National Science Foundation Panel Review of UCAR and NCAR Management UCAR and NCAR Response to the Review Panel Observations and Recommendations January 18, 2002 1. Introduction The management of the University Corporation for Atmospheric Research (UCAR) and the National Center for Atmospheric Research (NCAR) has received the report from the distinguished Panel 1 selected by the National Science Foundation (NSF) to review the operation and management of NCAR by UCAR. The NSF Panel review process was comprehensive and thorough and involved the submission and evaluation of extensive written materials prepared by UCAR and NCAR, the examination of written comments from a set of external reviewers selected by NSF, and a two-day site visit held on 15-16 November 2001. During this visit, UCAR and NCAR management made a series of formal presentations to the Panel. The presentation summarized some of the most significant scientific, technical and management achievements of UCAR and NCAR since the previous review in 1997. These presentations also summarized the results of the eight individual NSF panel reviews of NCAR divisions conducted over the period between 11 September and 1 November 2001, as well as the NSF best practices review of UCAR s finance and administrative services, held on 22-24 October 2001. The management review Panel also gathered information through a series of planned and ad-hoc meetings with NCAR and UCAR staff. The present and past Chairs of the UCAR Scientific Programs Evaluation Committee, Professor Robert Duce and Dr. Franco Einaudi also participated in the site visit. We are pleased that the NSF Panel recognized their valuable contributions and recommended that the practice of including participation by the SPEC in future NSF reviews be continued. We certainly agree with this recommendation. UCAR and NCAR management are extremely grateful to the Panel members for their hard work and insights. The Panel s set of findings and recommendations will be very helpful to us in planning for the future. We also appreciate the opportunity to respond here to the Panel s observations and recommendations. We are gratified by the overwhelmingly positive nature of the review and are particularly excited by the nature and content of the constructive recommendations. These recommendations will challenge us and our primary partners the NSF, other federal funding agencies, and the university community - to build on the successful NCAR program and, in the words of the Panel, take the national center concept to a new level. 1 Dr. D. James Baker, Chair; Dr. Charles Elachi; Ms. Susan Fruchter; Sir Julian Hunt and Professor J. David Litster 1
We have structured our response to the Panel s report in six thematic areas corresponding roughly to the organization of the report. These are: General Comments on the Panel Summary; National/International Leadership; Strategic Planning; Programmatic Issues; Funding, and Management Issues. 2. Response to the Summary of Panel Observations and Recommendations We are in full agreement with the summary statements of the Review Panel. We are pleased to find that the Panel believes, on the basis of compelling evidence, that UCAR and NCAR are well managed, have a clear vision of the future, and are poised to bring new contributions to the understanding and application of atmospheric sciences to national needs. The Panel believes, as do we, that NCAR is well positioned to build on its strengths and its continuing commitment to excellence to reach a new level of leadership one that exerts a yet more profound influence on the national and international agenda for atmospheric sciences. As pointed out by the Panel, and as discussed further below, attaining this new level will require a commitment and sustained effort by our partners and us. We are also pleased to learn that the Panel is impressed by the quality of the NSF support and direction and the synergy between facility and primary funder. NCAR and UCAR have benefited greatly from the diligence and wisdom of the NSF leadership and management who are responsible for oversight of the center. We believe that the relationship between the NSF and its prime FFRDC is a healthy one that has stood the test of time. We remain fully committed to this relationship and will continue to embrace the values and principles that NSF brings to the nation. The Panel noted that both the internal staff and the external community are pleased with the leadership of NCAR and UCAR as reflected in the recent strategic planning documents (the NCAR strategic plan and the UCAR Strategic Plan for Education and Outreach). We are proud of these plans and will work hard to implement them. We are also pleased that the Panel recognizes the high quality of the UCAR administrative support and the responsive and progressive human resources programs, and that our commitment to fostering diversity, professional growth, and career development at NCAR and UCAR is so strongly valued by internal staff and external community members. In their summary statement, the Panel cautioned that the erosion of