DEVELOPING YOUR RESEARCH PROGRAM WITH NSF

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DEVELOPING YOUR RESEARCH PROGRAM WITH NSF

• Prepared for the
• 2002 NSF Design, Service Manufacturing Grantees
  Research Conference
• San Juan, Puerto Rico
• 7-10 January 2002

NSF Design, Service and Manufacturing Grantees
and Research Conference
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NSF Initiatives

• Nano Science and Engineering (NSE)
• Haris Doumanidis, cdoumani_at_nsf.gov
• Information Technology Research (ITR)
• Ron Rardin, rrardin_at_nsf.gov
• Bio-complexity and Environment (BE)
• Delcie Durham, ddurham_at_nsf.gov

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DMII Program Clusters

• Industrial Innovation Programs
• Innovation and Organizational Change (IOC)
• Donald Senich
• Grant Opportunity for Academic Liaison with
  Industry (GOALI)
• Donald Senich
• Small Business Innovation Research (SBIR) Small
  Business Technology Transfer (STTR)
• Joseph E. Hennessey and his team
• Cheryl Albus Jean Bonney
• Ritchie Coryell Michael Crowley
• Sara Nerlove James Rudd
• Om Sahai Winslow Sargeant
• George Vermont Rosemarie Wesson

• Engineering Decision Systems
• Engineering Design
• George A. Hazelrigg
• Manufacturing Enterprise Systems
• Janet M. Twomey
• Service Enterprise Engineering
• Ronald L. Rardin
• Operations Research
• Ronald L. Rardin
• Manufacturing Processes Equipment Systems
• Manufacturing Machines Equipment
• Kamlakar P. Rajurkar
• Materials Processing and Manufacturing
• Delcie R. Durham
• NanoManufacturing
• Charalabos (Haris) Doumanidis

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Contents

• Introduction Kesh Narayanan
• Meeting Your PO Charalabos Doumanidis
• Getting Started Janet M. Twomey
• Proposal Submission Delcie R. Durham
• Proposal Processing K. P. Rajurkar
• What Comes After Ronald L. Rardin
• Being a Reviewer George A. Hazelrigg

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MEETING YOUR PROGRAM OFFICER
NSF Design, Service and Manufacturing Grantees
and Research Conference
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Preparing for The Meeting

• What Program is for me?
• Depends on your research objectives
• Look at our web site (http//www.eng.nsf.gov/
  dmii/)

• What if I am not able to meet in person with my
  PO?
• Feel free to email or call to introduce yourself

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Meeting your PO(before submitting a proposal)

• What do you want to get out of the meeting?
• Introduce yourself
• Find out how your research objectives match NSF
  programs
• Get feedback on your ideas

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At the Meeting (Dos)

• What should I do?
• Be brief and to the point
• Listen to your PO
• Be ready to state,
• The objective of my research is

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At the Meeting (Donts)

• What should I NOT do?
• Wait for the PO to end the meeting
• Talk to yourself about yourself
• from your own perspective
• Start a 40-minute presentation on your laptop
• Overwhelm your PO with papers etc.
• Explain to your PO what NSF does
• Force-fit your interests to the Program
  objectives and vice versa

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Meeting your PO(after a grant or declination)

• Why meet with my Program Officer?
• 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

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After The Meeting

• How should I proceed?
• Make best use of the POs information and
  advice
• - learn more on NSF from brochures and the web
  (www.nsf.gov)
• - implement your POs suggestions in your
  proposals and grants
• Let your PO know how your meeting has served
  you
• Prepare for your next meeting with your Program
  Officer
• (meet not too often, not too seldom)

Your NSF Program Officers are looking forward to
meeting you
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GETTING STARTED(a both-sides-of-the-brain
exercise)
NSF Design, Service and Manufacturing Grantees
and Research Conference
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The Research Proposal

• There is no FORMULA for a successful proposal,
• BUT
• there is a format you must follow (NSF 02-2)
• http//www.nsf.gov/cgi-bin/getpub?nsf022
• pay attention to margins and font size
• the scope MUST be research, not development
• nothing excites reviewers more than a new idea
• clearly explained, NOVEL ideas can win!
• get it in on time
• solicitations have deadlines - read the program
  announcement
• unsolicited proposals to DMII may be submitted
• 1 September thru 1 October (deadline)
• 1 January thru 1 February (deadline)

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Criteria 1 2

• Criterion 1 - What is the intellectual merit of
  the proposed activity?
• This criterion addresses the overall quality of
  the proposed activity to advance science and
  engineering through research and education.
• Criterion 2 - What are the broader impacts of the
  proposed activity?
• This criterion addresses the overall impact of
  the proposed activity.

