Funding Opportunities and Proposal-Writing Strategies for Social and Behavioral Science Research at the National Science Foundation Thomas J. Baerwald

Funding Opportunities and Proposal-Writing Strategies for Social and Behavioral Science Research at the National Science Foundation Thomas J. Baerwald Senior Science Advisor Division of Behavioral and Cognitive Sciences February 8, 2013

NSF Is an Independent Agency of the Executive Branch of the U.S. Government Cabinet Departments Independent Agencies

The NSF Mission To promote the progress of science To advance the national health, prosperity, and welfare To secure the national defense NSF envisions a nation that capitalizes on new concepts in science and engineering and provides global leadership in advancing research and education. The NSF Vision

Strategic and Performance Goals - 1 Transform the Frontiers emphasizes the seamless integration of research and education as well as the close coupling of research infrastructure and discovery. Make investments that lead to emerging new fields of science and engineering and shifts in existing fields. Prepare and engage a diverse STEM workforce motivated to participate at the frontiers. Keep the United States globally competitive at the frontiers of knowledge by increasing international partnerships and collaborations. Enhance research infrastructure and promote data access to support researchers' and educators' capabilities and enable transformation at the frontiers.

Strategic and Performance Goals - 2 Innovate for Society points to the tight linkage between NSF programs and societal needs, and it highlights the role that new knowledge and creativity play in economic prosperity and society's general welfare. Make investments that lead to results and resources that are useful to society. Build the capacity of the nation's citizenry for addressing societal challenges through science and engineering. Support the development of innovative learning systems.

Strategic and Performance Goals - 3 Perform as a Model Organization emphasizes the importance to NSF of attaining excellence and inclusion in all operational aspects. Achieve management excellence through leadership, accountability, and personal responsibility. Infuse learning as an essential element of the NSF culture with emphasis on professional development and personal growth. Encourage and sustain a culture of creativity and innovation across the agency to ensure continuous improvement and achieve high levels of customer service.

Scientists and institutions responding to broad civilian scientific needs of the nation } NSF Is a Science Management Agency 50,000 Annual Competitive Proposals 1,200 full-time employees 250,000 reviews (50,000 reviewers) 7,000 people in advisory groups About 12,000 new competitive awards plus another roughly 10,000 continuing award actions that obligate about $7.0 billion annually for academic, industrial, non-profit, governmental recipients.

NSF Is Divided into Directorates National Science Board Director Deputy Director Staff Offices Mathematical and Physical Sciences Biological Sciences Computer and Information Science and Engineering Social, Behavioral, and Economic Sciences Education and Human Resources Budget, Finance, and Award Management Engineering Information and Resource Management Geosciences

Directorates Are Divided into Divisions, and Divisions Are Divided into Programs Geography and Spatial Sciences Anthropology programs Psychology and linguistics programs Economics Decision, Risk, and Management Sciences Methodology, Measurement, and Statistics Sociology Political Science Law and Social Science Science, Technology, and Society Behavioral and Cognitive Sciences Social and Economic Sciences National Center for Science and Engineering Statistics Social, Behavioral, and Economic Sciences SBE Multidisciplinary Activities

Much of NSFs Funding Goes to Support Basic Research What is basic research? Its like true love! You cant really define it, but you know it when its there.

Lets Try to Describe Basic Research Anyway... Basic scientific research is grounded in a broader theoretical framework. It focuses on one or a few questions grounded in that broader framework. It uses scientifically sound approaches to assess the viability of answers to those questions. Its focused results also contribute to enhancement of broader theoretical knowledge.

As a result... Basic scientific research contributes to general understanding. Its research thats well grounded in a general theoretical framework or that generates development of new frameworks. Its research thats valuable even if we dont care about its specific findings or applications. Its research that often increases our knowledge of how we expand our knowledge

Basic "vs." Applied Research It's not "either/or." Basic research results often have great direct and indirect utility and applicability. But at its core, basic research is first and foremost about broader theoretical development, not the focused application of specific research results. Analysis and synthesis are favored over prescription.

