Sorry I didn’t get back to folks on Monday – forgot it was a holiday!

 

For all of those interested in our pre- and post-award office merger, I have summarized my comments from last week. Please note that this touches only the very surface of the issues and does not take into account vagaries such as campus politics (really? There is such a thing?), budgets, the arduous transitions from one phase to another (actually sometimes concurrently!) and the like. Apologies for the length. This seems to be an issue important to many. Would be happy to answer questions individually. xxxxxx@fredonia.edu  

 

In a nutshell, we started 3.5 years ago with a white paper I prepared on the merger, possible advantages and structure, to the president. He agreed, put the merger into the performance programs of the two Vice Presidents (Academic Affair for pre-award and Administration for post-award), and I was tapped as the “change agent” for the process.  Understand that, at the time, I was the Director of the pre-award office in Academic Affairs (though our office did most all post functions except accounts management). I had nearly 20 years in research administration and my CRA.

 

We started slowly, function mapping both offices to determine what jobs/tasks needed to be done to get a baseline on how to configure staff.  At all junctures, I made sure that staff were involved and had input into the process, the willing and the unwilling. Mind you, this is a time-consuming, and, if done with some semblance of sensitivity to the emotionally charged issues that arise when change of any kind happens, draining on the change agent, too! Must have a way to re-charge batteries and to keep your eye on the larger picture and outcome. Minutia can pull you under worse than a rip tide.

 

In addition to function mapping, we saw this as an opportunity to find out what things we did right, what things needed improvement, what things were missing and what our customers perceived about our singular operations. A faculty member from each division was selected to lead a series of focus groups at which none of the OSP staff were present to get the most candid input – and get it we did!!! I only shared the information with my VPs and most senior staff, and was sure that the reports that I had gotten from the faculty focus group leaders was categorized in action areas, e.g., communication or training or personnel.  And we incorporated solutions to issues in processes, behaviors, communications, etc.  It didn’t just get put on the shelf!

 

I also asked each potential staff member to give me a CV and personal accountability statement – one that not only talked to current tasks and talents, but one that projected to what they might like to do. As you can imagine, some were more forthcoming than others, but I made it a point to be sure that there were opportunities for one-on-one discussions (for those who were less comfortable with writing), and keeping balance among all the staff as well as myself (not easy – I am Scots/Irish!). Many times, there were too many irons in the fire, too much to be done, and very little sleep to sanely accomplish things! For support, I used trusted administration, faculty members and colleagues in the field as sounding boards, and I must admit that my spouse feels some ownership on the eventual success of the merger!

 

Slow and gradual … until July 2006, when we were given a formal charge for the merger jointly by the VPs, effective December 1, 2006. My work really began in earnest then, trying to synthesize the information and data I had, trying to design positions for staff that built on their strengths and their desires, and working with the administration on the more mechanical parts of the merger – like re-classification of positions, space reconfiguration, budgets, etc. And we did well … until the primary post-award individual, three days before December 1, announced she had taken another position in the institution and her clerk was going with her.

 

So, moved from our offices into a classroom amidst boxes and sharing on-line access while our old space was re-configured, we struggled to keep paper flowing. A Director, I learned hands-on tasks like how to process purchases and do reimbursements for travel (and I think ultimately that was a good thing, though my stress level was at max – hate feeling like I don’t really know what I am doing! I did develop a sound understanding at the core level about employee issues!). We struggled to massage a Frankenstein system of duties and responsibilities together so appropriate and correct work got done while finalizing job descriptions and initiating a search for a new staff member – and it took more than 6 months to find our Grants Management Specialist!

 

During that time, we benefited from use of State staff to do some of the more manual sorts of things, based on authorizations from the in-process unit.  This meant a system of training, checks and balances, and diplomacy to the nth degree. Once the Grants Management Specialist was hired, we again refined the systems, bringing input and other responsibilities in-house. Last fall, we had an internal control audit by the central offices, and, as the auditor started out, “This is not the same audit as we had 4 years before.” In point of fact, instead of 52 pages of findings, there were less than 9, most of them categorized by the auditors as “human error in the time of transition.” None were of the sort that meant any disallowance – our systems were good, the separation of duties and responsibilities sound, and accountability high. A final tweaking, and here we are.

 

There was a net loss of one FTE in the merger. I requested that the benefits portion of HR should be housed in the State HR unit as HR is one of the principal areas where rookies should not be involved, given the potential for litigation or the human cost for errors, unintentional or not. A State staff member there was assigned those duties, but it does not consume her full time. A member of the State AP/PO staff does the manual inputs for purchasing and AP, based on information we provide on a transmittal sheet. There is no decision-making, just clerical work.  FYI – the State purchasing office has always been involved in processing purchases from sponsored programs and HR has had a presence, too.  We continued to monitor and improve systems, usually at the suggestion or behest of a staff member who can see a means to do things more efficiently and knows that I am open to staff input, always.

