement Consultant, Work Process Redesign

Susan Alberts

Director, Research Support

Edward Anapol

Director, Systems Planning and Support

William C. Auld

Director, Employment and Systems, Human Resources

Ann P. Barton

Manager, Systems and Inventory Accounting, Department of Material Support

Matthew S. Brody

Assistant Director, University Police Department

Justina T. Cotter

Analyst Programmer II, Office of Undergraduate Admissions

Harry E. DeMik

Deputy University Director, Office of the Registrar

Linda H. Gerber

Director, Professional Services, University Development

Caroline A. Nisbet

Director, Planning and Resource Administration, Student Affairs

David H. Roberson

Director, University Relations, Public Affairs

Michael J. Smith, Ph.D.

Manager, Information Systems Audit, Internal Audit

Mark A. Thomas

Manager, Projects and Engineering, Facilities Management Department

Thomas A. Vanderdoes

Business Manager, Accounting Administration, Stores Operations

Themes

• Easy data and system access
• Varied and accessible technical support
• Strong linkages among separate systems that are transparent to the user
• Timely and effective communication within OIT groups as well as between OIT, distributed IT support, and users
• On-line, real time information
• More open, yet secure systems to facilitate a single source of data

Vision for Administrative Computing

Information technology services should be provided to the University community as efficiently and effectively as possible to support the goals stated in the University's strategic plan, ``Shaping Our Future.'' Reliable, accurate, secure, and easily accessible information is clearly necessary to achieve these goals. Achievement of this vision in administrative computing will enhance the collaborative and cooperative spirit of the Duke community and make the process of delivering administrative support services more efficient and effective.

Guiding Principles for Administrative Computing

1. Major decisions regarding information technology will be made with the full participation of the user community and considering institutional priorities, e.g., new systems will be strategically developed and selected considering the needs of all users.
2. Data and decision support systems will be in place to enable University managers to readily access accurate and timely information needed to make good strategic and operational decisions.
3. Reliable, robust, secure, and integrated transactional systems will be the standard.
4. Users will have immediate and easy access at their desktops to accurate data, necessary electronic linkages to internal and external resources as well as any tools and training needed to do their jobs.
5. Procedures and policies will be in place to address University needs and serve as frameworks for departments to elaborate on for their own sites. Guiding Principles for Administrative Computing continued
6. Agreements will be in place regarding data models and appropriate data security. Departments will view themselves as custodians rather than owners of institutional data.
7. Users will have access to knowledgeable and responsive technical support staff.
8. Standards will be established for administrative technology when standardization results in significant savings, increased effectiveness and/or service improvements.
9. First preference will be given to purchasing software packages rather than devoting extensive resources to in house systems development. Custom modifications will be kept to a minimum.
10. Redesign of critical and/or widespread work processes will be considered before improving automation.
11. New systems will be scaleable and flexible.
12. Funding will not be a barrier or an incentive to the development of particular systems, i.e., funding will be structured so that systems are developed on demonstrated need as well as clear benefit to the Duke community.
13. New systems will support a reasonable range of system platforms and meet a wide variety of departmental and end user needs.
14. Systems will be continuously improved based on assessments of need, use, and results.