core NSF funding [over the past ten years] will need to be reversed if NCAR is to reach its full potential. We agree with this assessment. The purchasing power of the core, or base funds to NCAR has declined slightly over the past decade and this tendency, if unchecked, clearly has the potential to limit future contributions. We are pleased to note that the more favorable FY2001 and FY2002 core NSF budgets have reversed this decadal trend and we are hopeful that further well-justified budgetary augmentations will be possible to help accomplish the ambitious goals of the new strategic plan and implement the recommendations of the Review Panel. The Panel referred to the Environmental Societal Impacts Group (ESIG) as an element of NCAR s program that should be enhanced to better apply atmospheric science information to national 2
needs. We agree with this recommendation, which is fully consistent with the new NCAR strategic plan. We have already initiated a multi-year program to augment ESIG along the lines suggested by ESIG s own NSF review Panel. Two recent Scientist I hires were made in 2001/2 and an additional Scientist III position is currently being advertised. We agree with the Panel that the societal impacts of atmospheric and environmental change are of increasing importance to our nation and the world and we will work to ensure that NCAR s research portfolio properly reflects this fact. In its summary statement, the Panel mentioned several management challenges that will need to be addressed in the future. These include issues related to new facility development (e.g., the high altitude aircraft development) and the need for strategic planning for UCAR and NCAR facilities and space. We agree with these comments and a more detailed response is provided below. Finally, in response to the Panel s summary comments, we are particularly thankful for the kind tenor of the remarks concerning the leadership of NCAR and UCAR. We support the Panel s statement that the NSF review process was thorough, comprehensive, and beneficial. We, too, would like to acknowledge Cliff Jacobs and his team for conducting an efficient and thoughtful process. And, we do, indeed, take the review process in a constructive way, and intend to act on its recommendations. 3. National and International Leadership Perhaps the most resonant recommendation from the review speaks to the future leadership role for NCAR. The Panel strongly urges NCAR and UCAR to further develop the concept of a national center and bring it to a new level. We agree with this recommendation and, in fact, have made such an aspiration the centerpiece of our new strategic plan. As a unique, universitybased institution, we believe that UCAR and NCAR have a responsibility to help shape the national and international agenda in the atmospheric and related sciences. To accomplish this will require more than our traditional (and essential) commitment to excellence in research. We reiterate our long-held commitment to both lead and serve the broad atmospheric sciences community. In direct response to this recommendation, we will hold a special two-day Director s Retreat in late February 2002, to address an action plan for future NCAR leadership. In particular, we agree with the following (paraphrased) comments of the review Panel: 1. NCAR will have to act more intently and comprehensively as a strategic partner to its primary sponsor, the NSF. Many of the most important scientific challenges facing us today require the harmonious combination of interdisciplinary efforts, community facilities, large and sustained team efforts, integration of science and education, and the application of new observational, computational, informational, and technological capabilities. As a national center acting in partnership with the university community, NCAR will work to help the NSF develop an aggressive implementation plan for geosciences research during the next decade. NCAR and UCAR management will work closely with NSF to align the NCAR strategic plan with 3
agency goals to further this objective. 2. NCAR should lead the development of a national agenda in the atmospheric and related sciences that includes the capabilities of the various federal agencies. We agree with this recommendation. NCAR will reach out to other institutions and agencies to help develop this agenda. We will do this, as the Panel suggests, by taking on such issues as linking research and operations, for example, in forecasting climate, weather and space weather; intellectual property rights; and full and open access to data. We believe that the comprehensive and ambitious nature of our new strategic plan provides us with an important intellectual platform to inform the national debate on geosciences research. After a year of planning and introspection leading to the development of our new Strategic Plan, NCAR is ready and primed to play this enhanced role in the broader community. As noted and welcomed by the Panel, the NCAR Director has already recognized the importance of involving the broader diverse community in the direction of