Early Career Research Proposals

1. Early Career Research Proposals Susan Carter, J.D. Office of Research Development Services University of California Merced May 29, 2014 University of California at Merced

2. Overview of Today’s Workshop • Introductions • How can RDS help? • Quick Overview of Early Career Opportunities • Discussion/planning activity • Focus on NSF CAREER • Discussion/next steps/close University of California at Merced

3. How we can help • Identification of funding opportunities; • Support for Program Officer contacts; • Connections to educational activities, evaluators, collaborators; • Assistance drafting Dean/Dept. letters; • Strategies to integrate education/research activities (NSF CAREER); • Feedback on objectives, approach, activities; • Editing suggestions geared to solicitation; • Post-doc mentoring and data management plans; • Resource section; • Budget/Budget justification; • Sample proposals, help with internal review University of California at Merced

4. Overview: Early Career Opportunities • Geared to tenure track, not yet tenured faculty. • Most from private foundations and professional societies (COS/Pivot search ‘young’ and ‘investigator’ for federal opportunities: n= 118; for all opportunities n=2339) • The opportunities are a good way to build a relationship with an agency; some agencies encourage ‘first time’ applicants/recipients. University of California at Merced

5. Your proposal • Should advance you toward your academic goals. • Should be compatible with your institution’s goals. • Should represent a contribution to society at large. University of California at Merced

6. Early Career Opportunities: A Very Partial List • NIH Career Development (K series) Awards: • http://grants.nih.gov/training/careerdevelopmentawards.htm • DOE Early Career Research Program: • http://science.energy.gov/early-career/ • 2014 Recipient: Florin Rusu, UC Merced, ‘Scalable and Energy-efficient Methods for Interactive Exploration of Scientific Data’ (Office of Advanced Scientific Computing Research) • Air Force Young Investigator Research Program: • https://www.fbo.gov/index?s=opportunity&mode=form&id=c9b1754afe23dd6231f6ba85299a5218&tab=core&_cview=0 • DARPA Young Faculty Award: • http://www.darpa.mil/Opportunities/Universities/Young_Faculty.aspx University of California at Merced

7. Early Career Resources • Most agencies have extended webpages; e.g. NIH K Kiosk linked above, and other internet resources and publications. • NIH has a YouTube Channel: • https://www.youtube.com/user/nihgrants • Professional societies. • Program Officers. • Colleagues. University of California at Merced

8. NSF CAREER Proposal Resources on the Internet…. • Presentations from NSF hosted workshops: http://aries.imse.ksu.edu/nsf/nsfcareer2013/resource.htm http://cs.gmu.edu/events/nsfcisecareer2014/wp-content/uploads/2014/03/slides.pdf http://aries.imse.ksu.edu/nsf/NSF2014/Workshopdoc.htm • You Tubehttp://www.youtube.com/watch?v=taYMgx_U3YY&feature=share&list=PLS7JwklCxwEYiXvzKJD3IjKj7a2gF0lfx • AND sample NSF Briefings for review panels: http://crewman.uta.edu/NSF-CAREER-Workshop2013/Files/CAREER-Panel-Briefing.pdf http://cs.gmu.edu/events/nsfcisecareer2014/?page_id=15 University of California at Merced

9. NSF CAREER Resources, contd. • Presentation on what NOT to do: • http://www.umass.edu/research/system/files/Rutgers_Pazzani_near-misses.pdf • Sample outline: • http://www.ohio.edu/engineering/grants/upload/CAREER-Sample-Outline-2.pdf • Information from NSF on its review process: • http://www.nsf.gov/bfa/dias/policy/outreach/grantsconf/meritreview_march13.pdf • See also: http://www.nsf.gov/nsb/publications/2012/nsb1228.pdf • (appendices include information on funding rates, often by Directorate) • Some successful CAREER proposals in Geosciences: • http://serc.carleton.edu/NAGTWorkshops/earlycareer/research/NSFgrants.html University of California at Merced

