Competing for National Science Foundation Funds

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Competing for National Science Foundation Funds

• Miriam Heller, Ph.D.
• DC Office of Research Advancement
• Office of the Vice Provost for Research
  Advancement
• May 22, 2007

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Course Objectives

• Perspective on NSF and the Federal Funding
  Landscape
• Identify NSF Priorities
• Familiarity with NSF Organizational Structure
• Understanding NSF Grant Programs
• Insights on Proposal Preparation, Submission
  the Review Process
• Building Relationships and Advocacy Tips

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Course Objectives

• Perspective on NSF and the Federal Funding
  Landscape

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Agriculture
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NSF Act of May 10, 1950 Organization

• NSB (24) Director appointed by the President
• NSB appointed November 1950
• Alan T. Waterman nominated as Director in 1951
• 1952 first appropriation 3.5M
• Mission To promote the progress of science to
  advance the national health, prosperity, and
  welfare to secure the national defense.
• Only federal agency whose mission includes
  support for all fields of fundamental science and
  engineering
• Key role to create and maintain science,
  technology, engineering, and mathematics (STEM)
  capacity.

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NSFs Target Audience

• U.S. Universities and Colleges
• U.S. Nonprofit, Nonacademic Organizations
• U.S. For-Profit Organizations
• State/Local Educational Organizations
• Unaffiliated U.S. Scientists, Engineers,
  Educators, Citizens
• NSF Rarely Supports Foreign Organizations or
  Other Federal Agencies
• Program solicitations may establish more
  restrictive eligibility

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NSFs Share of Total Federal Support for Academic
Basic Research
Percent Total Funding
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Outline

• Perspective on NSF and the Federal Funding
  Landscape
• Identify NSF Priorities

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(How) Do Your Research Interests Fit Into NSFs
Strategic Plan?
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NSFs Strategic Outcome Goals
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Investment Priorities Discovery

• Promote transformational, multi-disciplinary
  research
• Investigate human and social dimensions
• Further U.S. economic competitiveness
• Foster research in sustainability
• Advance fundamental research in computational
  science and engineering and interdisciplinary
  mathematics and statistics

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Investment Priorities Learning

• Build strong Foundations and foster innova-tion
  in K-12 teaching, learning and evaluation
• Advance fundamental knowledge on learning
• Develop methods to bridge junctures in STEM
  educational pathways and careers
• Prepare a diverse, globally engaged STEM
  workforce
• Integrate research with education build capacity
• Engage the public in informal education

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Investment Priorities Infrastructure

• Fill gaps in enabling research infrastructure
• Identify and support next generation of large
  research facilities
• Develop a comprehensive, integrated
  cyberinfrastructure to drive discovery
• Strengthen the nations collaborative advantage
  with unique networks and innovative partnerships

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Investment Priorities Stewardship

• Strengthen partnerships and develop new
  collaborations
• Expand efforts to broaden participation
• Proposers and awardees
• Reviewers
• Recruits
• Improve transparency/consistency of merit review
  process
• Enhance large facility management
• Reach out to communities, use CI

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NSF Project Funding Profile
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NSF Budget by Strategic Outcome Goals(dollars
in millions)
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(How) Does Your Research Fit Into NSFs Budget?
(dollars in millions)
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FY2008 Investment Priorities

• Discovery Research for Innovation
• Preparing the Workforce of the 21st Century
• Transformational Facilities and Infrastructure
• International Polar Year Leadership
• Stewardship

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FY2008 Investment Priorities Discovery Research
for Innovation

• Cyber-enabled Discovery and Innovation (52
  million)
• National Nanotechnology Initiative (390 million)
• Ocean Research Priorities Plan (17 million)
• Cybersecurity Research Development (107
  million)
• EPSCoR (107 million)
• International Science and Engineering (45
  million)

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Cyber-enabled Discovery Innovation

• Five themes
• Knowledge Extraction
• Visualization, data mining, statistics,
  heterogeneous data, multiple sources
• Complex Interactions
• Computational thinking, emergent behavior
• Computational Experimentation
• Simulation, dynamic modeling
• Virtual Environments
• Collaboration, exploration
• Educating Students and Researchers
• Add to basic education, use virtual environments

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Cyber-enabled Discovery Innovation
DNA Transcription
Cyber-enabled Discovery and Innovation
Manufacturing Processes
Statistical learning
Insights Domains of inquiry
Physics, Biology, Chemistry, Economics,
Geosciences, Statistics
Core Concept
Experiment
Theory
Interpretation
Data
Computational Science
Visualization, simulation,
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Course Objectives

