PRELIMINARY Research Development Office Strategic Planning

1. PRELIMINARYResearch Development OfficeStrategic Planning 27 February 2014

2. Sponsored Awards at NC State • NC State is classified by the Carnegie Foundation as a “Research University with Very High Research Activity”

3. Office of Research, Innovation & Economic Development (ORIED) Jeff Cheek Randy Avent Research Administration Research Development Federal Affairs • Compliance • Negotiation • Administration • Proposal Development Unit • Limited Submissions • Research Infrastructure • Foster Collaborations Terri Lomax Dennis Kekas Vice Chancellor Kelly Sexton Partnerships & Economic Development Office of Technology Transfer • Centennial Campus • Industry Alliances • Economic Development • IP Management • Licensing • Venture Development Matt Peterson • Advocacy • Situational Awareness

4. Strategic Roadmap • Strengths • Weaknesses Internal Analysis External Trends Strategic Plan External Analysis • Positioning • Prioritization • Payments • Performance • Opportunities • Threats

5. Outline • Introduction • Trends • Analyses • Initiatives • Summary

6. External Trends(1) • Harsh federal research funding climate continues • Uncertainty due to sequestration, continuing resolutions, debt ceiling, … • Political questions about the value of research • Increasing emphasis on metrics, applied research, and deliverables

7. External Trends(2) • Increasing complexity of proposal • Focus on use-inspired grand challenges • Emphasis on interdisciplinary, team-based proposals • Increasing attention to budget and management plans over research • Leaderships skills grow more in importance than technical skills • Make solar energy affordable • Provide energy from fusion • Develop carbon sequestration methods • Manage the nitrogen cycle • Provide access to clean water • Restore & improve urban infrastructure • Advance health informatics • Engineer better medicines • Reverse engineer the brain • Prevent nuclear terror • Secure cyberspace • Enhance virtual reality • Advance personalized learning • Engineer the tools for scientific discovery

8. External Trends(3) • Faculty research burden continues to grow • Agency success rates continue downward trend • No relief from OMB administrative caps continues to reduce administrative staff • Overburdened faculty spend significant time on administrative matters

9. External Trends(4) Performer Federal Gov’t FFRDC Industry Academia Non-Profit Total -2.51% -3.69% -2.42% 0.93% -2.29% -1.61% Federal Gov’t 2.20% 3.37% 26.49% 8.89% 3.75% Industry 2.85% 2.85% Academia Source 2.72% 2.72% Other Gov’t 2.70% 2.70% 2.70% Non-Profit -2.51% -2.36% 2.63% 2.85% 1.55% 2.07% Total • Emphasis on applied research and job creation • Questionable increase in industry funding • 2011(5.89%), 2012(26.49%), 2013(1.6%), 2014(1.7%) • Industry spends 1% of funds in academia, represents 6% of academic funding • More emphasis on job creation and use-inspired research Source: Battelle, R&D Magazine: Battelle FY2012 Global Forecast

10. Outline • Introduction • Trends • Analyses • Initiatives • Summary

11. Internal Factors Strengths Weaknesses • Land-grant culture (4) • Centennial Campus (4) • Emphasis on translational disciplines (engineering, agriculture, design, textiles, veterinary medicine) (4) • Favorable entrepreneurship & licensing climate (4) • New faculty hiring (3) • Faculty morale with no raises (3) • Overburdened faculty (2) • Weakness in NIH funding (1) • Lack of strong research culture (3) • Outdated tenure policies and traditional faculty models (4) • “Cylinders of Excellence” (2) • Lack of mentoring program (4) NC State • Fragmented & bulky internal processes (2) • Faculty inexperience in grantsmanship (3) • Faculty awareness of agencies & opportunities (3) • Limited seed funding opportunities (3) • Strong proposal development team (2,3) RDO

