Designing and Implementing Regional Services to Enhance Faculty Support NCURA FRA 2013 New Orleans, LA Tuesday, March 12, 2013, 1:30-2:30 Joanne C. Bentley,

Designing and Implementing Regional Services

to Enhance Faculty Support

Designing and Implementing Regional Services

to Enhance Faculty Support

NCURA FRA 2013 New Orleans, LA

Tuesday, March 12, 2013, 1:30-2:30

Joanne C. Bentley, Director

Hannah Carroll, Associate Director

Faculty Research Management Services

Yale University

AgendaAgenda

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Regional Sponsored Research Support-Impetus for Change Yale’s Background and Experience Roadmap: One Year of Intensive Design

Activities and Scope of Work – Organizational Design and Capacity Model– Job Roles and Responsibilities– End-to-End Process Analysis– Service Offerings and Partnership Agreements– Benefits– Deployment Approach

Department Integration and Progress to Date Faculty Perspective Summary

Why Consider Regional Grant Support?Why Consider Regional Grant Support?

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Funding Levels

Proposal Submissions

Compliance Needs

Service to Faculty

Proposal Quality

Staffing Knowledge

Inconsistent

Variable

Yale’s Background Yale’s Background

Launched ‘Transformation of Sponsored Research Administration’ Project

Designed the “To Be” Processes

Conceptualized Faculty Portal and Dashboard

100 Day Planning Project

Reviewed Cost Transfer & Effort Reporting

Assessed Research Policies & Procedures

Developed Faculty & Staff Training

Developed Clear Vision “A tightly-integrated program of policies, procedures, tools and business practices that will allow researchers to maximize time available for research activities and effectively meet their administrative and funds stewardship responsibilities.”

2006 2007 2008 2009 2010 2011

Implemented Operational and Organizational Improvements (Ongoing)

New Cost Transfer Process & Effort Reporting System

New SciQuest Procurement Tool

New Research Toolkit

Merged GCA Office

Created Account Set-up Unit

Launched ‘YaleNext’ Foundational Program

Invested in InfoEd

Developed COI On-line System

Invested in IRES & Planned for FY12 Rollout

Creating Faculty Research Management Services Creating Faculty Research Management Services

Building on the earlier initiatives, a project team of Grants & Contracts Administration (GCA), Grants & Contracts Financial Administration (GCFA), and Business Operations representatives was formed.

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Conducted a detailed end-to-end business process analysis for Pre-Award and Post Award.

Made the decision to house Pre and Post Award support activities within Business Operations but separate the

activities.

For Pre Award, committed to developing an integrated proposal submission process in which FRMS consistently hands

proposals off to GCA. Further, the University agreed to invest in new proposal management technology

For Post Award, committed to building a more collaborative and integrated partnership between GCFA and Post

Award to strengthen overall grants management.

Roadmap-One Year of Intensive DesignRoadmap-One Year of Intensive Design

Activities and Scope of Work Organizational Design and Capacity Model Job Roles and Responsibilities End-to-End Process Analysis Service Offerings and Partnership Agreements Benefits Deployment Approach

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Foundational Principles

Create a flexible organization which can respond to cyclical volumes and deadlines

Develop standard jobs and roles aligned to skills

Align to the Shared Services operating model incorporating service and quality management principles

Develop clear accountability and handoffs to eliminate redundancies

Share activities where appropriate to enhance service and reduce cost

Develop deep expertise of grant policies and compliance requirements

Develop strong working partnership with Grants & Contracts Administration and Grants & Contracts Financial Administration

Guiding Principles

Establish a client centric organization, with dedicated relationship management

Enable higher levels of service to faculty and researchers

Organization Design PrinciplesOrganization Design Principles

Institutional Roles & RelationshipsInstitutional Roles & Relationships

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Faculty Research Management Services provides the faculty facing grants management support that departmental resources typically perform.

GCA and GCFA provide institutional oversight and approval and act as a source of expertise for FRMS. A strong, collaborative relationship exists

between FRMS, GCA and GCFA.

Departments and

Faculty/PIs

FRMS

Faculty Facing

• Pre-Award Proposal

Development

• Post Award Management &

RenewalGCFA

• Policies & Procedures

• Compliance

• Institutional

Oversight

GCA

• Proposal Review

• Proposal Submission

• Signing Authority

Sponsors

GCA: Grants and Contracts Administration

GCFA: Grants and Contracts Financial Administration

Faculty Research Management Services OrganizationFaculty Research Management Services Organization

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Pre- and Post Award teams located within Business Operations, with

dual report to Provost

Establishes a team with both pre and post award specialized skill

sets

Encourages collaboration between Pre and Post Award team

members

Facilitates knowledge transfer between teams

Enables PI-centric training and skill building activities across

teams

Creates a central point of contact to work through systematic

issues and changes

Provost’s

Office

Departments

Business Operations

Faculty Research

Management Services

DirectorPre-Award

Associate

Director

Post Award

Associate

Director

Grants Administrators

Grants

Coordinators

Grants Portfolio

Assistants

Grants Portfolio

Analysts

FRMS Roles and ResponsibilitiesFRMS Roles and Responsibilities

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Unit Role Responsibilities

FRMS Director Foster positive working relationships and establish credibility with faculty Develop strategies that drive client satisfaction and ensure proper controls are

in place to mitigate risk and drive higher levels of compliance. Ensure faculty research support needs are met, and influence the faculty, staff

and other key stakeholders to drive the growth of FRMS. Represent Central Campus for technology implementations

FRMS Associate Director (Pre- and Post Award)

Lead the overall design, delivery and effectiveness of grants management processes.

