NCURA Region I Spring Meeting New Haven, CT May 16, 2011

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1 NSF Update NCURA Region I Spring Meeting g p g g New Haven, CT May 16, 2011

2 Contact Information Jeremy Leffler Outreach Specialist, Policy Office; Division of Institution & Award Support; Office of Budget, Finance & Award Management Policy Office Policy Office

3 Ask Early, Ask Often!

4 Topics Covered NSF FY 2012 Budget Request NSF Proposals & Awards & Funding Rates American Recovery & Reinvestment Act of 2009 Interdisciplinary Research Transparency & Accountability Policy Updates Key Documents Conclusion

5 How We re Organized Office of Cyberinfrastructure Office of Diversity & Inclusion National Science Board (NSB) Director Deputy Director Office of the General Counsel Office of Integrative Activities Office of the Inspector General (OIG) Office of International Science & Engineering Office of Legislative & Public Affairs Office of Polar Programs Biological Sciences (BIO) Computer & Information Science & Engineering (CISE) Engineering (ENG) Geosciences (GEO) Mathematical & Physical Sciences (MPS) Social, Behavioral & Economic Sciences (SBE) Education &Human Resources (EHR) Budget, Finance &Award Management (BFA) Information & Resource Management (IRM)

6 Personnel Changes Dr. Subra Suresh confirmed as NSF Director Dr. Cora Marrett serving as a Senior Advisor to the NSF Director Joan Ferrini-Mundy appointed Assistant Director for Education & Human Resources Dr. Machi Dilworth appointed Head, Office of International ti Science & Engineering Dr. Farnam Jahanian appointed Assistant Director for Computer & Information Science & Engineering Ms Amy Northcutt appointed Acting Director of the Office Ms. Amy Northcutt appointed Acting Director of the Office of Information & Resource Management

7 FY 2011 Appropriations Process (Dollars in Millions) Change Over Change Over FY 2011 FY 2010 FY 2011 FY 2011 Request FY 2010 Enacted Request Enacted Estimate Amt Pct Amt Pct R&RA $5,965 $5,564 $5,510 $455 8% $54 1% EHR $892 $873 $861 $31 3% $12 1% MREFC $165 $117 $117 $48 29% $0 0% AOAM $329 $300 $299 $30 9% $1 0% NSB $5 $5 $5 $0 6% $0 0% OIG, $14 $14 $14 $0 3% $0 0% NSF $7,370 $6,873 $6,806 $565 8% $67 1% Totals may not adddue due to rounding 1 All years exclude transfers of $54 million for US Coast Guard Icebreakers. The FY 2011 Estimate includes an across the board rescission of.2 percent.

8 FY 2012 Request (Dollars in Millions) Change Over Change Over FY 2010 FY 2011 FY 2012 FY 2011 Estimate FY 2010 Enacted Enacted Estimate Request Amt Pct Amt Pct R&RA $5,564 $5,510 $6,254 $744 13% $690 12% EHR $873 $861 $911 $50 6% $38 4% MREFC $117 $117 $225 $108 92% $107 92% AOAM $300 $299 $358 $58 19% $58 19% NSB $5 $5 $5 $0 7% $0 7% OIG, $14 $14 $15 $1 7% $1 7% NSF $6,873 $6,806 $7,767 $961 14% $894 13% Totals may not add due to rounding

9 FY 2012 Budget Request The Three Pillars of Innovation Invest in the Building Blocks of American Innovation Promote Competitive Markets that Spur Productive Entrepreneurship p Catalyze Breakthroughs for National Priorities

10 Invest in the Building Blocks of American Innovation FY 2012 Request Fundamental Research R&RA +12% Growth in research awards + 2,000 Integrated NSF Support Promoting Interdisciplinary $12 M Research and Education (INSPIRE) Science and Engineering Beyond Moore s Law (SEBML) $96 M Research at the Interface of the Biological, $76 Mathematical, and Physical Sciences (BioMaPS) Faculty Early Career Development Program (CAREER) Graduate Research Fellowship Program (GRF) $222 M $198 M

11 Invest in the Building Blocks of American Innovation STEM Education Programs FY 2012 Request Community Colleges Teacher Learning for the Future (TLF) Transforming Broadening Participation through STEM (TBPS) $100 M $20 M $20 M Widening Implementation and Demonstration of Evidence-based Reforms (WIDER) $20 M

12 Promote Competitive Markets that Spur Productive Entrepreneurship FY 2012 Request Advanced Manufacturing Enhancing Access to the Radio Spectrum (EARS) Engineering Research Centers (ERC) and Industry/University it Cooperative Research Centers (I/UCRC) Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Wireless Innovation (WIN) Fund $1 billion over five years (mandatory spending) $150 million in FY 2012 $190 M $15 M $96 M $147 M

