Post on 29-Dec-2015
National Survey of APLU Vice Presidents and Vice
Chancellors for ResearchKelvin K. Droegemeier, Lori A. Snyder, and Alicia J. Knoedler
University of Oklahoma
Caroline WhitacreThe Ohio State University
Howard Gobstein, Christine Keller, Teri Lyn Hinds, Kacy Redd, and Nathalie Argueta
APLU
APLU Annual MeetingNovember 10-12, 2013
Washington, DC
Motivation
The Vice President/Vice Chancellor for Research (VPR/VCR)... Is a key (though perhaps not well understood)
position in public and private research universities
Is structured and deployed in a wide variety of ways with a wide variety of responsibilities
Is facing many new challenges in the face of problematic budgets, compliance requirements, and dramatic changes in the higher education landscape
Motivation
No comprehensive survey has been conducted of VPRs/VCRs to understand Administrative structures utilized and their
strengths and weaknesses Characteristics and experiences of individuals
holding the position Current roles and responsibilities of the position New and emerging challenges, and skills needed
to meet them Strategies for effectively preparing the next
generation, including possible roles for CRPGE and other APLU organizations
Goal and Audience
Via scholarly analyses of data from a national, web-based survey of APLU VCRs/VPRs, our goal is to provide information that builds greater understanding of these important positions and assists senior university administrators in assuring excellence in the structure, function and leadership of the university research enterprise now and in the future
Topical Focal Points
Organizational structure of office/position and how it has changed or may need to change
Characteristics and experiences of people holding the position
Challenges for the future and strategies for addressing them
Preparation of next generation leaders and possible roles for APLU
Process and Timeline
Concept discussed at February, 2013 CRPGE meeting and approved by Executive Committee
Short draft survey given to CRPGE Executive Committee in late spring, 2013 Results discussed at Summer, 2013 meeting Special breakfast session to dig deeper and develop new
questions/areas of emphasis Full survey finalized and (OU) IRB approval received
on 20 September 2013 Survey conducted from 23 September – October 5
2013 Response rate = 56 out of ~ 155 invitations
(36%)
Structure of the Survey: 64 Questions About...
Your Institution (6) You (5) Your Professional Experience (8) The Structure of your Current
Position (19) Training (5) Current State of the VPR/VCR
Position (18) Succession Planning (3)
Status and Products
Initial results are presented herein and some are excluded because of time (budgets, size of organization)
Cluster and other analyses have be performed and are being evaluated
Survey may be re-issued to improve response rate
At least one formal archive publication is planned
Products and key findings will be made available on the APLU web site
Note: VPR/VCR is referred to hereafter as VPR
Statistical Significance
We continue to evaluate the statistical significance of differences presented herein and thus no such significance should be assumed at this time
Characteristics of Sample
VPR Demographics
86% from Research Universities 54% Very high research activity 32% High research activity
96% from public universities
42% from land grant universities
Institution Demographics
Faculty FTE at Institution Yearly Research Expenditures for
Institution (in $millions)
Mean: 1381Std. Dev: 912N: 53
Mean: $196MStd. Dev: $193MN: 56
VPR Gender and Ethnicity
Asian
White
Hispanic
Prefer not to Disclose
Female
Male
Prefer not to Disclose
VPR Gender Differences
A comparison of male and female VPRs detected two small but interesting differences
Institution size Female VPRs reported 1,622 FTE Male VPRs reported 1,308 FTE
Annual institution research expenditures Female VPRs reported $252,614,116 Male VPRs reported $176,414,605
314 FTE difference
$76,199,511 difference
Year VPR received PhDDiscipline of Degree
25% Biomedical and Biomedical Sciences
23% Physical Sciences
23% Engineering
10% Social Sciences
7% Agriculture and related sciences
10 yrs ago
20 yrs ago
30 yrs ago
40 yrs ago
Mean: 1983Std. Dev.: 7N: 56
Questions to Consider
What is contributing to the lack of diversity in terms of ethnicity, gender, and discipline of terminal degree (behavioral & economic sciences, humanities), and how can it be addressed?
Might people enter VPR positions earlier in their career?