NCAR and has established a new high-level Advisory Board that includes representatives from academia, the private sector, foundation and non profit organizations. We anticipate that the new Advisory Council (with simultaneous inputs from the UCAR university-based governance structure) will guide and help NCAR s implementation of the Panel s recommendation. Finally, we will work to build stronger relationships with agencies such as NASA, NOAA, DoD, DOE, FAA, DOT, USGS, EPA, and other relevant agencies. In particular, we will work to help shape the inter-agency national research efforts in climate, weather, and space weather areas. We agree with the Panel that this effort will require identifying external partners and institutions that will help us promote the national agenda and become champions for NCAR and its community programs. 3. NCAR staff should take on broader national leadership roles to help develop a national agenda. We agree with this recommendation and recognize its importance. We will redouble our efforts to encourage our staff to take the recommended broader role as ambassadors of NCAR and make sure that such contributions are appropriately recognized and rewarded internally. Our scientists and engineers will be encouraged to listen and engage on issues of community interest and our reward system (hiring, salary adjustments and promotions) will be explicitly geared to recognize and encourage such important contributions. We will also encourage staff to continue and enhance the long tradition of serving on advisory committees for other institutions and for the National Research Council. 4. To reflect the broader role for NCAR, management should consider the appointment of the NCAR Director to the U.S. Delegation to the World Meteorological Organization Meetings. We concur with this recommendation and have already initiated discussions with the Director of the NWS (the head of the U.S. Delegation to the WMO) to investigate the possibility of the UCAR President or NCAR Director serving on the delegation. 5. NCAR and UCAR should explore with the NSF and other government agencies, the possibility of establishing cooperative arrangements for aircraft operations, such as the UNOLS (University National Oceanography Laboratory System) arrangement used by the 4
oceanographic community form ship operations. We agree and will work with NSF on the issues underlying this recommendation. NCAR is committed to long-term robust provision of aircraft facilities for the atmospheric sciences community. Such facilities require rigorous managerial strategies designed to cover both deployment and maintenance costs and the UNOLS mechanism provides an interesting and successful model that should be investigated. 4. Strategic Planning We are greatly encouraged by the Panel s assessment that the new NCAR Strategic Plan is well thought out and visionary with a powerful sense of future direction. We also appreciate that the Panel welcomed the inclusive approach taken to involve all stakeholders during the development of this plan. With this encouragement and the recent approval of the Plan by the UCAR Board of Trustees, we have initiated a detailed implementation planning effort. To get an early start of the process, the NCAR Director has set aside $1.3M of FY2001 funds to initiate the interdisciplinary strategic initiatives. In addition, the NCAR Director will immediately double the size of the Director s Opportunity Fund in FY2002 (from $400k to $800k annually) in response to the recommendation of the Panel, and will plan for further augmentations in subsequent fiscal years. We are also pleased that the Panel found the UCAR Education and Outreach Strategic Plan to be exemplary, with an aggressive set of priorities and goals and commendable ongoing programs. We intend to fully implement the education and outreach strategic plan which calls for a full spectrum approach, involving students of all ages and the public. In FY2001 for the first time, NCAR has contributed a portion of its base funding directly to support activities in education and outreach. An increased commitment to the integration of education and research on the part of NCAR is fully consistent with NSF priorities and is a major priority of NCAR and UCAR management. We note the recommendation of the Panel to augment these two strategic plans with a complementary strategy for the development and operation of UCAR-wide facilities and with a strategy for the long-term space needs. We agree with this recommendation and have already initiated a more comprehensive space planning and facility operation effort across all of UCAR. 5. Response to Programmatic Recommendations The Panel made several helpful recommendations concerning programmatic issues. In particular, we agree with the following (paraphrased) comments of the review Panel: 1. The Environmental Societal Impacts Group (ESIG should grow to reflect the importance of the societal implications of NCAR s work. As discussed above, we agree with this recommendation, which is consistent with the NCAR strategic Plan and the report of the recent NSF ESIG Review Panel. We have set in motion a multi-year plan to augment ESIG with a series of new hires (approximately one 5
