Get funded an insiders guide to building an academic research program

Cambridge University Press 978-1-107-06832-2 — Get Funded: An Insider's Guide to Building An Academic Research Program Robert J Trew Frontmatter More Information Get Funded: An Insider’s Guide to Building An Academic Research Program Learn all the basic principles involved in initiating an academic career and building an externally funded academic research program with this practical guide Based on the author’s extensive experience as a government funding agency director and successful academic, it provides step-by-step advice on how to identify an appropriate funding agency and program manager, how to present your research in a concise and effective manner, and, ultimately, how to obtain your first research grant It explains the faculty recruitment process in detail and outlines the key timelines associated with being on the tenure track Providing a unique insight into research funding agency operation and expectations, this is the “go to” guide for new faculty members in engineering, the sciences, and mathematics looking to gain a head start in their academic careers robert j trew is the Lancaster Distinguished Professor in the Department of Electrical and Computer Engineering at North Carolina State University (NCSU) He has previously served as the ECE Department Head at NCSU, Virginia Tech, and Case Western Reserve University, as a Program Manager for the US Army Research Office, as the Director of the ECCS Division of the National Science Foundation, and as the Director of Research for the US Department of Defense He is a Fellow of the AAAS and a Life Fellow of the IEEE © in this web service Cambridge University Press www.cambridge.org Cambridge University Press 978-1-107-06832-2 — Get Funded: An Insider's Guide to Building An Academic Research Program Robert J Trew Frontmatter More Information Get Funded: An Insider’s Guide to Building An Academic Research Program Robert J Trew North Carolina State University © in this web service Cambridge University Press www.cambridge.org Cambridge University Press 978-1-107-06832-2 — Get Funded: An Insider's Guide to Building An Academic Research Program Robert J Trew Frontmatter More Information University Printing House, Cambridge CB2 8BS, United Kingdom One Liberty Plaza, 20th Floor, New York, NY 10006, USA 477 Williamstown Road, Port Melbourne, VIC 3207, Australia 4843/24, 2nd Floor, Ansari Road, Daryaganj, Delhi – 110002, India 79 Anson Road, #06–04/06, Singapore 079906 Cambridge University Press is part of the University of Cambridge It furthers the University’s mission by disseminating knowledge in the pursuit of education, learning and research at the highest international levels of excellence www.cambridge.org Information on this title: www.cambridge.org/9781107068322 © Cambridge University Press 2017 This publication is in copyright Subject to statutory exception and to the provisions of relevant collective licensing agreements, no reproduction of any part may take place without the written permission of Cambridge University Press First published 2017 Printed in the United Kingdom by Clays, St Ives plc A catalogue record for this publication is available from the British Library Library of Congress Cataloguing in Publication data Names: Trew, Robert J., author Title: Get funded : an insider’s guide to building an academic research program / Robert J Trew Description: New York : Cambridge University Press, 2017 Identifiers: LCCN 2016057390| ISBN 9781107068322 (hardback) | ISBN 9781107657199 (paperback) Subjects: LCSH: Proposal writing for grants – United States | Federal aid to higher education – United States | Research grants – United States Classification: LCC HG177.5.U6 T74 2017 | DDC 001.4068/1–dc23 LC record available at https://lccn.loc.gov/2016057390 ISBN 978-1-107-06832-2 Hardback ISBN 978-1-107-65719-9 Paperback Cambridge University Press has no responsibility for the persistence or accuracy of URLs for external or third-party internet websites referred to in this publication, and does not guarantee that any content on such websites is, or will remain, accurate or appropriate © in this web service Cambridge University Press www.cambridge.org Cambridge University Press 978-1-107-06832-2 — Get Funded: An Insider's Guide to Building An Academic Research Program Robert J Trew Frontmatter More Information To my family, Diane, Heather, and Robin, for their continuing encouragement and support © in this web service Cambridge University Press www.cambridge.org Cambridge University Press 978-1-107-06832-2 — Get Funded: An Insider's Guide to Building An Academic Research Program Robert J Trew Frontmatter More Information Contents Preface page xiii Introduction A Brief History of Research Funding in the United States 2.1 US Government Support for Academic Research 2.2 Industrial Support for Academic Research 2.3 What We’ve Learned The Academic Recruitment Process: Position Announcement through Performance Reviews 3.1 The Academic Recruitment Process 3.2 During the Interview and After Being Offered a Position 3.3 Performance Reviews 3.4 Permanent Tenure 3.5 The Probationary Academic Review Process 3.6 The Start-Up Package 3.6.1 Salary 3.6.2 Travel 3.6.3 Student Tuition and Stipend Support 3.6.4 Access to Laboratory and Computing Facilities 3.6.5 Temporary Reduction in Academic Duties 3.6.6 External Consulting for Pay 3.6.7 Professional Development 3.6.8 Dual Career Opportunities 3.7 What We’ve Learned 11 21 23 25 26 32 36 41 43 48 50 55 61 63 65 68 69 70 71 vii © in this web service Cambridge University Press www.cambridge.org Cambridge University Press 978-1-107-06832-2 — Get Funded: An Insider's Guide to Building An Academic Research Program Robert J Trew Frontmatter More Information viii c o n t e n t s Getting Started and Marketing Your Research 72 4.1 The Professor as an Entrepreneur 74 4.2 Getting Started 76 4.3 Consulting and the Relationship to Research Program Development 79 4.4 University Mentoring 81 4.5 Know Yourself 83 4.6 Your Research Area 85 4.7 Your Research Area within Your Department 88 4.8 When Should I Change My Research Area? 90 4.9 Self-Evaluation and Projecting Confidence 95 4.10 Group Research Activities versus Single Principal Investigators 98 4.11 Success-Breeds-Success 100 4.11.1 Funding Agency Program Director Visits 101 4.11.2 Maintaining Communication with Program Managers and Program Directors 103 4.12 What We’ve Learned 106 Know Where the Money Is 5.1 Basic Principles for US Government Research Funding 5.1.1 Broad Agency Announcement (BAA) 5.1.2 Other Research Opportunity Announcement Mechanisms 5.1.3 Contracts 5.1.4 Grants 5.1.5 Cooperative Agreements 5.1.6 Other Transactions 5.2 Where Do I Find the Appropriate Funding Agency for My Research? 