Unit Name: Office of Research Programs
Unit Mission:
Work Sheet for Unit Level Institutional Assessment
Unit Goal
Link to ESF
Goals (by #)
1.
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
3
4
5
6
2.
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
4
5
Method(s) of Assessment and
Targets
Results of Assessment (Data)
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
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
a)
numbers: -12%; dollar
volume: -18%
Success rate ~34% (based on
$$) 2010-11
b) Proposals submitted to all
of these sponsors
c) Sponsored Programs
Assistant hired and trained
Q3 FY2010-11
a)
COEUS Phase 1 Institute
Proposal (IP) Module for
pre-award database &
reporting implemented
effective 7/1/2011.
b) Federal external A-133
audit completed JuneAugust 2010
Internal Audit transactional
compliance audit
completed December 2010February 2011
c)
Implementation Plan
(Changes resulting from
Assessment)
Additional direct
interactions with
potential PI’s and Co-PI’s;
review of RT offerings
Continue COEUS
implementation:
Closeout COEUS Phase 1
– complete legacy system
pre-award data migration
to COEUS IP module and
post-award data
migration to COEUS
Award module. Begin
COEUS Phase 2 – expand
COEUS IP use within ORP
and begin testing of
COEUS Proposal
Development module.
Federal Indirect Cost Rate
proposal process
initiated September 2011
Online faculty Effort
Reporting system project
initiated July 2011
3.
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
3
4
5
6
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
c) Analyze current and future
needs for particular
research spaces, e.g.,
greenhouse facilities, Baker
Lab
a) 2007-08 Seed Grants:
add metrics
Winter, Teece, Stella,
Schlaepfer – left ESF,
Powell, Lautz – left ESF,
Kuehn, Fierke, Fernando
2008-09 Seed Grants:
Whipps, Schulz,
Brunner – left ESF,
Germain, Doelle, Yanai,
Johnson – retired, Diemont
b) Data =
c) Additional planning meetings
with CoE;
Initiated new
Environmental Medicine
Program to attract NIH
funds (UMU, ESF, SU, VA)
4.
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
3
4
5
6
a) Provide assessment on a
three year rotating basis of
Centers and Institutes
reporting to the Vice
Provost for Research
b) Increase funding by 10% in
at least three
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
a)
Begin program to
stimulate review
documents suitable for
Development Office (e.g.,
Five Year Anniversary)
5.
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
4
a)
Increase expenditures to
$20 M by June 30, 2012-13,
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
Center Director Meetings
Held:
Council of Geospatial
Modeling and Analysis,
SUNY Center for Brownfield
Studies, Polymer Research
Institute, SUNY Center for
Applied Microbiology,
American Chestnut
Research and Restoration
Center, Center for Urban
Environment, Center for
Sustainable and Renewable
Energy, Empire State Paper
Research Institute
b) Metrics are not currently
maintained/ reported at
Center/ Institute Level
a)
b) Partnered with Binghamton
University Technology
Transfer Office effective
July 1, 2011 to provide
enhanced IP management
and marketing to potential
licensees
c) Enhanced existing and
developed new financial
monitoring reports and
Develop additional
monthly & quarterly
management monitoring
reports for key revenue
and liability sources:
Indirect Cost recovery
and waiver status, IFR
salary recovery, graduate
tuition, IP license fee
revenue and costs,
outstanding receivables,
d) Initiate one new College
program derived from
license income
6.
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
4
7.
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
3
4
5
6
a) Have at least three
new/revised policies in
place by 2010-11, including
Data Ownership, New
Centers/Institutes, 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
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
projection models to refine
the budget planning
process.
d) No new programs initiated
from licensing income
a) Policies Issued:
All but Scientific
Misconduct (draft
underway)
b)
a)
b)
reserve cash position; as
well as action procedures
to proactively manage
these financial resources