Structure of Position
VPR Reporting Structure
President/Chancellor
VP for Academic Affairs/ProvostPresident/Chancellor & VP for Academic Affairs/ProvostVice Chancellor for Research
Other
VPR Organization Demographics
Number in VPR organization
Number reporting directly to VPR
Mean: 184.6Median: 60Std. Dev.: 272.9N: 55
Mean: 10.0Median: 8Std. Dev.: 7.5N: 55
Most Common VPR Responsibilities
External Funding
Research Center/Campus
Institutional Animal Care and Use Commit-tee (IACUC)
Sponsored programs, pre-award services
Human research protections - Institutional Review Board (IRB)
Research development
85% 90% 95% 100%
Other VPR Responsibilities
32% have purview over Health Campus/Organization
30% have purview over Veterinary Medicine Campus/Organization
58% have responsibility for a 501(c)3 non-profit research organization
Questions to Consider
Considerable time and attention are devoted by VPRs to compliance issues. Are we therefore wasting VPR talent that could be devoted to building strategic research activities, establishing collaborations among faculty and institutions, focusing on regional initiatives, etc?
Budget, Spending and Facilities
VPR Budget
62% have budget linked to indirect cost recovery Percentage IDC Contributing to
Budget
Indirect Cost Recovery Differences
Notable differences existed in VPRs that did and did not have budgets linked to institutional indirect cost recovery (IDC)
Institution size VPRs with IDC link reported 1,405 FTE VPRs without IDC link reported 1,338 FTE
Annual institution research expenditures VPRs with IDC link reported $166,385,277 VPRs without IDC link reported $252,312,769
67 FTE difference
$85,927,492 difference
VPR Budget (in millions of dollars)
In Millions of Dollars
VPR Budget Normalized by Research Expenditures
What is your role in deciding whether cost sharing should be provided to a given grant proposal submission?
What is your role in providing money for grant proposal cost sharing relative to other offices once the decision to provide it has been made?
VPR Role in Retention Packages 59% have role in funding retention
packages, relative to other offices
Percentage funded by VPR
VPR Role in Startup Packages 79% have a role in funding startup
packages Percentage of start-up funded by VPR
I have control over the allotment of space and facilities for research.
Questions to Consider
Is linking the VPR budget to research expenditures and/or IDC recovery an effective practice (this question is being debated nationally with regard to IDC)?
Could the VPR position be more effective if provided with greater funding and/or discretion over spending?
Strategic Planning
I am very involved in budget planning at the university level.
I am very involved in strategic planning at the university level.
Research Strategic Planning
75% of universities have institution-wide strategic plan for research and/or graduate education VPR led creation of plan in 72% of
schools
21% of universities have institution-wide strategic plan for undergraduate research VPR led creation of plan in 18% of
schools
Graduate Education and Research Strategic Plan Differences
Differences reported by VPRs that did and did not have institution-wide strategic plans for grad education and/or research
Institution size VPRs with a plan reported 1,413 FTE VPRs without a plan reported 1,213 FTE
Annual institution research expenditures VPRs with a plan reported $200,651,168 VPRs without a plan reported $178,107,142
200 FTE difference
$22,544,026difference
Topics in Strategic Plan for Research
Other
Linking research with philanthropy
Diversity among faculty and/or students
Non-profit foundations
Diversity of fields of research
Undergraduate Participation in Research
Applied Research Development
Research Interactions with Private Sector
External Funding
Multidisciplinary Research
0% 10% 20% 30% 40% 50% 60% 70%
Undergraduate Research Plan Differences
Different patterns were reported by VPRs that did and did not have institution-wide strategic plans for undergraduate research
Institution size VPRs with a plan reported 1,275 employees VPRs without a plan reported 1,412 employees
Annual institution research expenditures VPRs with a plan reported $218,978,551 VPRs without a plan reported $189,146,711
137 FTE difference
$29,831,840 difference
Questions to Consider
What role does/should the VPR office play in undergraduate research?
What ROI is perceived to arise from establishing an institution-wide strategic plan for undergraduate research?
Do VPRs tend to be managers or leaders in the institutional research agenda?
Would additional control over funding provide greater value to the VPR position and help attract people into it?