5.2.1 Agency Websites 5.2.2 Grants.gov 5.3 Other Research Funding Sources 5.4 Research Funding Background and Trends © in this web service Cambridge University Press 107 108 116 118 120 121 122 123 124 124 125 127 130 www.cambridge.org Cambridge University Press 978-1-107-06832-2 — Get Funded: An Insider's Guide to Building An Academic Research Program Robert J Trew Frontmatter More Information c o n t e n t s ix 5.5 What Time of the Year Should I Submit My Proposal? 5.6 What We’ve Learned 141 144 Making Contact and Communicating with Program Managers and Program Directors 6.1 The Need to Personally Communicate with Program Managers and Program Directors 6.2 Program Managers and Program Directors 6.2.1 The Program Manager Evaluation Process 6.3 Funding Agencies and Organizations 6.3.1 The National Institutes of Health (NIH) 6.3.2 The National Science Foundation (NSF) 6.3.3 The US Department of Defense (DOD) 6.3.4 The Department of Energy (DOE) 6.3.5 The National Aeronautical and Space Administration (NASA) 6.4 How Do I Identify and Make Contact with a Program Manager or Program Director Appropriate for my Research Interests? 6.4.1 White Papers 6.4.2 Year-End Money 6.5 Proposal Evaluation Considerations 6.6 Research Grants Basics: Standard Grants, Follow-Up Grants, and Incremental Funding 6.6.1 The US Government Research Budget Process 6.6.2 University Policy Regarding Research Grants and Continuing Resolutions 6.7 Research Funds Management by Program Managers and Program Directors 6.8 Professional Networking 6.9 What We’ve Learned © in this web service Cambridge University Press 145 145 148 149 152 152 154 155 159 160 162 172 174 177 181 183 185 186 188 191 www.cambridge.org Cambridge University Press 978-1-107-06832-2 — Get Funded: An Insider's Guide to Building An Academic Research Program Robert J Trew Frontmatter More Information x contents The Proposal 192 7.1 Some General Comments From an Experienced Proposal Reviewer 195 7.2 Who are Proposal Reviewers and How Does the Proposal Review Process Function? 197 7.2.1 The NSF Proposal Review Panel Procedure 199 7.2.2 Mission Agency Proposal Review Process and Panels 206 7.3 How Experienced Reviewers Read Proposals 207 7.4 Basic Principles for Preparing a Research Proposal 210 7.4.1 Principle 1: Know Your Subject 211 7.4.2 Principle 2: Not All Proposals are the Same – Learn to Write Your Proposal for the Funding Agency and Their Reviewers 212 7.4.3 Principle 3: Read the Call for Proposals! 215 7.4.4 Principle 4: Make Sure Your Proposal is Not Summarily Rejected 219 7.5 The Basic Proposal 222 7.5.1 The Title or Cover Page 223 7.5.2 Abstract, Executive Summary, or Project Summary 224 7.5.3 Table of Contents 227 7.5.4 The Project Narrative, Project Description, or Statement of Work (SOW) 227 7.5.5 References and Literature Review 232 7.5.6 Personnel Biographies 233 7.5.7 Budget and Budget Justification 234 7.5.8 Current and Pending Support 237 7.5.9 Facilities, Equipment, and Other Resources 238 7.6 The NSF CAREER Proposal 239 7.6.1 Differences Between an NSF CAREER Proposal and a Regular Research Grant Proposal 240 7.6.2 Eligibility 242 © in this web service Cambridge University Press www.cambridge.org Cambridge University Press 978-1-107-06832-2 — Get Funded: An Insider's Guide to Building An Academic Research Program Robert J Trew Frontmatter More Information c o n t e n t s xi 7.6.3 The Project Summary 7.6.4 The CAREER Grant Proposal Project Description 7.6.5 Additional Supplementary Documentation 7.6.6 The PECASE Award 7.6.7 Common Mistakes 7.7 What to if Your Proposal is Declined 7.8 What We’ve Learned Cautions and Other Concerns 8.1 Disclosure Requirements 8.2 Summer Salary Limitations and Time Commitments 8.3 Export Control Laws and Academic Research 8.3.1 ITAR (International Traffic in Arms Regulations) 8.3.2 EAR (Export Administration Regulations) 8.3.3 NSDD 189 and Fundamental Research Exclusions 8.3.4 International Travel 8.4 What We’ve Learned You’re on Your Way Index © in this web service Cambridge University Press 243 243 246 248 249 250 253 254 254 257 260 261 263 264 267 268 270 274 www.cambridge.org Cambridge University Press 978-1-107-06832-2 — Get Funded: An Insider's Guide to Building An Academic Research Program Robert J Trew Frontmatter More Information Preface The material presented in this book is directed towards helping someone either searching for, or just embarking upon, an academic faculty position, to learn how to go about establishing an externally funded research program The search for research funding is a never-ending struggle, and one that is becoming increasingly competitive Getting a head start by learning how research grant funding agencies operate, and learning what program officers look for in a new researcher, can facilitate the process This book is dedicated to providing this information However, before proceeding, and to give you some confidence that you are not wasting your time by reading this book, let me say a few words about myself, specifically my credentials regarding my knowledge relative to establishing and funding an academic research program, and why I am writing this book First, I have had an extensive and diverse career, and have worked