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About NSF NSF is not a mission agency NSF is not a mission agency Our goal is to promote and enable high quality in education, particularly in the higher education system, and particularly in the sciences and engineering Our goal is to promote and enable high quality in education, particularly in the higher education system, and particularly in the sciences and engineering In the research divisions, our mechanism is the research grant In the research divisions, our mechanism is the research grant

Proposal Review NSF received 49,013 proposals in FY2013 (52,193 in 11, 56,233 in 10, 44,548 in 07; 40,111 in 03; 31,942 in 01) with 10,844 awards (10,721 in 03) NSF received 49,013 proposals in FY2013 (52,193 in 11, 56,233 in 10, 44,548 in 07; 40,111 in 03; 31,942 in 01) with 10,844 awards (10,721 in 03) 96 percent of these proposals are subject to external merit review 96 percent of these proposals are subject to external merit review Your assistance in this review process is crucial to the success of NSF, and we recognize that it is a lot of work Your assistance in this review process is crucial to the success of NSF, and we recognize that it is a lot of work

NSF is a Government Agency NSF spends taxpayers money NSF spends taxpayers money We seek fair and unbiased reviews We seek fair and unbiased reviews We are required to avoid both actual conflicts of interest and the appearance of conflicts We are required to avoid both actual conflicts of interest and the appearance of conflicts

Typical Conflicts Close friend or relative Close friend or relative Same institution Same institution Received remuneration in past 12 months Received remuneration in past 12 months Student/advisor relationship Student/advisor relationship Collaboration in the past 48 months (research, proposal, paper) Collaboration in the past 48 months (research, proposal, paper) Co-edit book, journal in the past 24 months Co-edit book, journal in the past 24 months Financial interest at stake Financial interest at stake Seeking employment Seeking employment PI ran over spouses cat PI ran over spouses cat

Typical Conflicts Close friend or relative Close friend or relative Same institution Same institution Student/advisor relationship Student/advisor relationship Collaboration in the past 48 months (research, proposal, paper) Collaboration in the past 48 months (research, proposal, paper) Co-edit book, journal in the past 24 months Co-edit book, journal in the past 24 months Financial interest at stake Financial interest at stake PI ran over spouses cat PI ran over spouses cat

Appearance of a Conflict We must avoid even the appearance of a conflict We must avoid even the appearance of a conflict Persons with conflicts must recuse themselves from all discussions relating to proposals with which they have a conflict Persons with conflicts must recuse themselves from all discussions relating to proposals with which they have a conflict It is necessary that you declare all conflicts at the beginning of each panel meeting It is necessary that you declare all conflicts at the beginning of each panel meeting

Before you begin your panel session, we must have a signed Conflict of interest form Please 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 Media Warning: you must maintain the confidentiality of the panel and its recommendations Warning: you must maintain the confidentiality of the panel and its recommendations The use of social media (tweeting, texting, Facebook, personal web pages) can violate this requirement The use of social media (tweeting, texting, Facebook, personal web pages) can violate this requirement Do not tweet or text during a panel meeting, be careful what you post on your web page or Facebook Do not tweet or text during a panel meeting, be careful what you post on your web page or Facebook Do not record the meeting Do not record the meeting

Reviewer Duties By the end of the meeting, we must have for every proposal By the end of the meeting, we must have for every proposal –At least three reviews entered into FastLane –A summary of the panel discussion for every proposal discussed by the panel –Proposals placed into one of three categories 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 must be ranked

Review Criteria What is the intellectual merit of the proposed activity? How important is the proposed activity to advancing knowledge and understanding within its own field or across different fields? How well qualified is the proposer (individual or team) to conduct the project? (If appropriate, the reviewer will comment on the quality of prior work.) To what extent does the proposed activity suggest and explore creative, original, or potentially transformative concepts? How well conceived and organized is the proposed activity? Is there sufficient access to resources? What is the intellectual merit of the proposed activity? How important is the proposed activity to advancing knowledge and understanding within its own field or across different fields? How well qualified is the proposer (individual or team) to conduct the project? (If appropriate, the reviewer will comment on the quality of prior work.) To what extent does the proposed activity suggest and explore creative, original, or potentially transformative concepts? How well conceived and organized is the proposed activity? Is there sufficient access to resources? What are the broader impacts of the proposed activity? How well does the activity advance discovery and understanding while promoting teaching, training, and learning? How well does the proposed activity broaden the participation of underrepresented groups (e.g., gender, ethnicity, disability, geographic, etc.)? To what extent will it enhance the infrastructure for research and education, such as facilities, instrumentation, networks, and partnerships? Will the results be disseminated broadly to enhance scientific and technological understanding? What may be the benefits of the proposed activity to society? What are the broader impacts of the proposed activity? How well does the activity advance discovery and understanding while promoting teaching, training, and learning? How well does the proposed activity broaden the participation of underrepresented groups (e.g., gender, ethnicity, disability, geographic, etc.)? To what extent will it enhance the infrastructure for research and education, such as facilities, instrumentation, networks, and partnerships? Will the results be disseminated broadly to enhance scientific and technological understanding? What may be the benefits of the proposed activity to society?

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

Written Reviews Sent verbatim to PIs Sent verbatim to PIs Comprise the major form of feedback to PIs Comprise the major form of feedback to PIs Please make sure your comments are constructive, informative and non- inflammatory Please make sure your comments are constructive, informative and non- inflammatory Please be sure to substantively address both review criteria - Intellectual Merit and Broader Impact Please be sure to substantively address both review criteria - Intellectual Merit and Broader Impact

Ethics Remember your obligations to maintain the confidentiality of the proposals and the panel recommendations Remember your obligations to maintain the confidentiality of the proposals and the panel recommendations Do not save the proposals Do not save the proposals Do not plagiarize from proposals (or any other source) Do not plagiarize from proposals (or any other source) Plagiarizing from a declined proposal constitutes breach of confidentiality Plagiarizing from a declined proposal constitutes breach of confidentiality

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

Anonymity and Propriety Reviewers are anonymous; we wont tell, you must not tell Reviewers are anonymous; we wont tell, you must not tell Your recommendations are advisory and confidential; do not inform PIs of their status Your recommendations are advisory and confidential; do not inform PIs of their status Awarded proposals go into the public domain Awarded proposals go into the public domain Declined proposals are not in the public domain; dont distribute, use or quote them Declined proposals are not in the public domain; dont distribute, use or quote them

This is Your Meeting We hope that you will feel free to express your opinions and make the best technical judgments that you can We hope that you will feel free to express your opinions and make the best technical judgments that you can You may wish to choose a chair for your panel to expedite the processwho has the earliest flight out? You may wish to choose a chair for your panel to expedite the processwho has the earliest flight out?

Good News/Bad News The good newsyou will get reimbursed for your attendance and participation on the panel The good newsyou will get reimbursed for your attendance and participation on the panel The bad newswe cant use money; Federal law requires the use of electronic funds transfer (we need your bank account number) The bad newswe cant use money; Federal law requires the use of electronic funds transfer (we need your bank account number) If you dont see your reimbursement within four weeks, please let me know If you dont see your reimbursement within four weeks, please let me know H1B visa holders, be sure to declare your status H1B visa holders, be sure to declare your status

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