NSF Strategic Plan
Craig Robinson
(BFA/BD)
for AC/B&O
November 17, 2005
1
Mission
Vision
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
IDEAS
discoveries &
new knowledge
TOOLS
state-of-the-art
S&E architecture
PEOPLE
competitive
S&E workforce
ORGANIZATIONAL
EXCELLENCE
a capable,
responsive NSF
Strategic Outcome Goals
“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)
2
promote
the progress ofby
science;
to advance theCommittee
national health,
Objectives
Evaluated
Advisory
Mission To
prosperity & welfare; to secure the national defense
for Enabling
GPRA
Assessment
the Performance
Nation's future through discovery,
learning and innovation
Vision
IDEAS
discoveries &
new knowledge
-New Opportunitites
-Underrepresented Groups
-Cross-Disciplinary
-Collaborations
-Connections
-Contributions
Fundamental
S&E
Centers
Programs
Capability
Enhancement
TOOLS
state-of-the-art
S&E architecture
-Data Collection/Analysis
-Cyberinfrastructure
-Next Generation Facilities
-Instrument Technology
-Expand Access
PEOPLE
competitive
S&E workforce
-STEM Education
-Public Understanding
-Continuous Learning
-Greater Diversity
-Global S&E Workforce
ORGANIZATIONAL
EXCELLENCE
a capable,
responsive NSF
-Quality Merit Review
-Utilize New Technologies
-Diverse/Capable Staff
-Performance Assessment
Large Facilities
Individuals
Human Capital
Institutions
Business
Processes
Collaborations
Technologies &
Tools
Infrastructure &
Instrumentation
Polar Tools &
Logistics
FFRDCs
Priority Areas
3
Investment Categories
IDEAS
discoveries &
new knowledge
-New Opportunitites
-Underrepresented Groups
-Cross-Disciplinary
-Collaborations
-Connections
-Contributions
Fundamental
S&E
Centers
Programs
Capability
Enhancement
TOOLS
state-of-the-art
S&E architecture
-Data Collection/Analysis
-Cyberinfrastructure
-Next Generation Facilities
-Instrument Technology
-Expand Access
PEOPLE
competitive
S&E workforce
-STEM Education
-Public Understanding
-Continuous Learning
-Greater Diversity
-Global S&E Workforce
ORGANIZATIONAL
EXCELLENCE
a capable,
responsive NSF
-Quality Merit Review
-Utilize New Technologies
-Diverse/Capable Staff
-Performance Assessment
Large Facilities
Individuals
Human Capital
Institutions
Business
Processes
Collaborations
Technologies &
Tools
Infrastructure &
Instrumentation
Polar Tools &
Logistics
FFRDCs
Priority Areas
PART Programs
PMA
4
History of NSF Goals (not comprehensive)
1950s/1960s
1980s
·
Advancement of Science (Ideas)
·
·
Development of Individual Scientists (People) ·
Infrastructure (Tools)
·
Strengthening of Institutions (Tools)
·
Fairness
·
Response to Changing Culture
·
New Initiatives and Opportunities
1970s
Economic Competitiveness
·
People (People)
·
Knowledge (Ideas/People)
1995
·
Academic Institutions (Tools)
·
Leadership
·
Knowledge (Ideas/People)
·
Education
1979
·
Support Research (Ideas/Tools)
·
Enhance Return
1999
·
Identify and Recommend National Policies
·
Results
·
Investment Process
·
Management (Organizational
Excellence)
·
Maintain and Improve Agency Effectiveness
and Responsiveness (Organizational Excellence)
5
Ideas
Tools
People
Organizational Excellence
NSF Strategic Plan
http://www.nsf.gov/pubs/2004/nsf04201/FY2003-2008.doc
National Science Foundation
Strategic Plan
FY 2003 – 2008
Need to develop new plan
for FY 2006 – 2011 by
September 2006
Dr. Olsen leads this effort.
