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

?