What NSF Supports NSF supports basic research across all fields of science, including: Behavioral and Cognitive Sciences Social and Economic Sciences Geographic and Anthropological Sciences Chemical sciences Computer and information science Engineering Geosciences Biological sciences Mathematical sciences Physics and astronomy NSF does NOT support applied research, such as: Clinical research Counseling Business Management Social work Planning Legal training Practice-oriented professional degree programs

How Do You Gain Access to Some of NSFs Funds? Submit a proposal to compete in one of the standing program competitions for unsolicited proposals. Submit a proposal for a special competition.

Social, Behavioral, and Economic Science Programs Disciplinary programs: Cultural Anthropology Biological Anthropology Archaeology Linguistics Documenting Endangered Languages Social Psychology Economics Sociology Political Science Interdisciplinary programs: Cognitive Neuroscience Developmental and Learning Sciences Perception, Action, and Cognition Geography and Spatial Sciences Decision, Risk, and Management Sciences Science of Science and Innovation Policy Science of Organizations Methodology, Measurement, and Statistics Science, Technology, and Society Law and Social Sciences

Division of Behavioral and Cognitive Sciences Archaeology Biological Anthropology Cultural Anthropology Geography and Spatial Sciences Linguistics Social Psychology Perception, Action, and Cognition Developmental and Learning Sciences Cognitive Neuroscience

Division of Social and Economic Sciences Economics Decision, Risk, and Management Sciences Science of Organizations Sociology Political Science Law and Social Science Methodology, Measurement, and Statistics Science, Technology, and Society Science of Science and Innovation Policy*

SBE Research in the Federal Context A report from the National Science and Technology Council Signed in January 2009 Distributed in April 2009 http://www.nsf.gov/sbe/prospectus_v10_3_17_09.pdf

SBE 2020 Is Providing Guidance Community-driven visioning exercise found interest in SBE sciences to be high Argued that future SBE research will be: Interdisciplinary Data-intensive Collaborative http://www.nsf.gov/pubs/2011/nsf11086/nsf11086.pdf

Other SBE 2020 Recommendations Four major topic areas were identified as having special potential from among those discussed: Population change Sources of disparities Communication, language, and linguistics Technology, new media, and social networks

SBE Developmental Activities NSF/SBE will continue to explore new ideas in the future, concentrating over the next five years on more focused planning activities to: Strengthen the ability of the NSF/SBE to support interdisciplinary research, develop human capacities, and build out the data and organizational infrastructure Consider approaches required to shift resources to relevant priorities

In Addition to Its Standing Programs, NSF Has Many Special Funding Opportunities Check the NSF Web site for more information or contact relevant program officers CAREER EPSCoR PECASE ADVANCE RUI/ROA REU IGERT GOALI NANO SBIR GK-12 EGB Minority RPGs/CAAs ITR TUES WSC CNH SciSIP CI-TEAM CDI EAGER RAPID EaSM SEES SRN RCN

Some Special Competitions in Which SBE Actively Participates Within SBE Interdisciplinary Behavioral and Social Sciences (IBSS) Building Community and Capacity for Data- Intensive Research in the SBE Sciences and in Education and Human Resources (BCC-SBE/EHR) SBE Postdoctoral Research Fellowships SBE Research Experiences for Undergraduates Sites (SBE REU Sites)

Some Special Competitions in Which SBE Actively Participates Within SBE - Dear Colleague Letters Stimulating Research Related to the Science of Broadening Participation Interdisciplinary Research Across the SBE Sciences Workshop for Engaging SBE Scientists Through Social and Policy Entrepreneurship

Some Special Competitions in Which SBE Actively Participates - Beyond SBE - 1 Environmentally oriented competitions Dynamics of Coupled Natural and Human Systems (CNH) Ecology and Evolution of Infectious Diseases (EEID) Science, Engineering, and Education for Sustainability competitions Water Sustainability and Climate (WSC) Research Coordination Networks (SEES-RCN) Coastal SEES Hazard SEES Arctic SEES SEES Fellows

Some Special Competitions in Which SBE Actively Participates - Beyond SBE - 2 Cyberinfrastructure-oriented competitions Core Techniques and Technologies for Advancing Big Data Science & Engineering (BIGDATA) Software Infrastructure for Sustained Innovation (SI2) Secure and Trustworthy Cyberspace (SaTC) Major Research Instrumentation (MRI) Integrative Graduate Education and Research Traineeships (IGERT)