Ensure high levels of client satisfaction and leverage metrics to ensure continuous improvement.

Pre Award Grants Administrator

Provide expert direction, guidance, and assistance to client department(s) in the development of proposals.

Ensure high levels of client satisfaction through strong client relationship management efforts.

Pre Award Grants Coordinator

Provide administrative support through data management, metrics tracking, and customer service.

Post Award Financial Analyst Provide comprehensive financial expertise, information, analysis, and guidance to departments to optimize use of research funds.

Ensure high levels of client satisfaction through strong client relationship management.

Post Award Financial Assistant

Coordinate, prepare, analyze and process complex financial and administrative transactions.



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End to End Sponsored Award Management ProcessEnd to End Sponsored Award Management Process

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The total process incorporates work performed by FRMS (Pre and Post award), the departments, GCA and GCFA.

2. Review and approve

Proposal (GCA)

3. Respond to Pre

Award Notification

Requests

4. Receive Award

Notification (GCA)

1. Develop Proposal

Includes 10

sub-processes

Pre-Award

Proposal

Development

9. Complete Award

Close Out (also

includes GCFA)

6. Review New Award

and Modifications

(also includes GCFA)

7. Complete Monthly

Financial Review

8. Perform Ongoing

Grants Management

5. Complete Award Set

up (GCA)

Post Award

Financial

Management

Key

Green boxes indicate process steps performed by Pre Award Unit

White boxes indicate process steps performed exclusively by either GCA or GCFA

Yellow boxes indicate process steps performed by Post Award Unit

Service Offerings OverviewService Offerings Overview

What are the Service Offerings? A comprehensive listing of the services FRMS offers to departments

Why use Service Offerings? Communicates the services provided by FRMS to the departments

Identifies and clarifies responsibilities and commitments (FRMS and departments)

Separates the list of activities from the service level and delivery expectations (detail is included in the Partnership Agreement document)

Provides a reference tool to better understand the list of services

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Service Offering DetailsService Offering Details

The Service Offering detailed view provides additional information about each service, including:

1. Description of the service2. Contact information for FRMS person responsible for the service3. List of activities involved in completing the service4. Who is responsible for completing each activity

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Partnership Agreement OverviewPartnership Agreement Overview

What are Partnership Agreements? A Partnership Agreement describes the negotiated services

and performance measurements between the FRMS and its clients

Why use Partnership Agreements? Defines the scope of services for the client and the

responsibilities required from each party Identifies the performance metrics and service targets that

allow the FRMS Unit and its clients to evaluate actual against expected performance levels

Documents the “contract” between the FRMS Unit and its clients

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FRMS Partnership AgreementsFRMS Partnership Agreements

Pre and Post Award have distinct Partnership Agreement templates

Clients sign a Partnership Agreement for each Service Offering Partnership Agreements are reviewed and renewed annually

including: Service offering details Metrics for monitoring the service Target performance levels Expected transaction volumes

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Partnership Agreement TemplatePartnership Agreement Template

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Service Description –

List of Activities included in the Service

Offering

Metric information and results

Department transaction volumes for Service

Offering activities

FRMS responsibilities

Client responsibilities

FRMS Service OfferingsFRMS Service Offerings

Pre-Award Grant eligibility determination Proposal development Budget development Financial and non-financial documentation preparation Tracking principal investigator current and pending support Coordination support for training grants

Post Award PI financial portfolio planning, analysis and management Monthly financial review according to University guideline Enter budgets into budget tool Prepare and execute accounting transactions Effort Reporting Review and Follow up Coordinate with principal investigator, department, and GCFA

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FRMS BenefitsFRMS Benefits

University:

Single unit to ensure compliance continuum Closely tied to GCA/GCFA Build Strong Interface with Central Offices:

Provost, Auditing, Controller

Pre Award: Increased First Past Yield Rate Conduit between GCA and PI’s/Departments Consistent Tracking of PI Current and Pending

Support

Post Award: Less Cost Transfers Effort Certification completed on time FSRs completed on time Indentifying potential future funding concerns

Departments:

Single unit with complete knowledge of the PI’s portfolio

Departments have a central point of contact and have conduit to GCA and GCFA

Enables PI-centric training and skill building

Depth of Staff with extensive Research Administration background

Burst Capacity

Routine and ad hoc services available to PI’s and Business Offices: Accurate, Timely Reporting Burn Rate Analysis Forecasting

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FRMS Deployment StrategyFRMS Deployment Strategy

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Stabilization and Preparation for Growth

(Wave 1)

Service Expansion

(Wave 2)

Continued Expansion

(Wave 3)

FRMS unit is operational with appropriate staffing

and leadership in place.