Goals and Objectives

1. Develop a new process for prioritizing and funding systems development projects that is tied to institutional objectives and neither discriminates against nor favors particular systems based upon departmental resources.
   1. Provide the means by which opinions are sought from the user community with regard to funding mechanisms and priorities.
2. Provide desktop sufficiency for all users in the community.
   1. Complete infrastructure wiring to all campus buildings.
   2. Set minimum hardware standards that will be adequate for access to institutional systems and communicate it to users.
   3. Provide electronic mail service that includes the following:
      1. recommended and centrally supported e-mail software
      2. low cost transition (if necessary) to users
      3. name/address standards and automatic routing
      4. central, up-to-date e-mail address directory
   4. Provide a method to ease and reduce the number of individual user IDs and passwords required for access to institutional systems.
3. Provide knowledgeable and responsive technical support.
   1. Establish and publish Help Desk protocols, e.g., priorities, turnaround time, etc.
   2. Establish orientation and training programs for network managers to improve on-site network security and support.
   3. Provide consulting support to assist users with WAN and LAN network communications support, hardware and software selection, project definition and scope, and the hiring of external IT resources for projects.
   4. Analyze need for and acquire site licenses for commonly used software and provide a central repository for information and products related to site licenses.
   5. Assist in the negotiations of institutional educational discounts consistent with standards set for computing software and hardware.
   6. Provide a knowledge base for common hardware, software, and network problems available to all technical personnel.
   7. Provide 7/24 support for mission critical applications.
4. Develop and communicate policies, procedures and the overall direction of IT support and services to all users in a timely and consistent manner.
   1. Involve the user community as appropriate in the definition and implementation of new policies and procedures.
   2. Define and publish policies related to computer security and controls in the following areas:
      1. passwords
      2. computer hardware and software security
      3. disaster recovery for important data, software, and hardware
      4. computer security for specific systems, e.g., UNIX
      5. network administration
5. Provide clear, coordinated strategic direction for institutional administrative systems and consider dependencies, support issues, etc. as systems are selected for upgrading and/or redesign.
   1. Establish a collaborative process to review institutional IT needs and establish priorities for replacement and/or upgrading of institutional systems.
   2. Establish standards for administrative technology.
6. Create an institutional data warehouse with a robust tool set that can be widely used.

Analysis of Current Systems and Recommendations for Change

For this document, ADAC developed categories of institutional administrative systems that do not necessarily reflect present ``ownership'' rather, we support the concept that administrative departments are custodians or stewards of institutional data. These categories are our recommendations for logical groupings of related institutional processes.

• Procurement
• Student Information
• Human Resources
• Financial Management
• Facilities Management and Space Inventory
• DukeCard
• Mail and Personal Productivity
• University Calendar and Space Scheduling
• Alumni and Development
• Research Management
• Public Safety

We agree that the status of many administrative systems can be defined as reasonably functional and effective day day transactional systems for their own departments. With few exceptions, the current systems use old technology and are highly fragmented in both function and design. Major systems are typically developed and changed without widespread consultation with users outside the ``owner'' department. Software has mostly been developed in house and tends to be unique for each application causing redundancy and incompatibility. Even when vendor packages have been purchased, extensive modifications are often required to adapt systems to Duke's work processes. Most systems were developed as stand alones primarily to serve the ``owner'' department and thus are ill suited to provide on line, real time information as well as consistent and comparative data across systems in ways that are easily accessible and transparent to other users. Needs and demands for departmental access to institutional data are not being met. Furthermore, it is likely that these requests will continue to grow as reliable data is increasingly needed to support strategic planning and decision making. It is almost a standard practice for departments to develop shadow systems to fill the gaps left by our institutional administrative systems. Shadow systems often consume additional human and computing resources because of duplicate keying and problems with data reconciliation. It is also difficult to consolidate data for management reporting and decision support due to lack of integration among systems, inconsistency in definitions of data elements, and database architecture incompatibilities.

Historically, a full set of technical support services has not been delivered centrally, therefore, many departments created their own in house systems support staffs to deal with support issues as well as the variety of stand alone systems. While there is undoubtedly some redundant effort between the activities of OIT and department technical staffs, an important gap continues to exist between what users need and the services OIT can provide. This gap has often led to uncoordinated individual departmental decision making. Department technical staffs are generally responsible for some activities that could be provided as well or better by OIT, but are not currently available from that organization.

Status summaries of current institutional administrative systems are included in Attachment 1. Each of these systems has been analyzed and presented to the Steering Committee as a potential work process redesign project. Thus far, projects have begun in Procurement, Human Resources, and Student Information Systems. ADAC supports work process redesign efforts prior to implementing new systems as well as other efforts to continually assess and improve our institutional administrative systems. Below are ADAC's recommendations. The benefit of implementing all recommendations would result in significant savings through productivity improvements, and in some cases, manpower reductions.

