Two new NSF solicitations: ARI-R 2 and MRI-R 2 Steve Meacham & Randy Phelps Office of Integrative...

Two new NSF Two new NSF solicitations:solicitations:

ARI-RARI-R22 and MRI-R and MRI-R22

Steve Meacham & Randy Steve Meacham & Randy PhelpsPhelpsOffice of Integrative Office of Integrative ActivitiesActivities

WebcastWebcastMay 28, 2009May 28, 2009

[email protected]@tvworldwide.comom

Academic Research Academic Research Infrastructure -Recovery and Infrastructure -Recovery and

Reinvestment (ARI-RReinvestment (ARI-R22)) NSF 09-562NSF 09-562

Update of 1990s ARI program Update of 1990s ARI program last solicitation 1996last solicitation 1996

One-time opportunityOne-time opportunity NSF-wide programNSF-wide program

Program team: Jim French, Program team: Jim French, Sherrie Green, Amber Jones, Sherrie Green, Amber Jones, David Lambert, Duncan McBride, David Lambert, Duncan McBride, Steve Meacham, Denita Norris, Steve Meacham, Denita Norris, Joy Pauschke, Randy Phelps, Joy Pauschke, Randy Phelps, Lita Proctor, Jen Schopf, Don Lita Proctor, Jen Schopf, Don Terndrup, John YellenTerndrup, John [email protected]@tvworldwide.co

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Academic Research Academic Research Infrastructure -Recovery and Infrastructure -Recovery and

Reinvestment (ARI-RReinvestment (ARI-R22)) NSF 09-562NSF 09-562

Repair or renovation of Repair or renovation of existingexisting research facilities research facilities Bricks-and-mortar, mobile, or Bricks-and-mortar, mobile, or virtualvirtual

New construction not supportedNew construction not supported Shared research spaceShared research space Shared research training space Shared research training space All NSF-supported research areasAll NSF-supported research areas

Eligible organizationsEligible [email protected]@tvworldwide.comm

ARI-RARI-R22 Highlights (1) Highlights (1)

Funding:Funding: $200M, all from ARRA funds $200M, all from ARRA funds Three Award CategoriesThree Award Categories

$250K to $2M (~100 awards) $250K to $2M (~100 awards) “Small”“Small” $2M to $5M (~6-10 awards)$2M to $5M (~6-10 awards) “Large”“Large” $5M to 10M (~3-5 awards)$5M to 10M (~3-5 awards)“Large”“Large”

Award durationAward duration Up to 3Y for smaller awards Up to 3Y for smaller awards Up to 4Y for larger awardsUp to 4Y for larger awards

Standard grants and cooperative Standard grants and cooperative agreementsagreements

No cost sharingNo cost sharing [email protected]@tvworldwide.comm

ARI-RARI-R22 Highlights (2) Highlights (2) Limit 1 proposal per eligible Limit 1 proposal per eligible organizationorganization ~500-1000 proposals (??)~500-1000 proposals (??) ~110 awards~110 awards

Smaller awards Smaller awards ~~ January 2010 January 2010 Larger, more complex awards Larger, more complex awards ~~ late late April 2010April 2010

[email protected]@tvworldwide.com

ARI-RARI-R22 Highlights (3) Highlights (3) Review processReview process

Panels: Reviewers with research, Panels: Reviewers with research, facilities, project management facilities, project management experience (volunteers welcome!)experience (volunteers welcome!)

Small proposals – review by panelSmall proposals – review by panel Large proposals – two-stage panel Large proposals – two-stage panel process with reverse site visits for process with reverse site visits for finalistsfinalists

Site visits, if necessary, during Site visits, if necessary, during award negotiation for large/complex award negotiation for large/complex awardsawards

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ARRA-related conditions for ARRA-related conditions for ARI-R2ARI-R2

Reporting – in addition to NSF standard annual/final Reporting – in addition to NSF standard annual/final reportsreports Quarterly, to recovery.gov, Quarterly, to recovery.gov, ≤ 10days of end of quarter ≤ 10days of end of quarter Quarterly, to NSFQuarterly, to NSF Additionally for > $2M: Additionally for > $2M:

Monthly to NSF; on-site progress reviewMonthly to NSF; on-site progress review

Timely expenditures, particularly in first 12 monthsTimely expenditures, particularly in first 12 months

Prevailing wage requirementPrevailing wage requirement “… “… all laborers and mechanics employed by contractors all laborers and mechanics employed by contractors and subcontractors on projects funded directly by or and subcontractors on projects funded directly by or assisted in whole or in part by and through the Federal assisted in whole or in part by and through the Federal Government pursuant to this Act shall be paid wages at Government pursuant to this Act shall be paid wages at rates not less than those prevailing on projects of a rates not less than those prevailing on projects of a character similar in the locality…” See 29 CFR character similar in the locality…” See 29 CFR Section 5.5.Section 5.5.