Funding Mechanisms That May Be Used by SBE Programs Doctoral Dissertation Research Improvement (DDRI) awards Faculty Early-Career Development (CAREER) awards Research Coordination Networks (RCNs) Rapid-Response Research (RAPID) awards Early-Concept Grants for Exploratory Research (EAGER) Integrated NSF Support Promoting Interdisciplinary Research and Education (INSPIRE) awards

Learn About Program(s) and/or Competitions(s) Look at the program/competition website (accessible via www.nsf.gov). Read the program description, announcement, or solicitation. Follow links or use the "Search Awards" function to view past awards. Prepare a ~1-page prospectus to share with program officers months before due dates.

Identifying the Best Program(s) or Competitions(s) for Your Research Focus on theory In which communities is your theoretical framework drawn? To which communities will it contribute? Consider where you will publish results Which journals will disseminate your findings? Who are the researchers who read those journals? "Map" communities and readers onto NSF programs/competitions to identify the best fit. Many NSF programs co-review proposals.

Advance Warning of Special Opportunities Often Comes in Budget Requests

FY13 Request Major Emphases - 1 Fostering the development of a clean energy economy. Supporting future job creation through advanced manufacturing and emerging technologies. Protecting critical infrastructure. Promoting multidisciplinary research in new materials, wireless communications, cyberinfrastructure, and robotics.

FY13 Request Major Emphases - 2 Developing the next generation of scientific leaders through support for graduate fellowships and early-career faculty. Advancing evidence-based reforms in science and mathematics education.

Strategies for Preparing Proposals for NSF Remember that NSF focuses on support for basic scientific research. Funding occurs through competitions with proposals subject to merit evaluation based on peer review. Allow plenty of time to learn about competitions, draft and revised proposals, and submit proposals before deadlines.

What Is the Crucial Ratio for a Program Officer? $ Bang for the Buck!

What Kind of Bang Is an NSF Program Officer Looking For? Significant contributions to general scientific understandings. Enhancements of theoretical understandings in addition to any expansion of specific knowledge, especially potentially transformative advances. Broader impacts, such as enhanced education, greater diversity, improved infrastructure or methods, and beneficial applications. Dissemination of results, especially in refereed, widely disseminated publications.

So What Is the Crucial Ratio for a Program Officer? $ Potential Bang for the Buck! Likelihood of Significant Contributions to General Scientific Understanding and Positive Broader Impacts

Decisions Will Be Based on NSF Merit Review Criteria NSF asks reviewers to comment on two major criteria: Intellectual merit Broader impacts Be aware that NSF merit review criteria recently have been redefined. http://www.nsf.gov/pubs/policydocs/pappguide/nsf13001/gpg_3.jsp#IIIA

New Merit Review Principles NSF projects should be of the highest quality and have the potential to advance, if not transform, the frontiers of knowledge. NSF projects should contribute more broadly to achieving societal goals. Meaningful assessment and evaluation of NSF-funded projects should be based on appropriate metrics. The principles should be considered when preparing and reviewing proposals.

Merit Review Criteria Intellectual Merit: The Intellectual Merit criterion encompasses the potential to advance knowledge. Broader Impacts. The Broader Impacts criterion encompasses the potential to benefit society and contribute to the achievement of specific, desired societal outcomes.

Examples of Broader Impacts Full participation of women, persons with disabilities, and underrepresented minorities in science, technology, engineering, and mathematics (STEM) Development of a diverse, globally competitive STEM workforce 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 Increased partnerships among academia, industry, and others Improved national security Increased economic competitiveness of the United States Enhanced infrastructure for research and education

Caveats re: Broader Impacts Investigators should focus on identifying broader impacts that relate to their research and that can be completed and evaluated successfully. NSF expects impacts in proportion to the size of the project.

Elements for Consideration for Both IM and BI Criteria - 1 Criteria related to capabilities to conduct a project successfully: How well qualified is the individual, team, or organization to conduct the proposed activities? Are there adequate resources available to the PI (either at the home organization or through collaborations) to carry out the proposed activities?