over the past four decades in a variety of industrial, government, and academic organizations Basically, I have experience, and have served on all sides of the academic and research program enterprise, extending from starting my own academic career, as well as serving as an academic department head involved in recruiting and mentoring young faculty, to initiating and managing funded research programs as a US government research program manager and director I served for about eight years as a Program Manager in the Electronics Division of the US Army Research Office, where I was actively engaged in both the identification and definition of new research areas, and the establishment and management of directed research program funding opportunities I also served for over three years as the Director of Research for the US Department of Defense (DOD), with management oversight responsibility for the entire basic research program that is xiii © in this web service Cambridge University Press www.cambridge.org e x p o r t c o n t r o l l a w s a n d a c a d e m i c r e s e a r c h 263 Fortunately, ITAR does not apply to information generally considered to be in the public domain This includes information related to general scientific, mathematical, or engineering principles that are commonly taught in schools and colleges and readily available in textbooks, technical publications, magazines, etc Information that is generally available on the internet may also be exempt ITAR does not apply to general marketing information or basic system design and operating principles and description information that is readily available publicly More information regarding ITAR can be found at: https://www pmddtc.state.gov/regulations_laws/itar.html 8.3.2 EAR (Export Administration Regulations) The EAR are also important to recognize These regulations apply to what are called “dual use” items, consisting of commodities, software, equipment or other technology-related items that have both civilian and military uses Items included under the EAR generally have less sensitive military application than those covered under ITAR The items and topics that are included are listed in the Commerce Control List (CCL) included in the EAR, and are grouped into 10 categories that include many topics and areas of active university research For example, research topics such as biotechnology, advanced materials, microelectronics, computing, telecommunications, encryption, etc., are included in the CCL The Commerce Control List (CCL) is similar to the USML included under ITAR The CCL specifically addresses general topics that are possible areas for university-based research, and under which many research projects will originate For example, areas such as chemical and biological weapons technology, nuclear nonproliferation, national security, missile technology, crime control, and anti-terrorism, are identified and included in the CCL The level of control can vary, and depends upon the country, as well as to whom or which organization within the country, the item is being transferred, as well as the intended purpose and end-use for the item The EAR control sensitive items that: (1) have their origin in the USA, (2) are made or manufactured with US materials and technology, or (3) are not under the jurisdiction of 23 Jun 2017 at 02:47:46, subject to the Cambridge 009 264 c a u t i o n s a n d o t h e r c o n c e r n s another set of regulations, such as ITAR The EAR establish and define the rules and regulations that a company, business, or academic institution will follow to determine whether items and activities are subject to the EAR, and to ensure that they are in compliance with export requirements More information regarding EAR can be found at: https://www.bis doc.gov/index.php/regulations/export-administration-regulations-ear 8.3.3 NSDD 189 and Fundamental Research Exclusions During the Cold War between the United States and the Soviet Union, which occurred in the late 1960s and early 1970s, there were tensions and concerns over the potential exposure of certain information deemed to be critical to national security For this reason, the US government passed legislation that established export control regulations in an attempt to protect sensitive information and technology Of particular concern to academic institutions and faculty researchers, there were some individuals within the government who believed that the exposure of certain information could potentially erode the scientific, engineering, and technology advantages that the nation might enjoy They believed that the open nature of US academic institutions, where scientific and engineering research results were routinely published in the open literature and presented at scientific and engineering conferences, meetings, and workshops, could potentially result in the transfer of sensitive information and technology to unknown recipients and operators These concerns resulted in the establishment of the export control laws, and the ITAR and EAR, in particular The ITAR were enacted in 1976, and the EAR were enacted in 1979 These regulations were established to deny access to foreign operators, who could possibly use the information and related technology to advance the military potential of adversarial nations or to aid in the proliferation of nuclear and biological weapons, or other weapons of mass destruction As a result, many US government funding agencies began to classify some of their academic research funding opportunities under export control regulations There was a significant and growing expansion of research programs being announced that included the ITAR and EAR 23 Jun 2017 at 02:47:46, subject to the Cambridge 009 e x p o r t c o n t r o l l a w s a n d a c a d e m i c r e s e a r c h 265 The academic research community became increasingly concerned over these developments In particular, the academic research and education community was concerned about its ability to adequately comply with the