• Perspective on NSF and the Federal Funding
  Landscape
• Identify NSF Priorities
• Familiarity with NSF Organizational Structure

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NSF Organization
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NSF Structure Follow the Money

• Directorate Office budgets reflect differences
• MPS includes Astronomy, Physics, Chemistry,
  Materials Research, Mathematical Sciences
• Large instrumentation/equipment
• OPP acquires and manages equipment and facilities
• OCI provisions shared cyberinfrastructure
• OISE supplements directorates international
  activities
• Centers
• Each directorate is composed of divisions
  divisions decompose into clusters or programs see
  http//www.nsf.gov/staff/orglist.jsp

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Directorate for Engineering
Office of the Assistant Director Deputy Office
Director
Cross-cutting Divisions
Disciplinary Divisions
Emerging Frontiers in Research and
Innovation (EFRI)
Chemical, Bioengineering, Environmental and
Transport Systems (CBET)
Engineering Education and Centers (EEC)
Civil, Mechanical and Manufacturing
Innovation (CMMI)
Industrial Innovation and Partnerships (IIP)
Electrical, Communications and Cyber
Systems (ECCS)
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Civil, Mechanical, and Manufacturing Innovation
Division
Engineering Infrastructure Systems
Innovation Sciences and Decision Engineering
Materials Transformation and Mechanics

• GeoEnvironmental Engineering and GeoHazards
  Mitigation
• George E. Brown, Jr. Network for Earthquake
  Engineering Simulation Research
• Information Technology and Infrastructure Systems
  
• Infrastructure Management and Hazard Response
• Manufacturing Machines and Equipment
• Structural Systems and Hazards Mitigation of
  Structures

• Control Systems Program
• Dynamical Systems
• Engineering Design
• Manufacturing Enterprise Systems
• Operations Research
• Sensor Innovation and Systems
• Service Enterprise Engineering

• GeoMechanics/ GeoTechnical Systems
• Infrastructure Materials Applications and
  Structural Mechanics
• Material Design and Surface Engineering
• Materials Processing / Manufacturing
• Mechanics and Structures of Materials
• Nano and Bio Mechanics
• NanoManufacturing

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Social, Behavioral and Economic Sciences
Behavioral and Cognitive Sciences (BCS)
Social and Economic Sciences (SES)
Science Resource Statistics (SRS)

• Physical Anthropology
• Archaeology and Archaeometry
• Cultural Anthropology
• Geography and Regional Sciences
• Anthropological and Geographic Sciences (Cluster
  Support Staff)
• Social Psychology
• Cognitive Neuroscience
• Developmental Learning Sciences
• Linguistics
• Perception, Action and Cognition
• Cognitive, Psychological, and Language Sciences

• Economics
• Decision, Risk Mgt Sciences
• Innovation Org. Change
• Societal Dimensions of Eng., Science, Tech.
  Ethics Values Studies Research on ST
• Science and Technology Studies
• Cross-Directorate Activities
• Methodology, Measurement Statistics
• Sociology
• Political Science
• Law and Social Science

• Education
• Federal Government
• Industry
• International
• Workforce
• Research and Development (RD)
• Social Dimensions
• State
• Workforce

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Course Objectives

• Perspective on NSF and the Federal Funding
  Landscape
• Identify NSF Priorities
• Familiarity with NSF Organizational Structure
• Understanding NSF Grant Programs

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Understanding NSF Grant Programs

• Announcements
• Submit unsolicited proposals administered by
  disciplinary, standing programs within a
  directorate and division
• One or two due dates per year (target dates or
  windows)
• Follow Grant Proposal Guide (GPG) for formatting,
  eligibility, etc. (http//www.nsf.gov/pubs/policy
  docs/papp/gpg07140.pdf)
• Synopsis of research interests / award abstracts
  on web site
• Information on success rates, average award size,
  special considerations often available
• Dear Colleague Letter (DCL)
• Informs community of special areas of interest,
  an upcoming opportunities, special competition
  for supplements, etc.

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Understanding NSF Grant Programs

• Solicitations
• More focused than program announcements
• Often tied to particular agency priority
• Cross-cutting, NSF-wide, cross-agency
  opportunities
• Budgetary information is given
• Specific formats, criteria, other requirements
  differ from GPG
• PI and Organizational Eligibility and Limits
• Partner requirements or recommendations
• Review criteria
• Tend to be highly competitive (success rates ltlt
  20)
• Some have limited life-times (1-5 years)

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Understanding NSF Grant Programs

• SGER - Small Grant for Exploratory Research
• Small-scale, high-risk exploratory research
• Up to 200K, but program dependant
• No peer review only requires approval by
  program officer
• Talk to program officer before submitting!
• Conferences and Workshops
• Mobilize and build an emerging community
• Define community research direction, needs,
  solicitation
• Training and cross-fertilization across
  disciplines
• Internal ( 50K) or peer review ( 100K)
• Talk to program officer(s) before submitting!

