Workshop for all NSF-funded PIs regarding new NSF policies and requirements.

1. Charles F. Louis, Vice Chancellor for Research Bruce Morgan, Assistant Vice Chancellor for Research Workshop for all NSF-funded PIs regarding new NSF policies and requirements. • America COMPETES Act contains a number of new requirements for all those funded by the NSF, including requirements regarding: • Mentoring in the ethical and responsible conduct of research and • the certification of such mentoring programs; • NSF has also recently revised and clarified its salary • reimbursement policy for senior project personnel. April 28, 2009

2. H. R. 2272: ‘‘America COMPETES Act’’ or the ‘‘America Creating Opportunities to Meaningfully Promote Excellence in Technology, Education, and Science Act’’. Signed into law on August 9, 2007 SEC. 7008. POSTDOCTORAL RESEARCH FELLOWS. (a) MENTORING.—The Director shall require that all grant applications that include funding to support postdoctoral researchers include a description of the mentoring activities that will be provided for such individuals, and shall ensure that this part of the application is evaluated under the Foundation’s broader impacts merit review criterion. Mentoring activities may include career counseling, training in preparing grant applications, guidance on ways to improve teaching skills, and training in research ethics. (b) REPORTS.—The Director shall require that annual reports and the final report for research grants that include funding to support postdoctoral researchers include a description of the mentoring activities provided to such researchers.

3. SEC. 7008. POSTDOCTORAL RESEARCH FELLOWS (cont.). Each proposal that contains postdoctoral researchers must include, as a separate section within the Project Description, a description of the mentoring activities to be provided to such individuals. Each proposal that requests funding to support postdoctoral researchers must include, as a separate section within the 15-page project description, a description of the mentoring activities that will be provided for such individuals. Examples of mentoring activities include, but are not limited to: - career counseling; - training in preparation of grant proposals, publications and presentations; - guidance on ways to improve teaching and mentoring skills; - - guidance on how to effectively collaborate with researchers from diverse backgrounds and disciplinary areas; - training in responsible professional practices. Jean Feldman: Head Policy Office NSF 10/30/09 @ COGR

4. SEC. 7008. POSTDOCTORAL RESEARCH FELLOWS (cont.). The proposed mentoring activities will be evaluated as part of the merit review process under the Foundation's broader impacts merit review criterion. Proposals that do not include a separate section on mentoring activities within the Project Description will be returned without review. The Return without Review section and the Proposal Preparation Checklist will emphasize that proposals that do not describe mentoring activities provided to postdoctoral researchers will be returned without review. The FastLane project reporting format is being modified to inform PIs of the requirement to report on the mentoring activities provided to postdoctoral researchers during the performance period. This includes any postdoctoral researcher not identified in the original proposal submission!

5. America COMPETES Act: SEC 7009: Responsible Conduct of Research “The NSF Director shall require that each institution that applies for financial assistance from the Foundation for science and engineering research or education describe in its grant proposal a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduate students, graduate students, and postdoctoral researchers participating in the proposed research project.” NSF workshop on August 25/26th, 2008 to address RCR and responsible professional practices. Focus of the workshop was on pedagogy and what are the best ways to teach ethics and responsible conduct of research, the best way to deliver knowledge about these subjects and some advice on implementation issues.

6. America COMPETES Act: SEC 7009: Responsible Conduct of Research • On-line only training is less effective. • Ethics training should be integrated into scientific and engineering research • Multiple approaches are needed • Time available for training must be considered • Content can vary by disciplinary areas and career age (undergrad versus postdoc) • PIs should be positively involved • Mentoring can have negative effects on integrity, if the context of science and engineering is not considered – this directly leads to bad behavior Jean Feldman: Head Policy Office NSF 10/30/09 @ COGR

7. What are the topic areas that should be included in such training? NSF has been very explicit in not defining this but it could include: • Time management and personal responsibility. • Mentoring and being mentored. • You and the literature. • Lab note books and graphical presentation of data. • Data ownership and inventions. • Posters and oral presentations. • Attending scientific meetings. • Writing grants/obtaining funding. • Writing a research article. • Peer review, problem selection and problem solving. • Legal issues in research and research misconduct. • Research ethics. • Job skills and life after grad school and postdoc.

