1. 1 CI Administrator’s Meeting October 26-27, 2005 CCNY, New York City Formal Reviews (Wed) –Transition to new review policy –NESDIS timelines and guidelines –NESDIS example of technical questions New Policies for the NOAA CIs (Thurs)

2. 2 Transition to New Review Policy NOAA committed to uniform administration of all CIs Fully competitive 5 year agreements, with one 5 year extension Re-competition after second 5 years Science/admin review is part of new policy –More uniform schedule and oversight –Review under the auspices of NOAA SAB, but NESDIS will still administer the view CICS review Nov 2005 under old policy CIOSS review will follow new review rules when possible

3. 3.Time Before End of First Five-Year Agreement Task 36 months priorLO coordinates with CI to schedule the review. 32 months priorLO coordinates with CI to obtain suggested science reviewers, checks with reviewers for availability. 30 months priorLO AA submits formal review request to the SAB. 29 months priorLO coordinates with the NOAA SAB to obtain approval of science reviewers. 29 months priorLO selects administrative reviewers. 24 months priorCI science and administrative review. 22 months priorReview committees submit draft reports to LO. 22 months priorLO submits draft reports to CI to check for accuracy. 21 months priorLO submits draft reports back to reviewers for final approval. 20 months priorLO submits final report to SAB and schedules presentation by the review chair. CI director and LO representatives should attend the presentation. 16 months priorSAB presentation by review chair. SAB transmits report to NOAA LO AA along with any recommendations. 15 months priorLO makes recommendation for renewal, conditional renewal or termination to the RC through the NOAA CI committee based upon SAB response. RC determines renewal conditions. 14 months priorLO communicates renewal recommendation to CI. 13 months priorLO sends response to the review to the SAB. 12 months priorLO begins work with CI and GMD to process the renewal if appropriate. General Timeline for New NOAA Review Policy

4. 4 Detailed Pre-Review Timeline

5. 5 Detailed Post-Review Timeline

6. 6 Technical Review Criteria Under the New CI Policy (Details still being formulated by the NOAA SAB) 1) Quality, creativity, integrity and credibility 2) Timeliness, scale and scope 3) Science connected to the application and operational implementation of policy 4) Capacity-building 5) Education 6) Efficiency 7) Social science integration 8) Diversity

7. 7 Sample Technical Review Questions 1. Science Plan A. What is the scientific (not programmatic) vision for the Institute? B. How is it related to the NOAA Strategic Plan? C. What are the goals and objectives and how well do the CI goals and specific scientific efforts align with NOAA’s Five-Year Research Plan and the NOAA 20-Year Research Vision? D. What criteria are used internally to measure progress in accomplishing these goals and objectives? E. What are the major scientific themes? 1. How were they identified? 2. How have they evolved over the past two decades? 3. Which themes/sub themes are near completion? 4. What are the emerging thematic areas? Why? 5. Are any changes in program emphasis being considered for the next cycle? 6. What projects would you stop or start given: Level funding without inflation increases? 10% program increase or decrease?

8. 8 Sample Technical Review Questions 2. Scientific Partnerships A. What is your relationship to the NESDIS Laboratories and other NOAA entities? B. What, if any, formal procedures do you have for joint planning? 3. Science Review A. What are the Institute’s most recent scientific highlights and accomplishments? (Note that this is an opportunity for early-mid career scientists to become acquainted to/by upper NOAA management.). B. What are the most important new or emerging research areas of interest to NOAA? C. What is the extent of actual collaborations between the CI and NOAA, explicitly highlighting collaborations with NESDIS? 4. Technology Transfer A. How are research results from the Institute shared with NOAA as well as the broader scientific community? B. How are NOAA’s research interests conveyed to the Cooperative Institute? C. What has been the most important research or development result that has been transferred to customers during the last four years? D. What is planned for the next 1-2 years?

9. 9 Sample Technical Review Questions 5. Education/Outreach A. What types of educational activities/opportunities (K-12, undergraduate and graduate students) does the Institute offer on an ongoing basis? B. What are the current and planned outreach efforts? 6. Science Management Plan A. How does the Institute identify new intellectual opportunities? B. What are some recent examples of intellectual opportunities? C. What is the strategy for new starts (projects, techniques, campaigns, etc.) D. What review mechanisms are in place to make program adjustments? E. How much of the Institute resources are reserved for new opportunities or bright ideas? F. What is the internal review process for science proposals? G. Do you have any quantitative performance measures for tracking your research program?