Procurement

The recently purchased (mainframe based) EPS (Extended Purchasing System) modules are integrated with Accounts Payable and the general ledger. In house developed, network based systems exist for storerooms, shipping, surplus, storage and distribution. All systems supporting the procurement process are currently under examination as part of a work process redesign effort. The lack of systems integration and weakness of function versus need are redesign concerns. Choosing a technical solution that meets the needs of University, Hospital, and Medical Center customers is a challenge.

Procurement Recommendation:

Procurement is nearing the end of the detail design phase of a work process redesign effort. Current systems should be replaced with a robust vendor package that fulfills the procurement vision.

Timeline: 1-2 years

Student Information Systems

Systems supporting Duke's enrollment management process are widely dispersed among the schools, college, and various administrative support offices. The current systems are highly fragmented in function and design and clearly do not meet the needs of today's user community.

Student Information Systems Recommendation:

Most of these systems are being re examined as part of the work process redesign effort for student information systems (SISS). Current systems should be replaced with robust vendor packages as workflow is redesigned.

Timeline: 1-2 years

Human Resources

Human Resources encompasses a variety of HR and payroll related systems including employment processing, benefits administration, employee information inquiry/update and management reporting. These systems are implemented on three different platforms (mainframe, midrange, and LAN) and range in age from two to 20 years old. HR provides distributed functions to over 100 end user departments across the University and Medical Center and supports these as well as HR internal users with its own information systems group.

Human Resources Recommendations:

1. HR is beginning a work redesign process that will have substantial impact on the technology that is currently in place. Current systems should be replaced with robust vendor packages as workflow is redesigned.

   Timeline: ~3 years

2. Time and attendance and electronic capture of timecard information is critical and should be implemented, if possible, on a shorter timeframe.

   Timeline: 1 year

Financial Management

Duke's financial management systems range in age from 0 to 20 years and are implemented primarily on the administrative mainframe. Client/server based applications are currently being implemented for budget planning (BPA) and financial analysis (DAFT). While the older systems adequately serve the University Accounting Division, they do not fully meet the needs of end users in terms of currency of data, access, query and reporting capabilities.

Financial Management Recommendations:

1. This area has been identified as a candidate for work process redesign, although there is no schedule for a project to begin. It is likely that integrated vendor package systems can be implemented if workflow is redesigned.

2. Replace Bursar's billing and receivables system.

   Timeline: 1 year

3. Continue to develop DAFT to include electronic submission of forms and to integrate with other financial systems.

   Timeline: 1 year

Facilities Management and Space Inventory

Most systems for facilities management and space inventory have been developed in house and are not accessible to users outside the department. These systems are not currently viewed or supported as institutional administrative systems. The primary purpose of the asset management systems is to support the internal cost allocation system and to support claims for indirect cost recoveries on federal grants and contracts and Medicare/Medicaid reimbursement related to depreciation of moveable and fixed assets. An institutional space inventory system would serve other needs, but could provide information for the asset management systems.

Facilities Management and Space Inventory Recommendations:

1. The CMMS (Computerized Maintenance Management System) and CAD/GIS (Computer Aided Design/Geographical Information System) systems should be raised to an institutional level with appropriate robustness and access by outside users.

   Timeline: 1-4 years

2. The shadow systems should be eliminated once more real time budgetary and project cost data is available.

   Timeline: 1-4 years

DukeCard

The DukeCard provides access control to university residence halls, classroom buildings, and parking lots. It is also provides debit and credit purchasing ability in Duke operated retail, textbook, and dining facilities for students, faculty, and employees. The DukeCard has become a defacto ID card in the university community, although it is not used in the Hospital. The system is a UNIX based vendor package that is interfaced, but not integrated to other university systems.

DukeCard Recommendations:

1. The DukeCard has become an institutional system and as such should be recognized and appropriately supported.

   Timeline: 1-3 years

2. A disaster recovery plan should be implemented.

   Timeline: Immediately

3. Consider using a single DukeCard for applications across the institution such as ID, security, parking, procurement card, etc.

