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Office of Research: Initiatives – fy11 Q4 Initiatives Completed

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Office of Research: Initiatives – FY11 Q4

Initiatives Completed


Initiatives Completed in Last 3 Months

Measurement of Efficiency/ Savings Achieved/ Adding Value


Improve award handoff from OSP to GCA

Reduction of "Returns" to OSP of eFAs from 20+ on average/mth for purpose of stating "balance disposition information" in OSP comments to 1 Return in July for this reason.  This is based on process improvement, communication and awareness as documented on OSP intranet/vault.


Revision of OSP closeout process to improve institutional compliance with sponsor requirements

Establishing baseline ratio of # of closeouts of federal programs to # of programs receiving notification of in new process.  Will have baseline in Fall 2011 once we reach the stage when these first batch going through notification have reached 90 days past award end date and we complete have data.


GIM Revision Project

New GIM 39 complete and published

GIM 3 revised and published

GIM 25 eliminated

GIM 4 eliminated

GIM 8 eliminated

GIM 12 eliminated

GIM 16 eliminated


New H-1B Export Control Review Process

Multi-office effort between OSP and International Scholars Office (ISO), in which OSP export control team provides review for each H-1B Visa application prior to ISO sign-off on Visa application.  New changes to H-1B application necessitated this enhanced process.  Volume:  121 since May 2011


SAGE Related Attachments

Allows campus users to view attachments added to eGC1 by OSP and GCA giving more transparency to award management and improving efficiency of process for all parties by relieving need for phone calls for status


SAGE Mobile Application

Allows preparers to track proposal status in real time to permit reviewers to approve from proposal and to view actions taken on history and comments page; saves time by allowing remote access to proposal status

Initiatives in Progress


Current Initiative Projects

Milestones Achieved as of 6/31/11

Expected Measurement of Efficiency/ Savings Achieved/ Adding Value


Transition mail out function from PCs

Planning complete, including phased approach to transition. On hold pending decision of where to move this function. Training is being prepared.

This reassignment of responsibilities frees PCs to take on award intake responsibilities as well as award processing for certain types of awards.


Revise Grants Information Memoranda (GIMs)

*GIM 38 in working group

*GIM 34 final except for

Advancement compliance

process information

*GIM 13 in final draft review *GIM 31 in draft and with

LEAN team to review OSP


*GIM 23 in review by GCA

working group

*GIM 22 will be eliminated

and folded into GIM 13 as


Updating of GIMS will provide more clear, consistent and current guidance to campus. New format will call out process separately from policy and give better direction to campus for both.


SFI Process Improvement

Working group under establishment

Streamlining of business practice to gain additional efficiencies, clarify processes and improve compliance management


Compliance Check at time of Award system enhancement

Business requirements submitted to ORIS.


Budget Review Criteria

Working group complete; developed RACI matrix setting out laws, regs, policies and responsibilities; shared RACI matrix with ORIS Budget Module working group; developing guidance now for use on website and for internal training.

On hold pending resource availability.

Identify OSP ‘s role and what should be reviewed by UW for sponsored program budgets; define and document scope of OSP budget review, depth of review, criteria for acceptance, and process to complete review which will aid in clarity of communication to campus and improve the on boarding of new OSP staff.


Create new internal OSP information management plan

Documents reviewed and determination about updating vs. archiving.

Nonfederal forms reviewed in depth to determine correct location and what requires updating. On hold pending resource availability.

Up-to-date information and resources to assist OSP staff in their daily work.


OSP SharePoint Site

Site structure determined pending final management approval. On hold pending resource availability.

OSP will have a consolidated and organized information management structure to communicate business policies and processes both internally and externally to campus; this will assist in the development of clear and consistent communication to campus, standardization of OSP business practice and on boarding of new staff.


Compliance check at time of award system enhancement

Business requirements for system support of compliance checks submitted to ORIS

These system enhancements will support OSP’s at time of award effort to ensure verification of compliance and reduce institutional risk.


The Budget Module –


Defining scope and requirements

Will allow more efficient, accurate, timely flow of information between research administrative support units


Budget Reviewer

Reprioritized based on customers/currently deferred

Modification supporting reviewers’ use of budget details imported into eGC1; supports phasing in of compliance review requirements of budget elements


Managed Data

In development

Build out of research administration data that is auditable and reuseable; precursor to proposal and award


Portal lite

Project planning

Provide a single place for researchers to manage all activities related to conducting research throughout the project lifecycle


Center for Commercialization systems implementation

Phase I deployed August 10, 2011; Project Manager & Developer have been hired for Phase 2

Upgrade of C4C internal system to better manage technology disclosure, IP protection, licensing, and revenue receipt/distribution


RADC Block I

Working to resolve big ticket data issues

Partnering with SAGE team to develop data usage solutions.

Reporting refined for Annual, BoR metrics, and STAR reports

Prototype of expected EDW has been built and UAT in process with select users

Working with OAW to create automated load of data leading to providing reporting services to unit

Brings efficiencies to research administration by alleviating reporting issues, bringing transparencies to data and processes, and providing users increased access to data


Document Imaging and Management System [DIMS]

Hired Project Manager and Business Analyst April 2011

Phase 2 planning kicked off early May 2011

Begin phased use of a new Document Imaging and Management System [DIMS] being purchased through a cross-unit project led by FM/SFS/OR/ and the Admissions offices of all three campuses.


EH&S needs assessment

Analysis complete Feb 2011

Implementation of select process improvements that were identified underway. Proposal to fulfill identified technology needs have been drafted.

Identify and prioritize business needs to define the technology need of the organization; create understanding of processes of units day lighting problem areas, gaps, and quick win opportunities



Charter drafted; Phase I released (entry page + required trainings list)

Provide clarity regarding required training and registration process; reduce risk of non-compliance of required training; reduce risk of non- compliance


UW research centers Browse and Search

Solr (enterprise search platform) instance created

Proof of concepts developed, data gathering and organization escalated

Promote interdisciplinary research collaboration by making expertise and center efforts centrally available and searchable


Research Site reorganization

Phase 1 of UW Research Enterprise product scoped and development initiated; release to include new home page, along with a revamp of site search and a small number of tactically relevant pages

Increase site usability by creating one entry point for all research related information; creates ease of locating information while decreasing time required to do so


OSP GIM migration to CMS

Migrating GIMs to CMS 2011; currently deferred

Improve availability of critical research administration policy, procedures, and guidance; increases ease of updating information in timely manner


Revision of IRB application

Beta-testing is complete. We received 22 beta-test applications. We are receiving significant and structured feedback from beta-testers that will be used to make further revisions to the form before it is implemented.

Increase approvals at first IRB review by 30 to 40%.


Conversion of AIP to Limited Activities Determination

Phase out current “Approved in Principle” practice and implement Limited Activities Determination policy, procedures and forms to align with Federal regulations.

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