The Role of Start-up Packages in Faculty Recruiting

1. The Role of Start-up Packages in Faculty Recruiting Paul Gemperline Associate Vice Chancellor Division of Research and Graduate Studies East Carolina University October 13, 2006

2. Strategic Role Recruiting faculty members with substantial research potential is a highly competitive endeavor • Start-up packages: • Provide a recruiting advantage for faculty with outstanding research potential • Help new faculty jump-start their research programs at ECU

3. Outline • Why invest in faculty start-up packages? • ECU’s Goal • Review of last year’s start-ups, Phase I • Next year’s start-ups, Phase II • Expected outcomes • Examples of opportunities and successes • The application package • The application process • What items will / will not be funded • Administering the award

4. Why Invest? • One measure of a university’s prestige is its research prowess • How does ECU compare? • Grants awarded compared to UNC sister institutions • R&D Expenditures compared to UNC-BOG Peers

5. ECU Grants Awarded Compared to UNC Sister Institutions

6. ECU R&D Expenditures FY 1997-2004 R&D expenditures in science and engineering fields at universities and colleges, ranked by FY 2004. Includes all Federal agencies, state and local agencies, industry, institutional funds and other sources. Does not include expenditures in other fields. Source: National Science Foundation.

7. ECU Goal • Increase ECU’s annual sponsored research activities to $100 M per year • 5 year period ending April 2006 • 485 ECU Principal Investigators rec’d $132,423,800 • 95% of this funding was produced by 223 Principal Investigators • How do we reach this goal? • Increase productivity of existing faculty • Research / Creative Activity & Research Development awards • Hire new faculty with significant potential • Start-up packages

8. Recent Successes • ECU’s awards increased 15% in FY 2005-06 to $38 M • In the first three months of FY 2006-07: • ECU’s awards increased from $9.65 M to $14.6 M • ECU’s submissions increased from $32.9 M to $52.3 M • These positive trends suggest ECU’s investments and the good work of our faculty are paying off!

9. Review of Last Year’s Start-up Packages, Phase I • Most requests were honored as submitted • Requests for faculty already on-board this year were accepted • Applications from diverse disciplines, colleges, and departments were encouraged

10. Recruiting the 2007-08 Cohort, Phase II • The successful candidate and application will demonstrate a carefully thought out research agenda with significant potential for future research productivity • The candidate’s research agenda must have a good fit with the College’s strategic research directions • Return on investment is expected • Measurable outcomes will include grants and peer reviewed publications • Candidates who have signed an employment contract with the university will be ineligible to receive start-up packages.

11. Expected Outcomes • Increased research capabilities of faculty we recruit at all levels • junior through senior hires • Increased research productivity as measured by: • Scholarly works • Peer reviewed publications • External grants • Deans and department chairpersons are asked to set appropriate performance benchmarks during employment negotiations with candidates. • RGS will assess unit and college research productivity over a period of several years • Future start-up investments will depend on success in meeting appropriate benchmarks

12. Example: Return on Investments A Includes commitments through AY 2006, additional commitments in 2007, 2008 not shown B Inclusive grant activity: Amounts shown are attributed to departments by the PI or Co-PI affiliations (leads to some double counting) C Exclusive grant activity: Amounts shown are attributed to departments by the PI's affiliation only

13. Example: Return on Investments • Measurement of research productivity is a multifaceted problem that cannot be addressed by numerical figures alone. • Many other factors must be considered that cannot be easily quantified. • Reliable data is the starting point, but can never replace sound human judgment.

14. Recent ECU Successes • $1,195,048, NSF: "TechMath"; Real-World Math, Technology, and Business Connections, Ernie Marshburn (RGS), Rose Sinicrope, Ron Preston (Math & Sci. Ed.), Beth Eckstein (DSCI.) • $1,354,847, NSF: Biomechanics and Robotics Explorations for IT Literacy Skills in Rural Schools, Paul Kauffman (TECS), Gail Ratcliff (Math), Cathy Hall (Psych), Dana Espinosa (EXSS) • $2,635,301. DHHS: Life Skills for Health Marriage: A Family Readiness Program, Linda Robinson, Elizabeth Carroll (CDFR)

15. Example Funding Opportunities • NSF Directorate for Social, Behavioral & Economic Sciences: $200 M annual budget • Current active awards: 1001 projects @ $548,833 M (includes multi-year projects) • $149,583 Attention and the Representation of Scenes and Objects, North Dakota State University, Fargo • $129,460 Acquisition of English Articles by Child and Adult L2-English Learners (Linguistics), University of Southern California • $223,745 Archaeological Investigations at Chaco Canyon, New Mexico, University of New Mexico • $480,141 Perceived Facial Expressions of Emotion as Motivational Incentives, University of Michigan Ann Arbor • $606,187 Comparative Civic and Place Engagement in Three Latino Enclave Neighborhoods in Transition, Florida International University • $59,957 The Economics and Politics of Banking Regulation in the Industrialized World, Wesleyan University • $78,000 Methods in the Exact Sciences of the Ancient and Medieval Periods, Nathan Sidoli

16. The Start-up Application Package • Properly executed form • 25% matching is required from the College and Department • Candidate’s CV • Must be complete and comprehensive • Detailed research plans • Itemized budget • Provide reasonable estimates, quotes are not needed • All major items should be listed

17. What Kinds of Start-up Requests Will Be Funded? • The candidate’s research plan must demonstrate a carefully thought out line of research with excellent prospects for productivity • Start-up funds are to be used to provide sufficient seed funding for the candidate to establish a productive and sustainable research program • Stand-alone research projects will not be funded • Itemized budgets must be justified. Sufficient detail in the research plan is needed to enable us to determine that expenditures will lead to the development of a productive research program

18. Suggestions for a Successful Start-up Application • In the advertisement for the position… • Briefly state your research requirements • Require candidates to submit research plans with their application • During the campus interview… • Plan a time for the candidate to give a detailed presentation on their research plans to an appropriate committee • Give the candidate advance warning so he/she can prepare • Critically evaluate the candidate’s potential for success in research • During the exit interview review the candidate’s research start-up needs (ask the candidate to prepare a list of necessary items in advance) • After the interviews • Don’t wait until you are ready to wrap up negotiations. Notify us in advance, especially when the candidate is expected to have significant startup needs

19. Appropriate items: Specialized research equipment, databases, software and supplies Support for graduate research assistants Computers necessary for control and operation of specialized research equipment or collection of data Travel funds to support field work or collection of data Inappropriate items: Office equipment and furniture Desktop and laptop computers (these may be requested from the faculty workstation program) Travel funds to attend meetings or present papers (these should be provided by the department or college) Appropriate / Inappropriate Items for Start-up Requests

20. Administering the award • Some budget flexibility can be afforded the candidate when spending start-up funds • Submit requests to re-direct budgeted amounts by email to Andrea Harrell • Accurate records of all expenditures, including items such as requisitions, invoices, packing slips, authorizations for direct payments, etc., must be saved for annual audit reports