Elements for Consideration for Both IM and BI Criteria - 2 Criterion related to how a project will be conducted: Is the plan for carrying out the proposed activities well-reasoned, well-organized, and based on a sound rationale? Does the plan incorporate a mechanism to assess success?

Elements for Consideration for Both IM and BI Criteria - 3 Criteria related to the potential benefits of a project: What is the potential for the proposed activity to: Advance knowledge and understanding within its own field or across different fields (IM)? Benefit society or advance desired societal outcomes (BI)? To what extent do the proposed activities suggest and explore creative, original, or potentially transformative concepts?

Potentially Transformative Research Transformative research is defined as research driven by ideas that have the potential to radically change our understanding of an important existing scientific or engineering concept or leading to the creation of a new paradigm or field of science or engineering. Such research also is characterized by its challenge to current understanding or its pathway to new frontiers. (National Science Board)

Another Perspective on Potentially Transformative Research Cumulative Knowledge A B C D E The Isserman Curve Projects/Time

Program-Specific Review Criteria What is the expected larger-scale, longer-term significance of the project (as described in the proposal) if the project is conducted successfully? What is the likelihood that the project (as described in the proposal) will be conducted successfully? SignificanceScoreLikelihood Extremely significant7Very, very likely to succeed Very significant6Very likely to succeed Significant5Reasonably likely to succeed Moderately significant4Moderate chances of success Somewhat significant3Minor chances of success Very mildly significant2Minimal chances of success Not significant1Very unlikely to succeed

NSF Merit Review Criteria Summary Overarching principles Highest quality; Contribute to society; Meaningful assessment and evaluation Merit review criteria: Intellectual merit; Broader impacts Elements considered for both criteria: Capabilities; Conduct; Potential benefits Address program-/competition-specific criteria (if applicable)

Whats Included in a Competitive NSF Research Proposal? An explanation of the theoretical framework within which the research question is set. Specification of the methods to be used to answer the question. Elaboration of how expected results will enhance the broader theoretical framework and have positive broader impacts. Biographical information about investigators. A data-management plan and other required materials. A budget with justification of expenses.

When You Prepare a Proposal, Think Like Those Who Will Evaluate It External reviewers They tend to be specialists; relevant theory and technical details matter. Advisory panel members They largely consist of generalists; so broader significance matters. Program officers Were the investors, seeking big bangs for our bucks.

Additional Things to Consider When Preparing a Proposal to NSF Keep the broader intellectual context clear Explore broader theory and relevant literature Ground focal questions in a theoretical framework Specify scientifically sound research plan Discuss how expected results will contribute to enhanced theory and broader impacts Don't start with and maintain focus on the specific case

What Expenses Should Be Listed in a Budget? For every possible expenditure, ask yourself: Is this expenditure necessary at this level to complete the project? -- or -- Would the research be diminished substantially if this expenditure is not made or is significantly reduced? If you answer Yes to these questions, include the expenditure in the budget. If you answer No, leave the item out or reduce it to reasonable levels. Be cognizant of overall funding limits for awards and for a program.

Include a Data-Management Plan The types of data, samples, physical collections, software, curriculum materials, and other materials to be produced in the course of the project; The standards to be used for data and metadata format and content (where existing standards are absent or deemed inadequate, this should be documented along with any proposed solutions or remedies); Policies for access and sharing including provisions for appropriate protection of privacy, confidentiality, security, intellectual property, or other rights or requirements; Policies and provisions for re-use, re-distribution, and the production of derivatives; and Plans for archiving data, samples, and other research products, and for preservation of access to them. (Look to provide long- term access from institutionally managed databases.) Note that accessible data constitutes a broader impact!

What If Your Proposal Is Funded? Work with the program officer(s) to ensure that the "Bang for the Buck" is maintained during pre-award negotiations. Check with your program officer regarding any significant changes during conduct of the project. Conduct the research properly and disseminate the results promptly. Regularly report findings, products, and contributions (even after the funding has ended).

What If Your Proposal Is Declined? Pause a while to let the pain subside somewhat. Evaluate the reviews. If criticisms focus on correctable points, revise and resubmit the proposal. If criticisms are more general, consider other funding sources or other lines of inquiry. If you have questions or want additional information, contact the program officer.