export control regulations, and as a result they began communicating with US government agencies and officials in order to clarify the issue The academic community felt that the export control restrictions were too severe, and not necessary since critical projects could be adequately protected under the established security classification procedures There was some sympathy for this point-of-view, particularly in the research and engineering office in the US Department of Defense (DOD) In response to the concern of the academic community, officials in this office formulated a draft policy that was reviewed, and ultimately resulted in a National Security Decision Directive (NSDD), that was issued from the White House, and signed by President Ronald Reagan on September 21, 1985, as NSDD 189 A National Security Decision Directive is a form of executive order issued by the President of the United States, with the advice and analysis of the National Security Council, and the directive represents the President’s national security policy and carries the “full force and effect of law.” NSDD 189 established the national policy for regulating access to science, engineering, and related technology and information that results from federally funded research performed at US academic institutions, including colleges, universities, and laboratories NSDD 189 recognized the nature of university research, the results of which are historically freely published in scientific and technical journals, without the need to secure pre-approval from the US government or other sponsors, and presented in meetings open to all participants, without restriction or limitation The vast majority of the research performed in academic institutions for the DOD is categorized and funded as either basic research (6.1), applied research (6.2), or advanced development (6.3), and most of the academic research is funded from the basic research (6.1) and applied research (6.2) categories (The DOD funding categories are discussed in Chapter 5.) Together, the basic research and applied research accounts make up the DOD Science and Technology program NSDD 189 recognized this practical matter, and defined a new category, 23 Jun 2017 at 02:47:46, subject to the Cambridge 009 266 c a u t i o n s a n d o t h e r c o n c e r n s called “Fundamental Research,” as the DOD support for academic research programs that are supported from the basic research and applied research accounts, no matter the specific account More specifically, fundamental research was defined as “basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.” Further, NSDD 189 stated that, to the maximum extent possible, the products of fundamental research would remain unrestricted The classification procedure should be used when there was a matter of national security, or sensitive information that was generated during the performance of federally funded fundamental research in academic institutions Security classification should occur before the research grant was awarded NSDD 189 provides an exception to the ITAR and EAR for research performed in academic institutions This policy is commonly referred to as the “Fundamental Research Exemption,” which exempts from ITAR and EAR academic research that is routinely published in the professional literature or presented at scientific and technical conferences and meetings, or other material that is readily available in the “public domain.” Public domain generally refers to information that is published and is widely accessible or available to the general public Research activities that are considered fundamental research can generally involve foreign students and researchers, even if the research involves the design and construction of items, components, systems, or other technology intended for military applications The US Department of State has ruled that such research activities are normal academic education and training activities, and not constitute illegal export of a “defense service.” However, the fundamental research exemption does not, in general, apply if the college or university accepts the requirement that a grant funding sponsor be permitted to review and pre-approve a publication before it is submitted to a journal or conference, regardless of whether the sponsor is federal, industry, or non-profit organization However, universities may agree to pre-publication review in order to 23 Jun 2017 at 02:47:46, subject to the Cambridge 009 e x p o r t c o n t r o l l a w s a n d a c a d e m i c r e s e a r c h 267 prevent inadvertent disclosure of sponsor proprietary information They may also agree to a brief delay in publication to ensure that patent rights will not be lost without jeopardizing the exemption NSDD 189 has been reaffirmed several times by succeeding administrations since being issued in 1985, and is still in effect today It provides the basis for academic research to be performed in subject areas and on topics that would normally be restricted according to ITAR and EAR If you wish to submit a research grant proposal that includes ITAR or EAR restrictions, you should first consult with your department head or chair and your institution’s research office, to determine the specific policies and compliance requirements that would be involved 8.3.4 International Travel Many university faculty members, and their students, engaged in research will often travel to conferences, workshops, or to visit colleagues at international locations However, before planning an international trip, you need to be aware that your trip may be limited or restricted by export control regulations, particularly if you are involved in research in an area that involves sensitive information United States export control laws are principally concerned with whether an academic researcher will travel with information or data involving controlled technology or other sensitive material that may potentially be disclosed to non-US individuals or organizations Export