1 NSF Strategic Plan Craig Robinson (BFA/BD) for AC/B&O November 17, 2005
Jan 19, 2016
1
NSF Strategic Plan
Craig Robinson
(BFA/BD)
for AC/B&ONovember 17, 2005
2
IDEASdiscoveries &
new knowledge
TOOLSstate-of-the-art
S&E architecture
ORGANIZATIONAL EXCELLENCE
a capable, responsive NSF
To promote the progress of science; to advance the national health, prosperity & welfare; to secure the national defense
Enabling the Nation's future through discovery, learning and innovation
Mission
Vision
PEOPLEcompetitive
S&E workforce
“The most effective means of evaluating federally funded research programs is expert review.” (“Implementing the Government
Performance and Results Act for Research: A Status Report” (2001) National Academies Committee on Science, Engineering,
and Public Policy)
Strategic Outcome Goals
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-New Opportunitites-Underrepresented Groups-Cross-Disciplinary-Collaborations-Connections-Contributions
-Data Collection/Analysis-Cyberinfrastructure-Next Generation Facilities-Instrument Technology-Expand Access
-Quality Merit Review-Utilize New Technologies-Diverse/Capable Staff-Performance Assessment
Fundamental S&E
Centers Programs
Capability Enhancement
Large Facilities
Infrastructure & Instrumentation
Polar Tools & Logistics
FFRDCs
Human Capital
Business Processes
Technologies & Tools
Priority Areas
IDEASdiscoveries &
new knowledge
TOOLSstate-of-the-art
S&E architecture
ORGANIZATIONAL EXCELLENCE
a capable, responsive NSF
To promote the progress of science; to advance the national health, prosperity & welfare; to secure the national defense
Enabling the Nation's future through discovery, learning and innovation
Mission
Vision
-STEM Education-Public Understanding-Continuous Learning-Greater Diversity-Global S&E Workforce
Individuals
Institutions
Collaborations
PEOPLEcompetitive
S&E workforce
Objectives Evaluated by Advisory Committee for GPRA Performance
Assessment
4
-New Opportunitites-Underrepresented Groups-Cross-Disciplinary-Collaborations-Connections-Contributions
-Data Collection/Analysis-Cyberinfrastructure-Next Generation Facilities-Instrument Technology-Expand Access
-Quality Merit Review-Utilize New Technologies-Diverse/Capable Staff-Performance Assessment
Fundamental S&E
Centers Programs
Capability Enhancement
Large Facilities
Infrastructure & Instrumentation
Polar Tools & Logistics
FFRDCs
Human Capital
Business Processes
Technologies & Tools
Priority Areas
IDEASdiscoveries &
new knowledge
TOOLSstate-of-the-art
S&E architecture
ORGANIZATIONAL EXCELLENCE
a capable, responsive NSF
Investment Categories
-STEM Education-Public Understanding-Continuous Learning-Greater Diversity-Global S&E Workforce
Individuals
Institutions
Collaborations
PEOPLEcompetitive
S&E workforce
PART Programs PMA
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History of NSF Goals (not comprehensive)
1950s/1960s
· Advancement of Science (Ideas)
· Development of Individual Scientists (People)
· Strengthening of Institutions (Tools)
1970s
· People (People)
· Knowledge (Ideas/People)
· Academic Institutions (Tools)
1979
· Support Research (Ideas/Tools)
· Enhance Return
· Identify and Recommend National Policies
· Maintain and Improve Agency Effectiveness and Responsiveness (Organizational Excellence)
1980s
· Economic Competitiveness
· Infrastructure (Tools)
· Fairness
· Response to Changing Culture
· New Initiatives and Opportunities
1995
· Leadership
· Knowledge (Ideas/People)
· Education
1999
· Results
· Investment Process
· Management (Organizational Excellence)
Ideas Tools People Organizational Excellence
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NSF Strategic Plan
S e p t e m b e r 3 0 , 2 0 0 3
N a t i o n a l S c i e n c e F o u n d a t i o n S t r a t e g i c P l a n
F Y 2 0 0 3 – 2 0 0 8
http://www.nsf.gov/pubs/2004/nsf04201/FY2003-2008.doc
Need to develop new plan for FY 2006 – 2011
by September 2006
Dr. Olsen leads this effort.