13 Catalyze Breakthroughs h for National Priorities iti FY 2012 Request Cyberinfrastructure Framework for 21 st Century Science and Engineering g (CIF21) Science, Engineering, and Education for Sustainability (SEES) Clean Energy National Nanotechnology Signature Initiatives $117 M $998 M $576 M $117 M National Robotics Initiative (NRI) $30 M

14 FY 2012 Budget Request: Major Research Equipment and Facilities Construction Advanced Laser Interferometer Gravitational- Wave Observatory (AdvLIGO) Advanced Technology Solar Telescope (ATST) Atacama Large Millimeter Array (ALMA) National Ecological Observatory Network (NEON) Ocean Observatories Initiative (OOI)

15 FY 2012 Budget Request: Terminations & Reductions Terminations: Deep Underground Science and Engineering Laboratory y( (DUSEL) Graduate STEM Fellows in K-12 Education (GK-12) National STEM Distributed Learning Program (NSDL) Research Initiation Grants to Broaden Participation in Biology (RIG-B) Synchrotron Radiation Center (SRC) Reductions: Science of Learning Centers (SLC)

16 42,547 NSF Competitive Awards, Declines & Funding Rates Awards Declines Funding Rate 14, ,792 24,581 29,024 33,234 31,841 31,732 32,752 32,883 30,587 31% 29% 27% 32% 24% 23% 25% 26% 25% 23% 9,649 10,230 10,721 10,255 9,757 10,318 11,354 11,024 13,015 FY 2001 FY 2002 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 FY 2008 FY 2009 FY 2010

17 Distribution by Average Reviewer Ratings for Awards & Declines, FY ,317 Awards Declines 12,106 6,318 1, , ,643 4,560 3,743 1,312 No Score Poor to Fair Fair to Good Good to Very Very Good to Excellent Good Excellent

18 Interdisciplinary Research (IDR) Important research ideas often transcend the scope of a single discipline or program. NSF gives high priority to promoting interdisciplinary research and supports it through a number of specific solicitations. NSF encourages submission of unsolicited interdisciplinary proposals for ideas that are in novel or emerging areas extending beyond any particular current NSF program.

19 Transparency & Accountability Administration Priorities

20 Focus on Open Government Core Principles: Transparency Participation Collaboration Open Government Policy: The President ss Memorandum on Transparency and Open Government (Jan 21, 2009) A Strategy for American Innovation: Driving Towards Sustainable Growth and Quality Jobs The Open Government Directive My Administration is committed to creating an unprecedented level of openness in Government. We will work together to ensure the public trust and establish a system of transparency, public participation, and collaboration. Openness will strengthen our democracy and promote efficiency and effectiveness in Government. - President Barack Obama

21 Government-wide efforts: Transparency USA Spending.gov: Financial Transparency Recovery.gov: Tracking Economic Stimulus Spending Data.gov: One Stop Data Sharing Platform IT Dashboard: Visualizing Technology Spending Transparency promotes accountability by providing the public with information about what the Government is doing. OMB Memo on Open Government, Dec. 8, 2009

22 NSF Efforts - Transparency Grants.gov NSF Recovery.gov Data.gov: NSF Datasets Research.gov

23 Current Research.gov Services Public Facing Services: Research Spending & Results Policy Library (Government-wide) Research Headlines & Events SEE Innovation (New!) Research Community Services: Project Outcomes Report for the General Public Federal Financial Reports Grants Application Status Manage institution and user accounts Application Submission Web Service (now in pilot) InCommon (now in pilot) Research Performance Progress Reports (planning stage) Personalization enhancements NEW NEW

24 Policy-Related l Topics America COMPETES Act (ACA) Provisions Reporting of Research Results NSF Cost Sharing Policy ACA Reauthorization and NSF Merit Review Criteria NSF Data Management Plan Requirements FFATA Subrecipient Reporting New Payment System ARRA Update Research Performance Progress Report New Proposal & Award Policies & Procedures Guide Key Documents

25 Project Outcomes Report for the General Public Effective for new awards, and funding amendments to existing awards, made on or after January 4, New functionality implemented on Research.gov in August Report is prepared in and submitted via Research.gov. PIs are required to prepare a brief summary ( words) specifically for the public on the nature and outcomes of the award. Updated notifications to more clearly articulate new requirement to PIs. Report is published on Research.gov Research Spending & Results exactly as it is submitted. Report is not reviewed or approved by NSF.