12. External Factors Opportunities Threats • Competition from top universities (3) • Fiscal debt continues to curtail federal research funding growth (1) • Continued pressure for immediate ROI from research (4) • Pressure on industry to increase research funding (4) • Many agency grand challenges align with our sweet spots (2) NC State • Increasing emphasis on larger & more complex proposals (2) • Increased & proactive leadership in strategically important research areas (3) • CFEP hires in important areas (2) • Shortened proposal timelines (2,3) • Lack of state support limits ability to grow infrastructure (3) RDO

13. Outline • Introduction • Trends • Analyses • Initiatives • Summary

14. Strategic Initiatives • Who are we? • What do we have to offer? • Where are we headed? • List of critical activities • Implementation timeline • Action items with assignments Positioning Priorities Performance Payments • Measures of success • Metrics • Dashboard • Funding • Resource allocation • Budgeting process

15. RDO Positioning Mission Statement Facilitate Research Excellence Vision Statement Develop & implement initiatives that increase institutional competitiveness Value Statement Be strategic, catalytic, and responsive to faculty needs

16. Research Development Eigenvectors • Provide integrated research services • Opportunity Development • Proposal Development • Help faculty become successful in research • Faculty Development • Grow enabling structures for research excellence • Infrastructure Development

17. PIVOT Analysis • Few faculty use PIVOT tool to find research opportunities October, 2013 PIVOT Statistics

18. Goal 1: Provide Integrated Research Services • Help faculty generate opportunities • Improve RFP notifications to faculty • Hire interns to conduct enrollment drives across departments and to scan/notify faculty of opportunities, create own “listserv” • Assemble committee to investigate use of text mining for improved delivery • Deepen relationships with funding agencies – get left of the RFP • Provide seed funds for faculty travel to Washington, provide blog where faculty can share information about discussions • Provide faculty with more detail on funding agencies priorities & processes • Develop and update agency strategies and programming • Increase faculty awareness of NSF and NIH Regional Grants Seminars • Share slides from federal seminars on RDO website • Assess and refresh seed funding programs (FRPD, RISF, …) • Centralize all seed funding programs into a single office • Build reporting system to capture and analyze impact of each program • Discuss concept for travel grants • Grow collaborations in strategically important areas • Conduct two Research Workshops each year focused on strategic thrusts, opportunities, or internal issues • Update Research Strategic Plan

19. Proposal Development at NC State PDU (Full Proposal) Pending Success Rate Non-PDU (Full Proposal) Year • PDU has winning approach to working on large multi-institutional proposals

20. NC State Strategic Plan • Expand and unify proposal development efforts across campus

21. Expanding the PDU • New strategies for expanding proposal development are needed

22. Goal 1: Provide Integrated Research Services • Expand and unify proposal development • Centralize services for faculty research • Create single point to request all services (Limited Submission, PDU, seed funding, …), purchase proposal management software • Reinvigorate Faculty Toolbox to provide single point for administrative functions • Create more proactive management of Limited Submissions • Provide broader support to all faculty • Start concierge services for faculty with proposal questions – integrate into chat tool • Consider hiring interns to help faculty plan & format proposals • Build budgeting templates for different agencies • Provide links to examples of data management plans, mentoring plans, … • Grow storage and analytic services for faculty • Maintain “full spectrum” Proposal Development Unit for complex, strategically important proposals • Improve PDU access and facilities • Work with CFEP hires to support their efforts • Hire future proposal developer with NIH experience • Unify proposal development across Colleges • Develop “thin membrane” model with College proposal developers • Work with Colleges to help hire proposal developers

23. Goal 2: Help Faculty Become Successful • Continuously evolve Early Career Training Programs based on past experiences • Deliver four-part program in 2014 open to all faculty • Work with Colleges on mentoring programs • Build stronger relationships with OFD on technical workshops • Provide new programs to help faculty with “Team Science” concepts • Mentor/train faculty who have identified interest in leading inter-disciplinary teams • Provide team science leadership workshops for faculty • Broadly disseminate the NIH Collaboration & Team Science Field Guide