September 30, 2003
6
FY06 – FY11 Strategic Plan Development Timeline
DRAFT
Mar
AC Chair
Videoconference (tentative)
Nov
Initial Discussions
with ACs
Sep 30, 2005
Staff Input on
Current Plan
September 30, 2006
Submission to Congress and OMB
December 31, 2005
Final NSB
Vision Document
May
Jun
AC Chair
AC/GPA
Meeting (tentative)
Aug
NSB Review/Approval
Jun - Jul
Public Comment
Nov
Dec
Jan
Feb
Mar
Apr
May
Jun
Oct 1, 2005
Jul
Aug
Sep
Sep 30, 2006
Nov
Senior Management
Retreat
Oct
Strategic Planning Group
Meets (Deputy ADs)
Feb
NSB Initial
Discussion (tentative)
Dec
Public Comment on
Current Plan (tentative)
May
NSB Discussion
(planned)
Mar
NSB Discussion
(planned)
Timeline will include
discussions with OMB and
Congress Page
7 1
Plan Update Process
Communication
with NSF Staff
Current Strategic Plan
Staff Survey
Staff Interviews
AC/GPA Recommend
OMB Examiner
Strategic Planning Group
Spring Focus Groups
reports to
created
NSF
Leadership
+ NSB, Congress,
ACs, Staff Website,
DD Roundtable,
Focus Groups,
OMB, Public
Plan Writing
Subgroup
Add’l Documents
8
Evolving Strategic Planning Process -Recommendations from internal focus group…
Use an OPEN Process
Keep
Add/Change
• 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
• 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
9
Strategic Plan Required Components
(per OMB Circular A-11)
1.
2.
3.
4.
5.
6.
7.
Agency mission statement.
One or more strategic goals.
Means and strategies.
Relationship between annual performance goals and
strategic goal framework.
Identification of key factors that could affect
achievement of the strategic goals.
A description of program evaluations.
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.
10
What should the basic attributes of the
future NSF Strategic Plan be?
Current Strategic Plan
Focus Group
Recommendations
Content
• Broad, “100-year”
• Articulates NSF’s roles in
goals and
supporting mission
objectives
• Defines long-term goals
• Required objectives
and actionable priorities
be evaluated each
with a 3-5 year time
year
horizon
Integration
• Developed at NSF
• Integrates and drives
level with limited to
cross-Directorate goals
no Directorate
and objectives
linkages
Development
Process
• Limited staff input
Stakeholder/
Audience
• External/regulatory
• External and internal
stakeholders
stakeholders
(OMB/Congress)
• Open and inclusive
development process
NSB Vision Statement
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. 11
DRAFT
Discussion frameworks…
Stovepipes
(disconnected)
Hub and Spoke
(Contribution to Center)
Puzzle Pieces
(from NSB Vision)
Organizational
Excellence
People
Tools
Ideas
BIO
OPP/
OISE
SBE
Infrastructure
CISE
InterDisciplinary
MPS
EHR
Transformative
S&E
Engaging
Workforce
Public
ENG
GEO
Discovery
Innovation
Linked Process
(NSF Vision Statement)
OE
OE
Priorities
People
Priorities
Tools
Learning
Ideas
Excellence
Ideas
Tools
People
Priorities
Matrix
(Overlapping)
Venn Diagram
(Overlapping Relationships)
12
Discussion frameworks…
O/D
BIO
BFA/IRM/
OEOP/OGC/
OLPA
CISE
Ideas
OPP/OIA/
OCI/OLPA
EHR
Tools
People
SBE
Organizational
Excellence
ENG
MPS
GEO
13
Possible Strategic Planning Model (DRAFT)
Mission
Vision
Strategic Plan
• Strategic Goals
• Objectives
• Priorities
Operational
Plans and
Goals
Operational
Plans and
Goals
Operational
Plans and
Goals
14
DRAFT
Cross-Cutting Strategies
Mission and Vision
Mission defines basic purpose (required)
Strategic Goals
Vision is a guiding image of success normally with respect to society
Strategic
Goal #1
Strategic
Goal #2
Strategic
Goal #3
Strategic
Goal #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
15
Cross-Cutting Strategies
DRAFT
FY 2001 – 2006 Strategic Plan
Core Strategies
Five-Year Strategies
(1) Develop Intellectual
Capital
(1) Research along broad and expanding frontier
(2) Integrate Research and
Education
(3) Emerging opportunities (IT, BE, Nano, Workforce)
(3) Promote Partnerships
(2) “Unmet opportunities”
(4) Broaden participation and enhance diversity
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
16
Cross-Cutting Strategies
DRAFT
FY 2003 – 2009 Strategic Plan
Core Strategies
Investment Strategies
(1) Develop Intellectual
Capital
(2) Integrate Research and
Education
(1) Priority Areas (BE, HSD, ITR, Math, Nano)
(2) Federal Cross-Cutting Activities (NITRD, etc.)