10. Campus and UC Resources • RDS http://rds.ucmerced.edu/ • UC Educational Evaluation Center: http://education.ucsb.edu/ucec/faq.html • Institutional Research and Decision Support: (institutional data repository; can do survey design and administration): http://ipa.ucmerced.edu/ • Assessment at UC Merced (includes links to programs, people, resources at school and institutional level). • http://assessment.ucmerced.edu/ University of California at Merced

11. Campus resources, contd. • UC Merced Center for Research on Teaching Excellence (CRTE): http://crte.ucmerced.edu/faculty-services • Program Learning Outcomes Resources: • Assessment Guide: http://crte.ucmerced.edu/program-learning-outcomes-resources • The MERLOT ELIXR Initiative: offers a digital case story repository that hosts more than 70 discipline-specific multimedia stories. • Students Assessing Teaching and Learning (SATAL): • http://crte.ucmerced.edu/node/64 • Upon faculty request, SATAL collects and analyzes evidence of student learning for formative assessment purposes • CRTE also offers individual consultations. University of California at Merced

12. Discussion/Questions this far? University of California at Merced

13. CAREER Proposal Planning Activity • Your five, ten and twenty year plans: where will you be, what will you be doing? University of California at Merced

14. Your CAREER Planning • Where are you today? • List three areas of research expertise and interest • List three areas of education expertise and interest • List three resources that you/ your institution bring to the table • List three career/life goals: where do you want to be: • In five years? • In ten years? • In twenty years? • How do you get from here to there? University of California at Merced

15. Early Career Proposal Planning: Initial Steps (an iterative process) • Sketch out your five year career plan. • Where do you want to be in five years: • Your research agenda, goals, projects, collaborators, publications? • Your teaching: goals, courses, collaborators, curriculum development? • Outreach: goals, activities, collaborators, integration with your research and teaching? • Where do you want to be in ten years? Twenty years? (Remember: Support for a lifetime of achievement). • Where do your early career submissions fit into this plan? • Discuss your goals and plans with your Dean, Dept. head, mentors, peers. University of California at Merced

16. Before you do much writing… • Know your field: • What is the current state-of-the-art? • Who are the top ten researchers? • What they are doing right now? • Where they get their funding? • What they consider to be the key research issues? • Who would likely review your proposal? • Source, Hazelrigg, NSF

17. Before you do much writing….Ask yourself these basic questions (and then answer them in your project description!): • What is it about (objectives)? • How will you do it (methodology, technical approach, activities, timeline, integration of research and educational activities)? • Can you do it (you and your facilities)? • Is it innovative, exciting and worth doing? Will it contribute to national needs and priorities? (intellectual merit and broader impact)? • How does it fit with your 5/10/20 year plans and goals? University of California at Merced

18. Initial Steps • If you haven’t already done so, identify the most appropriate Division/Program and email and then call the Program Officers • Do this SOON (a month before the deadline would be considered ‘too late’. • Be prepared to answer in 25 words or less: • What are your research objectives for this funding? • Questions to ask the Program Officer: • Do my research objectives fit well with your program? • If my project is not a good fit, are there other programs I should consider? • What is the maximum size of your Division/Program’s early career awards? • How are early career proposals submitted to your program reviewed? University of California at Merced

19. Questions this far? University of California at Merced

20. Focus on the NSF CAREER University of California at Merced

21. Why CAREER? From the Solicitation: “CAREER: The Faculty Early Career Development (CAREER) Program is a Foundation-wide activity that offers the National Science Foundation's most prestigious awards in support of junior faculty who exemplify the role of teacher-scholars through outstanding research, excellent education and the integration of education and research within the context of the mission of their organizations. Such activities should build a firm foundation for a lifetime of leadership in integrating education and research.” University of California at Merced