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Understanding NSF Grant Programs

• Supplements
• Additions to existing grants ( 30) for related
  research
• International travel
• Research Experiences for Undergraduates, Research
  Experiences for Teachers, Research for
  Undergraduate Institutions, etc.
• Special Programs
• Instrumentation / Equipment (MREFC, MRI, CRI,
  etc.)
• Small Business Innovation Research Small
  Business Technology Transfer (SBIR/STTR)
• Education grants (Doctoral Research Improvement
  Grants, Graduate Training Fellowship K-12,
  Research Experience for Undergraduate Sites, etc.)

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Understanding NSF Grant Programs

• Helpful NSF web pages to search for funding
  opportunities
• Guide to Programs http//www.nsf.gov/funding/brows
  e_all_funding.jsp
• About Funding http//www.nsf.gov/funding/about
  funding.jsp
• Active Funding Opportunities (by due date)
  http//www.nsf.gov/funding/pgm_list.jsp?orgNSFor
  drcnt
• Award Search http//www.nsf.gov/awardsear
  ch/index.jsp

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Course Objectives

• Perspective on NSF and the Federal Funding
  Landscape
• Identify NSF Priorities
• Familiarity with NSF Organizational Structure
• Understanding NSF Grant Programs
• Insights on Proposal Preparation, Submission
  the Review Process

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Proposal Preparation and Submission

• Grant Notification Distribution lists
• Track Upcoming Due Dates
• Identify prospective grant program
• Frequently asked questions
• Attend NSF national and regional workshops
• Understand NSF Culture
• Get to know directorates and divisions that could
  fund your work
• Read web sites to understand goals, priorities of
  directorate, division, programs
• Use Awards Abstracts base to find out what has
  been funded recently - http//www.nsf.gov/awardsea
  rch/index.jsp
• Meet Program Officer(s)

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Meet the Program Officer(s) Rationale

• What you can take away
• Program scope, focus and objectives
• New solicitations, cross-cutting opportunities
• Program data (budgets, award rates etc.)
• Relationship with other programs, divisions,
  directorates
• Test your research ideas
• What you can give
• Become a resource for expertise and ideas
• Influence NSF programs and funding
• Never submit a workshop or SGER without talking
  to the PO !

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Value Program Officers Time
250 200 150 100 50 0 -50
Percentage Change
1983 1985 1987 1989 1991 1993
1995 1997 1999 2001 2003

• NSF total workforce 1,200 career employees, 150
  scientists from research institutions on
  temporary duty, 200 contract workers
• NSF receives over 40,000 proposals per year

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Meet the Program Officer Dos at the Meeting

• Be brief and to the point
• Listen to your PO
• Be ready to state The objective of my research
  is
• Ask for related NSF brochures, announcements,
  contacts and advice
• Volunteer to serve as a panelist for NSF proposal
  review panels
• Leave a short biography and your business card
  with the PO

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Meet the Program Officer Donts at the Meeting

• Wait for the PO to end the meeting
• Talk to yourself about yourself from your own
  perspective
• Start a 40-minute laptop presentation
• Overwhelm your PO with papers, etc.
• Explain to your PO what NSF does
• Force-fit your interests to programs and vice
  versa
• Push your PO for a SGER when there is no idea
• Push your PO for emergency funding before a
  crisis
• Repeat how great your past work or upcoming
  proposal is remember who your audience is

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Analyzing an NSF Solicitation

• Unsolicited proposals
• Follow Grant Proposal Guide (GPG)
  (http//www.nsf.gov/pubs/policydocs/papp/gpg07140.
  pdf)
• Solicitations
• Who is eligible to submit?
• What is the funding level and funding period?
• What is NSFs objective?
• What are the review criteria and review process?
• Do they refer to reports, other programs?
• What projects have been funded in the past?

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The Right Team

• Expertise / Roles
• Qualifications
• Multiple disciplines
• Management
• Assessment
• Outreach
• Diversity
• Members of underrepresented groups in S E
  women, African-Americans, Latinos/Hispanics,
  Pacific Islanders, Native Americans, people with
  disabilities, etc.
• Institutional Partners
• MSIs, Community Colleges, PUIs, K-12
• Industry, Government, non-Profits
• International
• Demographic geographic and seniority

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Get Support in Proposal Writing

• Involve the whole team
• NSF Publications
• Program Announcements
• Grant Proposal Guide
• Web Pages
• Funded Project Abstracts
• Reports, Special Publications
• Program Officers
• Incumbent
• Former Rotators

• Mentors on Campus
• Previous Panelists
• Serve as Reviewer
• Sponsored Research Office
• Successful Proposals
• DC Office of Research Advancement

Start early Write Draft Get Feedback
Revise
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NSF Proposal Writing What Can You Say in 15
Pages?