26 Find More Information about the Project Find More Information about the Project Outcomes Report

27 Sample Project Outcomes Report s

28 NSF s Revised Cost Sharing Policy In response to statutory requirements, and, as recommended by the National Science Board, mandatory cost sharing has been implemented for the following gprograms: Major Research Instrumentation Program; Robert Noyce Scholarship Program; Engineering Research Centers; Industry/University Cooperative Research Centers; Experimental Program to Stimulate Competitive Research Cost sharing for these programs must be identified on Line M of the approved budget.

29 NSF s Revised Cost Sharing Policy Mandatory NSF-required programmatic cost sharing will rarely be approved for an NSF program. To request consideration of mandatory programmatic cost sharing requirement in an NSF solicitation, the program must develop a compelling justification regarding why non- Federal financial support and commitment is considered foundational to programmatic success. Such requests to require cost sharing must be explicitly approved by the NSF Director.

30 NSF s Revised Cost Sharing Policy Inclusion of voluntary committed cost sharing is prohibited in solicited & unsolicited proposals. To be considered voluntary committed cost sharing, the cost sharing must meet all of the standards of 2 CFR , to include identification of cost sharing on the NSF budget. Line M will be grayed out in FastLane. Organizations may, at their own discretion, continue to contribute any amount of voluntary uncommitted cost sharing to NSF-sponsored projects.

31 NSF s Revised Cost Sharing Policy The Facilities, Equipment & Other Resources section should be used to provide a comprehensive description of all resources (both physical and personnel) necessary for, and available to a project, without reference to cost, date of acquisition, and whether the resources are currently available or would be provided upon receipt of the grant.

32 NSF s Revised Cost Sharing Policy NSF program officers may discuss the bottom line award amount with PIs, but may not renegotiate or impose cost sharing or other organizational commitments. NSF Program Officers may not impose or encourage programmatic cost sharing requirements.

33 NSF s Revised Cost Sharing Policy Significant effort made in scrubbing existing cost sharing requirements in funding opportunities: Both in the five solicitations that require cost sharing; and Language changed from cost sharing is not required to Voluntary committed cost sharing is prohibited in all other announcements and solicitations. i i Cost sharing FAQs issued, and, updated. Send additional questions to Send additional questions to costsharing@nsf.gov

34 NSF Revised Cost Sharing Policy

35 America COMPETES Reauthorization & NSF Merit Review Criteria NSB Task Force on Merit Review established Spring 2010, charged with examining the two Merit Review Criteria and their effectiveness in achieving the goals for NSF support for science and engineering research and education Focusing on: How criteria are being interpreted and used by PIs, reviewers, and NSF staff Strengths and weaknesses of criteria Impact of criteria on how PIs develop projects R l f th i tit ti Role of the institution

36 Current Statust The Task Force is currently analyzing the various inputs, and is developing a set of principles to guide the description and implementation of the merit review criteria Draft recommendations were presented at the May NSB meeting NSF will report to Congress by late June on policy and implementation plans related to the Broader Impacts Review Criterion, as required by the America COMPETES Reauthorization Act

37 Data Management Plan Requirements Data management plan must be submitted as a Supplementary Document effective for proposals submitted, or due, on or after January 18, 2011 Plan should describe how the proposal will conform to NSF policy on dissemination and sharing of research results. A valid Data Management Plan may include only the statement that no detailed plan is needed, as long a clear justification is provided. Except where specified in a solicitation, it ti plan may not exceed two pages.

38 Data Management Plan Requirements Proposers who feel that the plan cannot fit within the two page limit may use part of the 15-page Project Description for additional data management information. Plan will be reviewed as part of the intellectual merit and/or broader impacts of the proposal. Does not supersede specialized solicitation requirements regarding data management plans. q g g g p FastLane will not permit submission of a proposal that is missing a data management plan.

39 NSF Data Management Policy Online Resources

40 The Federal Funding Accountability & Transparency Act (FFATA) of 2006 & subsequent 2008 amendments Requires agencies to provide data on prime assistance awards through h the Federal Assistance Award Database System Plus format (FAADS+) Requires information disclosure of entities receiving Federal funding through Federal awards such as Federal contracts and their subcontracts and Federal grants and their sub-grants Requires disclosure of executive compensation information for certain entities Requires the establishment of a publicly available, searchable website that contains information about each Federal award Requires agencies to comply with OMB guidance and instructions and assist OMB in implementation of website

41 Status t of NSF Reporting to USAspending.gov NSF has been reporting with a high h degree of data accuracy and completeness since the beginning We have taken steps to address the few data quality challenges we have Modified FastLane proposal submission to require primary performance site and eliminate collection of performing organization (effective January 18, 2011) NSF systems are being modified to check for CCR status prior to issuing new awards and increments Pace of reporting is increasing though we are not seeing a high volume of reports