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What? Some thoughts-

• SO
• what should you propose? Your area of interest?
• FOCUS on your strengths not just the current
  trend of the day (Nano, 9-11, or something
  interesting you saw on the Discovery Channel)
• Establish a plan for yourself based upon your
  expertise
• Where are the frontiers of knowledge/how can your
  approach be innovative?/what contribution will
  you make?
• Who else is tackling these issues?
• What recent awards have been made/what funding
  sources are available?
• Have there been recent advances/breakthroughs?
• What has been published - globally?
• Is there industry interest?

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Is there a home for your idea?Actions for you to
take

• Subscribe to the NSF Custom News Service
  http//www.nsf.gov/home/cns/
• Read NSF Program Announcements and the Division
  websites
• Do NOT force fit topics into programs
• Are you eligible? What is the deadline?
• Check that the program exists - just because
  there was an announcement in 1997 doesnt mean
  you should prepare a new proposal now
• Identify what program you think the proposal
  topic fits into, then e-mail or call the NSF
  program director (BEFORE the due date) if you
  have questions

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Only 15 pages! What to do?

• Use the space wisely - clarity of thought and
  brevity of word - more is not always better
• On Page 1 - state what you are going to do and
  why - dont make reviewers wait until page 7, it
  shouldnt be a mystery.
• Make at least the introduction understandable to
  any technically educated person. Not all members
  of the panel will be expert in your
  sub-discipline.
• Page limits/fonts/margins ARE important - dont
  use small fonts - dont disqualify your proposal
  ! ! !

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Only 15 pages! What to do?

• Pages 2-15
• LAY THE GROUNDWORK
• Acknowledge the work of others
• Demonstrate your prior work
• THEN
• Lay out your research plan (an idea is not
  enough)
• Method of validating results
• How you handle obstacles
• Broader impacts including education
  (possibilities include lifelong learning, K-12
  outreach, industry as well as undergraduate and
  graduate), environment, energy, economics

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The Project SummaryThe Most Important Page

• What Clearly state the research objectives first
• Why Is this research needed? Justification!
• How Describe the major research tasks and how
  this meets Criteria 2 in terms of broader impacts
• Who Provide information on you and your team and
  why you are the ones to do this research
• Collaboration If this involves more than one
  Principle Investigator, demonstrate the strengths
  and synergy of the team
• Criteria 2 MUST be explicitly addressed in the
  Project Summary and the Project Description or
  your proposal will be disqualified and returned
  as inappropriate

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HOW TO SUBMIT
NSF Design, Service and Manufacturing Grantees
and Research Conference
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FastLane - REQUIRED

• Coversheet
• First box - put in UP-to-DATE announcement
• NSF Organization Identify the right NSF
  program(s) / unit(s) - Question? Check!
• GOALI proposal - GOALI must be first word of
  title, and have industry co-PI on coversheet
• Title Keep it short, informative, and dont use
  acronyms or buzz words
• Identify if proposal is being sent to another
  agency - NOTIFY NSF if funded by another agency
• DO NOT submit duplicate proposals to multiple
  programs, regardless!

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FastLane - REQUIRED

• Format Make sure that what you see is what we
  get! Dont have your proposal returned as
  disqualified
• CONFORMANCE to formatting is REQUIRED!
• Project Description CANNOT be more than 15 pages
• DO NOT compress- lines/in, chars/in, figures
• DO NOT include appendices, unless specifically
  instructed in a solicitation
• YOU MUST include titles of papers in references
  

A, B, C's
accuracy, brevity, conformance
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The Budget NSF Form 1030

• Budget Explanation
• Explain line items of budget on separate budget
  justification/explanation page(s)
• maximum 3 pages
• NSF-Funded Person-Months
• CAL Use column for 12 month employees ONLY
• this column is NOT for adding up academic
  summer months

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The Budget NSF Form 1030

• Graduate Students/Undergraduate Students
• DO Place salaries on lines B.3 and B.4.
• DO Place tuition costs on line G.6, Other,
  and explain on budget justification page.
• UNLESS institution/organization has negotiated
  these costs as fringe benefits
• All listed budget categories are specific for
  any unspecified categories use OTHER (i.e. B.6,
  F.4)

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The Budget NSF Form 1030

• Travel
• Domestic
• Itemize travel on budget explanation page
• Include attendance at annual NSF Design, Service
  Manufacturing Grantees Research Conference
• Foreign
• Provide details of travel on budget explanation
  page
• Include the foreign location and reason for
  travel- dont forget that you can request a
  supplement after an award!