• Clarity of thought and brevity of word - more is
  not always better
• Project Summary on Page 1 is the most important
  part of proposal
• Write to any technically educated person. Not all
  reviewers will be expert in your sub-discipline
• Page limits, fonts, margins ARE important !
• Follow the Grant Proposal Guide
• Cover all stated requirements in the solicitation
• Review the solicitation-specific review criteria

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NSF Proposal Writing One-Page Project Summary

• Clearly state for any technically educated
  person
• Research objectives
• Motivation knowledge gap, timeliness, and
  relevance to NSF and program priorities
• Merit Criterion 1 Intellectual Merit
• Merit Criterion 2 Broader Impacts
• Program specific review criteria
• Proposal will be disqualified and returned
  without review, if these are not addressed.

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Proposal Review Criterion Intellectual Merit

• Potential to advance knowledge within and
  across fields
• Novelty, creativity and originality
• Qualifications of investigators
• Conceptualization and organization of research
  plan and management
• Access to resources

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Proposal Review Criterion Broader Impacts

• Promoting of teaching, training and learning
• Participation of underrepresented groups and
  institutions
• Enhancement of infrastructure for research and
  education
• Dissemination of results
• Benefits to society
• International collaboration

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Other Proposal Review Criteria

• Integration of Research and Education
• Solicitation specific criteria
• Example Multidisciplinarity
• Project inputs
• Teams members multiple disciplines (academic
  departments)
• Project draws on multiple fields of literature
• Research plans employs tools and methods from
  different domains
• Integration of multiple members disciplines
• Project outputs
• Potential results contribute to multiple
  disciplines or answer a fundamentally (new)
  multidisciplinary research question
• Multidisciplinary inputs and outputs as well as
  outputs including breakthroughs integrated over
  multiple disciplines

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Research Ethics
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Seven Deadly Sins ofProposal Writing

• Failure to describe the problems knowledge gaps
• No clear differentiation competitive analysis
• Failure to offer a compelling value proposition
  potential impact
• No persuasive structure poorly organized
• Key points are buried no highlights, no impact
• Difficult to read full of jargon, too long, too
  technical
• Credibility killers misspellings, grammatical
  errors, wrong technical terms, inconsistent
  format, etc.
• Credit Dr. Timothy Pinkston, USC, Viterbi
  School of Engineering

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Ingredients for a Good Proposal

• Educate the reviewers and Program Director
• What problem(s) does your work address?
• Why is this problem important?
• What will you do to contribute to a solution?
• What unique ideas/approaches do you have?
• What are your research and management plans? How
  will they help achieve your research objectives?
  Why are you the best person to do this work?
• How will you evaluate your results? How will we
  know if you were successful or if you failed?
• How will you assure that the work has an impact?
• Credit Dr. Timothy Pinkston, USC, Viterbi
  School of Engineering

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NSF Proposal Award Process Timeline
NSF Announces Opportunity
GPG Announcement Solicitation
Returned Without Review/Withdrawn
Min. 3 Revs. Req.
Via DGA
Award
N S F

• Org. submits
• via
• FastLane/
• Grants.gov

Prog, Off. Anal. Recom.
Mail
NSF Prog. Off.
DD Concur
Panel
Both
Organization
Research Education Communities
Decline
Proposal Receipt at NSF
DD Concur
Award
90 Days
6 Months
30 Days
Proposal Receipt to Division Director Concurrence
of Program Officer Recommendation
Proposal Preparation Time
DGA Review Processing of Award
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Reviewer Selection Criteria

• Expertise/general knowledge to review proposals
• Panelists review multiple proposals and are
  present
• Mail reviewers provide expertise but are not
  present
• Avoid conflicts of interest for
  panelists/reviewers
• Panel mode and rules vary
• Strive for diversity in terms of
• Gender, ethnicity, geography, institution type,
  seniority, mixture from academe, industry
  government and federal labs
• Measured

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NSF Proposal Writing Sources of Reviewers

• Program Officers knowledge of current research
  and researchers in a field
• References listed in proposal
• Recent conferences and technical programs
• Recent authors in scientific and engineering
  journals
• SE abstracts by computer search
• Program officer and reviewer recommendations
• Volunteers ? be a reviewer to learn process
• Investigators suggestions ? make suggestions