7Page 1
FY06 – FY11 Strategic Plan Development Timeline
Oct 1, 2005 Sep 30, 2006
Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep
NovSenior Management
Retreat
AugNSB Review/Approval
JunAC/GPA
MarAC Chair
Videoconference (tentative)
September 30, 2006Submission to Congress and OMB
Sep 30, 2005Staff Input onCurrent Plan
OctStrategic Planning Group
Meets (Deputy ADs)
NovInitial Discussions
with ACs
December 31, 2005Final NSB
Vision Document
Timeline will include discussions with OMB and
Congress
FebNSB Initial
Discussion (tentative)
MarNSB Discussion
(planned)
MayAC Chair
Meeting (tentative)
MayNSB Discussion
(planned)
Jun - JulPublic Comment
DecPublic Comment on
Current Plan (tentative)
DRAFT
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NSFLeadership
NSFLeadership
Plan Update Process
Str
ate
gic
Pla
nn
ing
Gro
up
S
tra
teg
ic P
lan
nin
g G
rou
p
Plan Writing Subgroup
Plan Writing Subgroup
Spring Focus GroupsSpring Focus Groups
Current Strategic PlanCurrent Strategic Plan
Staff SurveyStaff Survey
Staff InterviewsStaff Interviews
AC/GPA RecommendAC/GPA Recommend
OMB ExaminerOMB Examiner
Add’l DocumentsAdd’l Documents
reports to
Communicationwith NSF Staff
+ NSB, Congress, ACs, Staff Website, DD Roundtable, Focus Groups, OMB, Public
+ NSB, Congress, ACs, Staff Website, DD Roundtable, Focus Groups, OMB, Public
created
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Evolving Strategic Planning Process -- Recommendations from internal focus group…
Keep
• Use expert evaluation of long-term goals (GPRA alternative format)
• Keep strategic plan assessment of goals at agency level and keep goals as consistent as possible
Add/Change
• Examine roles, responsibilities and processes for major components used in the evaluation of the strategic plan (including COVs, Advisory Committees, Staff)
• Identify a few key priorities over plan duration (FY 06-11)
• Ensure strategic plan objectives can be evaluated and that they are meaningful
Eliminate
• Review usefulness of investment categories
Use an OPEN Process
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Strategic Plan Required Components (per OMB Circular A-11)
1. Agency mission statement. 2. One or more strategic goals. 3. Means and strategies. 4. Relationship between annual performance goals
and strategic goal framework. 5. Identification of key factors that could affect
achievement of the strategic goals. 6. A description of program evaluations. 7. Your plan should outline the process for
communicating goals and strategies throughout the agency, and for assigning accountability to managers and staff for goal achievement.
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What should the basic attributes of the future NSF Strategic Plan be?
Current Strategic Plan
Focus Group Recommendations NSB Vision Statement
Content
• Broad, “100-year” goals and objectives
• Required objectives be evaluated each year
• Articulates NSF’s roles in supporting mission
• Defines long-term goals and actionable priorities with a 3-5 year time horizon
The National Science Foundation ensures that the Nation maintains a position of eminence in global science, technology and knowledge development, through leadership in transformational research and excellence in science education, thus driving economic vitality, an improved quality of life, and national security.
Integration
• Developed at NSF level with limited to no Directorate linkages
• Integrates and drives cross-Directorate goals and objectives
Development Process
• Limited staff input
• Open and inclusive development process
Stakeholder/Audience
• External/regulatory stakeholders (OMB/Congress)
• External and internal stakeholders
DraftDraft
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Priorities
Priorities
Priorities
Discussion frameworks…
Stovepipes (disconnected)
Puzzle Pieces(from NSB Vision)
Excellence
Discovery
Innovation
Learning
Linked Process(NSF Vision Statement)
Venn Diagram(Overlapping Relationships)
OPP/OISE
SBE
MPS
GEO
ENG
EHR
CISE
BIO
Inter-Disciplinary
Hub and Spoke(Contribution to Center)
Org
an
iza
tio
na
l E
xc
ell
en
ce
Peo
ple
Idea
s
To
ols
Infrastructure Transformative
S&E
WorkforceEngaging
Public
Tools
Ideas
People
OE
Matrix(Overlapping)
OE
Peo
ple
Idea
s
To
ols
DRAFT
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Discussion frameworks…
ENG
Tools
Ideas
People
EHR
BIO
CISE
GEOMPS
SBE
OPP/OIA/OCI/OLPA
BFA/IRM/OEOP/OGC/
OLPA
O/D
Organizational Excellence
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Possible Strategic Planning Model (DRAFT)
MissionMission
VisionVision
Strategic Plan
• Strategic Goals
• Objectives
• Priorities
Strategic Plan
• Strategic Goals
• Objectives
• Priorities
Operational Plans and
Goals
Operational Plans and
Goals
Operational Plans and
Goals
Operational Plans and
Goals
Operational Plans and
Goals
Operational Plans and
Goals
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Mission defines basic purpose (required)
Vision is a guiding image of success normally with respect to society
Mission and Vision
Strategic Goals
StrategicGoal #1
StrategicGoal #2
StrategicGoal #3
StrategicGoal #4
NSF Investment Strategies (or Priorities)
• Can cross multiple Strategic Goals and Directorates/Offices
• Used to guide resource allocation (e.g. NSF-wide budget formulation)
• Helps define appropriate performance goals and the means to achieve them
Cross-Cutting Strategies DRAFT
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NSF Investment Priorities (or Strategies)
• Can cross multiple Strategic Goals and Directorates/Offices
• Used to guide resource allocation (e.g. NSF-wide budget formulation)
• Helps define appropriate performance goals and the means to achieve them
FY 2001 – 2006 Strategic Plan
Core Strategies
(1) Develop Intellectual Capital
(2) Integrate Research and Education
(3) Promote Partnerships
Five-Year Strategies
(1) Research along broad and expanding frontier
(2) “Unmet opportunities”
(3) Emerging opportunities (IT, BE, Nano, Workforce)
(4) Broaden participation and enhance diversity
Cross-Cutting Strategies DRAFT
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NSF Investment Priorities (or Strategies)
• Can cross multiple Strategic Goals and Directorates/Offices
• Used to guide resource allocation (e.g. NSF-wide budget formulation)
• Helps define appropriate performance goals and the means to achieve them
Core Strategies
(1) Develop Intellectual Capital
(2) Integrate Research and Education
(3) Promote Partnerships
Investment Strategies
(1) Priority Areas (BE, HSD, ITR, Math, Nano)
(2) Federal Cross-Cutting Activities (NITRD, etc.)