10. 10 New Policies for the NOAA Cooperative Institutes 2003 NOAA SAB Research Summary –NOAA should establish common procedural structure for CI administration All future CIs should be competitively established 5 year agreement with one 5 year renewal Comprehensive science review before the end of first 5 years Open competition at the end of 10 years –Existing CIs can compete Transition plan for all non-competitively selected CIs

11. 11 Roles and Responsibilities a. NOAA RC - Responsible for reviewing recommendations from LOs or the GTs for establishing CIs, designating the LO that is responsible for maintaining the CI, approving the review guidelines for the renewals, and overseeing the CI program. b. NOAA CI Committee - Establishing and reviewing all procedures pertaining to NOAA CIs and the implementation of the CI policy. The CI Committee will provide aggregate financial and performance information on the NOAA CIs upon request of the RC and/or any NOAA office. Includes representatives from NESDIS, OAR, NMFS, NWS, NOS, NOAA Grants Office, c. NOAA LO - Administering the CI award, including oversight of the initial CI competition, evaluating CI performance, funding to the CI throughout the award period, managing the renewal review process, arranging re-competition, and sunsetting (if necessary) d. NOAA Goal Teams and Programs - Goal Team(s), and their relevant Program(s) propose the formation of CIs with the relevant LOs. e. CI Director - The CI director is responsible for oversight of all NOAA-funded activities within the CI and the submission of any required reports associated with the CI award. f. NOAA SAB – Is the official reviewing authority, approves science reviewers, and makes recommendation(s) after the review.

12. 12 Four NOAA Documents Describe new CI Policy NAO – describes new policy (Completed) –All CIs will be selected competitively –5 years with a renewal for 5 more years Transition Plan –Provides re-competition dates CIRA, CICS – June 30, 2009 CIMSS - June 30, 2010 CIOSS - June 30, 2013 Note: 10 others from OAR/NWS/NMFS before NESDIS CIs Transition Guidance Memo –Guidelines for renewal during transition period CI Handbook (Dec 05) –Provides details of establishment, management, review, renewal, and sunset of CIs –Being drafted by NOAA CI committee

13. 13 New NOAA CI Policy Implementation Timeline 09/02/05 -09/12/05LO/GT/GMD/GC Review of CI Transition PlanCompleted 09/02/05Submit CI Committee Charter to RC for ApprovalCompleted 09/14/05 Submit Transition Plan (and Continuation Schedule) to Research Council and GMD for Approval Completed 10/13/05 Submit Transition Plan to NOAA Administrator for Approval Completed 10/14-25/05LO/GT/GMD/GC Review of Draft CI HandbookIn progress 10/17/05 Send NAO and Transition Plan to SAB *per NOAA's Research Review response 10/31/05 – 11/7/05Research Council Reviews Draft CI Interim Handbook 11/21/05 – 1/20/06Handbook Released for 60-day Public Comment Period 01/30/06 Submit Final Draft of CI Interim Handbook to RC for Approval 02/15/06RC Approval of Handbook

14. 14 New CI Procedures - 1 CI committee will play role in developing and modifying CI policy Establishment of new CIs or re-competing old ones managed by LO, Goal Teams and RCs Uniform evaluation criteria for new CIs –Capability to enhance NOAA research –Scientific expertise and recognized graduate program –Research plan aligned with NOAA research goals – “Business Plan” for fiscal and human resource management, strategic planning –Demonstrated record of performance on NOAA projects (if applicable) –Cost sharing

15. 15 New CI Procedures - 2 Performance measures –Mutually agreed upon by NOAA and CI Uniform funding terminology –Task 1 – admin, outreach, student support –Task 2 - Research with strong NOAA collaboration –Task 3 – Research without strong NOAA collaboration Uniform annual reporting –Annual guidance memorandum, similar to CIRA procedure Annual meeting of all NOAA CIs (~March)

16. 16 New CI Procedures - 3 Three-tier Review Rating System –a. Outstanding –The CI has demonstrated consistent achievement of all initially agreed goals and outstanding performance, as well as evidence of a continuous resource commitment that enhances NOAA’s resources to support collaborative research. For outstanding performance, NOAA will renew a CI for up to an additional five years at a funding level commensurate with their level of performance, pending availability of funding. –b. Satisfactory – The CI has reasonably achieved some or all of its agreed goals and has demonstrated acceptable performance. Its performance, however, is not considered outstanding and/or the CI’s resource commitment provides a limited enhancement of NOAA’s resources. For acceptable performance, NOAA may opt to renew a CI for a period less than 5 years that may be at a significantly reduced funding level, pending availability of funding. –c. Unsatisfactory – The CI has demonstrated a failure to achieve some or all of its agreed goals and its performance is unacceptable and/or the CI has also provided minimal resources to enhance NOAA’s resources to conduct collaborative research. For unacceptable performance, NOAA will not renew the award or, for serious problems, will terminate the CI award according to the procedure identified in Chapter 7.

17. 17 New CI Procedures - 3 All CIs sunsetted after 10 years performance measures Re-competition if NOAA need still exists after 10 years Timeline for new or re-competition requires 18 months –Re-competition process would start 2 years before end of 2 nd 5 years Sunsetting will be a formality if existing university wins the re-competition Early termination (before 10 years) possible for unsatisfactory performance –Would usually occur following science review