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The Budget NSF Form 1030

• Consultant Services
• Justify services and furnish information on
  consultants
• expertise
• primary organizational affiliation
• normal daily compensation
• expected number of days of service
• travel expenses including subsistence
• Include a letter of agreement signed by
  consultant stating their daily rate
• Maximum rate for consultant is currently 482/day
  (http//www.nsf.gov/bfa/cpo/policy/faqs.htmcons)

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The Budget NSF Form 1030

• Subawards - another institution? Look at
  Collaborative Research opportunities first!
• Minimum Requirements
• Description of work to be performed
• Basis for selection of subawardee
• except for collaborative/joint arrangements
• Separate budget (NSF Form 1030) for each subaward
• signed by subcontracted PI and Institutional
  authorized representative
• forwarded to proposing organization
• Cost Sharing
• If required by a specific solicitation, or
  proposing institution commits to amount in excess
  of 1 minimum, amount must be entered on Line M

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Collaborative ResearchProposals - a Win-Win

• Submit separate proposals from each institution
• All proposals MUST be submitted to SAME PROGRAM
• All proposals MUST have SAME TITLE
• Start title with Collaborative Research
• Lead proposal has the Project Summary,
  Description and References
• Each proposal has its own budget, bios,
  current/pending support

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PROPOSAL PROCESSING AT NSF
NSF Design, Service and Manufacturing Grantees
and Research Conference
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What happens when your proposal gets to NSF

• FastLane receives electronic proposals - proposal
  number is instantly assigned when submitted
• Proposal Processing Unit (PPU) checks for
  conformance to Grant Proposal Guide (GPG) and
  prints the proposals for the Division
• If the PI identifies a Specific Announcement/
  Solicitation No./... AND the Dir/Div/Prog, the
  proposal will reach the proper program/division
  within NSF
• Otherwise, the proposal may be sent around NSF,
  based on the title of the proposed project, until
  a home is found causing a considerable delay
  (missing the deadline)

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What do we spend all that time doing

• Program Assistant places a hard copy of the
  proposal into a file, a jacket in NSF jargon, and
  electronically assigns division and program codes
  to the proposal
• At this point proposal is recognized within NSF
  as pending
• The jackets are delivered to the Program
  Directors
• Elapsed time approximately 3 weeks
• Program Directors then review the proposals and
• Find a home or accept proposals for a better
  fit
• Handle uncommon or problem proposals
• Elapsed time approximately 6 weeks

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How do we select a review process/panelists

• Program Directors
• Classify proposals into sub-panels requiring same
  (or nearly same) technical expertise
• Size the sub-panel and pick a date
• Recruit panelists who have no conflicts of
  interest and
• Have expertise/contribute to the balance of the
  panel
• Have time to read proposals, write reviews, and
  come to NSF
• Elapsed time approximately 7 weeks
• Program Assistants
• set up panel for electronic review in FastLane
• Contact panelists with FastLane ID, password, and
  review assignments (matrix)
• Handle contingencies
• Elapsed time approximately 8 weeks
• NOTE We no longer send out hard copies of
  proposals unless specifically requested

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What happens at a panel meeting

• DMII Runs One Day Panels With 5-12 People
• Typical Agenda
• Sign In and Welcome
• Conflict of Interest Briefing and Panel
  Procedures
• Program Directors remind panelists that
  deliberations are confidential
• Sub-Panels discuss, rate (PC/SC/DNC) and rank
  each proposal, and prepare a written panel
  summary
• Review package after the panel meeting consists
  of
• 3 or more FastLane submitted individual reviews
• Word-processed panel summary (with signed
  original)
• Signed matrix with COIs, rating and ranking
  annotated
• Elapsed time approximately 12 weeks

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What happens after the panel review

• Program Director actions after ALL panels are
  completed
• Review content of individual reviews
• Decide on declinations and tentative funding
  priorities considering funds available/panel
  recommendations and discussions/program balance
• Prepare a review analysis making recommendation
  to Division Director
• Negotiate budgets as needed
• Obtain abstracts for award recommendations
• Declinations are official when the Division
  Director concurs
• NOTE Declinations are now done electronically
  you will receive an email and 24 hours later you
  can access the reviews and panel summary via
  FastLane
• Elapsed time approximately 16 weeks

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When do you get an award notice?

