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WelcomeWelcome

and thanks for comingand thanks for coming

Before we get startedBefore we get started

Please be sure to sign in!Please be sure to sign in!

About NSFAbout NSF

NSF is not a “mission agency”NSF is not a “mission agency”

Our goal is to promote and enable Our goal is to promote and enable high quality in education, high quality in education, particularly in the higher particularly in the higher education system, and education system, and particularly in the sciences and particularly in the sciences and engineeringengineering

In the research divisions, our In the research divisions, our mechanism is the research grantmechanism is the research grant

Proposal ReviewProposal Review

NSF received 49,013 proposals in NSF received 49,013 proposals in FY2013 (52,193 in ‘11, 56,233 in ‘10, FY2013 (52,193 in ‘11, 56,233 in ‘10, 44,548 in ‘07; 40,111 in ’03; 31,942 in 44,548 in ‘07; 40,111 in ’03; 31,942 in ’01) with 10,844 awards (10,721 in ’01) with 10,844 awards (10,721 in ‘03)‘03)

96 percent of these proposals are 96 percent of these proposals are subject to external merit reviewsubject to external merit review

Your assistance in this review process Your assistance in this review process is crucial to the success of NSF, and is crucial to the success of NSF, and we recognize that it is a lot of workwe recognize that it is a lot of work

NSF is a Government AgencyNSF is a Government Agency

NSF spends taxpayer’s moneyNSF spends taxpayer’s money

We seek fair and unbiased reviewsWe seek fair and unbiased reviews

We are required to avoid both We are required to avoid both actual conflicts of interest and the actual conflicts of interest and the appearance of conflictsappearance of conflicts

Typical ConflictsTypical Conflicts

Close friend or relativeClose friend or relative

Same institutionSame institution

Received remuneration in past 12 monthsReceived remuneration in past 12 months

Student/advisor relationshipStudent/advisor relationship

Collaboration in the past 48 months Collaboration in the past 48 months (research, proposal, paper)(research, proposal, paper)

Co-edit book, journal in the past 24 monthsCo-edit book, journal in the past 24 months

Financial interest at stakeFinancial interest at stake

Seeking employmentSeeking employment

PI ran over spouse’s catPI ran over spouse’s cat

Typical ConflictsTypical Conflicts

Close friend or relativeClose friend or relative

Same institutionSame institution

Student/advisor relationshipStudent/advisor relationship

Collaboration in the past 48 months Collaboration in the past 48 months (research, proposal, paper)(research, proposal, paper)

Co-edit book, journal in the past 24 Co-edit book, journal in the past 24 monthsmonths

Financial interest at stakeFinancial interest at stake

PI ran over spouse’s catPI ran over spouse’s cat

Appearance of a Conflict

Appearance of a Conflict

We must avoid even the We must avoid even the appearance of a conflictappearance of a conflict

Persons with conflicts must recuse Persons with conflicts must recuse themselves from all discussions themselves from all discussions relating to proposals with which relating to proposals with which they have a conflictthey have a conflict

It is necessary that you declare all It is necessary that you declare all conflicts at the beginning of each conflicts at the beginning of each panel meetingpanel meeting

Before you begin your panel session, we must have a signed Conflict of interest formPlease note what you are signing—

You must be aware of conflicts

You may not use “insider” information for personal gain

You must maintain confidentiality of the panel and its

recommendations

Use of Social MediaUse of Social Media Warning: you must maintain the Warning: you must maintain the

confidentiality of the panel and its confidentiality of the panel and its recommendationsrecommendations

The use of social media (tweeting, The use of social media (tweeting, texting, Facebook, personal web texting, Facebook, personal web pages) can violate this requirementpages) can violate this requirement

Do not tweet or text during a panel Do not tweet or text during a panel meeting, be careful what you post meeting, be careful what you post on your web page or Facebookon your web page or Facebook

Do not record the meetingDo not record the meeting

Reviewer DutiesReviewer Duties

By the end of the meeting, we must By the end of the meeting, we must have for every proposalhave for every proposal

– At least three reviews entered into At least three reviews entered into FastLaneFastLane

– A summary of the panel discussion for A summary of the panel discussion for every proposal every proposal discusseddiscussed by the panel by the panel

– Proposals placed into one of three Proposals placed into one of three categoriescategories Primary consideration (PC)Primary consideration (PC)

Secondary consideration (SC)Secondary consideration (SC)

Do not consider (DNC)Do not consider (DNC)

– All proposals in the PC and SC categories All proposals in the PC and SC categories must be rankedmust be ranked

Review CriteriaReview Criteria What is the intellectual merit of the proposed What is the intellectual merit of the proposed

activity? activity? How important is the proposed activity to How important is the proposed activity to advancing knowledge and understanding within its own advancing knowledge and understanding within its own field or across different fields? How well qualified is the field or across different fields? How well qualified is the proposer (individual or team) to conduct the project? (If proposer (individual or team) to conduct the project? (If appropriate, the reviewer will comment on the quality of appropriate, the reviewer will comment on the quality of prior work.) To what extent does the proposed activity prior work.) To what extent does the proposed activity suggest and explore creative, original, or potentially suggest and explore creative, original, or potentially transformative concepts? How well conceived and transformative concepts? How well conceived and organized is the proposed activity? Is there sufficient organized is the proposed activity? Is there sufficient access to resources?access to resources?