22. A quick overview…. • Minimum award: $400K over five years; Bio or PLR $500K (includes IDC.) • Funding rates vary by Directorate, but about 20% overall (per year). • Eligibility: Untenured, in tenure track; can only apply three times. • No Co-PIs or Senior Persons named or in budget. • Requires letter from Dean/Dept. head to demonstrate institutional support and verify eligibility. (At UC Merced this is By-Law 55 unit Chair other than in ENG). • In any area normally supported by NSF. University of California at Merced

23. Quick Overview continued. • Mark your Calendars for the Due Dates: • Monday July 21: BIO, CISE, EHR • Tuesday, July 22: ENG • Wednesday, July 23: GEO, MPS, SBE • Division and Directorate Contacts: http://www.nsf.gov/crssprgm/career/contacts.jsp • More including abstracts of recent awards: • https://www.nsf.gov/funding/pgm_summ.jsp?pims_id=503214 University of California at Merced

24. Quick Overview, contd. • Funds the academic career development of new faculty; it is not just a research award; • All CAREER proposals must have an integrated research and education plan at their core. • “NSF encourages all applicants to think creatively about how their research will impact their education goals and, conversely, how their education activities will feed back into their research. These plans should reflect both the proposer's own disciplinary and educational interests and goals, as well as the needs and context of his or her organization.”

25. An Overview of the CAREER Proposal Components • Cover Page (generated in FastLane). • Project Summary (1 page equivalent) • Description (15 page limit): • PI Biosketch: Standard NSF format, but include both research and educational activities and accomplishments. • References. • Budget and budget justification. • Facilities and resources. • Current and pending support. • Post-doc mentoring plan (if applicable; 1 page limit). • Data Management plan (2 page limit); • Supplemental Documents: • Departmental/Dean Letter: (2 pages) • Letters of Collaboration (1 page each). University of California at Merced

26. Don’t forget…. • From the Solicitation: “Proposers are encouraged to communicate with the CAREER contact or cognizant Program Officer in the Division closest to their area of research to discuss the expectations and approaches that are most appropriate for that area.” http://www.nsf.gov/crssprgm/career/contacts.jsp University of California at Merced

27. Don’t forget The Funder’s Goals! • Stable support for junior PIs. • Career development of outstanding ‘teacher-scholars’within the context of their institution. • Build a foundation for a lifetime of integrated contributions to research and education. • Give universities incentives to value integration of research and education. • Increase participation of traditionally underrepresented groups in STEM. • Source: Fisher, NSF CISE; wman.uta.edu/NSF-CAREER-Workshop2013/Files/NSF-Presentation-CAREER-Program.pdf University of California at Merced

28. CAREER Awards at UC Merced • Past UC Merced CAREER Recipients include: • Asmeret Asefaw Berhe, LES (EAR) • Elliott Campbell, Environmental Engineering (CBET) • Miguel Carreira-Perpinan, EECS (IIS) • Alberto Cerpa, EECS (CNS) • Sayantani Ghosh, Physics (DMR) • Linda Hirst, Physics (DMR) • Christopher Kello, Cognitive Science (BCS) • Kevin Mitchell, Physics (PHY) • Shawn Newsam, EECS (IIS) (PECASE Recipient) • Lin Tian, Physics (DMR) • Ming-Hsuan Yang, EECS (IIS) University of California at Merced

29. Elements of the Project Description FROM THE SOLICITATION: “The Project Description should be developed in consultation with the department head or equivalent…” • Therefore: • Consult with RDS; • Develop a written outline; • Email and make an apt. to call the Program Contact; • Make an apt and discuss with your Department head or Dean. University of California at Merced

30. Elements of the Project Description, contd. • Description of the proposed research, including: • expected significance; • objectives; • Preliminary data; • methods and approach. • Description of the proposed educational activities; • including evaluation and assessment. • Description of how the research and educational activities are integrated; • Must address intellectual merit and broader impacts; • Results of prior NSF support, if applicable. University of California at Merced