• Proposals recommended for award must be approved
  at the divisional level then forwarded to the
  Division of Grants and Agreements for final award
  action and notification
• REMEMBER AN AWARD IS NOT AN AWARD UNTIL THE
  DIVISION OF GRANTS AND AGREEMENTS SAYS SO
• (they usually follow our recommendation, but bear
  in mind that they process about 20,000 award
  actions per year)
• Elapsed time approximately 22-24 weeks

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WHAT COMES AFTER?GRANTS POSTMORTEMS
NSF Design, Service and Manufacturing Grantees
and Research Conference
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You Have an AwardWho Will You Be Working With?
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You Have an AwardProgress Reports

• Your award may be
• Standard basic grant funded in one increment
• Continuing funding by annual increments
• For all grants over 1 year duration, annual
  reports are due 90 days prior to the anniversary
  date of the grant, but no later than May 1
• Final reports are due within 90 days after grant
  expiration
• Failure to file reports can delay increments for
  continuing grants and new awards on which you are
  the PI or Co-PI
• All reports must be submitted through FastLane
• Use designated sections - you are REQUIRED to
  fill in the sections - not just write see
  attached
• Submit title, authors, citation and abstract on
  papers
• Document industrial involvement (especially
  GOALI)
• Document REU involvement if you have received REU
  supplement

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You Have an AwardGrantees Conferences and Nuggets

• Annual DMII Grantees Conferences provide an
  opportunity for all PIs to interact with your
  peers
• Attendance MUST be budgeted in your grant
• Can submit a paper for the Proceedings
• Poster presentation required (plans results)
• Nuggets are significant research achievements
• Are documented by DMII to justify our budgets
• Submit by email to your Program Director as they
  occur
• Include in your annual and final reports
• Include in your poster at the Grantees conference

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You Have an AwardSupplements

• Supplemental funding to assure completion of
  original scope of work is generally rare
• 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
• Must be submitted formally via FastLane (use
  Supplemental Funding Request module)
• Submit request early in fiscal year while funds
  are available
• Brief justification/explanation, budget, staff
  description

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You Have an AwardNo Cost Extensions

• Grantees who need extra time may seek no cost
  extensions (NCEs)
• The first NCE is granted by the campus Office of
  Sponsored Programs (no NSF review)
• A subsequent NCE requires NSF approval via
  FastLane
• Ask for 12 months (even if you think you wont
  need them all)
• Submit at least 45 days before grant expiration
  to assure that grant is not closed out by NSF
• Keep sending in Annual Reports
• Request should include
• Justification of the need and a plan to complete
  the work (not new work or just to spend whats
  left)
• Amount of unobligated funds remaining and a plan
  for how they will be spent

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You Have an AwardOther Grant Changes

• Keep in mind that the grant is to your
  institution/ organization, not to you personally
• Grant changes usually require NSF approval and
  are submitted via FastLane with suitable
  justification
• Examples
• Movement of funds between some categories within
  the budget
• Request may be made through email to the PD
• Permanent change of PI (usually due to PI
  leaving)
• Not available on CAREER grants
• Acting PI (usually due to extended PI absence)
• Transfer of grant to another university (due to
  PI move)
• Need new budget and approval of both universities
• Submit via FastLane

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You Have Been DeclinedHow to Gain from the
Experience

• Keep in mind that you are almost certainly in the
  majority
• Never enough budget to fund all the good
  proposals
• Consider the experience a chance to learn
• You will be provided with all written Reviews and
  a Summary of the Panel Discussion
• 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
• Your Program Director or faculty mentors can help
  you interpret the reviews
• There is an official process for appeal
• It begins by contacting your Program Director

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BEING A REVIEWER
NSF Design, Service and Manufacturing Grantees
and Research Conference
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BE A REVIEWER

• Proposal review is an important service to your
  community
• Theres no better way to see how the system works
• Theres no better way to understand what makes a
  winning proposal
• If you think the system is unfair, try being part
  of it