Preparation for and Views Toward Holding the VPR Position
Recall: VPR Demographics
86% from Research Universities 54% Very high research activity 32% High research activity
96% from public universities
42% at land grant university
VPR Gender and Ethnicity
Asian
White
Hispanic
Prefer not to Disclose
Female
Male
Prefer not to Disclose
Year VPR received PhD
Discipline of Degree
25% Biomedical and Biomedical Sciences
23% Physical Sciences
23% Engineering
10% Social Sciences
7% Agriculture and related sciences
10 yrs ago
20 yrs ago
30 yrs ago
40 yrs ago
Mean: 1983Std. Dev.: 7N: 56
On how many professional Boards, Commissions, Committees, and Councils external to your institution do you currently serve?
I received formal or informal TRAINING that allowed me to be a competitive candidate for my current position(s).
I received formal or informal PERSONAL MENTORING that allowed me to be a competitive candidate for my current position(s).
What else was instrumental in helping you to get your position?
Funding/Sponsored Research
Dean/Assoc Dean
Career success as faculty member/researcher
Service in governmental/federal organization
Chair/Director/Assistant Director
0% 10% 20% 30% 40% 50%
The opportunities for professional development I receive at my institution are helping me to excel in my current position.
Most Important Knowledge
How to develop and/or sustain programs
National Research Priorities
Personnel management
Developing and/or supporting strategic research areas and/or teams
University Culture
0% 10%20%30%40%50%60%70%80%
Most Important Skills
Critical thinking
Strategic planning
Ability to gain credibility in eyes of faculty
Ability to influence stakeholders (e.g., President, fellow Deans, Trustees, etc.)
Leadership
0% 20% 40% 60% 80%
Greatest Current Challenges of Position
Insufficient external funding
Too many activities for one person
Faculty who are insufficiently bold and unwilling to take risks
Burdensome Federal compliance regulations
Insufficient internal funding
Declining Federal budgets
0% 20% 40% 60%
Greatest Current Rewards of Position
Helping create jobs
Helping students achieve their goals
Building infrastructure for future research
Seeing advances made in the scholarly enterprise
Helping faculty achieve their goals
0% 20% 40% 60% 80%
Why VPRs would accept position if offered it today (N=39) (open-ended)
Rewarding
Ability to Influence Progress and Growth
Challenge
Enjoy the job/Great job
Having Influence (General)
0% 5% 10%15%20%25%30%35%
Why VPRs would not accept position if offered it today (N=11)
Funding (University or Federal)
Affect on family
Issues with Leadership
Lack of Influence
Too many responsibilities/Exhausting
0% 5% 10% 15% 20% 25% 30% 35% 40%
Questions to Consider
What aspects of the VPR role contribute to the desirability or lack of desirability of the position?
Would people from a non-traditional academic track be successful as a VPR in terms of capabilities and acceptance by peers?
In light of historical VPR career paths and skills, does it makes sense to have VPRs also oversee economic development activities?
How can the VPR position be made more attractive, and how can the next generation of leaders be proactively developed?
Challenges for Future and Strategies for Addressing Them
How long do you plan to remain in your current position?
What career path do you plan to pursue after you leave your current position?
Same Position Elsewhere
Research Faculty
VP for Remainder of Career
Provost
President
0% 5% 10% 15% 20% 25% 30% 35%
How many VPRs at your institution later became President/Provost?
None One Two Three Four Five0%
10%
20%
30%
40%
50%
60%
My responsibilities have changed during my time in the VPR/VCR position
New challenges/roles taken on recently
Research development
Federal Relations
Foundation relations
Commercialization of University research
Export controls
Private Industry Relations
Economic development
0% 10% 20% 30% 40%
Top Emerging Trends/Challenges for VPRs (open-ended)
Getting Faculty to Apply for Funding/Faculty Overwhelmed with Responsibilities
Industry Funding/Industry Relations
Compliance burden
Commercialization/Economic Development
Less funding/Funding Uncertainty
0% 20% 40% 60% 80%
Knowledge/Skills Needed for Position in Next 3-5 Years (open-ended)
Strategic Planning/Strategic Planning Im-plementation
Leadership/Management Skill
Ability to build linkages with private sector/industry;Working with private sector/industry
in research
Collaboration Skills/Teamwork/Ability to Build Teams
External Relations
0% 10% 20% 30% 40%
Ways to Make VPR Position More Effective (open-ended)
Involvement in Strategy
Authority for Personnel Decisions (Hiring/Evaluation/Tenure Review)
More Institutional Focus on Research
Report to President
More Staffing
More Funding
More Authority/Autonomy/Voice
0% 5% 10% 15% 20% 25%
Questions to Consider Should we be concerned that VPR skills
viewed as most important for the future are somewhat different than skills obtained as a traditional faculty researcher?