(3) Promote Partnerships
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
17
DRAFT
Following the FY 2001-2006 Model
NSF Strategic Plan
Directorate/
Office Plan
#1
Increase
Outreach
Visits
Directorate/
Office Plan
#2
Hold
Workshop
Directorate/ NSF Priority/Strategy: Enhance Diversity
Office Plan
#3
Annual Goal: Increase Participation
by Institutions Outside Top 100
Link
Researchers
18
How Should We Think of Organizational Excellence?
Organizational
Excellence
•
Organizational Excellence
currently broken into IT, Human
Capital and Business Process
•
COVs tend to leave
Organizational Excellence
response blank
19
DRAFT
How Should We Think of Organizational Excellence?
Organizational
Excellence
Principal
Investigators
•
–
–
–
ACs/COVs
•
Staff
•
Awardee
Institutions
Reviewers/
Panelists
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
20
Advisory Committee for GPRA Performance
Assessment Meets Annually
"Nuggets"
Quantitative
Data
Using Strategic
Plan
Objectives…
Significant
Achievement?
•High Risk/
High Reward
•Quality
•Relevance
COV
Reports
Project
Reports
AC/GPA
Ideas
Tools
People
AC/GPA Report
Business &
Operations
Advisory
Committee
Organizational
Excellence
Made public
PAR/
PART
http://nsf.gov/pubs/2005/nsf05210/nsf05210.pdf
21
Should NSF Evaluate the NSF Portfolio
Every Year Against the Strategic Goal
Objectives?
22
AC/GPAPlanning
and B&O
Evaluate
Strategic
Cycle
Wednesday, November 16, 2005
Performance
Against Strategic Goals and Provide Input to
Year 3:
Development
of
Next Strategic Plan
AC/GPA + AC/B&O
Community
Community
FeedbackFeedback
as
Input to
Planning
Strategic Goal
Evaluations and
Planning Input
FY 2008
33.3333%
Performance
Performance
Plan
Year
2
Plan: Year
2
and
Directorate
Plans
Strategic
Strategic Plan
Plan
Development
Development
33.3333%
FY 2009
AC/GPA Meets Annually to
Concentrate a Key Issue(s)
OMB Budget (revised
performance plan)
FY 2007
33.3333%
Performance
Plan
Performance
Plan: Year 1
Year
1Planand Align
(Directorate
Development)
Directorate
Plans
DRAFT
23
Page 1
Wednesday, November 16, 2005
Strategic Planning Cycle
Year 3:
AC/GPA + AC/B&O
Strategic Goal
Evaluations and
Planning Input
Strategic Plan
Development
Community
Feedback
33.3333%
FY 2012
OMB Budget (revised
performance plan)
FY 2011
33.3333%
Performance
Plan: Year 2
FY 2010
33.3333%
Performance
Plan: Year 1
(Directorate Plan
Development)
DRAFT
24
Page 1
•Ideas
•Tools
•People
•Organizational
?
Excellence
25