Improving Research Administration - Award Set Up Process

Ann Jeffrey, Project Lead
Sara Tecle, Assistant Project Manager
Delia Clark, Business Process Consultant
Barbara Broque, Senior Organizational Consultant
Ron Cohen, Professor, Chemistry
Delphine Regalia, Controller (CGA)
Kim Page, Manager, Contracts & Grants Accounting
Laurie Kimbler, Contracts & Grants Supervisor (CSS)
Patrick Schlesinger, Assistant Vice Chancellor RAC
Pam Miller, SPO Director
Neil Maxwell, Information System Director, RAC
Katie Hudson, Contracts & Grants Manager (CSS)
Sue Logan, Contracts & Grants Supervisor (CSS)
Alex Luna, Assistant Dean, School of Education

Session #1 - Kick-Off and Detailed Current State Mapping
Date:
6/22/16
Status: Complete

Session #2 - Pain & Waste Analysis / Idea Generation
Date: 
7/1/16
Status: Complete

Campus feedback Collection on Process
Status: Complete

Session #3 - Review & Analysis of Campus Feedback
Date: 
7/14/16
Status: Complete

Session #4 - Redesign/ Solutions Development
Date: 
7/18 – 8/2/2016
Status: Complete

Session #5 - Implementation & Change Management Plan Development
Date: 
8/19/16
Status: Complete

  • There are delays in getting the award set up
  • Need the SPO Notice of Award issued in a timely manner
  • Provide an ETA for  when the Notice of Award can be expected
  • Provide better communication as to where the award is in the process
  • Improve the content and layout of the Notice of Award; present more relevant information and present it in a better way
  • There are sometimes delays in getting the budget uploaded to BFS as well as getting the award set up completed
  • PIs are not always notified when spending can begin
  • There is a need to make process related information i.e. how the process works and who's responsible for what public and easily accessible

  • Improve the content and layout of the notice of award document issued by SPO
  • Implement internal guidelines and processes within SPO to facilitate and speed up award negotiation
  • Establish a variety of dashboards displaying the SPO award processing time (from sponsor’s intent to award to NOA issuance). Dashboards include: Average award processing time by sponsor category, average award processing time for Top 5 sponsors, etc.
  • Track and publicize end-to-end award processing time (from sponsor’s intent to award to when spending can begin)
  • Implement a simplified fund advance process, form and guidelines
  • Roll-out improved award set up training, tools and guidelines for RAs
  • Implement a process to ensure timely budget uploads by RAs and timely award set up finalization by CGA
  • RAs update bearbuy profile as soon as fund is ready for spending
  • Implement an automated notification to the PI/RA indicating completion of award set up and that funds are ready to spend
  • Document and publish the process to make process related information i.e. how the process works and who's responsible for what public and easily accessible

Updated 6/23/17

The Award Set-up process improvement project has now concluded and has transitioned to the implementation and operation phase. Going forward, the process will be evaluated for continuous improvement efforts. To read the Final Report of this Working Group, click here.

Completed

  • Implemented process and guidelines within SPO to monitor and speed up award negotiation
  • Implemented process within CSS to ensure timely budget uploads by RAs
  • Implemented process within CGA to ensure timely award set up
  • Implemented a simplified fund advance process, form and guidelines for PIs needing funds in advance of the completion of the award set-up. Learn more about Fund Advance or Apply
  • Verified budget development & upload training in the RAPDP training geared towards simpler budget upload (Research Administrator Professional Development Program)
  • Improve the content and layout of the NOA (notice of award) issued by SPO
  • Improve the HR Recruitment Process to allow PIs to initiate recruitment searches simultaneously to the award being set up
  • Phoebe Search allows PIs to monitor award set-up status. Learn more about Phoebe Search or log on
  • Automated email notification is now sent to the PI indicating completion of award set up and funds available to spend
  • An automated email will now be sent to PIs and RAs when the Sponsored Projects Office (SPO) receives a notice of award from a proposal sponsor
  • Cal Answers now features a dashboard that allows faculty and principal investigators to view award set-up processing times. The Award Processing Time dashboard can be found under Financial Dashboards on the Cal Answers home page.

In Process

  • Track and publicize end-to-end award processing time
  • Proposal re: risk assessment, ownership and risk pool
  • Evaluate negotiations module

Not Started

  • Document and publish the process i.e. how the process works and who's responsible for what