Speaking of Time A Suggested Timeline for Developing Proposals 3 months before the deadline Develop prospectus for proposal and share it with colleagues as well as relevant agency program officers. 1 month before the deadline Complete what you think is a very solid first draft of the entire proposal. Share it with colleagues and ask for honest, constructive advice. 2 weeks before the deadline Use comments from colleagues to revise the proposal one or two more times. 1 week before the deadline Forward the proposal to your sponsored projects office so that they can complete their work and submit the proposal a day or two before the deadline 5 months after the deadline Politely ask the managing program officer when a decision might be made about your proposal (if you havent heard about its status already).

Above All Else, Be Persistent! Remember the words of Christopher Morley: Big shots are just little shots who keep shooting!

The NSF Staff Is at Your Service Its not quite that easy, but we will provide whatever info we can to help you make the strongest possible case for your project. Call or write!

Contact Information Thomas Baerwald [email protected] 703-292-7301 Geography and Spatial Sciences Program National Science Foundation 4201 Wilson Blvd.; Room 995 Arlington VA 22230 U.S.A. Consult the NSF web site to identify program officers for other programs or competitions.

STANDING SBE PROGRAM INFORMATION

Division of Social and Economic Sciences (SES) Supports research to develop and advance scientific knowledge focusing on economic, legal, political and social systems, organizations, and institutions Supports research on the intellectual and social contexts that govern the development and use of science and technology Division Director: Jeryl Mumpower

Decision, Risk, and Management Sciences Supports research that explores fundamental issues in judgment and decision making, risk analysis, management science, and organizational behavior Research must be relevant to an operational or applied context, grounded in theory, and based on empirical observation or subject to empirical validation Program Officers: Robert OConnor, Mary Rigdon

Economics Supports: Both empirical and theoretical economic analysis as well as work on methods for rigorous research on economic behavior Research designed to improve the understanding of the processes and institutions of the U.S. economy and of the world system of which it is a part Almost all subfields of economics including: econometrics, economic history, finance, industrial organization, international economics, labor economics, public finance, macroeconomics, and mathematical economics Program Officers: Nancy Lutz, Michael Reksulak, Niloy Bose

Science of Organizations SoO funds research that advances the fundamental understanding of how organizations develop, form and operate. Supports research which uses theory combined with empirical validation. Looks to expand the concepts, models and methodologies of change in organizations and institutions Program Officer: Quinetta Roberson

Law and Social Science Supports social scientific studies of law and law-like systems of rules, institutions, processes, and behaviors Topics can include, but are not limited to research designed to enhance the scientific understanding of the impact of law human behavior and interactions as these relate to law the dynamics of legal decision making the nature, sources, and consequences of variations and changes in legal institutions Program Officers: Susan Sterett, Marjorie Zatz

Methodology, Measurement, and Statistics Seeks proposals that are interdisciplinary in nature, methodologically innovative, and grounded in theory, such as: Models and methodology for social and behavioral research Statistical methodology/modeling directed towards the social and behavioral sciences Methodological aspects of procedures for data collection Program Officer: Cheryl Eavey

Political Science Supports scientific research that advances knowledge and understanding of citizenship, government, and politics Substantive areas include, but are not limited to: American government and politics comparative government and politics international relations political behavior political economy political institutions Supports Doctoral Dissertation Research Improvement Grants Program Officers: Brian Humes and Erik Herron

Science, Technology and Society STS considers proposals that examine questions that arise in the interactions of engineering, science, technology, and society. There are four components: Ethics and Values in Science, Engineering and Technology History and Philosophy of Science, Engineering and Technology Social Studies of Science, Engineering and Technology Studies of Policy, Science, Engineering and Technology The components overlap, but are distinguished by the different scientific and scholarly. Program Officers: Fred Kronz, Linda Layne