31. Elements of departmental letter • Statement that PI is eligible for the CAREER; • Indication that proposed research and education activities are supported by and integrated into educational and research goals of the department and UC Merced; • Indication that department/school is committed to the support and professional development of the PI. • See handout University of California at Merced

32. Elements of departmental letter contd. • A description of the relationship between the CAREER project, the PI's career goals and job responsibilities, and the goals of his/her department/UC Merced; • A description of ways in which the department head (or equivalent) will ensure mentoring and professional development of the PI; • From the RFA: “A letter that fails to acknowledge institutional commitment to the professional development and mentoring of the PI in both research and education may disadvantage an otherwise outstanding proposal.” University of California at Merced

33. Questions this far? University of California at Merced

34. Writing your NSF CAREER Proposal: The ‘Broader Impacts’ Review Criterion University of California at Merced

35. Background and a bit of history • Basic two criteria required by NSB since 1997 • Requirement that both be explicitly stated in Project Summary and Description since 2002; if not to be returned without review (see http://www.nsf.gov/pubs/2002/iin127/imptnot.pdf) • Emphasis on transformative work in both intellectual merit and broader impacts since 2007; • Criteria revised effective January 2013; even more explicit about the need to address both intellectual merit and broader impacts. University of California at Merced

36. Background, NSB Merit Review TF Report, contd. • NSF wanted to retain researchers’ freedom and creativity to posit their own broader impacts, rather than relying on a predetermined list of ‘National Needs’,’ which was considered but abandoned in the revised, final report. • Report included a call for developing better metrics for broader impacts activities and noted that broader impacts may be better measured at levels beyond the individual project — such as at the institutional level. • Source:Holbrook, J.B.; “Re-assessing the science – society relation: The case of the US National Science Foundation’s broader impacts merit review criterion (1997 – 2011)”; Center for the Study of Interdisciplinarity; http://www.peerev.org/data/7cce53cf90577442771720a370c3c723/PE_doc_28403.pdf University of California at Merced

37. Background, contd. • Revisions based on recommendations from the NSB appointed Task Force on Merit Review:http://www.nsf.gov/nsb/publications/2011/meritreviewcriteria.pdf • TF Report conclusion: The Intellectual Merit and Broader Impacts review criteria together capture the important elements that should guide evaluation of NSF proposals. • TF Report recommended revisions to the descriptions of the Broader Impacts criterion and how it is implemented. • Use of the two basic review criteria should be informed by a guiding set of three core principles and five review elements. University of California at Merced

38. Three Guiding Core Principles from the Merit Review TF Report • All NSF projects should be of the highest quality and have the potential to advance, if not transform, the frontiers of knowledge. • NSF projects, in the aggregate, should contribute more broadly to achieving societal goals. • Meaningful assessment and evaluation of NSF funded projects should be based on appropriate metrics, keeping in mind the likely correlation between the effect of broader impacts and the resources provided to implement projects. University of California at Merced

39. Reminder, Two Basic NSF Review Criteria • Applies to all NSF Proposals, including CAREER: • Intellectual Merit: potential to advance knowledge and understanding; • Broader Impacts: potential to benefit society and contribute to the achievement of specific, desired societal outcomes. • NSF will sometimes use additional criteria as required to highlight the specific objectives of certain programs and activities. University of California at Merced

40. Five Elements of the Two Criteria: Some Questions the reviewers will ask: • Do the proposed activities suggest and explore creative, original, or potentially transformative concepts? • Is the plan for carrying out the activities well-reasoned, well-organized, and based on a sound rationale? • How well qualified is the individual, team, or organization to conduct the proposed activities? University of California at Merced

41. Five elements, contd. • Are there adequate resources available to the PI (either at the home organization or through collaborations) to carry out the proposed activities? • Does the plan incorporate a mechanism to assess success? University of California at Merced