regulations include items such as sensors, test instruments, reagents, biological materials, and other items, as well as data, reports, publications, etc., that may be located on your laptop computer, or other electronic device, including flash memory sticks, DVDs, smart phones, etc Often faculty members, particularly those collaborating with or supported by industrial organizations, will have data or other information provided by the industrial source located on their laptop computer Some of the data may be sensitive, and controlled under the ITAR or EAR regulations, and you may be unaware of the sensitivity of the information If so, there may be certain travel restrictions that define what devices or information you are permitted to take with you For instance, if you intend to perform 23 Jun 2017 at 02:47:46, subject to the Cambridge 009 268 c a u t i o n s a n d o t h e r c o n c e r n s some field research with a colleague in another country or to provide a technological demonstration at a conference, you may need to send to the site separately certain equipment, such as computers, sensors, measuring instruments, reagents, etc Before embarking upon your travel, you need to determine if you will be taking any ITAR or EAR classified items or information with you, and whether or not your trip is subject to ITAR or EAR If so, you need to make sure that your travel is in compliance with the export control regulations If one or more of the regulations applies to a proposed trip, then the academic traveler must determine if those regulations provide an exclusion or exemption for the type of disclosure or export item or information that will permit the proposed foreign travel and activity without getting an export license from the appropriate agency However, it is important for you to understand that the “fundamental research” exemption does not directly apply to any locations outside the USA That is, the fundamental research exemption that applies to academic research within the USA is not applicable when traveling abroad Therefore, you need to protect any data, information, or other sensitive items that you may take with you, including material for presentations, lectures, etc It’s best to take a clean laptop that contains only the material you intend to present, and to make sure all computers or other electronic devices stay in your personal possession at all times Also, it’s best to not permit USB sticks, etc., to be connected to your laptop or computer They may contain viruses or other malevolent software Before planning your trip you should discuss export compliance policies with your research administration or travel office The penalties for disclosure, even if inadvertent, to non-US persons or organizations of export controlled information or items can be severe 8.4 What We’ve Learned There are certain rules and regulations that must be followed when developing a funded research program In particular, disclosure of any involvement with potential funding sources needs to be disclosed to your home institution, as well as any financial income you receive from 23 Jun 2017 at 02:47:46, subject to the Cambridge 009 w h a t w e ’ v e l e a r n e d 269 external sources Most importantly, if you prepare a proposal and plan to submit it to multiple funding agencies, you may so; however, you must disclose to each funding agency the other funding agencies to which the proposal has also been submitted We’ve also discussed that the US government has enacted a series of export control rules and regulations that cover selected items, technology, and information that may be transferred to foreign individuals and organizations There is a category called “deemed exports,” which includes education and training of foreign students in US academic institutions Technology and information, which have military applications, are export controlled under the International Trade in Armaments Regulations (ITAR) administered by the Department of State, and items that have “dualuse” capability, that is the item can be used in both military and commercial applications, are export controlled under the Export Administration Regulations (EAR) administered by the Department of Commerce We also discussed cautions associated with international travel, particularly if any item or information that is controlled under the ITAR or EAR is involved 23 Jun 2017 at 02:47:46, subject to the Cambridge 009 You’re on Your Way The purpose and intent of this book has been to inform and educate those interested in pursuing an academic career on the best methods for proceeding Recognizing the importance to a faculty member of establishing an academic research program, a main objective of the book is to explain and describe how the research grant funding system functions, both from the academic institution and grant funding organization perspectives We started the discussion with a brief history of how the US government became a major supporter of research performed in academic institutions The US government’s interests in research performed in academic institutions have historically been associated with obtaining the results of research for use in certain applications directly related to their goals Although there has been government support for academic activities dating back to the founding of the nation, serious and significant financial assistance and support began during the Second World War Most of the financial support from the early days was directed to research that was associated with military activities, and this support has continued up to the present day However, since the Second World War, US government research support to academic institutions has increased, and a variety of offices and agencies throughout government have been established to manage and execute the process Major agencies such as the Department of Energy (DOE), NASA, the National Institutes of Health (NIH), and many others now actively provide significant financial support for research performed