Designing and Implementing Service Delivery Models in Research Administration Presentation at the 4th Annual Florida Research Administration Conference (FRAC) at the University of Central Florida (UCF)

1. Designing and Implementing Service Delivery Models in
Research Administration
April Heyward, MRA
Program Manager
SC EPSCoR/IDeA Program
4th Annual Florida Research Administration Conference (FRAC)
Friday, January 12, 2018

2. Presenter Note
This presentation is based on published best practices designed and
implemented by April Heyward at the:
• University of South Carolina (USC)
• SC Department of Health and Environmental Control (SC DHEC)
• South Carolina EPSCoR/IDeA Program

3. Service Delivery Model
Step 1
• Understand the context of the organization and policies and procedures
Step 2
• Develop a logic model
Step 3
• Gather information (e.g., interviews, surveys, focus groups) about stakeholder
perception
Step 4
• Incorporate stakeholder feedback into model framework
Step 5
• Make decisions to add or modify services, processes, or policies
Step 6
• Communicate with stakeholders prior to implementation
Step 7
• Be flexible with updating the model

4. University of South Carolina

5. ASPH Investigator Focus Group Questions
1. You are interviewing a candidate for a Faculty position and the candidate has
several research grants they would bring to ASPH. The candidate ask you to tell
them about Post-Award Management (e.g., Quality of Service, Available
Resources) in ASPH. How would you respond to the candidate in 3 to 5
sentences?
2. How do you define Post-Award Management?
3. What areas of Post-award Management should Post-Award staff be
knowledgeable of in order to support your needs (e.g., Agency/Sponsor
Regulations, Federal Regulations, USC Policies and Procedures)?
Focus Group Questions Developed by April Heyward, MRA

6. ASPH Investigator Focus Group Questions
4. How can the Post-Award Management process be improved to better meet
your needs (e.g., Communication, Training, Centralization, Technology,
Organizational Structure, Policies, and Additional Staffing)?
5. As an ASPH Investigator, what are your expectations of Post-Award
Management in ASPH? List three to give expectations.
6. What recommendations would you offer for ASPH to consider in taking Post-
Award Management to the next level? List three recommendations.
Focus Group Questions Developed by April Heyward, MRA

7. ASPH Staff Focus Group Questions
1. When you think about Post-Award Management, what is the first thing that
comes to mind?
2. What percentage of your time do you work on Post-Award Management (e.g.,
100%, 75%, 50%, 25%)?
3. How many ASPH Investigators do you work with and/or are assigned to?
4. A Principal Investigator whom you provide Post-Award Management for has
just been awarded a $350,000.00 NSF grant. What are the first 3 to 5 tasks you
perform to get the project started?
5. How often do you have budget meetings with PIs?
6. As Post-Award staff, what are some of the key issues with P0st-Award
Management in ASPH?
Focus Group Questions Developed by April Heyward, MRA

8. ASPH Staff Focus Group Questions
7. How can the Post-Award Management process be improved in ASPH?
8. What workshops on Post-Award Management would you like to see offered in
ASPH?
Focus Group Questions Developed by April Heyward, MRA

9. Perceptions of Focus Groups
What Percentage of Your Time Do You Work on Post-Award Management?
• 33% responded exactly or close to 25% of their time on Post-Award
Management
• 44% responded exactly or close to 50% of their time on Post-Award
Management
• 22% responded exactly or close to 100% of their time on Post-Award
Management
Focus Group Questions Developed by April Heyward, MRA

10. Perceptions of Focus Groups
How Many Investigators Do You Work With and/or Assigned To?
• 33% responded they work with and/or are assigned to 1-5 Investigators
• 56% responded they work with and/or are assigned to 6-10 Investigators
• 11% responded they work with and/or are assigned to 11-15 Investigators
Focus Group Questions Developed by April Heyward, MRA

11. Perceptions of Focus Groups
How Often Do You Have Budget Meetings with PIs?
• 11% responded they don’t have budget meetings with PIs
• 22% responded they have budget meetings with PIs once per month
• 67% responded they have budget meetings as needed
Focus Group Questions Developed by April Heyward, MRA

12. Survey Questions Developed by April Heyward, MRA

13. Post-Award Services Logic Model Developed by April Heyward, MRA

14. Workshop Outcomes
• Show Me the Money: Post-Award Management Workshop
• Post-Award is More Than 1+1=2 Workshop
• Post-Award: The Business Side of Research Workshop
• Effort Reporting: Think Before You Sign Workshop
• Grant Reform Workshop
• The Conversation About Indirect Costs Workshop

15. Post-Award Services Outcomes
• Post-Award Administration Manual
• Account Monitoring
• Advice/Consulting for the Project Close-Out Process
• Assistance with Requesting No-Cost Extensions and Cost
Extensions
• Budget Management Services
• Department Chair Orientations
• Effort Report Monitoring
• Faculty Orientations

16. Post-Award Services Outcomes
• Liaison with Animal Resources Facilities, Mouse Core, Contract
and Grant Accounting, Financial Aid, Office of General Counsel,
Human Resources, Payroll, Purchasing Department, and
Sponsored Award Management
• Monthly/Quarterly Budget Meetings
• Monitor Subrecipient Contracts, Vendor Contracts, and Purchase
Orders
• Monitor Indirect Cost Distribution
• Post-Award Services Workshops
• Progress Report Assistance