per year). Two early career scientists were appointed during 2001 and 2002 and a search is underway for a Scientist III with social science background interested in the societal implications of severe weather. ESIG plays a central role in many of the new NCAR Strategic Initiatives and, in particular, is leading the important effort in climate and weather assessment science. We recognize that ESIG will play an increasingly important role within NCAR and are preparing for its growth to the point where it can fully reach its potential. 2. The Panel encourages the broader NSF community to enhance and extend the integrative science supported by ATM and encourages other NSF Divisions to accept proposals from NCAR scientists, and to fund them if they are competitive. We appreciate this recommendation and understand the thinking behind it. The theme of the new strategic plan, NCAR as an Integrator can only be true to the extent that the national center galvanizes integrative science within the broader community. We will work through our university governance bodies and elsewhere to make this a reality. It is also true that the relationship between NCAR and parts of NSF other than ATM can be strengthened to mutual benefit. A prime example of this is in the area of information technology research, where NCAR has much to offer, yet has been unsuccessful in building an effective relationship with the CISE Directorate. We will do our part to create and enhance these relationships. 3. Efforts in Education and Outreach should Grow. We agree with this recommendation, which is consistent with the Education and Outreach strategic plan. Several new programs are being developed, including a new summer leadership workshop for undergraduates, an improved educational web presence, a series of geosciences workshops for middle and high school teachers, an early career faculty development program, augmentations to the tours and exhibits programs, an enhanced graduate fellowship program, and educational supplements to existing programs. We are also committed to the continued support of the SOARS (Significant Opportunities in Atmospheric Research and Science) program (a winner of the 2001 Presidential Award for Excellence in Science, Mathematics, and Engineering Mentoring) as well as many other highly valued existing programs. As noted above, core funding from the base NCAR program is being provided to sponsor high priority education and outreach programs and this component of the core program is scheduled to grow in magnitude and importance should budgets allow. 4. Efforts to increase diversity should be enhanced. UCAR and NCAR are extremely proud of the SOARS program and will continue to support this award-winning effort at an optimal level. In addition, as described in the Education and Outreach Strategic Plan, we intend to intensify our efforts to increase the diversity of people and ideas at the center. An internal UCAR Diversity Task Force has issued a report that recommends specific actions that we will undertake to increase our efforts in recruiting and retention of a diverse workforce. A second study, dealing with issues of workplace environment is underway. We have made diversity an explicit goal of center wide recruitment efforts and are pleased to report that four female scientist I s were hired in the past year, significantly increasing the representation of females in the NCAR 6
scientific and engineering workforce. We will continue these efforts and will focus especially on the more difficult problem of recruiting individuals from underrepresented minority groups. We intend to do this through the development of strong ties with institutions that focus on the education and training of underrepresented minorities (such as HBCU s). In this way, we will seek to establish pipelines that will bring talented and qualified minorities to NCAR and UCAR. 5. The NCAR Director s Opportunity Fund Should be Increased. We concur with this recommendation and will immediately double the size of the Opportunity Fun from $400k to $800k annually. This increase is justified, in part, by the large number and high caliber of the proposals to the most recent Director s Opportunity Fund Program. We agree with the Panel that this source of funds can be instrumental in continuously revitalizing the research program of the center. 6. Collaborative activities in integrative modeling should be enhanced by regular visits by undergraduate, graduate, and post-graduate students to NCAR. As mentioned above, we intend to develop and augment programs that bring students and professionals in these categories to NCAR. The new summer leadership program for undergraduates, for example, will be launched in 2002. 6. Management Issues The Panel highlighted several key management challenges for UCAR and NCAR. Although we are well aware of these challenges, and in many cases have developed detailed plans to approach them, we appreciate the additional focus and priority that the Panel s comments will bring to these questions. Brief summaries of our response to these comments and recommendations follow. 