What are the broader impacts of the proposed What are the broader impacts of the proposed activity? activity? How well does the activity advance discovery How well does the activity advance discovery and understanding while promoting teaching, training, and understanding while promoting teaching, training, and learning? How well does the proposed activity and learning? How well does the proposed activity broaden the participation of underrepresented groups broaden the participation of underrepresented groups (e.g., gender, ethnicity, disability, geographic, etc.)? To (e.g., gender, ethnicity, disability, geographic, etc.)? To what extent will it enhance the infrastructure for research what extent will it enhance the infrastructure for research and education, such as facilities, instrumentation, and education, such as facilities, instrumentation, networks, and partnerships? Will the results be networks, and partnerships? Will the results be disseminated broadly to enhance scientific and disseminated broadly to enhance scientific and technological understanding? What may be the benefits technological understanding? What may be the benefits of the proposed activity to society?of the proposed activity to society?

Transformative Research

Transformative Research

Transformative research is research Transformative research is research that generates ideas, discoveries, or that generates ideas, discoveries, or tools that radically change our tools that radically change our understanding of an important exisiting understanding of an important exisiting scientific or engineering concept or lead scientific or engineering concept or lead to the creation of a new paradigm or to the creation of a new paradigm or field of science or engineering. Such field of science or engineering. Such research is characterized by its research is characterized by its challenge to current understanding or challenge to current understanding or its pathway to new frontiers.its pathway to new frontiers.

Written ReviewsWritten Reviews

Sent verbatim to PIsSent verbatim to PIs

Comprise the major form of Comprise the major form of feedback to PIsfeedback to PIs

Please make sure your comments Please make sure your comments are constructive, informative and are constructive, informative and non-inflammatorynon-inflammatory

Please be sure to substantively Please be sure to substantively address both review criteria - address both review criteria - Intellectual Merit and Broader Intellectual Merit and Broader ImpactImpact

EthicsEthics

Remember your obligations to Remember your obligations to maintain the confidentiality of the maintain the confidentiality of the proposals and the panel proposals and the panel recommendationsrecommendations

Do not save the proposalsDo not save the proposals

Do not plagiarize from proposals (or Do not plagiarize from proposals (or any other source)any other source)

Plagiarizing from a declined Plagiarizing from a declined proposal constitutes breach of proposal constitutes breach of confidentialityconfidentiality

EthicsEthics

You may accept Federal funding for You may accept Federal funding for particular work only onceparticular work only once

Chemical & Engineering NewsChemical & Engineering News, Feb. 13, 2012—, Feb. 13, 2012—Federal prosecutors have charged a leading Federal prosecutors have charged a leading materials scientist with wire fraud, making false materials scientist with wire fraud, making false statements, and money laundering. The statements, and money laundering. The researcher, Craig A. Grimes, formerly an electrical researcher, Craig A. Grimes, formerly an electrical engineering professor at Pennsylvania State engineering professor at Pennsylvania State University, defrauded federal agencies of some $3 University, defrauded federal agencies of some $3 million in research grants, the prosecutors say… million in research grants, the prosecutors say… Prosecutors also say Grimes applied for and Prosecutors also say Grimes applied for and accepted an ARPA-E grant for his solar work, while accepted an ARPA-E grant for his solar work, while failing to disclose that the National Science failing to disclose that the National Science Foundation had already funded the same research. Foundation had already funded the same research. Both agencies prohibit such grant duplication.Both agencies prohibit such grant duplication.

Anonymity and Propriety

Anonymity and Propriety

Reviewers are anonymous; we Reviewers are anonymous; we won’t tell, you must not tellwon’t tell, you must not tell

Your recommendations are advisory Your recommendations are advisory and confidential; do not inform PIs and confidential; do not inform PIs of their statusof their status

Awarded proposals go into the Awarded proposals go into the public domainpublic domain

Declined proposals are not in the Declined proposals are not in the public domain; don’t distribute, use public domain; don’t distribute, use or quote themor quote them

This is Your MeetingThis is Your Meeting

We hope that you will feel free to We hope that you will feel free to express your opinions and make express your opinions and make the best technical judgments that the best technical judgments that you canyou can

You may wish to choose a chair for You may wish to choose a chair for your panel to expedite the processyour panel to expedite the process—who has the earliest flight out?—who has the earliest flight out?

Good News/Bad NewsGood News/Bad News The good news—you will get The good news—you will get

reimbursed for your attendance and reimbursed for your attendance and participation on the panelparticipation on the panel

The bad news—we can’t use money; The bad news—we can’t use money; Federal law requires the use of Federal law requires the use of electronic funds transfer (we need your electronic funds transfer (we need your bank account number)bank account number)

If you don’t see your reimbursement If you don’t see your reimbursement within four weeks, please let me knowwithin four weeks, please let me know

H1B visa holders, be sure to declare H1B visa holders, be sure to declare your statusyour status

We’re from the government, and we’re here to help

And thanks for coming!

We wish you a pleasant flight home!