Design and Implementation of a Regional Service

for Better Faculty Support

Design and Implementation of a Regional Service

for Better Faculty Support

NCURA 2012Washington, D.C. November 7, 2012

Joanne C. Bentley DirectorFaculty Research Management ServicesYale 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 Benefits– Partnership Agreements– Deployment Approach

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

InconsistentInconsistent

VariableVariable

Yale’s Background Yale’s Background

Launched ‘Transformation of Sponsored Research Administration’ ProjectDesigned the “To Be” ProcessesConceptualized Faculty Portal and Dashboard

100 Day Planning ProjectReviewed Cost Transfer & Effort Reporting Assessed Research Policies & ProceduresDeveloped 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 SystemNew SciQuest Procurement ToolNew Research Toolkit

Merged GCA Office Created Account Set-up Unit

Launched ‘YaleNext’ Foundational Program Invested in InfoEdDeveloped COI On-line System Invested in IRES & Planned for FY12 Rollout

How Did We Get Here?Evolution of Regional Grant Support Since 2005

How Did We Get Here?Evolution of Regional Grant Support Since 2005

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Pre-Award Originally created to provide smaller academic departments with the same high level of support resources and expertise imbedded in some larger departments

Post AwardCreated to assist departments with new University requirements

Key ClientsPre-Award∙ Astronomy∙ Chemistry∙ Ecology & Evolutionary Biology∙ Peabody Museum for Federal Grants∙ Other small non-science departments

Post Award∙ Astronomy∙ Ecology & Evolutionary Biology∙ Molecular, Cellular & Developmental Biology∙ Other small non-science departments

Created Two Specialized Teams to Support Non-YSM Science DepartmentsDivision of Science & Technology Pre-Award Unit Shared Science Service Branch (SSSB) Post Award Unit

Demand GrowsProvost expands Division of Science & Technology Pre-Award services to other non-YSM units SSSB expands Post Award Support

Planned & Implemented New Faculty Research Management Services OrganizationConducted in-depth process review Established comprehensive strategy

20122012

Today’s Focus

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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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 Benefits Partnership Agreements 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

Departments and

Faculty/PIs

FRMS

Faculty Facing

•Pre-Award Proposal Development •Post Award Management & Renewal

FRMS

Faculty Facing

•Pre-Award Proposal Development •Post Award Management & Renewal

GCFA•Policies & Procedures•Compliance• Institutional Oversight

GCFA•Policies & Procedures•Compliance• Institutional Oversight

GCA•Proposal Review•Proposal Submission•Signing Authority

GCA•Proposal Review•Proposal Submission•Signing Authority

Sponsors 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 ProvostEstablishes a team with both pre and post award specialized skill sets Encourages collaboration between Pre and Post Award team membersFacilitates knowledge transfer between teamsEnables PI-centric training and skill building activities across teamsCreates 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.

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 Benefits Partnership Agreements Deployment Approach

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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 ProposalIncludes 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

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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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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

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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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 Benefits Partnership Agreements Deployment Approach

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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

Service Description –List of Activities included in the Service Offering

Metric information and resultsMetric information and results

Department transaction volumes for Service Offering activities

Department transaction volumes for Service Offering activities

FRMS responsibilitiesFRMS responsibilities

Client responsibilitiesClient responsibilities

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 Benefits Partnership Agreements Deployment Approach

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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.

Post Award

Go Live

Wave 1

Sept. ‘11

Post Award

Go Live

Wave 2

Jan ‘12

Post Award

Go Live

Wave 3

July ‘11

Post Award

Go Live

Wave 5

Jan ‘13

Post Award

Go Live

Wave 4

Pre Award

Go Live

Wave 1

Pre Award

Go Live

Wave 1.5

Pre Award

Go Live

Wave 2

Pre Award

Go Live

Wave 4

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FRMS Deployment TimelineFRMS Deployment Timeline

Our ability to continue to transition the workload along our expected schedule will be dependent on negotiations with departments, the Provost’s office, and shared serves leadership—progress thus far has been on target.

Pre AwardGo Live Wave 3

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 Benefits Partnership Agreements Deployment Approach

Progress to Date Faculty Perspective Summary

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Progress To DateProgress To Date

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 134 Agencies

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 Benefits Partnership Agreements Deployment Approach

Proposal & Award Volume, Departments Supported Faculty Perspective Summary

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

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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

Contact:Joanne C. BentleyDirector, Faculty Research Management ServicesYale University203-432-3914joanne.bentley@yale.edu

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