SeeSee www.nsf.gov/awards/managing/award_conditions.jsp? www.nsf.gov/awards/managing/award_conditions.jsp?org=NSForg=NSF

Key Elements of ARI-RKey Elements of ARI-R22 (1) (1) Research/research training facility:Research/research training facility:

Existing shared, physical or virtual space where Existing shared, physical or virtual space where sponsored and/or unsponsored research and/or research sponsored and/or unsponsored research and/or research training takes placetraining takes place

Research training:Research training: Training of individuals (high school, undergraduate, or Training of individuals (high school, undergraduate, or graduate students, or faculty) in research techniques graduate students, or faculty) in research techniques that use the same type of facilities as research that use the same type of facilities as research activities. activities.

Research training focuses on hypothesis-driven activity, Research training focuses on hypothesis-driven activity, e.g. students’ independent, mentored research projects. e.g. students’ independent, mentored research projects. Not instructional laboratory work as part of lab courses.Not instructional laboratory work as part of lab courses.

Combined use for research and non-research Combined use for research and non-research activities:activities: Estimate % of space and % of time used for researchEstimate % of space and % of time used for research Only that fraction of eligible costs can be included in Only that fraction of eligible costs can be included in allowable costsallowable costs

Key Elements of ARI-RKey Elements of ARI-R22 (2) (2)

Fixed equipmentFixed equipment An immovable part of the facility. An immovable part of the facility. Essential to the conduct of Essential to the conduct of research/research training.research/research training.

E.g. not elevators, not instrumentation E.g. not elevators, not instrumentation (see MRI-R2).(see MRI-R2).

No computers or data storage systems.No computers or data storage systems.

Key Elements of ARI-RKey Elements of ARI-R22 (3) (3) Replacement:Replacement:

Takes the place of an existing research Takes the place of an existing research facility which is obsolete, beyond facility which is obsolete, beyond repair or for which renovation is not repair or for which renovation is not cost-effective. cost-effective.

Includes: razing an existing research Includes: razing an existing research facility and constructing one of similar facility and constructing one of similar scope in its place; relocating or scope in its place; relocating or consolidating existing research consolidating existing research facilities.facilities.

An An exceptional circumstanceexceptional circumstance. Requires . Requires compelling justification that it would compelling justification that it would be unreasonable to repair or renovate be unreasonable to repair or renovate the existing facility.the existing facility.

Key Elements of ARI-RKey Elements of ARI-R22 (4) (4) Management plan:Management plan:

Provide information that the reviewers will Provide information that the reviewers will need to assess whether the proposer will be need to assess whether the proposer will be able to execute the project successfully. able to execute the project successfully.

Project manager Project manager Mechanisms for input by end users and by Mechanisms for input by end users and by institution's physical plant personnelinstitution's physical plant personnel

Schedule & logistics – can be initiated Schedule & logistics – can be initiated quickly and on schedule. quickly and on schedule.

Who will do the work? Who will do the work? Process that will be used to manage Process that will be used to manage competitive bidding of sub-contracts. competitive bidding of sub-contracts.

Risks & contingenciesRisks & contingencies Description of any regulatory permits Description of any regulatory permits required for initiation and completionrequired for initiation and completion

Key Elements of ARI-RKey Elements of ARI-R22 (5) (5)

Sustainability plan:Sustainability plan: Plan for the maintenance, operation, and Plan for the maintenance, operation, and technical support of the facility after technical support of the facility after renovation is completed. renovation is completed.

Include management, staffing, source(s) of Include management, staffing, source(s) of funding, users & how selected, administration funding, users & how selected, administration oversight, & user input. oversight, & user input.

Must undertake to maintain and operate for at Must undertake to maintain and operate for at least three years.least three years.

If over $2M, also include a Project Execution If over $2M, also include a Project Execution Plan (as Supplementary Document)Plan (as Supplementary Document)

Key Elements of ARI-RKey Elements of ARI-R22 (6) (6) Supplementary documents:Supplementary documents:

Photographs to illustrate typical current conditions.Photographs to illustrate typical current conditions. Page-size schematic drawings showing existing conditions Page-size schematic drawings showing existing conditions and work to be done. Drawings should be as extensive as and work to be done. Drawings should be as extensive as possible. possible.