   Timeline: 1 year

E-Mail and Personal Productivity

Departments currently have the freedom to implement any e-mail or tool suite they choose. Effort is spent in each department choosing their preferred tools, administering e-mail, and training users. Departments frequently do not have the expertise to either make an appropriate choice or to support packages once they are installed. Lack of standardization on a limited number of e-mail packages and tool suites leads to frustration on the part of users who cannot even routinely send attachments via e-mail between departments. With the explosion of the world wide web, standards and policies regarding its development and use should also be established.

E-Mail and Personal Productivity Recommendation:

Standards should be set for a limited, but reasonable number of tool suites, e-mail packages, and web packages that can be supported by OIT and departments.

Timeline: less than 1 year

University Calendar and Space Scheduling

Duke has neither a University calendar nor automated scheduling of space. However, the need for better coordination of event calendars as well as an automated method of reserving space was mentioned so frequently by users that we suggest elevating these issues to the level of an institutional system. Clearly, there are numerous event calendar shadow systems and the potential for savings in time and frustration along with improvements in coordination and publicity for events is great.

University Calendar and Space Scheduling Recommendation

Create an institutional level system to manage reservation of space and provide input to a campus calendar while still maintaining local control/input of events and venues as necessary.

Timeline: 1-3 years

Alumni and Development

The primary system supporting Alumni and Development activities is a mainframe based system purchased in 1991. Many school/college alumni and development offices continue to maintain shadow systems indicating that ADVANCE needs to be supplemented to enable the types of back end reporting required by the respective units.

Alumni and Development Recommendations:

1. Given the limitations of ADVANCE, investigate and come to consensus regarding development of a data warehouse to meet reporting needs and provide retrieval tools for users.

   Timeline: less than 1 year

2. Investigate and propose a reasonable solution to remove ADVANCE from the mainframe platform.

   Timeline: up to 5 years

Research Management

Research management systems facilitate researchers in locating funding opportunities, managing the proposal/grant life cycle and reporting to upper administration for evaluation purposes and projecting indirect cost recoveries. The Sponsored Projects System (SPS) is a client server system under development that will interface to the new Faculty Management System (FMS), the Budget, Planning and Analysis system (BPA) and the general ledger. Expected in the spring of 1996 are web pages to be maintained by the Office of Research Support (ORS) and Grants and Contracts (G and C) with links to federal and private sponsors. Also under development is a Faculty Research Interest database to be housed in ORS. The current development efforts are replacing a variety of separate databases and will provide needed functionality and integration.

Research Management Recommendation:

None. When the SPS and Faculty Interest Database projects are completed, this area will be robust.

Public Safety

The department is in the process of acquiring an integrated police records management and computer aided dispatch (CAD) system that will replace old systems that have limited functionality and management reporting capabilities and do not adequately address the latest North Carolina uniform crime reporting requirements.

Public Safety Recommendation:

1. The most appropriate and cost effective solutions should be identified and implemented.

   Timeline: in progress

2. Initiatives that facilitate data sharing with local city/county law enforcement agencies should be investigated.

   Timeline: in progress

3. Joint initiatives between the parking offices for the University and the Medical should be explored to determine whether such cooperation offers significant functional improvement, e.g., less data redundancy, or significant cost advantage to the University.

   Timeline: 1 year

Closing Remarks

Throughout this document, we propose that a new means be found to both establish priorities for and fund the development of institutional administrative systems. Work process redesign may be the way that priorities should be developed. A variety of mechanisms are available through which the alternative funding process we propose might be accomplished. These include corporate discretionary funds, infrastructure tax, unrestricted gifts, endowment, and future fund raising initiatives. ADAC has not made specific recommendations about how that process should work or be funded with the exception of the statement that the user community should be highly involved in the discussions.

Attachment 1. Details of Administrative Systems

Procurement

Current systems: Includes mainframe based and PC systems for purchasing operations, storerooms, shipping, surplus, storage, corporate vendor, vendor registration and customer desktop (EPS in beta testing). Storerooms operate on in house software implemented in 1987 that serves storeroom needs well, but is not integrated with the purchasing system. Shipping, surplus and storage also use in house developed, PC based systems. The corporate vendor file and vendor registration are maintained through CUFS/EPS.

