Yale University

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Yale University Research Administration 100-Day
Plan
August 1, 2006
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Yale University Research Administration 100-Day
Plan Background

• Since last summer the University has been engaged
  in an effort to improve its policies, procedures,
  systems, and organizational design in the
  research administration area. With the help of
  the Huron Consulting Group and other experts the
  principal focus to date has been to ensure the
  appropriate allocation of costs to Federal grants
  through improved oversight of cost transfers (the
  practice of moving to a federally-funded
  sponsored account a charge previously recorded
  elsewhere) and the reporting of time and effort.
• In June 2006 President Levin restated the
  universitys absolute commitment to administering
  its sponsored research with the utmost integrity,
  highest ethical standards and fullest regulatory
  compliance. To accelerate the efforts already
  underway the Officers, under the leadership of
  Shauna King, Vice President for Finance and
  Administration, launched the 100-Day Plan, which
  began on August 1, 2006 and will conclude at the
  beginning of November. The objectives of this
  plan are twofold 1) to reduce risk to the
  university and individuals significantly and
  rapidly in the area of financial compliance on
  sponsored research and ii) to raise awareness
  about the universitys and individuals
  obligations for compliance in this same area.
• This draft 100-Day Plan is comprised of ten
  initiatives that seek to address the major
  drivers of financial compliance on sponsored
  research at Yale. These initiatives are as
  follows, and additional information on each is
  attached
• 1. Cost Transfers 6. Metrics
• 2. Effort Reporting 7. Business Process
  Redesign
• 3. Training 8. Account Holder Reports
• 4. Roles and Responsibilities 9. e-Procurement
  (SciQuest)
• 5. Policy Implementation 10. Staffing
• We will be refining this plan we learn more
  about processes and improvements, consulting with
  faculty, business office staff, central process
  owners, and other experts to ensure we are
  addressing the issues as appropriate.

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Yale University Research Administration 100-Day
Plan Executive Summary

• We have mobilized leadership for each of the
  major improvement initiatives (two-in-a-box
  one Huron and one Yale person for each) in each
  area below
• Cost Transfers (Andy Horner and Bob Davis)
• Effort Reporting (Greg Bedell and Karen Rossetti)
• Training (Andy Horner and Fran Dykstra using a
  committee that has already been making good
  progress)
• Roles and Responsibilities (Greg Bedell and Steve
  Murphy)
• Policy Implementation (Greg Bedell and Steve
  Murphy)
• Metrics (Amy Gonzalez and Fran Dykstra)
• other initiatives mobilized/connected as well
  (e-Procurement/SciQuest, Account Holder Report,
  Staffing)
• Fran Dykstra continues in her role as Director of
  GCFA
• Teams are formulating plans (approach, resource
  needs, issues, options, recommendations) while
  moving forward with all due haste.
• Andrew B. Rudczynski named as the new Associate
  Vice President for Research Administration
  effective September 1
• communication about Grants Contracts Financial
  Administration (GCFA) reorganization sent out
• potential technology mechanisms identified to
  enable centralized review of cost transfers w/in
  100 days
• GCFA has begun recruiting for four new grant
  accountants (minimum anticipated need for Cost
  Transfer review)
• Huron is adding three new people to the Yale
  engagement team to accelerate improvement
  initiatives
• outreach to business managers has begun in order
  to ensure department involvement in building the
  future state
• Real progress to share already due to the work of
  GCFA, GC, department, and Huron staff over the
  past year.

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Research Administration 100-Day Plan Overview
(Objectives and Deliverables)

• Reduce risk to the university and individuals
  significantly and rapidly
• Raise awareness of obligations for accepting
  Federal and other sponsored research

Objectives
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Research Administration 100-Day Plan Organization

• Executive support alignment (including
  escalation to President)
• Prioritization
• Policy setting
• Access to resources

Vice President, FA Shauna King

• Leadership (vision, alignment, execution)
• Staffing and other resources
• Communication

AVP Research Administration Andy Rudczynski

• Oversight of GCFA operations
• Leadership of GCFA improvement program
• Coordination w/other Research Admin. Activities
  (interim only)

Interim Director, Research Administration Steve
Murphy
Process Improvement Bob Davis, interim
Director, GCFA Fran Dykstra
100-Day Plan Huron (Greg Bedell, Andy Horner)

• Document GC process (high level) and GCFA
  process (detailed)
• Plan for long-term process improvement (award
  set-up to award close-out)
• Quick win improvements identify/implement

• Day-to-day operations
• Transparency into operational performance,
  including metrics
• Staffing

• Cost Transfers (Andy Horner / Bob Davis)
• Effort Reporting (Greg Bedell / Karen Rossetti)
• Training external (Andy Horner / Fran Dykstra)
• Roles and Responsibilities (Greg Bedell / Steve
  Murphy)
• Policy Implementation (Greg Bedell / Steve
  Murphy)
• Metrics (Amy Gonzalez / Fran Dykstra)

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Research Administration 100-Day Plan 1. Cost
Transfers
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Research Administration 100-Day Plan 2. Effort
Reporting
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Research Administration 100-Day Plan 3. Training
9
Research Administration 100-Day Plan Other
Initiatives