Itemized vendor/contractor quotes, if applicable.Itemized vendor/contractor quotes, if applicable. Budget document, OMB SF424C “Budget document, OMB SF424C “Budget Information - Budget Information - Construction Programs.”Construction Programs.”

Letter of commitment to operate the renovated facility for Letter of commitment to operate the renovated facility for at least three years after project completion.at least three years after project completion.

Letter from the submitting organization confirming that Letter from the submitting organization confirming that any non-NSF funds necessary for the project are available any non-NSF funds necessary for the project are available and will be provided for the project should the proposal and will be provided for the project should the proposal be funded. be funded.

OMB SF424D, "Assurances - Construction Programs," signed OMB SF424D, "Assurances - Construction Programs," signed by the Authorized Organizational Representative.by the Authorized Organizational Representative.

If > $2 million, If > $2 million, must must include a detailed Project Execution include a detailed Project Execution Plan Plan

No letters of supportNo letters of support

Key Elements of ARI-RKey Elements of ARI-R22 (7) (7) DrawingsDrawings

Prepare (or scan) as Portable Document Format (PDF) Prepare (or scan) as Portable Document Format (PDF) files and integrate with the other supplementary files and integrate with the other supplementary documents into a single PDF file for upload into the documents into a single PDF file for upload into the Supplementary Documents. Supplementary Documents.

Make sure that the paper size setting is 8.5”x11”. Make sure that the paper size setting is 8.5”x11”. Selecting divisionsSelecting divisions

Will help NSF form panels. Select closest division. Will help NSF form panels. Select closest division. Pick second if appropriate.Pick second if appropriate.

Submitting collaborative proposalsSubmitting collaborative proposals Choose a single institution as the institution that Choose a single institution as the institution that will administer the award. will administer the award.

The proposal should be submitted by that institutionThe proposal should be submitted by that institution Include sub-awards for any collaborating institutions Include sub-awards for any collaborating institutions that will receive funds. that will receive funds.

Collaborating institutions must not submit separately.Collaborating institutions must not submit separately. Collaborating institutions must not submit additional Collaborating institutions must not submit additional proposalsproposals

Key Elements of ARI-RKey Elements of ARI-R22 (8) (8) Letter of Intent:Letter of Intent:

Submission of a Letter of Intent is Submission of a Letter of Intent is requiredrequired – – No more No more than 1than 1

Deadline 5pm (local), July 1, 2009 Deadline 5pm (local), July 1, 2009 Must be submitted through FastLane by the sponsored Must be submitted through FastLane by the sponsored project officeproject office

Should include:Should include: Project TitleProject Title PI NamePI Name Name of Submitting OrganizationName of Submitting Organization Name of facility to be renovatedName of facility to be renovated Project Synopsis (maximum of 2,500 characters) – Project Synopsis (maximum of 2,500 characters) – Include type of renovation (e.g., wet labs, Include type of renovation (e.g., wet labs, telecommunications upgrades) - See solicitationtelecommunications upgrades) - See solicitation

Project Personnel 1 PI, (0-4) co-PIs, and (0-10) other Project Personnel 1 PI, (0-4) co-PIs, and (0-10) other senior project personnel. See solicitation for formatsenior project personnel. See solicitation for format

Total requested fundingTotal requested funding Proposal must match Letter of IntentProposal must match Letter of Intent Not used to determine whether a project should be fundedNot used to determine whether a project should be funded

Major Research Instrumentation Major Research Instrumentation (MRI)(MRI)

General OverviewGeneral Overview Congressionally mandated program since 1990sCongressionally mandated program since 1990s Annual competition with January proposal deadlineAnnual competition with January proposal deadline Supports Supports acquisition and developmentacquisition and development of major of major

research instrumentsresearch instruments Eligible organizations: Ph.D.-granting (>20 Eligible organizations: Ph.D.-granting (>20

Ph.D./D.Sci. over 2 years) and non-Ph.D.-granting Ph.D./D.Sci. over 2 years) and non-Ph.D.-granting ((≤20 ≤20 Ph.D./D.Sci. Ph.D./D.Sci. over 2 years) academic over 2 years) academic institutions; non-degree-granting institutionsinstitutions; non-degree-granting institutions

Proposal limit: 3 per institution - no more than Proposal limit: 3 per institution - no more than two proposals may be for instrument acquisitiontwo proposals may be for instrument acquisition