Accounts Payable (CUFS/EPS): AMS mainframe based (non GUI) system for payment of invoices. Used by Disbursements department to process vendor payments and report information returns (1099) to the IRS. EPS is a new system integrated with the general ledger and purchasing systems, and operational in November 1995. Currently under review as part of procurement work process redesign.

Student Information Systems

Current systems: Includes undergraduate admissions and financial aid, the In School system (Registrar) as well as separate admissions systems in the Graduate School and each of the professional schools. Dependent systems include those in housing assignments, Alumni Affairs, Career Development Center, and the Bursar's Office. Undergraduate admissions is an house FoxPro system that functions well in house, but lacks integration with other systems. The In School system is mainframe based, archaic and no longer meets the functional needs of the schools, college, and other academic and administrative departments, many of whom have created shadow systems.

Human Resources

Benefits Administration: ERP administration of nonexempt retirement information (PC and mainframe); health care membership legacy system used with previous health care vendor (BCBS) begin phased out; MEAC calculations for maximum pre tax exclusion of retirement funds (mainframe); Employee Inquiry current employee payroll and deductions data used within HR and Accounting (mainframe); payroll archives historic employee payroll and deductions data (mainframe); tuition grant and educational assistance (PC); retirement projections (vendor developed and maintained on PC); pay calculation (PC)

Employment related: Employment System applicant tracking, matching, referral, selection and processing to payroll (midrange), available to departments; benefits office systems employee transaction processing to payroll, internal to HR (midrange); resume tracking (LAN); Duke Temporary Services applicant tracking, job referral, payroll processing and billing system with interfaces to Payroll (LAN), slated for replacement by vendor package.

University Payroll: Used to pay employees, students, and post doctoral fellows. Provides data required for federal and state reporting purposes. Includes automated clearinghouse (ACH) direct deposit system. Used by Payroll Office. Payroll data is also provided to Human Resources. System also includes two sub systems: monthly withholding exempt payroll used to make fellowship and scholarships payments to Duke students and post doctoral fellows; and IBM System/36 based system used to record non exempt employees' time data for calculation of gross pay. System performs well, updates could be more efficient and interfaces could be developed to minimize re keying of data. Does not allow access by departments to their employees' data. A new payroll system is needed. Age of hardware, technological advancements, and functional needs necessitate replacement planning.

Position management system: Client/server based system currently under development in conjunction with BPA system. Position management is to be operational in summer 1996. Will be used by management center staff, HR staff, departmental business managers, and departmental staff responsible for personnel updates.

Nonresident alien database: specifications for a nonresident alien database and earnings reporting system are now being developed. This will contain current tax treaty information and be used to facilitate payments to nonresident aliens from the payroll, monthly withholding exempt, accounts payable and imprest cash systems.

Miscellaneous: Job Classification update, inquiry and reporting (mainframe and midrange); Training Registration registration and tracking for training courses (LAN); Compensation Survey survey data analysis and planning (LAN), currently slated for possible in house rewrite after market investigation provided no vendor solution; Project Request Tracking tracking and monitoring of information technology related project requests (vendor pkg. on LAN); Account Code Change department users (midrange); Adverse Impact employment adverse impact statistics (modified vendor pkg on PC); Workers' Compensation claims administration (vendor developed, LAN); in addition, there are a significant number of batch run programs and reports provided through Payroll Expediters, OIT Application Services, and HRMS to both HR departments and the broader University community. Included are ERISA and COBRA administration/reporting, FTE reporting, turnover, compensation, performance review, etc.

Financial Management

Current systems: Systems include general ledger, accounts payable, budget planning and analysis, asset management, cost accounting, endowment and investment accounting, Bursar's Office billing and receivable system, work order accounting, and financial analysis. These systems range in age from 0 to 20 years, are implemented primarily on the administrative mainframe, and are routinely updated and/or re written as needs change. Recent new systems include the CUFS general ledger system (1992), and Duke Accounting and Financial Tools (DAFT, 1995). Client/server based applications are currently being implemented for budget planning (BPA) and financial analysis (DAFT). A graphical user interface (GUI) is being developed for the mainframe based general ledger and purchasing systems, for introduction in 1996. PC based systems have been implemented, or are under development, for cost accounting, capital asset management, risk management, and endowment/investment accounting.

