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Office of the Vice President for Research (OVPR) Strategic Management System

Lisa Carlson-WarrenChief of Staff to the Vice President for Research

Presentation ToStrategic Management Practitioners Group

July 24, 2008

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Outline• Overview of OVPR• Why change?• Strategy: Art and Science• Evolution of a strategic system

– Cascading Strategy– OVPR early “pathway” model

• OVPR strategic management system components– Strategic alignment and mapping– Timeline– Resource and work planning– Performance management/sustain and improve

• Lessons learned• Next steps

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Overview

• Central Support Unit• 200+ employees• 8 administrative programs or units + general

administrative office• BOR delegation: accept and submit sponsored

research projects on behalf of the Board of Regents• Administer $548 million annually in sponsored

expenditures *UMN ranks 9th in public research universities

• Sponsored Projects Administration processes 10,000+ transactions per year (proposal, award, budget)

• Research grants and contracts represent 26% of the University’s operating budget

Collaborative Research Services

Source: UMN Budget Office, 2008Source: UMN Budget Office, 2008

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Why Change: • New Vice President for Research

– Emphasis on strategic planning and thinking– VPR initiatives like: policy streamlining– New OVPR senior leadership team– Major organizational restructuring

• U-wide Initiatives– University strategic positioning– Service and productivity improvement emphasis– New budget model

• Environmental Challenges– Reduced funding– Increased regulatory burdens

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Strategy…a balance between art and science

strat·e·gy n*

(1): the science and art of employing the political, economic, psychological, and military forces of a nation or group of nations to afford the maximum support to adopted policies in peace or war

(2): the science and art of military command exercised to meet the enemy in combat under advantageous conditions b: a variety of or instance of the use of strategy 2 a: a careful plan or method : a clever stratagem b: the art of devising or employing plans or stratagems toward a goal

(3): an adaptation or complex of adaptations (as of behavior, metabolism, or structure) that serves or appears to serve an important function in achieving evolutionary success <foraging strategies of insects>

*Webster’s online

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“It’s not the strategy that fails, the failure comes from not cascading/flowing your strategies down

through the organization”

CASCADING STRATEGIES APPROACH

StrategicGoals

3 year life

StrategicObjectives

1-3 year life

StrategicInitiatives

Tactics1 year life

Prerequisites for

Progress

OverallOrganization

Key Functions orBusiness Units

Drive

IndividualEmployees

Thinking Strategically© LeaderSHIFT International Incorporated/2000

PrerequisitesFor

Progress

Critical SuccessFactors (Goals)

Tactics

Key ResultAreas

PerformanceManagementSupportSupport

Drive

Mission, Vision, Values

Mission, Vision, Values

Mission, Vision, Values

Mission, Vision, Values

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* Group Works: Published and distributed by the University of Maine Cooperative Extension

Early model of OVPR’s strategic planning:

“A Pathway Leading To Results”*

• Create a shared vision • Develop a mission statement • Identify goals • Set objectives • Determine projects and

activities • Establish a plan of action • Create a detailed work plan • Assign resources • Implement work plan • Evaluate results • Report accomplishments • Review mission • Reaffirm mission

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Strategy Development & Thinking

Resource & Work Planning

Management ReviewPerformance Assessment

Sustainment & Improvement

Environmental Scanning: Strengths & Weaknesses, Opportunities & Threats

Mission, Vision, Values

Strategic Priorities & Objectives

OVPR/Unit Goal Strategic Alignment

2-Year Work PlansBiennial Budget Planning (Compact Process)

Work/Project Prioritization:OVPR project “in take” and prioritization framework

Project Management Methodology

Accomplishments Report

Leadership Performance Reviews

OVPR Internal Service Unit performance measurement: Service Level Agreements (SLAs)

OVPR Unit Performance: Customer survey

Continuous Assessment and Improvement* Central execution management or“shepherd”

* Stakeholder Management: Focus outward (vs. inward) What are the requirements from the customers—people we serve?* Human Resource Management (Training, Staff Development, Change Management)

OVPR Strategic Management System Components

“Strategic Planning is about Change Management”

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OVPR Strategic Links

B1

B2

B3

B1a

B1b

B1c

B1d

B1e

B1f

1

2

3

4

5

5-7 month ProcessImprovement projects

Other Initiatives

SolutionImplementations (“Just Do It” work)

Overall OVPR Strategies will

advance overall U of MN strategies

OVPRUnit

Objectives/ Goals

Groups of Potential Projects,

Initiatives or implementations

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Potential IndividualProjects,

Initiatives or implementationsOVPR

Strategy A

OVPR Strategy B

OVPR Strategy C

OVPR Strategy D

OVPR Strategy E

5 U

niv-

Wid

e P

illar

s

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Handout: OVPR Strategic Management System Schedule

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Handout: OVPR Work and Budget Planning template

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OVPR Project Resource Planning & Strategic Alignment