42 Common Reporting Questions Which awards must report? Required for all new awards made on or after October 1, 2010 Standard grants, continuing grants, cooperative agreements, fellowship awards made to the institution, renewals If in doubt, check your award letter Which awards are excluded? Obligations providing additional funding under continuing grants initially awarded prior to October 1, 2010 Supplements, individual fellowships, and Intergovernmental Personnel Act awards PI transfers when original award was made prior to October 1, 2010 Why can t I find my award is FSRS? Only use the numerical portion of your award number Send NSF-specific questions to FFATAReporting@nsf.gov

43 New Payment System NSF made the decision to develop a new cash request system late FY New cash request system will require grantees to New cash request system will require grantees to request funds for individual grants rather than request funds on a pooling basis. New payment process will allow NSF to attribute the payment to the funding source in real time. New system will also provide both grantees and NSF with real time status of funds data by award.

44 Anticipated Implementation Timeline NSF is currently in the planning stages of the transition and is developing the timeline, but expects to transition during FY We are working with the grantee community to develop a timeline that will not interfere with grantee fiscal year end tasks. NSF will continue to provide updates to stakeholders as the timeline is developed.

45 ARRA Reporting Tools NSF Recipient Quarterly Reporting Instructions, revised October 4, 2010 NSF Common Reporting Errors Guidance Requesting Changes to Prior Quarter Reports Utilizing the Automated Data Change Request Tool, May

46 Research Performance Progress Report (RPPR) Background An initiative of the Research Business Models (RBM) Subcommittee of the National Science and Technology Council (NSTC) The first meeting of the Working Group was held on May 13, 2004 NSF participated heavily in development and served as Chair of the Subcommittee Objective to establish a uniform format for reporting performance on Federally-funded research projects Format developed d as the Research alternative ti to the Performance Progress Report (PPR); Proposed policy addresses interim progress reports only; and The working group used the NSF progress report format in FastLane as the model.

47 RPPR Statust The RPPR Policy Letter was signed by OMB/OSTP on April 21, Each agency is required to post an implementation plan on the NSF and RBM website within nine months after issuance of the OMB/OSTP Policy Letter. A total of 13 Department/Agency plans are posted on the NSF website. Given that the FastLane format was used to develop the RPPR, the NSF implementation will be VERY familiar to our recipient community.

48 NSF Implementation ti NSF plans to implement the RPPR format for annual, interim, and final project reports, and utilize the following components as part of an NSF-wide standard format: Mandatory Category: Accomplishments: What was done? What was learned? Optional Categories: Products: What has the project produced? Participants & Other Collaborating Organizations: Who has been involved? Impact: What is the impact of the project? How has it contributed? Changes/Problems Special Reporting Requirements (where applicable) Appendix 1: Demographic Information for Significant Contributors 48

49 NSF Implementation (Cont d) Develop a new project reporting service in Research.gov to replace FastLane Project Reports The project reporting service will provide a common portal for the research community to submit and manage annual, interim, and final progress reports One of the key drivers in development of the project reporting service is the reduction of PI and Co-PI burden through use of more innovative mechanisms to pre-populate parts of the report 49

50 Benefits to Community Consolidated project reporting dashboard includes annual, final, and Project Outcomes Report requirements Designed to highlight most immediate requirements Enhanced pre-population leveraging STAR METRICS investment Secure mechanism for creating and managing Other Authorized Users More structured collection of the project reports data for enhanced NSF use Adopts federal-wide data dictionary to increase consistency of implementation across agencies 50

51 Current Status of NSF s Implementation High-level requirements and draft wireframes have been developed. NSF internal review began last week. NSF plans to solicit PI/SPO feedback within the next 4-6 weeks. Met with FDP PIs and SPOs last week. Feedback will be incorporated into final wireframes and detailed requirements 51

52 NSF Proposal & Award Policies & Procedures Guide (PAPPG) Update Published in the Federal Register NSF s intent to modify the PAPPG. Issuance date will greatly depend on time necessary to implement results from the Merit Review Task Force. Working issuance date remains October 2012 with January effective date

53 Anticipated i t Changes Revision of Merit review coverage in Chapter III. Completion of implementation of NSB s cost sharing recommendations: Necessary changes to FastLane Budget for removal of PI; Revision of Format of Facilities, Equipment & Other Resources format in FastLane; and Update of Exceptions to Limitations on Indirect Costs coverage Costs coverage. Update of Biographical sketch requirements relating to Publications Proposal compliance checking

54 Fact Sheets on Recent Updates tsheets/datamgmt_costshare.pdf actsheets/por_mentor.pdf

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57 Key Documents Proposal & Award Policies & Procedures Guide (PAPPG) FY 2012 Budget Request to Congress Science & Engineering Indicators Report to the NSB on NSF Merit Review Process

58 For More Information Ask Early, Ask Often! /sta /o g st