General Ledger System (CUFS) AMS mainframe based system for general ledger maintenance, processing, and reporting, operational February 1992. Official University repository for financial information, used for external and internal reporting. Used by Accounting for maintenance of chart of accounts, processing of general ledger transactions, and preparation of monthly financial statements. Used by University departments for on line views of their financial information. Performs accounting and maintenance tasks well. A graphical user interface is under development for implementation in 1996.

Budget planning and analysis (BPA): Client/server based University forecasting, budget preparation and planning. Operational January 1996 for FY 1996/97 budget preparation. Used by management center staff, HR staff, departmental business managers, and departmental staff responsible for budget preparation and analysis.

Financial analysis (DAFT): Department tools for managing budgets. Includes tools for preparing various forms such as purchase requisitions, travel advances, imprest cash, and journal vouchers. Also provides tools for viewing and reporting from the general ledger. Client server based system. Phase I implementation was completed during fall 1995. Forms submission is manual, electronic submission is recommended. Useful tools, further development and integration with other financial systems is recommended.

Cost Allocation System: Used to distribute and record University overhead charges on the University's monthly financial statements, using generally accepted accounting procedures. Statistical bases upon which costs are distributed are updated for the three major financial cycles: forecast, budget, year end closing. System is complex and time consuming to process. Cost allocation simplification process is underway with plans to streamline processing and use CRIS based system) for cost allocation.

Asset Management System: Records the value, dates, depreciation and other accounting information on all buildings, land, land improvements, capital renovations (fixed assets), capital equipment, furniture, vehicles and vessels (moveable assets), owned or used by the University, Hospital, Medical School and other related entities. Maintained by Plant Accounting and used by Cost Accounting to support the internal cost allocation system and to support claims for indirect cost recoveries on federal grants and contracts and Medicare/Medicaid reimbursement related to depreciation of moveable and fixed assets.

Work Order Accounting System: Used to bill labor and material for projects/ maintenance performed by Facilities Management Department, Engineering and Operations, and OIT Telcom. Needs to be replaced. Bursar's Office BRS (Billing and Receivable System): Mainframe system purchased in 1980 from Information Associates, Inc. and vastly modified. Adjustments have been made periodically to address changes in procedures and related systems. Records charges and prepares bills for students, staff, and faculty. Interfaces with the In school system, undergraduate financial aid, payroll, imprest cash, housing, student loans, and library systems, as well as banks and financial aid vendors. BRS is very inflexible, with poor reporting and query capabilities. Modifications are cumbersome. Replacement with a modern system is needed.

Endowment/Investment Accounting: Mainframe applications for recording general ledger entries related to investment participation levels and income distribution to investors in the Long Term Investment Pool, the Intermediate Term Investment Pool, and the Institutional Reinvestment Account. Systems are rigid and cumbersome, and not easily adapted to changes in investment pool policies. A PC based version of the Institutional Reinvestment Account system is in the final stages of development and testing. Similar systems for the other pools should also be developed.

Facilities Management and Space Inventory

Current systems: Includes systems for energy and facilities management, project management, computer aided drafting, geographical information systems, financial tracking and facilities condition auditing. Most systems are proprietary or have been developed in house and are not accessible to users outside the department.

WDPF - Steam Plant Control System Proprietary digital control system controlling the boilers and auxiliary equipment in the production of steam for distribution to University and Medical Center buildings. Functions very well but very expensive to maintain due to proprietary hardware and complex software. No outside users will access this system.

EMCS - Energy Management Control System Proprietary digital control system monitoring and controlling heating, ventilation and air conditioning sub systems in University buildings. Functionally adequate but being upgraded to incorporate latest technology. No outside users will access this system.

CMMS - Computerized Maintenance Management System Proprietary maintenance control system automating work order entry, preventative maintenance, job scheduling and asset management. Current system marginally functional in a networked environment and lacks the robustness to process the vast number of maintenance tasks necessary to service the University and to provide for customer information access.