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HOW TO VOLUNTEER

• Contact your program director
• E-mail a brief (1-page) bio to your program
  director
• Be sure to include your contact information
• Indicate your areas of expertise

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PANELIST SELECTION CRITERIA

• Panelists are selected based upon their areas of
  expertise to cover the submitted proposals
• We do our best to avoid conflicts of interest
• You generally will not be selected if there is a
  proposal from your institution in the group
• You generally will not be selected if there are
  other obvious conflicts
• We try to obtain a mix of experienced and new
  panelists from academe, industry and Federal labs
• We try to obtain demographic diversity, gender
  balance, representation from underrepresented
  groups

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PROPOSAL ASSIGNMENT

• Each panelist will be assigned to review about 10
  proposals
• Each proposal will be assigned 4-6 panelists
• We do our best to match proposals to panelists
  expertise
• We do our best to avoid conflicts of interest
• We will allow you to trade proposals with other
  panelists as appropriate

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PANELIST RESPONSIBILITIES

• You have committed yourself to the task, you now
  have the responsibility to do a good job
• Get prepared for the panel meeting
• Make travel reservations via FastLane
• Make/confirm hotel reservation
• Read the assigned proposals
• Write comprehensive reviews (do the best you can
  with all the proposals to which you have been
  assigned)
• Submit your reviews via FastLane at least two
  days BEFORE coming to the panel meeting (you can
  change scores and resubmit your reviews at the
  meeting)
• Come to the panel meeting prepared (be absent
  only for extreme causes, failure to submit
  reviews on time disrupts the progress of the
  panel)
• Take an active part in the panel discussions

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HOW TO REVIEW A PROPOSALA good proposal has
certain qualities-look for them

• Is there a clearly stated research objective?
• Is the objective really research (not
  development, not computer programming)?
• Is the research well motivated?
• Is the research properly placed in context of
  extant knowledge and literature?
• Is there a viable plan to accomplish stated
  research objective?
• Is the proposed method self-consistent, is the
  math correct?
• Are the PIs capable of accomplishing the research
  plan?
• Is the institutional infrastructure adequate?
• What is the broader impact of the research?
• What is the contribution to education?
• Is the budget reasonable?
• Are the PIs available to perform the research?

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THE WRITTEN REVIEW

• You can start with This proposal is about...
• Be sure to add
• Your analysis of the merits of the proposal
• Strengths of the proposal
• Weaknesses, errors, bad concepts, contradictions
  in proposal
• Justify your rating (do not judge fundability)
• Do not put inflammatory comments in your review
• Be hard on the proposal content, be gentle on the
  PI(s)
• Be sure to address both NSF proposal review
  criteria
• Technical Merit and Broader Impact (now
  MANDATORY)
• Your written comments are the principal form of
  feedback
• They are forwarded to the PI(s) verbatim
• Your comments should help the PI(s) write better
  proposals and perform better research

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AT THE PANEL MEETING

• 800-830 - Meet others, coffee and pastries
• 830-900 - Welcome/mandatory conflict-of-interest
  briefing
• 900 - Adjourn to sub-panels
• Each proposal will be discussed individually
• Everyone gets a chance to speak
• Minutes of this discussion must be taken
• Minutes go verbatim to the PI
• The proposals, as a group, will then be placed in
  Primary Consideration, Secondary Consideration,
  or Do-Not-Consider categories
• Those in PC and SC categories will be ranked

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CONFIDENTIALITY AND ANONYMITY

• Remember, this is a confidential process and NSF
  strives to protect your anonymity and you are
  required to do the same

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COMPENSATION

• NSF compensates panelists for certain
  transportation expenses and provides an
  honorarium
• Current reimbursement, including honorarium, is
• 280 per travel day
• 480 per meeting day
• Train or airline tickets are provided in addition
  to these amounts
• No accounting of specific expenses is required
  (keep track of expenses for your records you
  will receive a 1099 for all amounts over 600)
• Be sure to make government travel reservations
  ONLY as instructed

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WE VALUE OUR PANELISTSWE HOPE YOU WILL
VOLUNTEERWE THANK YOU FOR THE PANELS YOU TAKE
PART IN
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Questions ???

• Its always better to ask
• Visit our website for updates
• http//www.eng.nsf.gov/