1. NSF Funding and Dos and Don’ts Association of Medical and Graduate Departments of Biochemistry January 19, 2002 Leanne Cusumano Office of Inspector General National Science Foundation www.oig.nsf.gov

2. Items for Discussion NSF Obtaining Funding NSF OIG Investigating Allegations Current Issues Case Studies

3. 3 What is the National Science Foundation? Independent agency of the U.S. Government Initiates and supports, thru grants & contracts, –scientific and engineering research & programs –education programs at all levels, Appraises impact of research on: –industrial development –general welfare.

4. 4 How much NSF $ goes to research? $ 4.4 Billion –30,000 requests per year –20,000 competitive awards per year –1800 institutions receive funding annually Share of federal funding for basic research at universities & colleges: –physical sciences (36%) –environmental sciences (49%) –engineering (50%) –mathematics (72%) –computer science research (78%)

5. 5 What does NSF not usually fund? Bioscience research with disease-related goals –work on the etiology, diagnosis or treatment of physical or mental disease, –abnormality or malfunction Development of products for commercial marketing or classified research –EXCEPT SBIR/STTR Courtesy of Dr. P. Dennis, NSF/BIO/MCB

6. 6 What types of biochemistry does NSF fund? Bio –MCB –IBN Geo - Biological Oceanography Eng – Bioeng. and Environmental Systems SBE - Physical Anthropology MPS – Chemistry SGER/Conference Grants/INT Other!

7. 7 NSF Organization Courtesy of Dr. P. Dennis, NSF/BIO/MCB

8. 8 BIO Organization Courtesy of Dr. P. Dennis, NSF/BIO/MCB

9. 9 BIO Divisions Molecular and Cellular Biosciences - MCB Integrative Biology and Neurosciences - IBN Environmental Biology - DEB Biological Infrastructure - DBI Courtesy of Dr. P. Dennis, NSF/BIO/MCB

10. 10 MCB Clusters / Programs Biomolecular structure and function: molecular biochemistry; molecular biophysics Biomolecular processes: biochemistry of gene expression; metabolic biochemistry Cell biology: cellular organization; signal transduction Genetics: eukaryotic genetics; microbial genetics, microbial observatories Courtesy of Dr. P. Dennis, NSF/BIO/MCB

11. 11 How can I get funding from NSF? Call the Program! Apply for a grant http://www.nsf.gov/home/menus/pi.htm Work with a PI who has a grant Apply for a fellowship  http://www.nsf.gov/home/menus/grads.htm –http://www.nsf.gov/home/crssprgm/reu/

12. 12 Who reviews my proposal? NSF Program Officer –a scientist, engineer, or educator 3 to 10 others –outside NSF –experts in the field Division Director or designee –6 months to decide (target) –30 days to issue from DGA (target)

13. 13 What criteria are used to review my proposal? 1: What is the intellectual merit of the proposed activity? 2: What are the broader impacts of the proposed activity? 3: Special criteria as required to highlight the specific objectives of certain programs and activities.

14. 14 To what do I certify when I submit my proposal? [PI & Co-PI –statements contained in the proposal –authorship –reporting of the research –scientific conduct of the project] AOR –accuracy and completeness of statements –compliance with award terms & conditions

15. 15 Other certifications? COI Policy Drug-Free Workplace Debarment and Suspension Lobbying (proposal >$100,000) For-profit Business type –small, minority owned, woman owned

16. 16 How does OIG work with NSF? Investigates allegations of: –fraud, waste, and abuse –misconduct in science Conducts audits: –financial –administrative –programmatic Outreach

17. 17 What if an allegation is fraud? Investigate Refer to Department of Justice –Criminal –Civil

18. 18 What happens when OIG receives an allegation of misconduct? StepTimeframe (target) n 1. Inquiry60 days - OIG 90 days - Awardee Deferral? - 88% n 2. Investigation120 days - OIG 180 days -Awardee OIG Review of Institution Report n 3. Adjudication45 days - NSF n 4. Appeal30 days - NSF Case may close at any step

19. 19 What is misconduct in science? Fabrication Falsification Plagiarism Other serious deviation from accepted practices Retaliation against reporter NSF’s Regulation 45 CFR 689.1

20. 20 OSTP Policy 3 Federal Policy for addressing RESEARCH misconduct 3 Defines F, F, P S violation of peer review S defines “research” and the “research record” 3 All Federal agencies that support internal or external research should implement by 12/6/2001 3 Similar to NSF rules 3no whistleblower 65 FR 76260 (Dec. 6, 2000)

21. 21 What should an institution do upon receiving an allegation of misconduct? Conduct inquiry Notify NSF OIG immediately if: –serious –immediate health hazards –NSF interests need protection –Federal action necessary –public should be informed Provide inquiry report to OIG if investigating Accept deferral & get on-site help, as appropriate Investigate Provide investigation report to OIG 45 CFR 689.3

22. 22 What does OIG do with a report? Reviews report Determines Federal interest Seeks additional information about –investigation –events covered by investigation Makes recommendation to NSF

23. 23 What does NSF consider in determining what action to take? Intent Pattern Scope of affected awards Seriousness 45 CFR 689.1(b)

24. 24 What standards does NSF use to determine if misconduct serious? Community standards Applicable regulations & grant conditions After: –investigation formal examination and evaluation of relevant facts extent and consequences of misconduct –subject’s input

25. 25 What are community standards?

26. 26 What are some current issues? Human Subject Protection Animal Welfare Conflicts of Interests –SBIR –Consulting Training Program Income Patents C&P Support Cost-sharing Program Income Budget

27. 27 Where can I get information on-line? General www.nsf.gov Community standards http://www.nsf.gov/sbe/ses/sdest/ Grant Conditions http://www.nsf.gov/home/grants/grants_gac.htm Regulations http://www.access.gpo.gov/nara/cfr/index.html

28. 28 How can I contact OIG? Internet:www.oig.nsf.gov E-mail:oig@nsf.gov Phone: 703-292-7100 Hotline:1-800-428-2189 Write:4201 Wilson Blvd. Arlington, VA 22230