Pre Award and Post Award serve current clients.

New Pre and Post Award processes in place and

utilized.

Training for new Pre and Post Award employees will

be done leveraging GCA/GCFA training

materials.

Pre Award begins using New Technology Tools

Post Award provides full service departmental

support to current clients.

The growth of the Faculty Research Management Services unit will take place over time:

FRMS increases number of clients served. Growth

starts with smaller departments.

Larger department approach is designed for 1 - 2

large departments.

Pre-Award & GCA partner to ensure consistent

practices – proposals submitted by Pre-Award to

GCA are ready for submission to sponsors.

Post Award and GCFA act as partners and own

the growth and development of the post award

process ensuring consistency, communication and

seamless transitions.

FRMS continues to increase the number of clients

served.

Pre-Award and GCA continue to partner – over

time Pre-Award may assume greater responsibility

for assuring the successful submission of standard

proposals.

Post Award and GCFA provide career

development opportunities for resources across

the units.

Preparation for Wave 1

Detailed business process

review completed for both Pre and Post Award.

Roles and responsibilities determined and

designed for all jobs within Pre and Post Award.

Recruit, fill open positions, and train staff for Pre

and Post Award to support Wave 1 scope.

Collaborate with GCA and GCFA for technology

(IRES) and training.

Partnership agreements with metrics established

for all current clients.

AgendaAgenda

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Regional Sponsored Research Support-Impetus for Change Yale’s Background and Experience Roadmap: One Year of Intensive Design Activities and Scope of Work

Organizational Design and Capacity Model Job Roles and Responsibilities End-to-End Process Analysis Service Offerings and Partnership Agreements Benefits Deployment Approach


Department IntegrationDepartment Integration

Initial Contact by Lead Administrator Meet with Faculty – Attend Faculty Meeting Expect Anxiety Meet with Lead Administrator and Business Office Staff Expect Anxiety Build Confidence by Defining Roles Gain Understanding and Knowledge about Research,

Sponsors, Faculty Personalities Plan Mapping of Employees where Applicable Get System Access Obtain Grant Related Information Manage Anxiety

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Departments Currently SupportedDepartments Currently Supported

Pre-AwardMajor Research Departments: Astronomy Chemistry Economics/Econ Growth Center/Cowles Ecology & Evolutionary Biology Geology and Geophysics Molecular Biophysics & Biochemistry Molecular, Cellular & Developmental Biology PhysicsOther Departments (18): American Studies, Benjamin Franklin Papers, Chaplain's Office, German, History, Koerner Ctr for Emeritus Faculty, Art Gallery Office New Haven & State Affairs, Math Office of Digital Assets & Infrastructure, Peabody Museum, Political Science, Sociology School of Music, School of Engineering, Statistics, School of Management , Dining Halls

FY ‘12 Volume: 293 PI’s 870 Proposals

Post Award Major Research Departments: Astronomy Economics/Econ Growth Ctr/Cowles Ecology & Evolutionary Biology Geology and Geophysics Molecular Biophysics & Biochemistry Molecular, Cellular & Developmental Biology Physics

Other Departments (19): American Studies, Benjamin Franklin Papers, Council of East Asian Studies, English, German, History, ISPS, ISS, MacMillian Center, Music Department, Near Eastern Languages New Haven Teacher's Institute, ODAI, School of Music, School of Art Sociology, Theater Studies, Yale College, Yale Open Courses

FY ‘12 Volume: 301 PI’s Reporting on ~1,215 Accounts

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AgendaAgenda

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Regional Sponsored Research Support-Impetus for Change Yale’s Background and Experience Roadmap: One Year of Intensive Design Activities and Scope of Work

Organizational Design and Capacity Model Job Roles and Responsibilities End-to-End Process Analysis Service Offerings and Partnership Agreements Benefits Deployment Approach


Summary: A PI’s View of the Sponsored Research WorldSummary: A PI’s View of the Sponsored Research World

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Faculty/PI

NIH

NSF

DOE

DOD

Non-

Federal

Corporations

Foundations

Summary: Anticipate Faculty Apprehension Summary: Anticipate Faculty Apprehension

Concerns: Proximity of FRMS Staff to

PI’s/Departments

Consistency of staff as related to PI Portfolio

Transferability of knowledge from one department to another

One stop shopping for ALL matters

Reponses: Offices are located within

academic building and across the street

Assign staff to PI Portfolio and cross train staff

Gain credibility through interactions

We can’t solve all problems but work jointly with department staff

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In Closing…In Closing…

Just as research has changed… so has the way it is supported Levels of funding have gone down Proposals have gone up New sources of funding need to identified Compliance has increased and changes Reporting has become more complex

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QuestionsQuestions

Hannah Carroll

Associate Director, FRMS

Yale University

203-436-9628

[email protected]

Joanne C. Bentley

Director, FRMS

Yale University

203-432-3914

[email protected]

CONTACT