42. A bit more history: Why does NSF care about Broader Impacts? • Because Congress cares! • It is a question of policy AND politics. • See e.g.: • Holbrook, 2012 (citation above); • Schienke, E. W., Tuana, N., Brown, D. A., Davis, K. J., Keller, K., Shortle, J. S., ... & Baum, S. D. (2009). The Role of the National Science Foundation Broader Impacts Criterion in Enhancing Research Ethics Pedagogy. Social Epistemology, 23(3-4), 317-336. • Rothenberg, M. (2010). Making Judgments about Grant Proposals: A Brief History of the Merit Review Criteria at the National Science Foundation. Technology & Innovation, 12(3), 189-195. University of California at Merced

43. So, where do I start when drafting the Broader Impacts portion of my proposal? University of California at Merced

44. Start by reading the Solicitation… • “Both criteria are to be given full consideration during the review and decision-making processes; each criterion is necessary but neither, by itself, is sufficient.” • “Reviewers will be asked to consider what the proposers want to do, why they want to do it, how they plan to do it, how they will know if they succeed, and what benefits could accrue if the project is successful. These issues apply both to the technical aspects of the proposal and the way in which the project may make broader contributions.” • NSF 14 - 532, emphasis added University of California at Merced

45. An analogy? • “I shall not today attempt further to define the kinds of material I understand to be embraced within that shorthand description; and perhaps I could never succeed in intelligibly doing so. But I know it when I see it.”(emphasis added) • Justice Potter Stewart,concurring opinion in Jacobellis v. Ohio 378 U.S. 184 (1964) University of California at Merced

46. More from the Solicitation: • “Broader impacts may be accomplished through the research itself, through the activities that are directly related to specific research projects, or through activities that are supported by, but are complementary to, the project.” • However, a note of caution: Don’t confuse educational activities and/or outreach with ‘broader impacts.’ • You must be specific about how the project activities support and encompass both IM and BI! University of California at Merced

47. Then look at the Grants Proposal Guide (GPG): • GPG Chapter III.C outlines the changes to the merit review process effective January 14, 2013. • ALL applicants should read this, several times: http://www.nsf.gov/pubs/policydocs/pappguide/nsf13001/gpg_3.jsp • Refers to the three merit review principles, two criteria, five elements. • GPG Chapter II.C.2.d.i. contains information for use by proposers in development of the Project Description section of the proposal. • “Reviewers are strongly encouraged to review the criteria, including GPG Chapter II.C.2.d.i., prior to the review of a proposal.” (NSF 11-690)

48. From the GPG: • NSF values the advancement of scientific knowledge and activities that contribute to achievement of societally relevant outcomes, including, but not limited to: • full participation of women, persons with disabilities, and underrepresented minorities in STEM; • improved STEM education and educator development at any level; • increased public scientific literacy and public engagement with science and technology; • improved well-being of individuals in society; • development of a diverse, globally competitive STEM workforce; • increased partnerships between academia, industry, and others; • improved national security; • increased economic competitiveness of the United States; • enhanced infrastructure for research and education. University of California at Merced

49. A Few Resources and References on Broader Impacts • NSF Presentation on changes to Merit Review: http://www.nsf.gov/bfa/dias/policy/merit_review/overview.pdf • “Revised Merit Review Resources for the External Community” (1/14/2013): • http://www.nsf.gov/bfa/dias/policy/merit_review/resources.jsp • Includes FAQs: • http://www.nsf.gov/bfa/dias/policy/merit_review/mrfaqs.jsp University of California at Merced

50. Resources, contd. • Frodeman, R., Holbrook, J. B., Bourexis, P. S., Cook, S. B., Diederick, L., & Tankersley, R. A. (2013). Broader Impacts 2.0: Seeing—and Seizing—the Opportunity. BioScience, 63(3), 153-154. • Center for the Study of Interdisciplinarity, University of North Texas: • http://www.csid.unt.edu/topics/NSF-broader-impacts-criterion.html University of California at Merced