nsf funding and dos and don’ts

NSF Funding and Dos and Don’ts

Association of Medical and Graduate Departments of Biochemistry

January 19, 2002

Leanne CusumanoOffice of Inspector General

National Science Foundationwww.oig.nsf.gov

Items for Discussion

NSF

Obtaining Funding

NSF OIG

Investigating Allegations

Current Issues

Case Studies

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

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%)

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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

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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!

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NSF Organization

D ep u ty D irec to r

A ss is tan t D irec to rB io log ica l S c ien ces

A ss is tan t D irec to rM ath & P h ys ica l S c ien ces

A ss is tan t D irec to rO th ers

D irec to r

N ation a l S c ien ce B oard

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

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BIO Organization

D ep u tyJ im E d w ard s

P rog ram s an dC lu s te rs

D ivis ion D irec to rM C B

M aryan n a H en kart

P rog ram s an dC lu s te rs

D ivis ion D irec to rIB N

F ran k G reen

P rog ram s an dC lu s te rs

D ivis ion D irec to rD E B

Terry Y a tes

P rog ram s an dC lu s te rs

D ivis ion D irec to rD B I

M ach i D ilw orth

A ss is tan t D irec to rM ary C lu tte r

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

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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

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

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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 grantApply for a fellowship

http://www.nsf.gov/home/menus/grads.htm– http://www.nsf.gov/home/crssprgm/reu/

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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)

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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.

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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

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Other certifications?

COI Policy Drug-Free Workplace Debarment and Suspension Lobbying (proposal >$100,000) For-profit Business type

– small, minority owned, woman owned

16

How does OIG work with NSF?

Investigates allegations of:– fraud, waste, and abuse– misconduct in science

Conducts audits:– financial– administrative– programmatic

Outreach

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What if an allegation is fraud?

InvestigateRefer to Department of Justice

– Criminal

– Civil

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What happens when OIG receives an allegation of misconduct?

Step Timeframe (target)

1. Inquiry 60 days - OIG 90 days - Awardee

Deferral? - 88%

2. Investigation 120 days - OIG 180 days -Awardee

OIG Review of Institution Report

3. Adjudication 45 days - NSF

4. Appeal 30 days - NSF

Case may close at any step

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What is misconduct in science?

Fabrication Falsification Plagiarism Other serious deviation from accepted

practices Retaliation against reporter

NSF’s Regulation45 CFR 689.1

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OSTP Policy

Federal Policy for addressing RESEARCH misconduct

Defines F, F, P violation of peer review defines “research” and the “research record”

All Federal agencies that support internal or external research should implement by 12/6/2001

Similar to NSF rules

no whistleblower

65 FR 76260 (Dec. 6, 2000)

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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

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What does OIG do with a report?

Reviews reportDetermines Federal interestSeeks additional information about

– investigation

– events covered by investigationMakes recommendation to NSF

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What does NSF consider in determining what action to take?

IntentPatternScope of affected awards

Seriousness

45 CFR 689.1(b)

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What standards does NSF use to determine if misconduct serious?

Community standardsApplicable regulations & grant

conditionsAfter:

– investigationformal examination and evaluation of relevant factsextent and consequences of misconduct

– subject’s input

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What are community standards?

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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

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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

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How can I contact OIG?

Internet:www.oig.nsf.govE-mail: oig@nsf.govPhone: 703-292-7100Hotline: 1-800-428-2189Write: 4201 Wilson Blvd.

Arlington, VA 22230