17. Post-Award Services Outcomes
• Staff Orientations
• Systems Training
• Training on Sponsor and USC Policies and Procedures

18. SC Department of Health and
Environmental Control
(SC DHEC)

19. Audit Program Logic Model Developed by April Heyward, MRA

20. Fiscal Monitoring Tool Crosswalk (32-Pages) Developed by April Heyward, MRA

21. Current Data Sources VS New Data Sources (6-Pages) by April Heyward, MRA

22. Required Documentation for Pre - Site Visit Phase vs On - Site Phase Developed by April Heyward, MRA

23. Financial Review Mandate Source Citation (20- Pages) Developed by April Heyward, MRA

24. Financial Review Mandate Source Citation (20-Pages) Developed by April Heyward, MRA

25. Financial Review Mandate Source Citation (20-Pages) Developed by April Heyward, MRA

26. Audit Program Outputs and Outcomes
• Fiscal Monitoring Tool Crosswalk – 32 Pages
• Current Data Sources vs New Data Sources – 6 Pages
• Required Documentation for Pre-Site Visit Phase vs On-Site Visit
Phase
• Grantee Financial Review Checklist – 2 Pages
• Audit Confirmation Letter Template
• Corrective Action Plan (CAP) Template
• Site Visit Report Template

27. Audit Program Outputs and Outcomes
• New and Updated Policies and Procedures
• Technical Assistance Support
• Technical Assistance Site Visits
• Program and Fiscal Orientation for Grantees
• Audit Readiness for Grantees
• Audit Readiness for Division with Funders
• Increase Compliance for each Funding Program

28. Audit Program Outputs and Outcomes
• Streamline Audit Process in Two Phases – Pre-Site Visit and On-
Site Visit
• Decrease in Audit Findings
• Reduce Time Spent On-Site at Grantee Locations
• Effective and Measurable Grantee Monitoring
• Increase Understanding and Perception of Audit Process with
Subrecipients
• Reduce Administrative Burden for Division and Grantees
• Audit Fieldwork Concluded in a Reasonable Time Period
• Stakeholders Perceive New Audit Programs Useful

29. South Carolina EPSCoR/IDeA
Program

30. SC EPSCoR/IDeA Program Overview
South Carolina has been an EPSCoR state since 1980.
EPSCoR is a Science-Driven, State based NSF program.
The EPSCoR designation is accepted by DOE, NASA, NIH, and
USDA.
EPSCoR jurisdictions include states, commonwealths, and
territories that receive less than 0.75% of NSF research support
funding averaged over most recent 3 years.
Eligibility table updated annually.

33.  Develop undergraduate research opportunities
 Facilitate proposal development workshops
 Develop proposal development services (e.g., external reviewers)
 Facilitate collaboration opportunities with other EPSCoR jurisdictions
 Develop research expertise database to facilitate collaboration
 Technical assistance with research project team evaluation
 Develop seed funding programs for proposal development
Site Visit Reoccurring Themes

34.  Funding for faculty travel support
 PUIs - Material and supply needs for undergraduate research
 Develop public repository of funding opportunity announcements
 Facilitate student research symposiums to present research results
 PUIs - Funding for housing of students engaged in summer research
 Collaboration between PUIs and CRUs
 PUIs - Faculty release time
Site Visit Reoccurring Themes

35. SC EPSCOR/IDeA Programs and Services Logic Model Developed by April Heyward, MRA

36. Program Outputs and Outcomes to Date
• Revised the SBIR/STTR Phase-0 Program – ongoing
• Developed and Implemented Research Experiences for Undergraduates
(REU) Program
• Updated Program Solicitations (RFP) Template
• Updated Policies and Procedures
• Revamped Grant Reviewer and Selection Process - ongoing
• Hosted Research Team Building Meetings
• Increasing Outreach Education in South Carolina – ongoing
• Increasing Understanding and Perception of SC EPSCoR/IDeA - ongoing

37. Program Outputs and Outcomes to Date
• Increasing statewide research collaboration - ongoing
• Increasing access to collaborators - ongoing
• Revamped the Scientific Advocate Network (SAN) Program, Grants for
Exploratory for Academic Research (GEAR) Program, and GEAR
Collaborative Research Program (CRP)

38. References
 Heyward, A.K. (November 2014). Designing and Implementing Service-Delivery
Models in Research Administration. NCURA (National Council of University
Research Administrators) Magazine, Volume XLVI, (No.5), Pages 58-60.
 Heyward, A.K. (December 2016). Developing and Implementing an Audit Program
Model in the Uniform Guidance Era. NCURA (National Council of University
Research Administrators) Magazine, Volume XLVIII, (No. 6), Pages 4-6.
 Heyward, A.K. (2017, January). The Value Proposition of the Research
Administrator: Preparing Tomorrow’s Candidate. Conference
presentation at the 2017 Florida Research Administration Conference
(FRAC), Orlando, Florida.
 Heyward, A.K. (2017, March). The Importance of STEM Workforce Development:
The Role You Play. Lecture conducted at Morris College Division of Natural
Sciences and Mathematics Scientific Lecture Series, Sumter, South Carolina.

39. Contact Information
April Heyward, MRA
Program Manager
SC EPSCoR/IDeA Program
1000 Catawba Street
Columbia, South Carolina 29201
T: 803.733.9068
E: april.heyward@outlook.com