Award size: $100,000 to $4 million for Ph.D.-Award size: $100,000 to $4 million for Ph.D.-granting institutions and non-degree-granting granting institutions and non-degree-granting institutions; up to $4 million (no minimum) for institutions; up to $4 million (no minimum) for non-Ph.D.-granting institutionsnon-Ph.D.-granting institutions

30% cost sharing (per America COMPETES), but non-30% cost sharing (per America COMPETES), but non-PhD-granting academic institutions are exemptPhD-granting academic institutions are exempt

http://www.nsf.gov/od/oia/programs/mri/

Major Research Instrumentation Major Research Instrumentation (MRI)(MRI) GoalsGoals

Supporting the acquisition of major state-of-the-art instrumentation, thereby improving access to, and increased use of, modern research and research training instrumentation by scientists, engineers, and graduate and undergraduate students;

Fostering the development of the next generation of instrumentation, resulting in new instruments that are more widely used, and/or open up new areas of research and research training;

Enabling academic departments, disciplinary and cross-disciplinary units, and multi-organization collaborations to create well-equipped research environments that integrate research with education;

Supporting the acquisition and development of instrumentation that contributes to advancements in supercomputing technology, and/or takes advantage of existing investments in cyberinfrastructure while avoiding duplication of services already provisioned by NSF investments;

Promoting substantive and meaningful partnerships for instrument development between the academic and private sectors (i.e., small businesses). Such partnerships have the potential to build capacity for instrument development in academic settings and to create new products with wide scientific and commercial impact. Partnerships with applicability to the Industry/University Cooperative Research Centers (I/UCRCs) program are encouraged.


Major Research Instrumentation Major Research Instrumentation (MRI)(MRI) CaveatsCaveats

The MRI program will not support requests for:

General purpose equipment, including general purpose computers or assorted instruments that do not share a common or specific research or research training focus;

Instrumentation used primarily for science and engineering education courses;

Renovation or modernization of research facilities, supporting equipment, and general purpose platforms. This includes “bricks-and-mortar” projects, as well as sustaining infrastructure (e.g., standard electrical/plumbing systems, elevators), supporting components (e.g., standard computer networks, clean rooms, ventilation systems) and fixed or non-fixed structures, vehicles and/or environments that host an instrument, but do not otherwise contribute directly to data gathering. Other opportunities (e.g., the Academic Research Infrastructure program) may be available to support these types of projects.http://www.nsf.gov/od/oia/programs/mri/

MRI -Snapshot of FY08 MRI -Snapshot of FY08 AwardsAwards

Program budget $94MProgram budget $94M 810 proposals reviewed, 225 awards to 184 810 proposals reviewed, 225 awards to 184 institutionsinstitutions

Award DistributionAward Distribution All areas of NSFAll areas of NSF 186 Acquisition, 39 Development186 Acquisition, 39 Development Mean Award size $451,000Mean Award size $451,000

InstrumentsInstruments 8 or more awards: Scanning Electron 8 or more awards: Scanning Electron Microscopes; Confocal Microscopes; NMRs; Mass Microscopes; Confocal Microscopes; NMRs; Mass Spectrometers; Computer ClustersSpectrometers; Computer Clusters

Other examples: Astronomical Spectrograph; Other examples: Astronomical Spectrograph; Meteorological Radar Network; Ocean Acoustic Meteorological Radar Network; Ocean Acoustic Waveguide Remote Sensing; Genome Sequencer; Waveguide Remote Sensing; Genome Sequencer; Supercomputer; 5 MeV Accelerator…Supercomputer; 5 MeV Accelerator…http://www.nsf.gov/od/oia/programs/mri/

TwoTwo MRI Competitions in FY MRI Competitions in FY 2009 2009

(1) (1) NSF 09-502NSF 09-502 issued last fallissued last fall

824 proposals already received824 proposals already received Deadline was January 2009Deadline was January 2009

Funding:Funding: $100M from FY 2009 funds $100M from FY 2009 funds +$100M from ARRA funds+$100M from ARRA funds ~350-400 awards total~350-400 awards total Award limit $4MAward limit $4M No mixing of fundsNo mixing of funds

Awards in FY 2009Awards in FY 2009


Two MRI Competitions in FY Two MRI Competitions in FY 2009 2009

(2)(2) NSF 09-561NSF 09-561 MRI-RMRI-R2 2 issued 11 issued 11 MayMay

MRI-RMRI-R22 - - RRecovery and ecovery and RRe-investmente-investment Funding: $200M, all from ARRA fundsFunding: $200M, all from ARRA funds Award limit raised to $6MAward limit raised to $6M

per America COMPETES Actper America COMPETES Act Cost-sharing exemption extendedCost-sharing exemption extended

per ACA, to non-top-100 federally funded per ACA, to non-top-100 federally funded institutionsinstitutions

