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 top-quality 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 maintainand 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 endeavorsthrough 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 Excellencebuilding 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, 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

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; 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 Bluebookunder “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 Kaier-May, 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 Third-Party assessment (Foresight LLC), and by sharing RF-legal resources (Pat McCloskey) with UpstateMedicalUniversity.

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.