Designing and Implementing Regional Services to Enhance Faculty Support

1. Designing and Implementing Regional Servicesto Enhance Faculty Support Joanne C. Bentley, Director Hannah Carroll, Associate Director Faculty Research Management Services Yale University NCURA FRA 2013 New Orleans, LA Tuesday, March 12, 2013, 1:30-2:30

2. Agenda • 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

3. Why Consider Regional Grant Support? • Funding Levels • Proposal Submissions • Compliance Needs • Service to Faculty • Proposal Quality • Staffing Knowledge Inconsistent Variable

4. Yale’s Background 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.” 2011 2010 2006 2007 2008 2009 • 100 Day Planning Project • Reviewed Cost Transfer & Effort Reporting • Assessed Research Policies & Procedures • Developed Faculty & Staff Training • 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 ‘Transformation of Sponsored Research Administration’ Project • Designed the “To Be” Processes • Conceptualized Faculty Portal and Dashboard • Launched ‘YaleNext’ Foundational Program • Invested in InfoEd • Developed COI On-line System • Invested in IRES & Planned for FY12 Rollout

5. 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.

6. 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

7. Organization Design Principles • Guiding Principles • Establish a client centric organization, with dedicated relationship management • Enable higher levels of service to faculty and researchers 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

8. Institutional Roles & Relationships Faculty Research Management Services provides the faculty facing grants management support that departmental resources typically perform. GCA and GCFA provide institutionaloversight and approval and act as a source of expertise for FRMS. A strong, collaborative relationship exists between FRMS, GCA and GCFA. • GCA • Proposal Review • Proposal Submission • Signing Authority • FRMS • Faculty Facing • Pre-Award Proposal Development • Post Award Management & Renewal Sponsors Departments and Faculty/PIs • GCFA • Policies & Procedures • Compliance • Institutional • Oversight GCA: Grants and Contracts Administration GCFA: Grants and Contracts Financial Administration

9. Faculty Research Management Services Organization Provost’s Office • 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 Business Operations Departments Faculty Research Management Services Director Pre-Award Associate Director Post Award Associate Director Grants Administrators Grants Portfolio Analysts Grants Coordinators Grants Portfolio Assistants

10. FRMS Roles and Responsibilities

11. 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

12. End to End Sponsored Award Management Process 5. Complete Award Set up (GCA) 6. Review New Award and Modifications (also includes GCFA) 1. Develop Proposal Includes 10 sub-processes 9. Complete Award Close Out (also includes GCFA) 7. Complete Monthly Financial Review 2. Review and approve Proposal (GCA) 3. Respond to Pre Award Notification Requests 4. Receive Award Notification (GCA) 8. Perform Ongoing Grants Management Pre-Award Proposal Development Post Award Financial Management The total process incorporates work performed by FRMS (Pre and Post award), the departments, GCA and GCFA. 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

13. Service 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

14. Service Offering Details The Service Offering detailed view provides additional information about each service, including: • Description of the service • Contact information for FRMS person responsible for the service • List of activities involved in completing the service • Who is responsible for completing each activity 1 2 4 3

15. Partnership 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

16. FRMS 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

17. Partnership Agreement Template Service Description – List of Activities included in the Service Offering Department transaction volumes for Service Offering activities Metric information and results FRMS responsibilities Client responsibilities

18. FRMS 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

19. FRMS Benefits 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 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

20. 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

21. FRMS Deployment Strategy The growth of the Faculty Research Management Services unit will take place over time: Continued Expansion (Wave 3) Preparation for Wave 1 Service Expansion (Wave 2) Stabilization and Preparation for Growth (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. • 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. • 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. 21

22. Agenda • 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

23. Department 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 • ManageAnxiety

24. Departments Currently Supported 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 Pre-Award Major Research Departments: • Astronomy • Chemistry • Economics/Econ Growth Center/Cowles • Ecology & Evolutionary Biology • Geology and Geophysics • Molecular Biophysics & Biochemistry • Molecular, Cellular & Developmental Biology • Physics Other 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

25. Agenda • 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

26. Summary: A PI’s View of the Sponsored Research World NIH Non-Federal NSF Corporations DOE DOD Foundations

27. 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

28. 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

29. Questions CONTACT Hannah Carroll Associate Director, FRMS Yale University 203-436-9628 hannah.carroll@yale.edu Joanne C. Bentley Director, FRMS Yale University 203-432-3914 joanne.bentley@yale.edu