24. Research Development Workshop 2014 • NC State Research Proposal Mechanics (open to everyone) • Centennial Campus (1/31/2014) • DH Hill Faculty Senate Chambers (2/21/2014) • Panel Discussions (open to everyone) • NIH (3/7/2014) – Five panelists • DoD (3/21/2014) – Seven panelists • DOE (3/28/2014) – Five panelists • NSF (4/4/2014) – Seven panelists • Early Career (60 faculty, preference to early career) • DH Hill Faculty Senate Chambers (4/24/2014 – 4/25/2014) • Individual help (limited to Early Career attendees) • By appointment, as time permits

25. Centers & Institutes • Numbers of Centers and Institutes have grown significantly

26. Centers & Institutes • Many Centers and Institutes have not been reviewed in past five years

27. Goal 3: Grow Enabling Structures for Research Excellence • Conduct strategic alignment of Centers & Institutes • Prioritize and conduct overdue Centers & Institute reviews • Conduct strategic study on the role and structure of Centers & Institutes • Assess new models for refreshing Centers & Institutes • Discuss organizational structures around interdisciplinary Centers & Institutes • Address F&A return models for interdisciplinary Centers & Institutes • Instrument Centers & Institutes to understand their impact • Measure students, funding, and staffing levels • Measure publication and patent histories • Grow and build a better laboratory infrastructure • Instrument Service Centers to better understand their impact • Measure usage, equipment, funding, students, faculty, … • Conduct cost analysis on Service Centers • Improve faculty access to laboratory infrastructure • Deploy Equipment Locator and the Research Instrumentation and Equipment Recommendation System (RIES) • Coordinate instrumentation awards to improve infrastructure • Conduct strategic study on the role and structure of laboratories & Service Centers

28. Phased Approach Near-term Mid-term Far-term • PIVOT enrollment drive • Travel Seed Funding • Seed Funding analysis • 2 Research Workshops • Text mining RFPs • Targeted Seed Funding • Research Strategic Plan • 3 Research Workshops Opportunity Development • 4 Research Workshops • Centralized services • Up-fitted PDU • New “NIH” hire • Concierge services • Intern experiments • CFEP planning • Unified PDU/Colleges • Budgeting templates • Centralized plans Proposal Development • Institutionalize Interns • Storage/Analytic services Faculty Development • Early Career program • OFD discussions • Mentoring program • Team Science initiative • OFD technical workshops • Instrumentation • Begin C/I reviews • Equipment Locator • RIES introduction • Complete C/I reviews • C/I and Service Center recommendations Infrastructure Development • C/I and Service Center studies

29. Payments (Core Responsibilities) • Proposal Development Unit remains the same • Administrative functions transition to Santana Hester • Reception, calendars, logistics • Pcard, Marketplace, equipment purchases • Bonnie Aldridge transitions to Research Services • Seed funding programs, Limited Submission • Proposal concierge • Research Workshops, C/I and Service Center yearly workshops • New Hire fills Budget and Analyst role • Office budgets, CMIF/CILS oversight • Analysis • PradipPramanik/Melanie Clark continue to run Proposal Workshops • Several intern hires to fill gaps

30. Performance • Monthly proposal statistics (stratified among federal, industry, state, other) • Number of proposals generated • Total amount of proposals generated • Number of proposals won • Total amount of proposals won • Success rate • Interdisciplinary collaborations • Number of proposals generated that included multiple colleges • Collaboration matrix • Laboratory Service Centers • Numbers of shared equipment • Equipment capital purchases

31. Summary • Academic research faces several risks • Congressional attacks and uncertain budgets • Lack of understanding of long-term value • Increased competition with limited resources • NC State’s land-grant culture in translational disciplines provides limits exposure to many risks • Proactive initiatives are needed to continue growing research at NC State • Current strategic plan is a first step in building these proactive initiatives

32. Proposal Development at NC State (141, 32, 23%) (18, 7, 42%) • PDU has winning approach to working on large multi-institutional proposals