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Conflicts of Interest (COIs)

• Typical relationships that could lead to a
  conflict

• Institutional / Statutory
• Current, previous employment (12 months), or
  potential future employment
• Award, honorarium, or travel payment (12 months)
• Officer or governing board
• Any financial interest
• Personal
• Co-author of paper or project collaborator (48
  months)
• Co-edited journal or proceedings (24 months)
• Thesis advisor or student (life-long)
• Family member or close friend

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Review Outcomes

• Minimum of 3 individual written reviews
• Rated Excellent, Very Good, Good, Fair, Poor
• Comments on intellectual merit and broader
  impacts
• Written panel summary scribe captures
  discussion
• Proposals are discussed and evaluated
  collectively
• Proposal summary of a few sentences is given
• Intellectual merits are described strengths
  weaknesses
• Broader impacts are described strengths
  weaknesses
• Improvements may be suggested (optional)
• Panel recommendation Competitive or Not
  Competitive
• Panel recommendation is advisory
• Reviews are accessible on FastLane

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Course Objectives

• Perspective on NSF and the Federal Funding
  Landscape
• Identify NSF Priorities
• Familiarity with NSF Organizational Structure
• Understanding NSF Grant Programs
• Insights on Proposal Preparation, Submission
  the Review Process
• Building Relationships and Advocacy Tips

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Building Relationships After an Award or Decline

• Get constructive feedback from proposal reviews
  and advice on how to improve your project
• Get information on other funding sources
• Keep the PO informed of your progress
• Explore long-term planning and support strategies
• Provide your PO with feedback and suggestions to
  improve the Program performance
• Participate in Program activities and
  opportunities
• Arm the PO to get public leverage for your
  funding (articles, web pages, samples, media
  clips etc.)

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Building Relationships Learn from a Decline /
Resubmit

• Remember you are almost certainly in the majority
• Never enough budget to fund all the good
  proposals
• Consider the experience a chance to learn
• Discuss Reviews/Panel Summary
• What guidance was provided for shaping the
  research and future proposals?
• Did reviewers misunderstand your intentions?
• Were reviewers from outside your field confused?
• Was proposal submitted to the wrong NSF program?
• Remember reviews were tempered by panel
  discussion
• Reconsideration is an official process contact
  PO

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Building relationshipsSend Highlights (Nuggets)

• Convince the US public that research is worth
  paying for
• Succinct, interesting vignettes
• Show a result, not an expense
• Laymans language
• Graphics
• NSF Uses the best ones
• Budget requests
• Performance reports
• Public relations

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Building Relationships Follow-up on Existing
Awards

• Annual and final reports
• Supplements
• International Travel Supplements
• Research Experiences for Undergraduates (REU)
  supplements of 6K-12K to involve 1-2
  undergraduates in research
• Research Experiences for Teachers (RET)
  supplements of 10K to involve K-12 teachers in
  research
• Contact your Program Director prior to submitting
  because budget constraints are a factor

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Advocacy Tips

• Make sure there is close match between your
  research and NSF priorities
• Work with Program Officers early
• Respect Program Officers time
• Respect hierarchy
• Get advice
• Build enthusiasm enlist him/her as your
  advocate
• Get involved
• Send papers, data
• Avoid at all costs pressure, manipulation,
  shameless self-promotion

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Summary and Conclusions

• Match your research interests to NSF priorities
• Identify and build relationships with Program
  Officers
• Write the best proposal you can tightly
  focused, differentiated and memorable
• Be patient and tenacious
• Enlist program staff as your advocate and get
  involved with the NSF community

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Active NSF Funding for USC

• USC has 259 active NSF awards, including 2
  PECASE, 16 CAREER awards, 16 ITR awards, 2 ERCs,
  2 IERI, 16 ISI awards

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DC Office for Research Advancement

• Additional questions, advice
• Miriam Heller, Ph.D.
• miriam.heller_at_usc.edu

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Other Key On-Line Resources

• FY 2008 NSF Budget Request http//www.nsf.gov/abou
  t/budget/fy2008
• FY 2007 NSF Budget http//www.nsf.gov/about
  /budget/fy2007
• Grant Proposal Guide (NSF 04-23)
  http//www.nsf.gov/publications/pub_summ.jsp?ods_k
  eyGPG
• Science and Engineering Indicators
  http//www.nsf.gov/sbe/srs/seind04/start.htm
• General Information
  http//www.nsf.gov/

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NSF Funding Profile