HIGH LEVEL WORK PRIORITY

OR PROJECT NAME

PRIMARY WORK OBJECTIVES WORK/ PROJ ECT SUMMARY BENEFIT

Resources Required

ORGANIZATIONAL COST OF NOT

DOINGOVPR UNIT Ti

mef

ram

e To

Co

mpl

ete

Wor

k

Stat

us (

New

or

Con

tinu

ing)

Cust

omer

R

equi

rem

ent

(Y/N

)

Ris

k M

anag

emen

t

Cost

Est

imat

e ($

1=$1

000)

Fund

ing

Sour

ce

New

$r

eque

sted

App

rove

d FY

09 C

ompa

ct

Fund

ing

Unf

unde

d D

iffer

ence

Exce

ptio

nal

Facu

lty

and

Staff

Exce

ptio

nal

Inno

vati

on

Exce

ptio

nal

Stud

ents

1 2 3 4 5

OVPR Employee Recognition Program

Develop a more structured and formalized recognition environment for staff. Create more opportunities for staff to be recognized consistently across units.

Develop program structure and recognition approaches; Develop budget and recommendations for both monetary and non monetary rewards; Propose activities and resources; Launch program implementation committee

Increased employee job satisfaction, retention and morale

annual employee recognition funding provided to each unit

Employee turnover, lost productivity due to employee dissatisfaction VPR FY08 FY09 Cont. N N 25 O 0 0 0

Aligning and Delivering Research Metrics That Support Top Three Goal

Presidents Emerging Leaders Program Resources; OVPR Lead

Review various metrics collected by the institution and external organizations; Analyze what additional information is necessary to demonstrate the institution is making progress toward its goal.

Defined clear, meaningful, measures and reports that provide high quality information where needed

Pres Emerging Leaders team VPR FY08 New Y N 0 G 0 0 0

UMII (University of Minnesota Interdisciplinary Informatics)

FY08 are needed to support a national pint advertising campaign announcing this new initiative, to develop a new website application, and to support advertising and recruiting costs for a national search for a Director.

Communications staff and web design, search/recruiting costs ($75K) new director, office admin costs ($218K)

VPR COMM FY08 FY09 New Y N 293 C 293 75 218

Research Cyberinfrastructure Alliance unknown VPR ? New Y N ? C ? 0 #VALUE!

OVPR Web Infrastructure

Adopt best practices and enterprise standard business practices and technology to achieve effective electronic communication practices.

Enhance OVPR Websites and electronic communications analysis

Better communication internally and externally through better and more timely content. Efficient approach to content quality management.

eCommunications manager

OVPR IT

COMM FY08 FY09 New Y N 50 R 0 0 0

OVPR Strategic Goals Funding Source: Risk Management: Identify if work/ project is required to meet a legal, regulatory, reputational or contractual obligation of the UofM?R-Reallocation Y = project addresses significant risk exposure related to legal, regulatory, reputational or contractual obligation

N-New N = project is not required for the compliance reasonsC-Central

G-Grant (SPIF, other sponsor) Customer Requirement (Y/ N)

O-Other, Endowment Y = Project addresses an OVPR customer requirement/request

New Proposed Projects FY09

5 Enhance University Ability to be Globally Competitive in an Interdisciplinary Environment

UMN AND OVPR STRATEGIC GOAL ALIGNMENT

Exce

ptio

nal

Org

aniz

atio

n

1 Increase OVPR Employee Satisfaction and Morale

2 Promote Awareness of the Regulatory Environment3 Increase Customer Satisfaction and University Research

4 Effective Stewardship of Resources

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Defintions:Net University Impact/Benefit = amount of impact this project will have on OVPR goals and objectives; UMN strategic initiativesResource Intensity = amount of OVPR resources necessary to complete work (total: funds, people, capital/infrastructure needs)

POTENTIAL Project Quadrant Chart

Resource Intensity

Ne

t U

niv

ers

ity

Im

pa

ct

/ B

en

efi

t

B

E

C

A

D

Project Methodology

OVPR Project Prioritization Chart

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Horizontal alignment: strategic planning across the institution

• 6-year IT plan– Projects listed are aligned with OVPR work plan

goals/objectives

DRAFT

FY 2009Existing Existing

New central

OIT Local unit Balances/ Not yet

Unit Project Total resources resources resources Other placedResearch Integrate research compliance databases 500 500Reseach InfoEd Intellectual Property 500 500Research eResearch system maintance plans 500 500VPRes Research Admin Enhancements 200 200

0Total 1,700 0 0 0 0 1,700

Recommended 2009 Six-Year Technology Plan 27-Mar-08All $ in thousands ($1 = $1,000)

2009 Academic/Service Unit Projects

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Handout: OVPR Leadership Performance Review Form

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ASSESS PROCESS PERFORMANCE AND IDENTIFY POTENTIAL IMPROVEMENT AREAS?