FACAUDIT - Facilities Condition Audit System Custom database program developed in house to record the condition of building systems. Program works well but needs a more user friendly interface. No outside users will access this system.

FDO Project Accounting System A shadow system developed in house to track project costs by extracting financial data from the University accounting system.

FDO Financial Tracking System A shadow system developed in house to track FDO financial transactions by extracting data from University accounting system.

CAD/GIS System (Computer Aided Design/Geographical Information System) A hybrid system utilizing AutoCAD, ArcCAD and ArcView documenting the campus map, infrastructure and building plans. The system is being developed to integrate database information into a user friendly graphic interface. This system will provide access by outside users upon completion.

Space Inventory System: Records the size, function, user and other information for every room used by the University, Hospital, Medical School and other related entities. Used in conjunction with asset management system to support the internal cost allocation system and to support claims for indirect cost recoveries on federal grants and contracts and Medicare/Medicaid reimbursement related to depreciation of moveable and fixed assets. Uses FPDC Cad drawings to graphically portray floor plans and links to room data. Information should be available for University buildings also. Need to provide user interface to those that need this information. All building plans are maintained and archived in a hard copy media format. Those building plans not in an electronic format are being converted by conversion to an AutoCAD format or scanned into a raster format. No space inventory management system presently exists within FMD.

DukeCard

Handles the student debit system, door locks, point of sale terminals, copy machines, laundry machines, vending machines and parking access. The Harco DukeCard system has 30,000 card holders including students, faculty and employees. The system runs on an HP9000 running HP UNIX. The software has been in place for seven years and the hardware for about two years.

University Calendar and Space Scheduling

Limited versions of University calendars are available via DIABLO in Public Affairs, Special Events, and Conference Services as well as a variety of department web sites and printed materials. Web calendar site planned by the University Secretary's Office. No comprehensive space scheduling software is available on the campus.

Alumni and Development

Current systems: Consists of ADVANCE, a mainframe based system using a DB2 software package purchased in 1991. Supporting development and alumni relations activities for the University and Medical Center, ADVANCE contains biographical and giving information on all alumni, parents, and friends of Duke. ADVANCE uses over 20% of current mainframe CPU to support production and DB2. It has been hard hit by recent peaks in mainframe CPU utilization.

Research Management

Current systems: Systems include the pre award grants databases, awards file, faculty databases, regulatory compliance databases, monitored workload system, and indirect cost study system. Grants and Contracts has a robust system that interfaces with a number of other institutional systems, but not the post award system. G and C maintains databases for the Institutional Review Board, the Animal Care and Use Committee and the Institutional Biosafety Committee which interface with their grants system.

Pre-award databases: ``in office'' database systems of the Office of Research Support and Med Center Grants and Contracts Office used for tracking proposals and awards; G and C has a robust system which interfaces with a number of MCIS systems, but not the post award systems; ORS has an antiquated system with limited reporting capabilities.

Awards file: Used by the Office of Sponsored Programs (post award); interfaces with the general ledger and computes the indirect cost charge on each grant prior to issuance of financial statements each month.

Faculty databases: The Faculty Management System (FMS) under development by OIT for the Provost's Office and the Faculty Profile System (FPS) developed by MCIS are used for management of faculty data. FMS is client/server based, but will not be accessible outside of the central administration. FMS does not currently include faculty research interest data which will be maintained by ORS in an as yet to be determined database. FPS is client/server based and soon to be web accessible. It includes faculty research interests and space allocation data.

Regulatory compliance databases: ORS maintains the Human Subjects in Non Medical Research database on a PC, which is adequate, but has no interface to the grants system. G and C maintains databases for the Institutional Review Board and Animal Care and Use Committee which interface with their grants system.

Monitored workload system: Mainframe system containing data for Effort Certification and Periodic Notices. Used by Office of Sponsored Programs to substantiate direct and indirect charges of wages and fringe benefit costs to all federally sponsored programs. Works well but could be improved as payroll system is redesigned.

