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Business Processes

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The Kuali Research system went live on January 21, 2020. Visit the Kuali Research (KR) website for current system information and support.

Why conduct a business process review?

With the Kuali Research system implementation, something we often forget is that technology and software are meant to support business processes and not the other way around. It is easy to find ourselves asking “how will a system do (fill in the blank)?” before we have even examined what our business needs are.

That's because most of the time our processes are invisible to us. But by utilizing proven business process improvement methodologies like Lean Six Sigma, the team is able to capture and document business needs, which then allow us to work toward improvements.

What are the goals of a business process review?

Streamline - Identify process inefficiencies and apply Lean Six Sigma-proven process improvement methodology to streamline and realize cost and time savings.

Reduce Variation - Reduce variation in processes and determine unified best practices to be adopted institutionally.

Adopt single institutional best practice - Leverage system capabilities and process improvements to gain efficiencies that are configured for consistent and singular implementation and utilization.

How are we conducting business process reviews?

The Kuali Research project team, in partnership with UC San Diego Lean Six Sigma experts, facilitated teams of Subject Matter Experts (SMEs) in the review, documenting pre-award and post-award current state processes.

The SMEs are experts in their respective roles supporting research administration. Combined with  Lean Six Sigma experts, SMEs collaborate to develop and propose future state business process improvements. The improvements are reviewed and approved by a project governance team before configuration, testing, training and implementation efforts begin. 

