National Survey of APLU Vice Presidents and Vice

National Survey of APLU Vice Presidents and Vice Chancellors for Research Kelvin K. Droegemeier, Lori A. Snyder, and Alicia J. Knoedler University of Oklahoma Caroline Whitacre The Ohio State University Howard Gobstein, Christine Keller, Teri Lyn Hinds, and Nathalie Argueta APLU CRPGE Summer New VPR Workshop Berkeley, CA July 13, 2014

Context �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 for the Survey �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

Survey 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

Why Should You Care? � As a new or recent VPR/VCR – to help you … Better understand the broad national landscape for contextualizing your new position Shape your own way and that of your institution best practices and arguments for change Better understand the challenges facing research nationally Participate in developing the next generation of research leaders, at your institution and nationally, with attention to key issues such as diversity and VPRs from nontraditional pathways

Why Should You Care? �As an Aspiring VPR/VCR or someone curious about the position – to help you … Better understand the position and whether and where you might wish to seek it Identify personal and professional skills and capabilities needing improvement Gain relevant new experience, especially if you have followed a non-traditional pathway Begin thinking about changes you may wish to make, or ideas you may wish to offer now to meet future challenges

Structure of the Survey: 64 Questions to VPRs About. . . �Their Institution (6) �Themselves (5) �Their Professional Experience (8) �The Structure of their Current Position (19) �Their Training (5) �Current State of their VPR/VCR Position (18) �Succession Planning (3) �Response rate = 50% � Many more results and analyses than I have time to show today!!

Response Demographics � 84% from Research Universities 51% Very high research activity 33% High research activity � 97% from public universities � 41% from land grant universities � Broad cross section (more details available)

VPR Gender and Ethnicity White Female Black or African American Male Asian Prefer not to Disclose

Year VPR received Ph. D 40 yrs ago Discipline of Degree 25% Engineering 30 yrs ago 20 yrs ago Mean: 1983 Std. Dev. : 7 N: 79 24% Biomedical and Biomedical Sciences 22% Physical Sciences 5% Social Sciences 10 yrs ago 5% Psychology 5% Agriculture and related sciences

Year Received Ph. D by Discipline

Reporting Structure in VPR Organization by Gender Male (N=63) Female (N=15)

Most Common VPR Responsibilities Institutional Review Board Sponsored programs, pre-award services Research development Inst. Animal Care & Use (IACUC) External Funding Research Center/Campus Patenting/licensing 82% 84% 86% 88% 90% 92% 94% 96% 98%

VPR Organization Budget � 63% have budget linked to indirect cost recovery

VPR Organization Budget (in millions of dollars)

What is your role in deciding whether cost sharing should be provided to a given grant proposal submission?

VPR Role in Retention Packages � 57% have role in funding retention packages, relative to other offices Percentage funded by VPR

Role of VPR in Funding 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.

I am very involved in budget planning at the university level.

I am very involved in strategic planning at the university level.

Goals of Strategic Plan for Research Multidisciplinary Research External Funding from Federal Agencies Research Interactions with Private Sector Applied Research Development Undergraduate Participation in Research with Non-Profit Foundations Diversity of Fields of Research Diversity Among Faculty and/or Students Linking Research with Philanthropy Other 0% 10% 20% 30% 40% 50% 60% 70% 80% 90%100%

I received formal or informal TRAINING that allowed me to be a competitive candidate for my current position(s).

What else was instrumental in helping you to get your position? (open-ended) Director/Assistant Director Department Chair/Head Research Experience Service in Gov. /Federal Organization Dean/Assoc. Dean Involvement with Sponsored Research Leadership Outside of Academia 0% 5% 10% 15% 20% 25% 30%

Most Important Knowledge University Culture Developing Strategic Research Areas and/or Teams National Research Priorities Personnel Management How to Develop and/or Sustain Programs 0% 10% 20% 30% 40% 50% 60% 70% 80%

Most Important Skills Leadership Ability to Influence Stakeholders (E. G. , President, Fellow Deans, Trusts, Etc. ) Ability to Gain Credibility in Eyes of Faculty Strategic Planning Critical Thinking 0% 10% 20% 30% 40% 50% 60% 70% 80% 90%

Greatest Current Challenges of Position Decling Federal Budgets Insufficient Internal Funding Insufficient External Funding Too Many Activities for One Person Faculty Who are Insufficiently Bold and Unwilling to Take Risks Burdensome Federal Compliance Regulations 0% 10% 20% 30% 40% 50% 60% 70%

Greatest Current Rewards of Position Helping Faculty Achieve Their Goals Building Infrastructure for Future Research Seeing Society Benefit through the University's Research Efforts Seeing Advances Made in the Scholarly Enterprise Helping Create Jobs 0%10%20%30%40%50%60%70%80%90%

New challenges/roles taken on recently Economic Development Commercialization of University Research Export Controls Foundation Relations Philanthropy Private Industry Relations 0% 5% 10% 15%20% 25% 30% 35%40%

Top Emerging Trends/Challenges for VPRs (open-ended) Funding Issues Economic Development Relationships with Industry Compliance Burden Research Collaboration Faculty Development 0% 10% 20% 30% 40% 50% 60% 70% 80%

Knowledge/Skills Needed for Position in Next 3 -5 Years (open-ended) External Relations/Communication Leadership/Management Skills Fostering Teamwork/Collaboration Working with Industry/Private Sector Strategic Planning Internal Relations (within University) 0% 5% 10% 15% 20% 25% 30% 35% 40%

Ways to Make VPR Position More Effective (open-ended) More Staffing More Funding Involvement in Strategic Decisions Report to President More Institutional Focus on Research Changes in F&A distribution Increase Internal Support 0% 5% 10% 15% 20% 25% 30%

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? President VPR for Remainder of Career at Same Institution Provost Other Position Research Faculty Teaching Faculty 0% 5% 10% 15% 20% 25% 30% 35%

How many VPRs at your institution later became President/Provost?

My responsibilities have changed during my time in the VPR/VCR position

APLU Orientation for new VPRs � 39% attended formal APLU orientation 12% found it very unhelpful 76% found it helpful 12% found it very helpful

What was helpful about APLU orientation, or would have made it more helpful? (open-ended) Interaction with Other VPRs Training on Responsibilities Compliance Issues HR/Budget Training 0% 10% 20% 30% 40% 50% 60% 70%

In the past, how has your university typically filled the VPR position?

Top Ways to Prepare Future VPRs (open-ended) Research Administration Experience Other Admin. Experience Leadership/Mgmt. /Comm. Training Experience in Office of VPR Management of Large Entities General Research Experience 0% 5% 10% 15% 20% 25%

Summary of Preliminary Findings �VPR gender and ethnic diversity are notably low �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

Summary of 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.

Summary of 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

So You Want to be a VPR? � Speak with your VPR about your ambitions and her/his view of possible professional development activities � Point your VPR to this survey and the papers to emerge from it � Seek to become a strategic player at your institution beyond research development, but in ways closely linked to it � Read materials that are relevant to VPR activities � Use NORDP, SRA, COGR, NCURA as a means to network