Copyright © 2017 by The Segal Group, Inc. All rights reserved.

SPONSORED RESEARCH SUPPORT TEAM

Kickoff Meeting August 24, 2017

Colorado School of Mines

By Easal22 - Own work, CC BY-SA 3.0, https://commons.wikimedia.org/w/index.php?curid=18644720

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Colorado School of Mines has been proactively assessing its current environment to ensure that it is delivering the highest quality education and services to its students, and that its operations are efficient and financially sound • Sibson Consulting was engaged to conduct an assessment of administrative functions across

the campus

• The review was conducted to ensure organizational and operational efficiency in functions across campus to support the University’s overarching mission

• The scope of the review included all functions across campus that impact student, staff, and faculty success

The review was conducted in March and April 2017 and involved the following:

• An examination of various documents, organizational charts, policies, previous process improvement initiatives, and other related materials

• 149 one-on-one and focus group interviews with identified stakeholders, including faculty, staff, and students

• Four town hall events in which 407 responses were gathered by individuals across campus

Background and Context

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Our Methodology

The organization’s structures, people, policies, rewards,

measures, capacity and culture

The cost to deliver and support services, programs,

processes and systems

The tools and technologies used to support functions and

services

The alignment of practices, services, structures, processes, and policies with the institution’s

strategic vision and goals

The processes by which services, programs, and transactions are

developed and delivered

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Based upon the findings, Sibson recommended that Colorado School of Mines complete the following:

High Level Recommendations

Establish a shared services function to combine transactional processes for

Human Resources, Finance, Institutional Research and Procurement

Complete a detailed assessment and redesign of the Registrar to

ensure proper staffing levels, process efficiencies, and policy

effectiveness

Complete a detailed assessment and redesign of Research

Administration to reduce barriers to efficiency for research faculty

Kickoff a Culture of Excellence Initiative to

assess and address cultural challenges on

campus

Conduct a complete policy assessment and redesign

to be consistent with federal/state laws and

cultural priorities

Assess current technology environment at Mines and

develop a strategic technology roadmap for the

future

Complete a Human Resources Strategic Planning Initiative to

create enhanced strategic and consultative HR

services

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The Teams will be guided by an organized leadership structure so that the effort is comprehensive and efficient

Leadership Structure

President

Shared Services Team

Leader

Team

Sibson

Registrar Team Leader

Team

Sibson

CCIT Team Leader

Team

Sibson

HR Team Leader

Team

Sibson

Culture Team Leader

Team

Sibson

Research Team Leader

Team

Sibson

Policy Team Leader

Team

Sibson

Project Sponsors

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Project Sponsor(s)

Project Team Leaders

Project Team Members

• Provide thought leadership and vision • Establish and communicate project goals and objectives • Remove barriers to team progress • Monitor progress • Create excitement for change

• Support project goals and objectives • Provide formal and informal leadership • Build consensus and buy-in • Communicate progress to Sponsor

• Develop plans and strategies that will allow the unit to realize its vision

• Participate in team meetings • Provide ideas and suggestions for addressing critical

issues

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Project Management

Each team will be managed through the following structure:

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Provide thought leadership throughout the process

Ensure that the Team, its activities, and its designs are aligned to the University’s mission

Work with other Team Leaders to surface and coordinate cross-team issues and opportunities

Communicate frequently to other Team Members and Sponsors about the Team’s progress and direction

Participate as a member of the Team

Encourage innovation and creative approaches to the organization’s challenges

Foster collaboration and teamwork within the Team

Coordinate communications with other Team Leaders and the Project Sponsors

Team Leader Role

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Understand the goals, objectives and structure of the initiative

Be open, honest, candid and collaborative

Assess the current environment

Create recommendations for a future state

Identify organizational risks and challenges associated with implementing recommended changes

Support development of the implementation plan

Build on the ideas, thoughts, and suggestions of others

Participate fully

Team Member Role

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Storming • Resistance, change in attitude • Arguing between members, establishing unrealistic goals, disunity

Forming • Excitement, anticipation, and optimism • Defining tasks, determining acceptable group behavior

Storming • Resistance, change in attitude • Arguing between members, establishing unrealistic goals, disunity

Norming • Ability to criticize constructively, acceptance of members • More friendliness, team cohesion, establishing &

maintaining team goals

Performing • Satisfaction with team progress • Close attachment to the team

The Evolution of Teams

Effective Teaming

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• Highly visible project involving roles and jobs

• Organizational curiosity on how the project will impact individuals

• Lack of information breeds insecurity, uninformed speculation and rumors

Balancing Communications and Confidentiality

The Demand for Information The Demand for Confidentiality • Content is sensitive and communications

need to be accurate • Designs are evolutionary and premature

communication is irresponsible • Teams are developing

recommendations – not making final decisions

Communications

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Research Support Team Members Team Sponsors: Kirsten Volpi, Exec. VP & COO, CFO, Treasurer Tom Boyd, Interim Provost Peter Han, Chief of Staff Future VPRTT Team Leader: Vicki Nichol, Assoc. VP Administration Team Members: Johanna Eagan, Interim Director, ORA John Speer, JHM Distinguished. Prof., MME, Dir., ASPPRC Ryan Richards, Prof., Chemistry, AVP Research, Interim Dir., REMRSEC Lisa Kinzel, Director, Research Dev. Phyllis Johnson, Center Mgr. REMRSEC, CRSP, CSEM, CHR Jen Shafer, Assistant Professor, Chemistry Andrea Morello, Fiscal Officer, CASE Tzahi Cath, Director, AQWATEC Molly Markley, Assistant General Counsel Werner Kuhr, Director, Ctr. for Entrepreneurship and Innovation Rsomer Brito Jurado, Asst. Professor, Petroleum Engineering