Is the VPR position seen as a stepping stone or as a last job prior to retirement? Does this impact those who might wish to enter the position, especially earlier in their career?
Do more current VPRs intend to pursue the role of President and/or Provost than in the past? Is this realistic given the statistics about positions obtained in the past?
What steps can be taken to plan effectively for the upcoming large turnover in VPR positions?
Preparing Next Generation of VPRs
APLU Orientation for new VPRs
39% attended formal APLU orientation 14% found it very unhelpful 73% found it helpful 14% found it very helpful
What was helpful about APLU orientation, or would have made it more helpful? (open-ended)
HR/Budget training
Compliance Issues
Clarification/Training on responsibilities
Networking/Learning from other VPRs
0% 10% 20% 30% 40% 50%
How much mentoring of potential future VPRs have you or your institution been providing during the past 3 years?
In the past, how has your university typically filled the VPR position?
My institution has a succession plan or clear path to developing the background needed for someone to attain my current position.
Top Ways to Prepare Future VPRs (open-ended)
Experience in office of VPR
Trainings from APLU/CRPGE
Administration Experience (other than Research Administration)
Leadership/Management/Communication Training
Experience in Research Administration
0% 5% 10% 15% 20%
Questions to Consider
How can we best prepare for the upcoming significant turnover in the VPR ranks?
How can institutions most effectively plan for succession in the VPR position?
Will the ideal VPR candidate have the same qualifications in 2-3 years as they do today?
If tenure in the VPR role becomes shorter, how might successors best be prepared?
How might CRPGE training be improved?
Questions to Consider
Do roles exist in CRPGE for Associate VPRs and others who might aspire to become VPRs? Can this be part of the professional development experience?
How can the survey results be most effectively distributed, and considered for use by senior academic leaders?
Preliminary Findings
VPR gender and ethnic diversity are notably low Surprisingly few institutions have plans for
undergraduate research given its increasing importance in academic scholarship and education
Institutions with strategic plans for research tend to fare better
VPR duties, workload and future challenges suggest difficulty attracting the next generation of leaders
VPR succession planning appears to not be a priority within institutions
Preliminary Findings
Considerable turnover (~50%) may occur in VPR positions during the next 1-3 years. Coupled with the clear lack of succession planning and mentoring of the next generation -- not to mention all of the changes underway in higher education -- we could be facing a very serious situation with regard to research administration leadership. It is unclear who owns this challenge.
Preliminary Findings
Current VPRs appear to view their successors as having career paths similar to their own. We may be missing an opportunity to draw in other types of leaders, e.g., from the research development professional ranks.
More senior academic leadership positions desired by current VPRs (provost, president) are mostly incongruent with what former VPRs actually obtained
Next Steps
Decide whether to re-issue the survey
Continue the analysis Statistical significance Cluster and other methods
Engage Presidents and Provosts Prepare draft manuscript
Reflections
The survey should be conducted again in 5 years, possibly with additional questions/issues
We should consider partnering with AAU in the future
The survey may be a role model for assessing other key positions (e.g., provosts, graduate deans)
Other APLU councils and committees might benefit from these types of surveys
Acknowledgments
We gratefully acknowledge APLU President Peter McPherson, for his
support and encouragement Those who completed the survey Joyce Williams, CRPGE Brett Litwiller and William Taylor,
University of Oklahoma Department of Psychology
Discussion Period
Questions For Discussion
1. What is contributing to the lack of diversity and how can it be addressed?
2. Could VPRs focus more on research development and other key strategic activities if compliance and/or other responsibilities are removed/restructured?
3. Is the VPR position sufficiently well understood and attractive to draw in the leadership needed for the future?
4. Can it be more effective as a step toward higher positions?
5. How can we best develop the next generation? Are non-traditional pathways to the position viable, and how can APLU help?