I. Assessment Document- Office of Research
Programs 10/27/10 revision (includes updates
based on ORP Retreat 06/24/10 and Cabinet
Retreat 8/2/10)
Mission: To stimulate, facilitate and highlight topquality research at SUNY College of
Environmental Science and Forestry
II. Goals
A. Goal 1: To provide the technical capacity/expertise to
submit an increasing number and diversity of successful
competitive proposals by the majority of faculty in support
of high-quality research
1. Objectives
a) Increase number of proposals by 3-5% annually,
while moving the success rate from 17.6 to 25%
b) Utilize three new funding agencies and other
sources to include: NIH, NYSTAR CAT, ARRA
programs in NSF
c) Hire and train at least one additional staff member
for the Office of Research Programs
B. Goal 2: To maintain and analyze essential records of the
research enterprise, in coordination with the Research
Foundation of SUNY and the Operations Manager of ESF.
These include matching commitments, reporting and
close-out requirements, USDA Current Research
Administration System (CRIS), McIntire-Stennis Research
program, grant and contract authorization, compliance,
and status of at-risk accounts
1. Objectives
a) Implement COEUS as new Pre-Award system
comparable to other SUNY research campuses
b) Achieve “A” record in future audits
c) Achieve positive responses by 95% faculty in
assessment survey 2010-11
C. Goal 3: To facilitate the breadth and depth of ESF
research endeavors through seed and travel grants and
other special awards, recognition of needed facilities and
faculty, identification and advertisement of funding
sources, and identification of potential collaborations and
synergies among institutions
1. Objectives:
a) Document increased grant success rate or
application rate (per participating faculty member)
following 2007-2008 seed and travel programs of
2007-2010
b) Achieve faculty response >95% positive in 2010
assessment survey 2010
c) Analyze current and future needs for particular
research spaces, eg., greenhouse facilities
D. Goal 4: To highlight and clarify research
accomplishments and technological innovation, in
cooperation with the Committee on Research, through
presentations, Center Symposia, Spotlight on Research,
and facilitation of technological disclosures, patents and
licenses
1. Objectives:
a) Provide assessment on a three-year rotating basis
of centers and institutes reporting to the Dean of
Research
b) Increase funding by 10% in at least 3
Centers/Institutes annually
c) Formally recognize one Center annually; and
highlight in Inside ESF
d) Achieve recognition by SUNY of at least one ESF
Center
e) Facilitate ESF utilization of Center of Excellence
building and CNYBRC facility
E. Goal 5: To manage and strategically increase the budget
derived from indirect returns, agency service fees,
investment income and license fees to run the Office of
Research Programs and directly fund initiatives in support
of programs that generate these funds
1. Objectives:
a) Increase expenditures to $20 M by June 30, 201213, e.g, through acquisition of new research entities
comparable to Upstate Freshwater Institute
b) Recover license income to cover all legal expenses
c) Fine-tune the RF-return budget process to enhance
long-term planning
d) Initiate one new College program derived from
license income
F. Goal 6: To recommend and review College policies that
enhance and facilitate research activity, such as proposal
submission, license income, responsibilities of principal
and co-principal investigators, and allocation of indirect
return funds
1. Objectives:
a) Have at least three new/revised policies in place by
2010-11, including Data Ownership, New
Centers/Institutes, and Scientific Misconduct, and
Responsible Conduct of Research.
b) Set up the web sites and Bluebook to provide
immediate access to all College policies related to
research
G. Goal 7: To provide a visible and accessible set of
College services to include not only research proposals
and funding but also connectivity to Analytical and
Technical Services, Radiation Safety, the ESF Diving
Program, the Research Times and others.
1. Objectives
a) Ensure that all services are readily accessed via the
ORP and ESF Research web sites as well as the
BlueBook pathways.
b) Establish new means to communicate services and
opportunities with new faculty joining ESF, e.g.,
through brief retreats.
III.
Assessment Tools
A. Our primary assessment tool is provided in Table 1 of
the ORP Bluebook prepared annually “ORP Report on
2008-2009; action planning for 2009-2010.” The latest
edition (12/31/10; http:// www.esf.edu/research/) provides
this table on page 10, with an explanation of metrics and
projections on page 35.
B. Annual metrics are also presented and discussed at
ESF Cabinet Retreats in July or August each summer, the
most recent 08/02/10. A list of initiatives and planned
accomplishments (attached below) provides an annual tool
to measure progress in the Office of Research Programs.
C. One component of the Initiatives and accomplishments
list is a faculty survey planned in 2011 to directly assess
faculty perceptions and experiences with the activities of
ORP.
IV. Results – These are described in the Bluebook
under “Significant Events and Milestones in Research
Programs” (pp. 11-20) and “Financial Summaries” pp.
20-34.
V. Actions – These are outlined in the Bluebook under
“Activities and Events to Achieve Quantitative Goals” pp
35-38.
Office of Research Programs: Initiatives and planned accomplishments 2010-2011
Cabinet Retreat 08/02/10 Neil H. Ringler, Will Nicholson, Don Artz, Theresa Baker,
Sue Benoit, Ann Brown, Donna Follett, Linda Galloway, Cheryl Liptak, Theresa KaierMay, Mary Anne Stanton, and Mark Driscoll
A. Devote 10% of ORP time in support of Centers and Institutes, to increase
financial resources and elevate national recognition:
1. Implementation of Centers/Institutes policy (ORP No. 11)
2. Evaluation/Discussion with current and potential center directors
3. Identification of new avenues of funding
4. Coordination meetings with researchers (Proposal submission)
5. Initiation of new links with existing centers (e.g., Upstate Freshwater
Institute) to increase ESF footprint
B. Configure ORP in conjunction with addition of new staff and research
program responsibilities.
C. Implement COEUS system coinciding with Research Foundation
development plans to elevate service and accuracy in accounting, tracking and
reporting.
D. Develop a plan to increase the success rate (Yield) of proposal submissions.
E. Reduce patent expenses and increase license income by implementing ThirdParty assessment (Foresight LLC), and by sharing RF-legal resources (Pat
McCloskey) with Upstate Medical University.
F. Intensify our report-due alert system to minimize financial “Write-offs.”
G. Synergize web sites for ORP and ESF Research to increase utilization and
recognition of ESF contributions, e.g., implement web based Responsible
Conduct of Research policy (ORP. No. 12), for all NSF-sponsored research
projects.
H. Create a plan to fund exemplary undergraduate research as one component of
McIntire-Stennis program (Committee on Research).
I. Complete a faculty survey of ORP as complement to Middle States
Assessment Plan.