Indirect Cost Study system: PC based system used by Cost Accounting to prepare the annual indirect cost study in accordance with federal regulations. Information is imported from the general ledger and space usage systems. Works well.

Public Safety

Current systems: Includes custom programmed systems for police incident reporting, traffic enforcement, names, 911, consolidated on line reference database, and fire alarm reporting. Acquisition of a new system will automate a number of processes in the department's Emergency 911 Center that are currently handled manually.

Attachment 2. List of Reviewers

Auxiliary Services**

Lowell E. Adkins

Administrative Manager, Duke Card Office, Auxillary Services

Wes Newman

Sr. Director, Dining and Special Events

Stephen F. Burrell, Ph.D.

Assistant to the Chief of Staff, Director, Office Services

Joseph G. Pietrantoni

Associate Vice President, Auxillary Services

James P. Johnson

Director, Housekeeping Operations

William Scarborough

Director, Finance, Auxillary Services

Anne R. Kelley

Assistant Director, Finance, Auxillary Services

Fidelia T. Thomason

Director, Housing Management

David E. Majestic

Director, Transportation Services

James E. Wilkerson

Director, Stores Operations

Student Affairs

Janet Smith Dickerson

Vice President for Student Affairs

John H. Noble*

Director, Career Development Center

Barbara A. Baker

Dean, Students and Student Development

John Barrow*

Acting Co-Director, Student Affairs

Robin A. Buhrke*

Coordinator of Gay, Lesbian and Bisexual Services

Peter Brauer

Data Processing Specialist, Student Affairs

Alumni Affairs and Development**

John J. Piva

Sr. Vice President, Alumni Affairs & Development

Robert S. Shepard, Ph.D.

Associate Vice President and Executive Director, University Development

John H. Taylor

Director, Gift Records

Peter C. Goswick

Director, Alumni Development Systems

Public Safety**

Alana M. Ennis

Director, Department of Public Safety

A.B. Washington

Chief of Support Services, Department of Public Safety

Lewis Wardell

Assistant Director, Department of Public Safety

Elizabeth Campbell

Manager, Administrative Services, Department of Public Safety

Internal Audit

Paul Harrod*

Director, Internal Audit Office

Financial Management**

John F. Adcock

Vice President and Corporate Controller

Bruce McLamb

Controller, Budget Cost Reimbursement Accounting

Victoria L. Nevois, M.S., M.A.

Assistant to Controller, Senior Director Endowment

George M. Kolasa

Controller, Accounting Operations

Billy T. Herndon

Director, Application Services, Office of Information Technology

Administrative Services

Richard P. Siemer*

Chief of Staff, Administrative Services

Material Support

Paul O. Brummett

Director, Department of Material Support

Jeffrey M. Yardley*

Assistant Director, Material Support

Joseph L. Alston

Associate Director, Department of Material Support

Gail B. Rogers

Manager, Administration, Department of Material Support

Daphine E. Carse

Assistant Director, Material Support

Human Resources

Toby Y. Kahr, Ph.D.

Associate Vice President, Human Resources

Office of the Provost

Dawn Hails

Senior Associate Director, Undergraduate Admissions, Operations

Christoph Guttentag

Director, Office of Undergraduate Admissions

James A. Belvin*

Director, Office of Undergraduate Financial Aid

David Jamieson-Drake, Ph.D.*

Director of Institutional Research, Office of the Provost

Facilities Management Department**

Jerry C. Black

Director Facilities and Maintenance, Facilities Management Department

David A. Danielson

Manager, Maintenance, Facilities Management Department

Regis J. Koslofsky

Director, Facilities Administration, Facilities Management Department

Bradford L. Evans

Personnel Manager, Administrative Services, Facilities Management Department

Joseph B. Jackson

Assistant Director, Grounds and Sanitation, Facilitiess Management Department

Robert E. Howard

Financial Analyst, Facilities Design Office

Office of Research Support**

Renee Deguehery

Director, Grants, Contracts and Special Projects, Medical Center Grants and Contracts

Thomas M. Davis

Director, Sponsored Programs, Accounting Operations

*

Comments received from individual

**

Summary comments from a group of reviewers