Pre-Award Business Processes Under Review

Business Process
Description
Related
KR Module
Team
Status
1.1.1: Identify Opportunity
No business process review needed because these typically occur outside of the system.
1.1.2: Review Requirements
1.1.3: Notify Research Administrator
1.1.4: Provide RA necessary information
1.2.1: Develop and Finalize Budget
The detailed budgeting process involves creating a detailed project budget that breaks down anticipated costs into categories for a given research project and includes S2S or "System to System“ submissions.
KR Proposal Development
Isabella Bryant-Parkinson, Wella Garcia, Octavio Ochoa, Debi Pollard, Jillian Kochan, Jennifer Louie, Ji Song, Crystal Liu, Jasmyn Hornbuckle, Chelsea Van Pelt,  Brianne Decker, Sussy Virgil, Lenore Eyer, Hailey Tipton McDaniels, Kimberly Aguilar
Completed 
In Configuration
1.2.2: Collect and Confirm Final Science
No business process review needed because this typically occurs outside of the system.
1.2.3: Complete Compliance Requests (As Needed)
When the Research Administrator or Principal Investigator indicates a proposed research project involves or has attributes that may require review and approval by one of UCSD's compliance offices.
KR Proposal Development
Ross Dammann, Trevor Johnson, Rachel Cook, Thanhdieu Rich, William Park III, Jennifer Ford, Brittany Whiting, Han Nguyen, Kip Kantelo, Kristen Anderson-Vicino, Jonathan Joyce, Jennifer Oh, Erika Wilson, Liz Brenner, Christian McDonald, Dani Elias, Emily Yeh, Jillian Kochan, Jennifer Louie
Completed
In Configuration
1.2.4: Complete Questionnaires
Researcher and Research Administrator must answer questions about the project to provide information about the activities being proposed. Some questions are required by the sponsor and others are required by University of California.
KR Proposal Development
Ross Dammann, Dani Elias, Rachel Cook, William Gentz, Debi Pollard, Lisa Meredith, William Park III
Completed
In Configuration
1.2.5: All other Documents for Package
When all required and optional sponsor/internal forms have been added to the proposal package.
KR Proposal Development
Wella Garcia, Rachel Cook, Ross Dammann, Trevor Johnson, William Park III, Thanhdieu Rich, Marissa Yessis-Prough
Completed
In Configuration
1.3.1: Determine Agreement Type and Finalize Proposal Record
List of agreement types to be handled through KR.  The only agreement type out of scope were purchase orders as KR is not a procurement system.
KR Proposal Development
Emily Yeh, Octavio Ochoa, Dani Elias, Isabella Bryant-Parkinson, Debi Pollard, Patti Williams, Ross Dammann, Trevor Johnson, Rachel Cook, Anastasia Hendry, William Park III, Wella Garcia, Carlos Rojas, Jennifer Ford, Brittany Whiting, Kristen Anderson-Vicino, Jillian Kochan
Completed
In Configuration
1.3.2: Route for Review and Approval
Begins when proposal package is complete and ready for the department approvers and sponsored projects office (SPO) to review and submit the package to the sponsor. 
KR Proposal Development
Emily Yeh, Octavio Ochoa, Dani Elias, Isabella Bryant-Parkinson, Debi Pollard, Ross Dammann, Trevor Johnson, Rachel Cook, Anastasia Hendry, William Park III, Wella Garcia, Carlos Rojas, Jennifer Ford, Brittany Whiting, Kristen Anderson-Vicino, Jillian Kochan
Completed
In Configuration
1.3.3: Final Review and Submit to Sponsor
The process generally involves a review by a Proposal Analyst in one of UCSD's sponsored projects offices (SPOs) to make sure the proposal package meets UCSD and sponsor requirements.
KR Proposal Development
Jeff Warner, Ross Dammann, Trevor Johnson, William Park III, Evelyn Oles, Rachel Cook, Carlos Rojas, Jeff Woods
Completed
In Configuration
1.3.4: Reconcile and Finalize Record
Involves updating the proposal record with any final changes or data elements so that UCSD's system of record has the latest/final proposal materials that were submitted to the sponsor.
KR Proposal Development
Wella Garcia, Rachel Cook, Ross Dammann, Trevor Johnson, William Park III, Marissa Yessis-Prough, Thanhdieu Rich
Completed
In Configuration
1.4.1: Complete Necessary Compliance/Protocol Approval
Monitor and maintain the compliance approval status in order to insure that an award is not created when a required compliance review and approval process has not taken place.
KR Proposal Development
Rachel Cook, Ross Dammann, Trevor Johnson, William Park III, Thanhdieu Rich, Dani Elias, Jennifer Ford, Jennifer Louie, Erika Wilson, Jonathan Joyce, Emily Yeh, Brittany Whiting, Kristen Anderson-Vicino, Jillian Kochan, Han Nguyen, Kip Kantelo, Liz Brenner, Christian McDonald, Jennifer Oh
Completed
In Configuration
1.4.2: Provide Additional Documentation as Needed
No business process review needed because this typically occurs outside of the system.
1.4.3: Review Scope of Work
1.4.4: Revise Budget
When the sponsor requests a budget revision and is completed when a revised budget has been submitted to the sponsor.
KR Proposal Development
Wella Garcia, Rachel Cook, Ross Dammann, Trevor Johnson, William Park III, Marissa Yessis-Prough, Thanhdieu Rich
Completed
In Configuration
1.4.5: Submit Advance Spending Request (If Applicable)
This process might happen when the sponsor is considering making an award to UCSD, wants to conduct a site visit and the PI needs to expend funds to cover the costs.
KR Proposal Development
Wella Garcia, Rachel Cook,
Ross Dammann, Trevor Johnson,
William Park III, Marissa Yessis-Prough, Thanhdieu Rich
Completed
In Configuration
1.5.1: Review Documents
This process is contained within the pre-award function of research administration.  The process begins when the award document is received from or requested by the sponsor and ends with the full execution of the agreement.  Negotiations are the series of steps to take the initial agreement from proposal/original document through discussion/negotiation of the language with the other party to a final signed agreement.
KR Negotiations
Lisa Meredith, Stella Sung, Mary Mansfield, Andrea Lupu, Lauren Sanfilippo, Lindsay Wholey, Sanaz Masha
Completed
In Configuration
1.5.2: Review Policies
1.5.3: Negotiate Terms and Conditions
1.5.4: Finalize Agreement
1.6.1: Send Signed Agreement to Sponsor for Signature
No business review needed because this typically occurs outside of the system. 
1.6.2: Send Notice of Award to Unit
Upon receipt of the NOA, the Sponsored Projects Office (SPO) will create an award record in UCSD's research agreement management system and update the record with all necessary information.
KR Institutional Proposal
Ross Dammann, Trevor Johnson, William Park III, Patti Williams
Completed
In Configuration
1.6.3: Unit Reviews and Signs Agreement
No business review needed beucase this typically occurs outside of the system.
1.6.4: Send Signed Agreement to SPO Office