1. NCAR and UCAR should continue to pay attention to the design and construction of the new High Altitude Instrumented Platform for Environmental Research (HIAPER). HIAPER is an airborne facility (based on a Gulfstream V jet) that is scheduled to become operational for the atmospheric sciences community in 2004. It is the single most complex and costly acquisition that UCAR has ever attempted. As such, prudent and effective technical and financial management is essential. The NCAR Director is recruiting a Program Manager who will report directly to him, thus ensuring high-level visibility and support for the program. In addition, the NCAR Director convened an external independent advisory committee in 2001 to review the entire program and is following their detailed recommendations. NCAR and UCAR management fully recognize the importance of careful and vigilant oversight to ensure that this unique facility will be a credit to NSF and will effectively serve the observational atmospheric sciences community for decades to come. 2. UCAR should carefully consider a comprehensive plan for the acquisition of land and construction of new buildings to serve UCAR and NCAR into the future. UCAR should take advantage of its excellent bond ratings and ability to develop the most cost-effective approach to address the space issues. While it is premature to discuss outcomes, UCAR has already taken these 7
recommendations seriously and is working hard to develop a strategic plan for space that will serve NCAR and UCAR s needs for the next decade. This plan will take advantage of UCAR s excellent bond ratings and ability to obtain cost-effective and efficient space. 3. NCAR and UCAR should broaden the measures of excellence beyond those associated with publications and citations, and seek additional metrics that reflect scientific achievement, community service, and international recognition. While the policies of NCAR and UCAR clearly allow for such diverse metrics to be used in recruitment, promotion and merit decision-making, it is clear that we need to do more to change the culture of NCAR and UCAR to allow for more flexible measures of excellence to be used. NCAR and UCAR management will review current practices to reward staff for contributions in broad areas of importance and will seek a correspondingly broad range of metrics to judge excellence. 4. NCAR should develop links with other FFRDC s (such as JPL) and other institutions to identify best practices. We agree with this recommendation and will set out to implement it in several ways. We will find ways to convene semi-regular meetings of relevant laboratory directors to discuss issues of common concern and develop best practices. A successful initial meeting of this type was held at the national meeting of the American Meteorological Society in January 2002. We note that the Lawrence Berkeley Laboratory (an FFRDC of the DOE) is already in the process of reviewing both NCAR and JPL to determine administrative best practices for possible use in the DOE setting. Other such exchanges, for example with Lawrence Livermore National Laboratory and NOAA and NASA labs will be encouraged and supported. 5. NCAR and UCAR should explore ways to reward personnel for community service, such as in Education and Outreach, serving on advisory committees, etc.. We agree with this recommendation and, as described above, will explore ways to provide additional incentives for personnel to engage in beneficial community service. We will, for example, investigate the establishment of internal sabbatical arrangements (e.g., where NCAR scientists are seconded to the UCAR Education and Outreach Office for significant periods to become more involved in community service activities). We will also investigate establishing incentives for bi-directional sabbaticals (i.e., arrangements that encourage NCAR scientists to spend time on university campuses). The NCAR Director s office will continue to keep track of participation on national advisory committees, etc. We also intend to augment the profile of community service contributions in annual merit raise discussions and in promotion and recruitment discussions. 7. Closing Remarks We wish again to express our appreciation of the care and insight that the Review Panel has brought to their deliberations and report. The observations and constructive recommendations will be very useful to NCAR and UCAR as we plan for the future. The positive nature of the 8
Review and the challenges laid down therein for our future serve to strengthen our resolve to implement the strategies we have developed over the past 18 months. The Review recommends that UCAR and NCAR are ready to move to a new level, one that involves working to create a national agenda in atmospheric sciences. This direction is consistent with NCAR s Strategic Plan and we take this as a positive sign that NCAR is on the right path to meeting its strategic objectives. 9