8. America COMPETES Act: SEC 7009: Responsible Conduct of Research • A new certification requirement at the time of proposal submission that would stipulate that the institution has a plan to provide appropriate training and oversight in responsible and ethical conduct to undergrads/grads/and postdocs participating in the NSF-funded project; • The role of the PI in describing the training proposed in the proposal; and • The post award requirements for complying with the training requirement -- or is this another broader impact such as mentoring.

9. National Science Foundation NOTICE: February 26, 2009 DOCUMENT ACTION: Request for public comment on requirement for students and postdoctoral researchers involved in NSF proposals to be educated in the responsible and ethical conduct of research (RCR). SUBJECT CATEGORY: SEC 7009: Responsible Conduct of Research DOCUMENT SUMMARY: The National Science Foundation is soliciting public comment on the agency's proposed implementation of Section 7009 of the America Creating Opportunities to Meaningfully Promote Excellence in Technology, Education, and Science (COMPETES) Act (42 U.S.C. 1862o1). This section of the Act requires that “each institution that applies for financial assistance from the Foundation for science and engineering research or education describe in its grant proposal a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduate students, graduate students, and postdoctoral researchers participating in the proposed research project.”

10. America COMPETES Act: SEC 7009: Responsible Conduct of Research Proposed Implementation Plan: Effective October 1, 2009, NSF will require that at the time of proposal submission to NSF, a proposing institution's Authorized Organizational Representative must certify that the institution has a plan to provide appropriate training and oversightin the responsible and ethical conduct of research to undergraduates, graduate students, and postdoctoral researchers who will be supported by NSF to conduct research. While training plans are not required to be included in proposals submitted, institutions are advised that they are subject to review upon request. NSF will modify its standard award conditions to clearly stipulate that institutions are responsible for verifying that undergraduate students, graduate students, and postdoctoral researchers supported by NSF to conduct research have received RCR training.

11. America COMPETES Act: SEC 7009: Responsible Conduct of Research • Questions being asked by NSF: • What role should Principal Investigators play in meeting • NSF's RCR requirement? • There are likely to be differences in the RCR plans that • institutions develop to respond to this new requirement. What are the pros and cons of exploring a diversity of approaches? • How might online resources be most effective in assisting • with training students and postdocs in the responsible and ethical • conduct of research? • Discuss possible approaches to verifying that the requisite RCR training has been provided.

12. America COMPETES Act: SEC 7009: Responsible Conduct of Research • Research Office and Graduate Division need your help! • Need to develop a certification system that is auditable. • Needs to be a program that serves the purpose of enhancing the capabilities of undergrads, grad students and postdocs that participate in this program • There will clearly need to be different programs for undergrads as compared to grad students and postdocs – numbers are too great! • Most effective programs are those conducted and lead by faculty of the discipline. • We can provide a small number of campus-wide workshops but will need more volunteers to assist with these.

13. QUESTIONS? Please send any comments to: Charles F. Louis at clouis@ucr.edu

15. Focus on Transformative Research – Charge to Panelists and Reviewers In an effort to enhance support of transformative research, the National Science Foundation has recently changed the Intellectual Merit Review Criterion specified in Part I of the NSF Proposal & Award Policies & Procedures Guide: the Grant Proposal Guide to specifically include review of the extent to which a proposal suggests and explores potentially transformative concepts. All proposals received after January 5, 2008, are to be reviewed against the newly revised Intellectual Merit review criterion, which specifically challenges the proposer to "suggest and explore creative, original, or potentially transformative concepts." Similarly, NSF charges panelists and reviewers to be cognizant of the change to the Intellectual Merit review criterion when evaluating proposals. Panelists are encouraged to consider thoughtfully whether the proposed research has the potential to be transformative.

16. Transformative research involves ideas, discoveries, or tools that radically change our understanding of an important existing scientific or engineering concept or educational practice or leads to the creation of a new paradigm or field of science, engineering, or education. Such research challenges current understanding or provides pathways to new frontiers.

17. SALSA Workshop series for new faculty & Senior Post Docs “Survival And Leadership Skills in Academe” Sessions on: Ten Habits of Highly Successful Researchers. • Mentoring & Being Mentored • Letters of References and the Law: Think before you write • Getting Funded • The Why’s and What’s of Research Ethics • Data Ownership & Inventions.

20. Research at UCR:How can we help you? Office of Research Charles F. Louis Vice Chancellor for Research 951-827-5535 clouis@ucr.edu