 

Post-Award Business Processes Under Review

Business Process
Description
Related
KR Module
Team
Status
2.1.1: Read Notice of Award
No business review needed because this typically occurs outside of the system.
2.1.2: Create Award
After the Notice of Award (NOA) is received, the Sponsored Project Office (SPO) creates an award so Principal Investigators can begin their research and spend money.
KR Award
William Park III, Wella Garcia, Rachel Cook, Marissa Yessis-Prough, Ernesto Donate, William Gentz, Marisol Christinson, Patty Pace
Completed
In Configuration
2.1.3: Request Fund Set-up (integration)
Involves creating a unique account number in UCSD's chart of accounts and associating that account number with the award.
KR Award
William Park III, Wella Garcia, Rachel Cook, Marissa Yessis-Prough, Ernesto Donate, Patty Pace, Trevor Johnson, Isabella Byrant-Parkinson, Minerva Nelson
Completed
In Configuration
2.1.4: Set-up Fund
No business review needed because this typically occurs outside of the system.
2.1.5: Award Budget (Allocations)
Taking a copy of the submitted budget, modifying/updating the costs based on new information that is different from what was proposed.
KR Institutional Proposal
Wella Garcia, Marissa Yessis-Prough, Ernesto Donate, Isabella Byrant-Parkinson, Minerva Nelson, Debi Pollard, Jeff Woods
Completed
In Configuration
2.2.1: Hiring and Managing Personel
No business process review needed because this typically occurs outside of the system.
2.2.2: Purchasing Equipment, Supplies and Services
2.2.3: Issuing and Managing Sub-Awards (If Applicable)
Reviewing the sub-award proposed by the PI and lead unit responsible for managing the research project, working with sub-awardee, UCSD's procurements department and any compliance departments to negotiate and execute the sub.
KR Award
Dani Elias, Chelsean Van Pelt, Debi Pollard, Isabella Bryant-Parkinson, Jeff Warner, Katherine Philbin, Lida Jandt Auvil, Marianna Meyer, Sheila Paul
Completed
In Configuration
2.2.4: Conducting Research Activities
No business process review needed because this typically occurs outside of the system.
2.2.5: Manage Changes and Prior Approvals
Description in progress
KR Insitutional Proposal
William Park III, Trevor Johnson, Wella Garcia, Marissa Yessis-Prough, Patty Pace, Ernesto Donate
Completed
In Configuration
2.3.1: Conducts Monthly Monitoring
No business process review needed because this typically occurs outside of the system.
2.3.2: Conducts Transaction Sampling
2.3.3: Manages Cost Sharing (If Applicable)
Description in progress
KR Award
William Park III, Trevor Johnson, Wella Garcia, Marissa Yessis-Prough, Patty Pace, Ernesto Donate
Completed
In Configuration
2.4.1: Prepare Billing Documentation
 
 
 
 
 
 
 
 No business process review needed because this typically occurs outside of the system.
 
 
 
 
 
 
 
 
2.4.2: Create Invoice
2.4.3: Submit Invoice to Sponsor/Agency
2.4.4: Ensure Receipt of Payment
2.5.1: Collect Financial Expense Reports
 
 
 
 
 
 
 No business process review needed because this typically occurs outside of the system.
 
 
 
 
 
 
2.5.2: Prepare Financial Reports
2.5.3: Prepare Technical Reports
2.5.4: Submit Reports to Sponsor/Agency
 Description in progress
 KR Award
William Park III, Trevor Johnson, Wella Garcia, Marissa Yessis-Prough, Patty Pace, Ross Dammann
Completed
In Configuration
2.6.1: Realign Funds
No business process review needed because this typically occurs outside of the system. 
 
2.6.2: Confirm reciept of Payments
2.6.3: Finalize Sponsor/Agency Reporting
Description in progress
 KR Award
William Park III, Trevor Johnson, Wella Garcia, Marissa Yessis-Prough, Patty Pace, Ross Dammann
Completed
In Configuration
2.6.4: Inactive Funds
No business process review needed because this typically occurs outside of the system.