With over $260 million generated annually in sponsored research, Penn has consistently ranked in the top 20 research institutions nationwide. The process of supporting the research enterprise--functions that range from preparing and submitting the initial proposal to accepting awards, preparing budgets, managing funds and reporting to sponsors--is integral to the continued success of this critical University mission.
In fact, President Judith Rodin's Agenda for Excellence has identified increasing Penn's research opportunities as a key strategic goal. A component of this strategy is streamlining the University's pre- and post-award processes to increase efficiency, and facilitate the pursuit and receipt of external funds.
The Research Administration Reengineering Team, chartered in August 1995, has completed its preliminary report, which will be published for comment in next week's Almanac. The team operated under the direction and oversight of a Steering Committee comprising deans, faculty and senior academic administrators. The committee was co-chaired by Provost Stanley Chodorow and Executive Vice President John Fry.
"The committee interviewed faculty members extensively and learned a great deal about how to streamline those operations that support faculty research," Chodorow said. "This report reflects that input and will greatly improve our ability to meet the overall research goals of the University, as well as those of individual faculty members."
The team's goal is to develop a new model for research-administration support processes that would improve the delivery of service to faculty, said Anthony Merritt, director of the Office of Research Administration and the team's leader. "We're trying to make life as easy as possible for faculty researchers while assuring adherence to our sponsor's requirements and University policies."
The team sought to involve a broad range of University faculty and staff in gathering data for the report by conducting surveys, focus groups, and individual interviews with faculty, administrators and department chairs. After analyzing the data collected, the team identified five parts of the process of most concern to faculty researchers. The areas viewed as problematic were: compiling nonresearch portions of the proposal; submitting the proposal on time to sponsors; gaining University approvals; preparing and calculating nonstandard budgets; and having timely access to accurate financial information.
"We had a high response rate from our faculty survey," Merritt noted. "We feel confident that the issues we addressed are representative of the full range of faculty concerns."
The new model addresses those concerns, Merritt said, primarily by providing improved information and service to faculty through the use of new technologies, including the World Wide Web; enhanced training and communications; and reducing the number of reviews.
"These improvements are crucial to maintaining Penn's pre-eminent research enterprise," said Ralph Amado, acting vice provost for research and a member of the Steering Committee. "Attracting and retaining the best faculty researchers, who advance knowledge on nearly all fronts and provide our students with the unique opportunity to have the richest research training experience, will be enhanced by this effort."
The model proposed by the team will rely heavily on the development of a comprehensive and interactive information system. Such a system would allow for electronic transmission of information at all steps of the process; reduction of paper; speedier approvals; timely award notification and account establishment; desktop management of award funds; accessibility to all pertinent data; and reduction of redundant data entry. An example of the changes to be made is allowing faculty researchers direct access to the Sponsored Projects Information Network (SPIN) for identifying funding sources.
"The research enterprise is a critical component of Penn's mission," Fry said. "It's time to take our sponsored-projects support processes to the next level, by taking advantage of new technologies. Many universities are looking to do this, and we are confident that Penn will lead the charge."
Stephen Golding, vice president for finance, noted that FinMIS (Financial Management Information System)--the University's new accounting and purchasing system, which will be in place July 1--is a first step toward maximizing the use of new technologies in the University's business practices.
"FinMIS will allow us to do a lot of things more effectively, more efficiently, and with more responsiveness to the needs of the people we serve," Golding said. "Other new technologies we envision for our re-engineered research support practices will need to be developed over time."
Merritt praised the efforts of the 11-member team, who "committed an enormous amount of time and energy to the project, while maintaining their regular workday schedules."
"This was a tremendous effort by everyone involved, and we are very appreciative of their work," he added.
The following are additional highlights of the team's recommendations:
* Standard proposals (defined as proposals having standard indirect cost rates, no renovated or new space requirements, no matching institutional funds, and not seeking corporate sponsorship) will no longer require review by the dean of the principal investigator's school, and will no longer require review by deans and department chairs of co-investigators' schools; however, deans and department chairs will have access to the proposal information at all steps in the process via the sponsored-projects information system and database.
* The process for reviewing nonstandard proposals (defined as proposals having nonstandard indirect cost rates, new or renovated space requirements, matching institutional funds, or sponsored by industry) will be streamlined to allow for early and ongoing negotiation of terms and conditions, accessibility of information/data by all required parties, and a nonlinear process of obtaining required approvals.
* Enhanced training and communication in all aspects of managing the sponsored project's life cycle will be a priority.
Return to Compass Features for May 7, 1996