 

That is it, short and very condensed.  I am directly supervised by Academic Affairs, but have a reporting responsibility to the VP for Administration who is the Research Foundation Operations Manager. When issues arise, it is a joint meeting of the minds. Transparency is a rule, and given the current administrators we have, this works nicely. A little about how SUNY “does” research. We are a system with a centralized research operations known as the Research Foundation of SUNY (RF). RF is essentially our fiscal agent (uses the Oracle accounting system). Our system of grant and contract administration differs from most other public and private colleges as it is a centralized operation in Albany, NY with campus liaison that streamlines fiscal administration and gives all prospective grants and contracts the track record benefit of responsible administration of in excess of $1.3 billion annually administered across the 64 institutions of SUNY. The RF also furnishes the mechanism for employment of appropriate project personnel, for purchasing of supplies and equipment, and for fiscal reporting to sponsors.

 

On each campus, not only are there staff to facilitate applications and grants management, but an Operations Manager who is fiscally accountable for RF operations. In our case, this is the “other” title held by our VP for Administration, our CFO, who, p.s., is not paid for this work. Thought I provide monthly fiscal reports and meet with the VP Admin/Operations Manager (OM), I, as Director of Sponsored Programs, am responsible for the operation of sponsored programs on this campus, e.g., if there are audit issues, it is my neck on the chopping block! The AVP Grad. Studies & Research and VPAA are the persons to whom I report applications, work with on compliance issues (misconduct, etc.), etc., through the academic side of the house. So, I really am “a woman for all seasons” in that I have BOTH academic and fiscal responsibility, all under one roof.

 

The reality was that, I think, neither VP thought that a merged office would be more efficient nor would it better serve the campus. The new reality is that both have changed their minds totally, and neither VP has to deal with issues and thorns that were ironed out in the merger and I have now been authorized to resolve.  Though the VP Admin wanted to hand over the responsibility of OM to my office, the RF Management asked that the campus not do that because … wait for it … “all our OMs are Vice Presidents.” So, I have the work, the responsibility and the headaches (no title L), but the merged office has been a tremendous success, probably because I was too stupid to simply throw my apron over my head and run shrieking from the ‘kitchen’ given the enormity of the task, the resistance to ANY change on the campus, and the lack of time/resources to accomplish same.

 

When asked if there were benefits/detriments that may have accrued from the process, I had to admit that the benefits far out-weighed the detriments (and most of those were to my mental health and sleep patterns!) Given the chaos that the former 2-office system in 2 different buildings with two different VPs caused, there was no down side to this at all! Benefits all accrue from happier and more productive staff, easier and facile communication among functions (we all know a little bit about every award; we all get to know and interact with faculty – this is a good thing as too many staff get pigeon-holed in specific chores and never get the benefit of external interaction; questions can be answered or impromptu staff meetings held; staff can rely on other staff to be sounding boards or foils or devils advocates when needed, etc.). There is a sense of the WHOLE of the operations, even though there are individual staff assigned to specific functions. And there is greatly increased morale and pride in work well done, increased customer satisfaction. This might not work as a whole on a much larger campus, but it works very well here.

 

We have a dedicated Grants Development Specialist (GDS) who performs the pre-award functions in conjunction with other staff as specialization is needed. I am the “connector”, if you will, among the pre- and post- functions as I have responsibility for both. I issue approvals, I am the one who must problem-solve, the one to assure customer service and communication, and where the buck stops.  Then, depending on functions, we have appropriate separation of responsibilities to avoid conflict AR and AP are different people, for example). The GDS works with all sponsors, Colleges and divisions and is supported by all staff when there is a confluence of deadlines! One of the critical features I instilled was the preparation of operational manuals (that have been vetted and reviewed by other staff – how-to books, not a history of OMB circulars and re-statement of policies) as all staff are cross-trained in at least 2 other primary areas, more if they have an interest. If one staff member isn’t there, someone can keep the paper going!

 

I have found, over 20 years in the “biz” that we burn out staff who are too narrowly focused, and it doesn’t help in legacy planning. Variety being the spice of life, each gets a taste (and also a healthy respect!) for others’ work, and as the workload needs to ebb and flow, so can the work flow and staff involvement. One of my principal roles as leader is to assure esprit de corps, motivation, and appreciation for the work of staff.

 

For those of you who tried to use our website, it is less than up to date! Apologies! We are working on it. Though our systems are refined and in place, somehow the website seems to be the last thing we get to!! It is in process, never fear.  A last ‘hurrah’!

 

 

Maggie Bryan-Peterson, CRA

Director

Office of Sponsored Programs

E230a Thompson Hall

SUNY Fredonia

Fredonia, NY  14063