in academic institutions These offices and agencies consist of those that were established for the support of US government agency missions, and a non-mission agency, the National Science Foundation (NSF), which was established to support research activities in science, engineering, and education, in general A variety of other research funding organizations has also been created and established by local and state governments, 270 23 Jun 2017 at 02:51:15, subject to the Cambridge 010 y o u ’ r e o n y o u r w a y 271 industrial and business organizations, and private foundations These agencies all operate in similar, but fundamentally different manners For example, US and state government agencies often will advertise research funding opportunities for specified and directed purposes Mission agency program managers generally have an end-use in mind for the research topics they support, and in order to obtain financial support, a prospective researcher needs to learn the interests and goals of the program manager in order to successfully compete for research grants This principle also holds for certain grant funding opportunities offered by local and state government agencies, industrial and business organizations, and some not-for-profit foundations For these opportunities, the research proposal needs to directly address the interest area and specific objectives of the funding opportunity Conversely, program directors at NSF will generally accept research proposals on essentially any topic, provided it is on a topic that falls within the interest area they support In Chapter we digressed from the subject of building an externally funded research program, and took a step backwards, and discussed the academic recruitment process, and how it functions The purpose was to address questions that someone who is interested in an academic career, but doesn’t yet understand the recruitment, application, and hiring process, might pose This material is primarily directed towards new PhD graduates, or those with some experience in industrial, business, or government organizations, who wish to transition to a position in academia It is important to understand the academic process and, in particular, the academic faculty member performance evaluation and review process, and the promotion and tenure requirements The main point is that once you accept an academic faculty member position, the clock starts ticking, and your performance will be reviewed on a periodic basis Since your research performance is a critical factor in your evaluation, you need to establish a research program as soon as possible, and within your first year of academic employment For this reason, it is very important to secure some initial funding that can be used to begin your research program During the recruitment process, you will be able to negotiate certain resources in what is called a “start-up” package 23 Jun 2017 at 02:51:15, subject to the Cambridge 010 272 y o u ’ r e o n y o u r w a y The items that will be of most significance were identified and discussed Other methods for obtaining “seed” funding are also addressed In this book we have stated and emphasized that it is fundamentally important to personally communicate with program managers or program directors in grant funding agencies, in order for them to get to know you, learn what research you are pursuing, and for them to gain confidence in you as a potential participant in the research program they support How to identify an agency that supports your research area, and how to make contact, were addressed Various methods for identifying, contacting, and communicating with research funding agency program officers appropriate for your research area were presented The use of funding agency websites and, in particular, the Grants.gov website, is emphasized We also discussed how to identify funding sources and organizations that are most likely to have the most funding opportunities This issue, of course, relates to the budget and financial resources available to them For this reason, we discussed the budgetary planning process for US government funding agencies Along this line, the various legal instruments the government uses to transfer funds from the government to external providers of products and services are defined and described The most commonly employed instrument is the “grant,” which is basically a “gift,” although certain requirements and conditions usually accompany the award Research proposals all have a defined and specific structure The basic elements of a research proposal were presented and discussed, in some detail, in Chapter I started the chapter with some general comments from my experience in reading, reviewing, and evaluating a large number of proposals over an extended period of time I noted how an experienced proposal reviewer will read and evaluate proposals, and the need for the proposal author to include all requested information, but to be concise and clear in the information they present You don’t want reviewers to need to hunt for important details This information was extended to four fundamental principles that should be recognized and followed when preparing a proposal The elements of a basic proposal were described, and how to address each of these elements was discussed The NSF CAREER proposal is fundamentally different from a regular research 23 Jun 2017 at 02:51:15, subject to the Cambridge 010 y o u ’ r e o n y o u r w a y 273 grant proposal in that the CAREER proposal addresses a life-long career plan, and therefore, needs to include both a research and an education plan In particular, the integration of the research and education programs needs to be described Details of the CAREER proposal were separately discussed, owing to its importance to new faculty members The CAREER award has become extremely important and is very highly regarded by both academic institutions, as well as grant funding agencies The award of a CAREER grant is considered a sign of quality