Sociology The Sociology program supports theoretically grounded research on systematic patterns of social relationships that examine the causes and consequences of human behavior, social structure and social change. Studies range from micro to macro levels of interaction. Topics include, but are not limited to: Stratification, labor markets, mobility, social change Organizations, networks, economic and workplace change Crime, delinquency, social organization and social control Race, ethnicity, social identity/interactions, culture, education Family, gender, population, migration, immigration Social movements, political processes, globalization and more The Program supports research that uses the range of social science methodologies experimental, quantitative, qualitative and the combinations of multiple methodsfor original data collection and secondary data analysis. Program Officers: Pat White, Saylor Breckenridge

Division of Behavioral and Cognitive Sciences Supports research to develop and advance scientific knowledge focusing on human cognition, language, evolution, social behavior, and culture Supports research on the interactions between human societies and the physical environment Division Director: Mark Weiss

Archaeology and Archaeometry Funds: Archaeological research that contributes to an anthropological understanding of the past Anthropologically significant archaeometric research Program Officer: John Yellen

Cultural Anthropology Promotes basic scientific research on the causes and consequences of human social and cultural variation Supports social scientific research of theoretical importance in all theoretical and empirical subfields Program Officers: Jeff Mantz, Chris McCarty

Biological Anthropology Supports basic research in areas related to: Human Evolution Anthropological Genetics Human Adaptation Skeletal Biology Primate Biology Ecology and Behavior Grants are often characterized by: An underlying evolutionary framework A consideration of adaptation as a central theoretical theme Generalizable Results Serves as a bridge between the social and behavioral sciences and the natural and physical sciences Program Officer: Carolyn Ehardt

Linguistics Supports scientific research of all types that focus on human language as an object of investigation the syntactic, semantic, phonetic, and phonological properties of individual languages and of language in general the psychological processes involved in the use of language the development of linguistic capacities in children social and cultural factors in language use, variation, and change the acoustics of speech and the physiological and psychological processes involved in the production and perception of speech the biological bases of language in the brain Program Officers: Joan Maling and Bill Badecker

Documenting Endangered Languages Responds to loss of worlds languages Research grants Fellowships in partnership with NEH Data collection, preparation of grammars & dictionaries Requires creation of archives Training & Workshops Cyber infrastructure and tools for linguistic analysis Program Officer: Shobana Chelliah

Cognitive Neuroscience Program supports highly innovative and interdisciplinary proposals Proposals should aim to advance a rigorous understanding of how the human brain supports: thought perception affect action social processes and other aspects of cognition and behavior, including how such processes develop and change in the brain and through evolutionary time. Program Officer: Akaysha Tang

Developmental and Learning Sciences Supports studies that increase our understanding of cognitive, social, and biological processes related to children and adolescents learning in formal and informal settings Supports research on learning and development that: incorporates multidisciplinary, multi-method, microgenetic, and longitudinal approaches develops new methods and theories examines transfer of knowledge from one domain to another assesses peer relations, family interactions, social identities, and motivation examines the impact of family, school, and community resources assesses adolescents preparation for entry into the workforce investigates the role of demographic and cultural characteristics in childrens learning and development. Program Officer: Peter Vishton

Perception Action and Cognition Supports basic research on human cognitive and perceptual functions Topics include, but are not limited to: Attention Memory Spatial Cognition Language Processing Perceptual and Conceptual Development Visual, Auditory, and Tactile Perception Reasoning Research supported by the program encompasses a broad range of theoretical perspectives such as Symbolic Computation, Connectionism, and Dynamical Systems Program Officers: Betty Tuller and Lawrence Gottlob

Social Psychology Supports research on human social behavior, including cultural differences and development over the life span Among the many research topics supported are: attitude formation and change social cognition personality processes interpersonal relations and group processes the psychophysiological correlates of social behavior Program Officers: Sally Dickerson, Rosanna Guadagno

Geography and Spatial Sciences Supports research on geographic distributions and interactions of human, physical, and biotic systems on the earths surface. Encourages investigations into the nature, causes, and consequences of human activity and natural environmental processes across a range of scales. Funds international and domestic projects which make contributions toward advancing geographic and spatial scientific theory. Program Officers: Antoinette WinklerPrins, Kelley Crews, Tom Baerwald

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Funding Opportunities and Proposal-Writing Strategies for Social and Behavioral Science Research at the National Science Foundation Thomas J. Baerwald