FY 2003 – 2009 Strategic Plan
Cross-Cutting Strategies DRAFT
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Annual Goal: Increase Participationby Institutions Outside Top 100
Annual Goal: Increase Participationby Institutions Outside Top 100
NSF Priority/Strategy: Enhance DiversityNSF Priority/Strategy: Enhance Diversity
Following the FY 2001-2006 Model
Directorate/Office Plan
#1
Directorate/Office Plan
#1
Directorate/Office Plan
#2
Directorate/Office Plan
#2
IncreaseOutreach
Visits
IncreaseOutreach
Visits
HoldWorkshop
HoldWorkshop
Directorate/Office Plan
#3
Directorate/Office Plan
#3
LinkResearchers
LinkResearchers
NSF Strategic PlanNSF Strategic Plan
DRAFT
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Organizational Excellence
How Should We Think of Organizational Excellence?
• Organizational Excellence currently broken into IT, Human Capital and Business Process
• COVs tend to leave Organizational Excellence response blank
Information
TechnologyHuman
Capital
Business
Processes
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How Should We Think of Organizational Excellence?
Awardee Institutions
Reviewers/ Panelists
Staff
Principal Investigators
ACs/COVs
• Focus on outcomes across business components
– Better proposals through improved feedback to PIs
– Broaden reviewer base – Enhance their selection, work
with awardee institutions on AM&O
• More closely links OE to activities in program offices (OE is not something only for BFA and IRM)
• More closely links OE to COV activities
Organizational Excellence
DRAFT
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AC/GPA
Ideas Tools People
"Nuggets"COV
ReportsProjectReports
Advisory Committee for GPRA Performance Assessment Meets Annually
Using Strategic Plan
Objectives… Significant
Achievement?
Organizational Excellence
Business & Operations Advisory Committee
AC/GPA Report
QuantitativeData
Made public•High Risk/ High Reward•Quality•Relevance
http://nsf.gov/pubs/2005/nsf05210/nsf05210.pdf
PAR/PART
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Should NSF Evaluate the NSF Portfolio Every Year Against the
Strategic Goal Objectives?
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33.3333%
33.3333%
Strategic Plan Development
Year 3:AC/GPA + AC/B&O
Strategic Goal Evaluations andPlanning Input
PerformancePlan: Year 1
(Directorate Plan Development)
CommunityFeedback
PerformancePlan: Year 2
FY 2009
FY 2007
FY 2008
Wednesday, November 16, 2005Strategic Planning Cycle
OMB Budget (revised performance plan)
DRAFT
Strategic Plan
Development
Performance Plan Year 1 and
Align Directorate
Plans
Performance Plan Year
2 and Directorate
Plans
Community Feedback
as Input to Planning
AC/GPA and B&O Evaluate Performance Against Strategic Goals and Provide
Input to Development of Next Strategic Plan
AC/GPA Meets Annually toConcentrate a Key Issue(s)
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33.3333%
33.3333%
Strategic Plan Development
Year 3:AC/GPA + AC/B&O
Strategic Goal Evaluations andPlanning Input
PerformancePlan: Year 1
(Directorate Plan Development)
CommunityFeedback
PerformancePlan: Year 2
FY 2012
FY 2010
FY 2011
Wednesday, November 16, 2005Strategic Planning Cycle
OMB Budget (revised performance plan)
DRAFT
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•Ideas•Tools•People•Organizational Excellence
?