performance, and can be very important in a faculty member’s evaluations for promotion and the award of permanent tenure The book concludes with a discussion of some important limitations and restrictions associated with export control by the US government In particular, research associated with certain items, topics, and related information may be identified as “sensitive,” and may be export controlled under ITAR and EAR If so, special precautions need to be followed and respected Included is training and education to individuals or organization from specified foreign countries, which is called “deemed export.” Fortunately, research termed “fundamental research” may be exempted from the export controlled regulations These issues are described in Chapter It is my sincere hope that the information presented in this book is helpful to those in the process of initiating an academic career I’ve presented information I’ve learned while working in academic, industrial, and US government organizations in a career extending over four decades I’ve presented the information, where possible, from the perspective of a US government funding agency program manager and program director in an attempt to give the reader an idea of how they review proposals, and what information they expect to see You want to make it easy for them to find information that is specifically requested, and to make their job of reading your proposal as easy as possible If you this, the rewards will be great While no one can predict the future, if you follow the guidelines presented in this book, you have a good chance for success You now know the rules, and the rest is up to you I wish you success in your efforts Welcome to your new occupation and good luck in obtaining grant funding and building your academic research program 23 Jun 2017 at 02:51:15, subject to the Cambridge 010 Cambridge University Press 978-1-107-06832-2 — Get Funded: An Insider's Guide to Building An Academic Research Program Robert J Trew Index More Information Index abstract, 171, 224, 225, 228, 253 Academe American Association of University Professors, 52 academic faculty search process, academic freedom, 42 academic recruitment process, 25, 26 academic review process, 43 AcademicKeys, 27 access to laboratory and computing facilities see start-up package advanced development, 17 Advanced Research Projects Agency-Energy ARPA-E, 20 see DOE agency websites, 124 Air Force Office of Scientific Research AFOSR, 16, 148, 157, 158 America COMPETES Act, 20 American Association for Engineering Education (ASEE), American Association for the Advancement of Science (AAAS), American Association of University Professors AAUP, 41, 52 American Institute of Physics (AIP), American Recovery and Reinvestment Act ARRA, 137 application materials, 26, 31 applied research, 16 Armed Forces Special Weapons Project AFSWP, 17 Army Corps of Engineers, 19 Army Research Office ARO, 16, 157, 158 Atomic Energy Act, 19 Atomic Energy Commission AEC, 19 Bill and Melinda Gates Foundation, 129 Broad Agency Announcements BAA, 116 Broader Impacts, 47, 225, 226, 227, 230, 243 budget justification, 223, 234, 241 business and industrial organizations, Basic Energy Sciences DOE, 19, 20, 159 basic proposal, 222, 223, 253, 272 basic research, 15 Data Management Plan, 221 DMP, 221 dean, 27, 29, 32, 34, 44, 48, 51, 56, 65, 70, 235, 255 Call for Proposals, 53, 110, 114, 118, 194, 207, 212, 213, 215, 216, 221, 236, 253 campus visits, 30 CAREER Grant Proposal Project Description, 243 Carnegie Foundation, 12 charitable and not-for-profit foundations, 9, 23 Chronicle of Higher Education, 27, 52 Circular A11 OMB, 15 Circular A-21 OMB, 235 classified research, 110 common mistakes, 249 conflict-of-interest, 213, 255 consulting, 14, 79, 80 Continuing Grant CG, 188 Continuing Resolution CR, 184, 188 contracts, 15, 56, 64, 119, 120, 121 Cooperative Agreements, 122 core program, 113, 182 Core Research Activities DOE, 160 cost-sharing, 114, 115, 193 cover page, 223 crowdsourcing, 107 current and pending support, 237, 241 274 © in this web service Cambridge University Press www.cambridge.org Cambridge University Press 978-1-107-06832-2 — Get Funded: An Insider's Guide to Building An Academic Research Program Robert J Trew Index More Information i n d e x 275 Dear Colleague Letter DCL, 113, 118, 155, 200, 213 deemed exports, 260, 269 Defense Advanced Research Projects Agency DARPA, 16, 20, 158 Defense Atomic Support Agency DASA, 17 Defense Nuclear Agency DNA, 17 Defense Threat Reduction Agency DTRA, 17, 158 department head or chair, 27, 29, 33, 39, 41, 47, 51, 53, 61, 63, 65, 66, 68, 71, 247, 255, 262, 267 Department of Defense DOD, 155 Department of Energy DOE, 159 Department of Health and Human Services DHS, 124, 125, 132, 137, 235, 248 Department of Homeland Security DHS, 124 Department of Transportation DOT, 124 Department of War, 19 Disclosure, 254 discretionary accounts, 58, 59, 60 Dual Career Opportunities, 70 EAR Export Administration Regulations, 263 educational objectives, 245 employment negotiation, 25 Energy Research and Development Administration ERDA, 19 entrepreneur, 74 executive summary, 201, 224, 225, 253 export control laws, 260, 264, 267 external consulting, 50, 68 Faculty Annual Report, 38, 44, 47 faculty position offer, 29, 30, 33, 49, 51 FastLane NSF, 200, 221, 222, 227, 235, 241, 250 Federal Aviation Administration FAA, 124 Federally Funded Research and Development Centers, 131 Follow-Up Grants, 181 Ford Foundation, 129 © in this web service Cambridge University Press foundations not-for-profit funding organizations, 59, 77, 107, 110, 127, 129, 132, 140, 159, 196, 237, 271 Foundations Center www.foundationscenter.org, 129 Fundamental Research, 264, 266 Funding Opportunity Announcements FOA, 118, 119, 153 funding trend data, 130 good standing with the government, 109 grant funding agency, 7, 60, 101, 106, 219 grants, 121 Grants.gov, 125 Group Research Activities, 98 Guggenheim Foundation, 12 Herbert Hoover, 12 incremental