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Project Definition: Identify opportunities to improve the quality and efficiency of services in the

acquisition and administration of sponsored research Develop a set of plans and actions for improving service levels, roles and

responsibilities, organizational structures, workflows, policy design and enforcement, process efficiency, timeliness of services, and utilization of technology

Research Project Definition, Scope, and Goals

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Project Scope: All services, policies, structures and processes intended to support the acquisition and administration of sponsored research including those that are: 1. Provided by the Office of Research Administration 2. Provided at the College or department level (including Centers) 3. Provided by the VPRTT 4. Provided by the Controller's Office, Purchasing Department, and or any other Mines department involved in the acquisition or administration of sponsored research

Goals/Objectives: To improve the quality and efficiency of sponsored research acquisition and administration so that research faculty can secure more grants and reduce administrative burdens for faculty

Research Project Definition, Scope, and Goals

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Project Deliverables: 1. A review of effectiveness and efficiency of sponsored research support

and administration 2. A documented set of plans and actions for enhancing sponsored

research support and administration 3. An implementation plan outlining the tasks, activities, timelines and

resources required to implement the plans and actions developed in 2 above

Success Metrics: • Increase of and diversification of research portfolio • Reduce burden on faculty • Improved customer satisfaction levels • Reduced process timelines • Clarity of roles and responsibilities

Research Project Deliverables and Success Metrics

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Working Team Approach

• Gain a shared view of the current state of the function

• Evaluate the Division’s strengths, weaknesses, opportunities, and threats

• Understand and confirm the case for change

• Develop recommendations for improving the quality, efficiency and effectiveness of services in the function

• Assess operational, organizational, financial and cultural risks, benefits and impacts of each recommendation

• Create a high level plan to implement the recommended changes

• Identify required investments and develop timelines, milestones, tasks and activities required to support the implementation

• Identify the imperatives for success in developing and delivering the change

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Team Orientation

Assess Current

Environment

Develop The Plan

Finalize Recommendations

• Communicate project goals and objectives

• Review Project Plan and timeline

• Review Project member roles

• Build excitement • Demonstrate

senior level commitment and importance of the program

• Establish a shared view of the current strengths and weaknesses in the Division

• Develop a common view of the current environment including barriers to change

• Assess and clarify project goals and success metrics

• Identify the essential strategies, initiatives and activities necessary to achieve the vision

• Assess feasibility of draft plans

• Identify barriers to implementation

• Ensure horizontal and vertical integration

• Assess plan risks and benefits

• Test draft plans with sponsor and other leaders

• Gather additional input

• Modify plans as appropriate

• Create implementation strategies

Project Timeline

August 24 Kickoff Meeting By 12-20-17 By 1-31-18

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Research Data Request Status Data Items Received • Overview of the Sponsored Research function and units Received • Current vision and strategic plans for the Sponsored Research function, and list of related

initiatives for current year (if drafted) Link not working for ORA,

Received RTT • Relevant organizational charts

Received • Job descriptions for key Sponsored Research roles Received and includes

links • Process maps and/or related forms and documentation on core Research/pre- and post-award

processes • Overview of any outsourced functions/services

Received on Personnel Request

• Quantitative measures of unit, department or function performance (e.g., research productivity, volume of proposals, percentage of funded faculty, number of publications/grants awarded, extramural funding totals, licensing revenue, number if disclosures/patents, etc.)

Received survey and reports

• Qualitative measures of the unit, department or function, including any measures that reflect the quality of unit or individual performance (e.g., written evaluation of office performance, survey or customer feedback from faculty/customers/stakeholders, etc.)

Received and includes links

• Information about or overview of tools or technologies used to support the work of the unit, function or departments (i.e. Research Administration systems)

Received (excel models) • Institutional Research Administration data (e.g., pre- and post-award cycle times, proposal processing timelines, contract process timelines, transactions/activity, response time data, etc.)

Received Policy Library (may not include some departmental policies)

• Relevant research policy documentation

Received • Miscellaneous (i.e., any other data or information relevant to help assess the quality and or efficiency of the unit, department or function)

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Outline Strengths, Weaknesses, Opportunities, and Threats

• Strengths identify the key internal strengths. An indication of the practices, processes, efforts, structures, organizations, cultures, facilities, capabilities, competencies, individuals, leaders, outcomes, results, etc. that perform effectively, efficiently and at high levels. May be considered among the best things within or about Sponsored Research

• Identifies the key internal weaknesses. An indication of the practices, processes, efforts, structures, organizations, cultures, facilities, capabilities, competencies, individuals, leaders, outcomes, results, etc. that are in need of improvement or that are not performing effectively, efficiently, or at a high level. May be considered among the worst things within or about Sponsored Research

• Identifies the best external opportunities. An indication of the opportunities to improve the quality, size, or scope of Sponsored Research

• Identifies the biggest external threats. An indication of market forces, economics, regulatory, competitive issues, etc. that pose the most daunting threat to the success of Sponsored Research

Describe the Current State

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Thursday, August 24, 2017 1:00 PM-3:00 PM

Thursday, September 7, 2017 1:00 PM-3:00 PM

Thursday, September 21, 2017 1:00 PM-3:00 PM

Thursday, October 5, 2017 1:00 PM-3:00 PM

Thursday, October 19, 2017 1:00 PM-3:00 PM

Thursday, November 2, 2017 1:00 PM-3:00 PM

Thursday, November 16, 2017 1:00 PM-3:00 PM

Thursday, November 30, 2017 1:00 PM-3:00 PM

Thursday, December 14, 2017 1:00 PM-3:00 PM

Meeting Schedule

Can’t make a meeting? Email jhasenstein@sibson.com and jyeager@mines.edu