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Succession Planning and Building Infrastructure at a PUI

March 2013

Lori Messer, Director, Office of Research & Sponsored ProgramsWake Forest University

Debbie Shaver, Director, Office for Research Services and Sponsored Programs

Georgia Southern University

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Objectives/Overview

• Steps/ideas related to succession planning and building infrastructure that are:– Immediate

– Short-term

– Long-term

– Done independently

– Dependent on others at your institution

• Examples

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Objectives/Overview

• This is YOUR session!!• We want this to be interactive so please share

your ideas, concerns, or problems

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Introduction

– What challenges do PUIs have in common?

– What do we mean by succession planning?

– Why do it?

– How is this related to infrastructure development?

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PUI Challenges• Lower-volume research activity

• Tight resources– Personnel

– Systems

– Money

• Smaller or no pool of graduate students

• Harder to carve out niches

• Not as well known in the sponsored arena

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What is Succession Planning?• Succession planning is a process through which an

organization develops and grooms their employees for recruitment and promotion purposes. The goal is to fill key roles within the company with well-trained employees, often prepared through skills development for the assumption of more challenging duties within the organization.

Read more: About Succession Planning | eHow.com http://www.ehow.com/about_5081391_succession-planning.html#ixzz1sEujyide

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Why Succession Planning?• Aging workforce

• One-off career field

• Seamless transition more critical to PUI’s

• Mandate for a good leader

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Group Exercise

• Consider these two questions:– What role does external recruitment play in Succession

Planning? What are the pros and cons of external recruitment?

– What are the barriers to succession planning? What strategies should we use to overcome and persevere?

• Share responses with all participants

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What are some steps you can do immediately?

• Revise policies and procedures

• Identify staff with interest and potential (may not be in your department)

• Encourage staff professional development

• Arrange for external evaluation

• Others??

• What are the barriers/challenges to these?

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Short-term solutions?• Purchase electronic systems (could also be long-

term)

• Encourage staff to attain CRA status

• Leadership training for select staff

• Peer institution visits/reviews (can trade off)

• Evaluate current and future resource needs

• Others???

• What are the barriers/challenges to these?

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Long-term solutions?

• Purchase an electronic system

• Set up rotating schedule for policy, process and resource reviews

• Internship program

• Others???

• What are the barriers/challenges to these?

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What can you do yourself?• Most Directors would be able to take

immediate steps with limited involvement from others

• Does funding make a difference?

• What about state supported institutions?

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Outside influences?

• Who decides when you prepare a strategic plan?

• Does your institution required external peer reviews on a regular schedule? Is it worth it to have this type of review?

• Agency reviews

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Notes about personnel• Training programs

– Identify candidates through training programs if offered at your institution

• How did you get your first RA position?– Is there a particular kind of experience/background that translates into

success at your institution?

• Recognize the limitations of your staff

• Purchase electronic systems in lieu of hiring?

• Others???

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Example: Wake Forest University

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Award History FY03-FY12

'03 '04 '05 '06 '07 '08 '09 '10 '11 '12$0

$2,000,000

$4,000,000

$6,000,000

$8,000,000

$10,000,000

$12,000,000

$14,000,000

$16,000,000

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FY04 Org ChartPresident

Provost

Associate Provost for Research

Director

Assistant Director

Student Assistants

Coordinator, Research Services

Editor, Researcher

Administrative Coordinator (IRB)

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FY04

• University created Associate Provost for Research position

• We focused on what kept us up at night - IRB

• ORSP hired dedicated staff to coordinate human protections program; revised and improved IRB policies and procedures

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2007-2008

• WFU began strategic planning

• All departments required to prepare a plan

• In preparation for our plan we asked Julie Norris to evaluate our office

• Julie made specific recommendations on staffing• Associate Director for Compliance

• Associate Director ORSP

• Director of Post-Award (not in ORSP)

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2007-2008 cont.• Received funding to create Associate Director

for Faculty Research Compliance & Support the following year

• Implemented electronic IRB system

• ORSP co-funded Business Manager positions in Health & Exercise Science Department & Physics

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Current Org ChartPresident

Provost

Associate Provost for Research

Director

Associate Director

Assistant Director

Associate Director for Faculty Research

Compliance & Support

Editor, Researcher Coordinator, Research Services

Student Assistants

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Current• Creation of ORSP Associate Director did not come

as easily/quickly– Left us without backup personnel for new electronic IRB system and

contract negotiation duties

– Posted and hired in spring/summer 2010

• Increased indirect cost recovery due to MTDC basis; FY14 proposed rate is higher

• Currently evaluating candidates for a new Business Manager position with the Dean’s Office and 3 departments

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Georgia Southern University: Maximizing Our Potential

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Award History FY01-FY12

'02 '03 '04 '05 '06 '07 '08 '09 '10 '11 '12$0

$2,000,000

$4,000,000

$6,000,000

$8,000,000

$10,000,000

$12,000,000

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What changes have occurred?

• New president (former VPR at LSU)

• New Provost and then another

• New University Foundation leadership

• Interim Deans and Chairs

• New F&A rate

• Acquisition of not-for-profit manufacturing company

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What changes are in store?

• Huge emphasis on external funding

• New hires for key positions (chairs, deans)

• New faculty hires emphasize potential for external funding

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What are we doing to prepare?• Arranged for external review of overall process

• Initiated policy review and development

• Home grown research admin application

• “Selected” for NSF Business Process Review (Twice!)

• Meet with faculty candidates

• Mandated meeting with new faculty

• Judicious use of EOY funds

• RA Program

• Leadership training for experienced personnel

• CRA training and certification

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Summary: Things to Consider• Are you and the institution willing to invest in

acquiring and/or training people to perform functions?

• Do you need to automate to reduce staff or improve capacity?

• Are you able to spend some time to get objective evaluation?

• Have you considered the risk angles?

• Can you collaborate or team with other institutions?

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References• Of Course We Have a Succession Plan… Don’t We?

SRA International Meeting 2011Daniel Campbell, University of Idaho; Nancy Shrope, Washington State University; Joann Waite, Gonzaga University

• Rothwell, WJ., The Nuts and Bolts of Succession Planning. 2007

• About Succession Planning | eHow.com http://www.ehow.com/about_5081391_succession-planning.html#ixzz1sEujyide

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Resources• NCURA Peer Review Programhttp://www.ncura.edu/content/peer_to_peer_review/

• Council on Undergraduate Research consulting services

http://www.cur.org/consulting.html

• Huron Consulting Grouphttp://www.huronconsultinggroup.com/

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Thank you!

Contact info:

• Lori Messermesserlj@wfu.edu(336) 758-5888

• Debbie Shaverdnshaver@georgiasouthern.edu(912) 478-0580