1. 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

2. Agenda 2  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? 3  Funding Levels  Proposal Submissions  Compliance Needs  Service to Faculty  Proposal Quality  Staffing Knowledge Inconsistent Variable Variable

4. 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.” 2006200720082009 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

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. 5 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.

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 6

7. 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 Principles

8. Institutional Roles & Relationships 8 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 & 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 GCA: Grants and Contracts Administration GCFA: Grants and Contracts Financial Administration

9. Faculty Research Management Services Organization 9 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 Director Pre-Award Associate Director Post Award Associate Director Grants Administrators Grants Coordinators Grants Portfolio Assistants Grants Portfolio Analysts

10. FRMS Roles and Responsibilities 10 UnitRoleResponsibilities FRMSDirector  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 FRMSAssociate 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 AwardGrants 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 AwardGrants Coordinator  Provide administrative support through data management, metrics tracking, and customer service. Post AwardFinancial 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 AwardFinancial Assistant  Coordinate, prepare, analyze and process complex financial and administrative transactions.

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 11

12. End to End Sponsored Award Management Process 12 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

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 13

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

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 15

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 16

17. Partnership Agreement Template 17 Service Description – List of Activities included in the Service Offering 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

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 18

19. FRMS 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 19

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 20

21. FRMS Deployment Strategy 21 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.

22. Agenda 22  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  Manage Anxiety 23

24. Departments Currently Supported 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 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 24

25. Agenda 25  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 26 Faculty/PI Office of Research Admin Dept Business Offices Provost Faculty Research Mgmt Services NIH NSF DOE DOD Non- Federal Corporations 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 27

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 28

29. 29 Questions 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 CONTACT