~350-400 new awards~350-400 new awards Awards in CY 2009Awards in CY 2009


Major Research Instrumentation Major Research Instrumentation Recovery and Reinvestment (MRI-Recovery and Reinvestment (MRI-

RR22)) NSF 09-561NSF 09-561

Significant Changes (1)

Eligible organizations may submit a maximum of three (3) proposals, independent of the number of proposals that may have been submitted under the NSF 09-502 MRI competition. However, proposals that wholly or substantially duplicate those that were accepted for review under NSF 09-502 will not be accepted for this competition. A maximum of two submissions can be for instrument acquisition. If three proposals are submitted, at least one submission must be for instrument development.

An organization may be included as a funded subawardee in another organization's development proposal, at a level of 20% or less of that proposal's budget, without affecting the subawardee's submission limit. Inclusion as a funded subawardee in a development proposal at a budgetary level in excess of 20%, or in any acquisition proposal, must be counted against proposal submission limits.

Proposal budgets may include requests from NSF in the range $100,000-$6 million from Ph.D.-granting institutions of higher education and non-degree granting organizations; up to $6 million (there is no minimum request) from non-Ph.D. granting institutions of higher education or the disciplines of mathematical sciences or social, behavioral, and economic sciences at any eligible organization.


Major Research Major Research Instrumentation Instrumentation

Recovery and Reinvestment Recovery and Reinvestment (MRI-R(MRI-R22))

NSF 09-561NSF 09-561Significant Changes (2)

Cost-sharing is required in the MRI/MRI-R2 program, with non-Ph.D.-granting academic institutions of higher education exempt from the cost-share requirement. As authorized in section 7036(c)(2)(A) of the America COMPETES Act, for this MRI-R2 competition only, cost-sharing will be further waived for those institutions of higher education that are not ranked among the top 100 of those receiving Federal research and development funding (as documented by the statistical data published by the Foundation). The list of the top 100 institutions can be found at http://www.nsf.gov/statistics/infbrief/nsf09313/.

Each proposal for which this waiver is applicable must also include a certification from the institution's President or Provost stating that the project will 1) make a substantial improvement in the institution's capabilities to conduct leading-edge research; 2) provide research experiences for undergraduate students using leading-edge facilities; and 3) broaden the participation in science and engineering research by women, underrepresented minorities and persons with disabilities. This certification, with the specified format, must be submitted as a single copy document.


http://www.nsf.gov/statistics/infbrief/nsf09313/

Impact of ARRA (MRI and MRI-Impact of ARRA (MRI and MRI-RR22))

Adds new opportunities for Adds new opportunities for acquisition and development of mid-acquisition and development of mid-scale instruments up to $6 millionscale instruments up to $6 million

Up to ~600 additional awards this Up to ~600 additional awards this year will catalyze advances across year will catalyze advances across the spectrum of fundamental research the spectrum of fundamental research and education in the U.S.and education in the U.S.

Significantly higher success ratesSignificantly higher success rates ARRA funds reach community in 2009ARRA funds reach community in 2009 Re-investment in research capabilityRe-investment in research capability


TimelinesTimelinesMRIMRI MRI-RMRI-R22 ARI-RARI-R22

Solicitation Solicitation PostedPosted

24 Oct 200824 Oct 2008 11 May 200911 May 2009 11 May 200911 May 2009

OutreachOutreach-- Webinar, FAQs-- Webinar, FAQs

OngoingOngoing May-August May-August May-August May-August

Letters of IntentLetters of Intent N/AN/A N/AN/A 1 July 20091 July 2009

Submission Submission DeadlineDeadline

22 January 22 January 0909

10 August 10 August 20092009

24 August 2009 24 August 2009

Panel ReviewsPanel Reviews April - JuneApril - June Late Late September - September - OctoberOctober

October - October - DecemberDecember

Competition Site Competition Site Visits, as neededVisits, as needed

N/AN/A N/AN/A Dec 09 / early Dec 09 / early 20102010

Awards IssuedAwards Issued July 2009July 2009 November November 20092009

January – April January – April 20102010

QuestionsQuestions

[email protected]@nsf.gov

[email protected]@nsf.gov

Two new NSF solicitations: ARI-R 2 and MRI-R 2 Steve Meacham & Randy Phelps Office of Integrative...

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