funding, 181 indirect cost recovery rate ICR, 235 industrial support for academic research, 21 Intellectual Merit, 225, 227, 230, 243 intellectual property, 120 International Space Station, 18 international students, 8, 30 ITAR International Traffic in Arms Regulations, 261 Karl Compton, 13, 15 laboratory facilities, xv, 51, 71, 75, 80, 141, 208, 238, 245 lead reviewer, 202 letters of recommendation, 29, 40 literature review, 229, 232 Maintaining Communication with Program Managers and Program Directors, 103 mandatory statements, 220 Manhattan Project, 13, 16, 19 Marine Hospital Service MHS, 20 Mars Rover, 18 mentoring, xiii, 5, 46, 75, 81, 82, 194, 221, 247, 248 Mentoring Plan NSF, 221 www.cambridge.org Cambridge University Press 978-1-107-06832-2 — Get Funded: An Insider's Guide to Building An Academic Research Program Robert J Trew Index More Information 276 i n d e x mid-term evaluation, 37 mission agencies, 111 MIT Radiation Laboratory, 13 NASA Research Announcements NRA, 119, 161 National Advisory Committee on Aeronautics NACA, 18 National Aeronautics and Space Administration NASA, 18, 123, 152, 248 National Association of College and University Business Officers NACUBO, 140 National Cancer Institute NCI, 21 National Institutes of Health NIH, 20, 112, 118, 122, 132, 137, 152, 270 National Research Endowment, 12 National Research Foundation, 14, 17 National Science Foundation NSF, 154, 239 Naval Consulting Board, 14 Naval Research Laboratory (NRL), 14, 15, 158 new faculty search, 25, 27, 28, 30 non-mission agency, 112, 147, 154, 270 NSDD 189, 264, 265, 266, 267 NSF CAREER award, 217 NSF CAREER Proposal, 239 NSF Grant Proposal Guide, 222, 226, 234, 241, 249 NSF Proposal Review Panel, 199 Office of Energy Research DOE, 19, 20 Office of Management and Budget OMB, 124, 125, 183, 235 Office of Naval Research ONR, 15, 148, 157, 158, 235 open-window NSF solicitations, 113 other research funding sources, 127 Other Transactions OT, 123 page limits, 217 panel review, 146, 200, 201, 203, 204, 207, 250, 252 © in this web service Cambridge University Press PECASE Presidential Early Career Award for Scientists and Engineers, 7, 248, 272, 273 peer review, 153, 177, 180, 197 performance reviews, 25, 36 period of performance, 78, 215 personnel biography, 233 President Nixon, 19 President Roosevelt, 13 President Truman, 14 President’s Budget Request PBR, 183 professional development, 34, 59, 69, 170, 247 professional networking, 188 professional societies, 28, 47, 163, 190 Program Announcement PA, 118, 153 Program Director Visits, 101 Program Directors, 148 Program Manager Evaluation Process, 149 Program Managers, 148 Program Officer see Program Managers, Program Directors Project Apollo, 18 project description, 227 project narrative, 227 project summary, 223, 224, 225, 227, 228, 241, 242, 243, 253 promotion, 36, 38, 39, 40, 45, 51, 73, 87, 240, 271, 273 proposal review panel, 146, 200, 250 qualified bidders, 108, 115, 194 Ransdell Act NIH, 21 references, 23, 223, 232, 241 release time, 49, 114 Request for Applications RFA, 118, 153 Requests for Proposals, 119 research area, 85, 88, 90 research narrative, 217 research presentation see campus visits research-qualified, 109 results from previous research, 229 resume CV, 31, 40 reviewer database, 197 www.cambridge.org Cambridge University Press 978-1-107-06832-2 — Get Funded: An Insider's Guide to Building An Academic Research Program Robert J Trew Index More Information i n d e x 277 Robert Goddard, 11 Rockefeller Foundation, 129 Rockefeller Institute, 12 RSS notifications, 126 salary, 50, 55, 257 Science Advisory Board, 13 search committee, 26, 29, 30, 31, 32 Second World War, 11, 12, 13, 16, 19, 116, 134, 155, 270 Secretary of the Navy James Forrestal, 15 Secretary of the Navy Josephus Daniels, 14 seed funding, 77, 78, 79, 272 seed grant initiation funding see seed funding self-evaluation, 95 single investigator, 98, 123, 218 Small Business Innovative Research SBIR, 128 Small Business Technology Transfer STTR, 128 Smithsonian Institution, 12, 248 solicitation see NSF Sputnik, 16 standard grants, 181 start-up package, 48 state and local governments, Statement of Principles see American Association of University Professors statement of work SOW, 227 statement of your research, 31 STEM, 226, 234 Student Tuition and Stipend Support, 61 subcontracts, 121 summer salary, 49, 52, 53, 54, 114, 257 supplementary documentation, 223, 242, 246 © in this web service Cambridge University Press temporary reduction in academic duties see start-up package tenure permanent tenure academic tenure, 3, 4, 37, 38, 39, 40, 41, 42, 43, 44, 45, 46, 51, 71, 87, 109, 240, 242, 247, 271, 273 tenure evaluation dossier, 39 tenure-track, 44, 109, 242 Thomas A Edison, 14 time management, 73, 142 Transportation Security Administration TSA, 124 travel, 55, 56, 57, 58, 61, 236, 267 travel expenses, 32, 55, 56, 57, 58, 168 US Army, xiii, 12, 148 US government cost recovery principles, 235 US government fiscal year, 143, 183 US government Intergovernmental Personnel Act IPA, 199 US National Laboratories, 19 US Navy, 14 underrepresented minorities, 226 unfettered basic research, 14, 16 unsolicited proposals, 114, 118, 153 Vannevar Bush, 13, 15, 17, 24 Vice Admiral Harold Bowen, 15 websites devoted to academic job openings, 28 White Papers, 172 William and Flora Hewlett Foundation, 129 year-end money, 174 www.cambridge.org ... 978-1-107-06832-2 — Get Funded: An Insider's Guide to Building An Academic Research Program Robert J Trew Frontmatter More Information Get Funded: An Insider’s Guide to Building An Academic Research Program. .. Contact and Communicating with Program Managers and Program Directors 6.1 The Need to Personally Communicate with Program Managers and Program Directors 6.2 Program Managers and Program Directors... for an academic faculty position, and the basic principles of building an academic research program We’ll discuss how to go about setting up an academic research program and what to ask for and