*** Foundational for long-term data based decision-making ***

Identify coreprocesses/services

of SPA

Define SPA’s directcustomers &

segment them

Get “Voice of Customer”

& “Voice of University”

Translate “voice of

customer” & “voice of UMN” into

Measurable & Actionable

Requirements

Prioritize customer & UMNRequirements

Identifyperformancestrengths &

opportunities toimprove

Collect Data &Display Performance

Plan how to measure(complete data

collection plan foreach measure)

SelectRequirements

to Measure (from customer &

UMN req’s)

Customer team Customer team Customer team Customer team Customer TeamLeadership Team

Customer TeamLeadership Team

MeasurementTeam

start

stop

1 43

7

5

6

2

MeasurementTeam

MeasurementTeam

8 9 Future opportunities for improvement can be based upon performance data

Definition Of A Process: A process is a collection of activities that takes one or more kinds of input and

creates output that is of value to the customer.

Definition Of A Process: A process is a collection of activities that takes one or more kinds of input and

creates output that is of value to the customer.

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Performance Measurement: Customer SurveyTable 1: OVPR Service Survey Results—June 2007Items were rated on a 5 point scale for service 2 years ago and currently. 1=poor service 2=fair 3=satisfactory service 4=good service 5=excellent service

CRAD GMUN PI

ItemBefore

Mean(SD)Current

Mean(SD)Before

Mean(SD)Current

Mean(SD)Before

Mean(SD)Current

Mean(SD)

Proposal processing by SPA (Sponsored Projects Administration)

3.19(.54)3.88(.72)***

2.75(.85)3.50(.98)***

3.29(1.00)3.57(.92)***

All other SPA activities, e.g. effort reporting, award setup

3.44(.73) 3.63(.96) 2.75(.85)3.25(1.07)**

3.19(.97)3.39(.96)***

Human Subjects (IRB)3.13(.83) 3.33(1.29) 2.67(1.05)

3.47(1.06)***

3.33(.92)3.52(.87)**

Animal Subjects (IACUC)3.11(1.05) 3.11(1.36) 2.93(.83)

3.29(.91)*

3.30(.89) 3.18(.93)

REPAs and, ROCs (Regulatory Affairs Office) 3.33(.62) 3.80(1.01) 3.22(1.04)

3.65(1.03)***

3.25(.74)3.44(.85)**

Commercialization of U ideas (PTM / OTC)

2.73(.79) 3.45(1.13) 2.65(.93)3.18(1.02)**

3.00(1.09)3.18(1.15)*

Responsible Conduct of Research educational opportunities

3.00(.93)3.60(1.30)*

2.78(.85)3.39(.99)**

3.26(.92)3.50(.92)***

Fostering a positive research climate (all units) 3.25(.45)

3.94(.77)**

2.91(.95)3.70(.93)***

3.21(.87)3.35(.92)**

*significant difference at p=.05, **significant difference at p=.01, ***significant difference at p=.001

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OVPR Survey Feedback

“Electronic grant submission should allow investigators to submit proposals closer to not further from NIH deadlines”

Reduce grant lead time requirement of PIs 100% of grants to be processed in X days or less 100% of the time

“My major concern is that the timeliness of new account set-up is lagging far behind any reasonable expectation, particularly for non-Federal sponsors. Funds are being lost. Grant expiration dates are occurring before funds actually appear in a useable CUFS number to be spent.”

Non-Federal Sponsored new account set-up is too slow (need to ID acceptable time expectation)Funds being lost due to slow new account set upGrant expiration dates occurring before funds appear in CUFS number

All new account set-up for non-federal sponsors to take X days or less 100% of the time.All funds to appear in a CUFS account # X months prior to their grant expiration date 100% of the time.

“SPA: with respect to grant submissions it would be extremely helpful and would save a lot of PI and departmental staff effort if we could get feedback on budgets before submission deadlines. When SPA identifies budget items that need to be modified after the grant has been submitted, it takes a lot of time to rework budgets before resubmitting to SPA. This is a very inefficient use of faculty & staff time.”

PIs want feedback on budgets before grant submission deadlines.

All budget items that need to be modified are identified before grant submission deadline 100% of the time.

“Voice of the PI” Key Issue Identified PI Requirement(Measurable & Actionable)

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Performance Management Tool:Service Level Agreements

• Customer/stakeholder management– Agreed upon service expectations

• Performance measurement– benchmarks

• Continuous improvement• Quality assurance v. improvement• Individual performance assessment

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Next Steps• Strategic planning schedule• FY10/FY11 work/compact planning• Defining full set of performance

measurements for unit goals• Fully implement project in-take, planning and

prioritization process• Map customer survey into potential

requirements and areas for process improvement projects

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Lessons Learned…

• Leadership support and champion• “shepherd” role is critical• Keep it simple• Measure what is meaningful• Know your culture • Appreciate and manage the change