Research UMR Serving the needs of Missouri and our Nation Wayne Huebner Interim Vice Provost for Research University of Missouri-Rolla Rolla, MO F 3 September 4, 2002

Research Productivity Goals A 23%/year growth rate is needed to hit our goals…….

Proposals Submitted during FY Total: $91.1 M Does not include $9.5 M submitted for the Life Sciences Proposals in Jan 02, or the $79.9M requested through the Federal Plus-up Program in December 01

Proposals Awarded during FY Total: $24.9 M Does not include $5.7 M awarded through the Federal Plus-up Program in Jan 02

Title$M Appropriated Ulta-modelling and Simulation of Materials: Design and Processing2.5 Wireless Surveillance of Hostile Threats3.0 Center for Sensors and Obscurants 2.5 Aerospace Propulsion Particulate Emissions Reduction Program3.5 Environmentally Sound Aircraft Coatings1.5 Total13.0 Appropriated FY02-03 Federal Plus-Up Proposals Plus-up Funding in Previous Years ($M) FY98FY99FY00FY01FY Note: these are appropriated amounts; still need to wait for final #’s as agencies negotiate their “tax”:

FY 02 Recovery of Indirect Costs Original FY02 Planning Budget:$3,054,000 Exceeded goal by: ≈$1.8M (59%) FY03 Budget: $4,939,200

 General Guidelines  Application Deadlines  Research Board Members  Designated Campus Officials  Eligibility  Non-Regular Faculty Eligibility  How to Submit Your Proposal  Application Instructions  Review Process  Administration of Awards Research Board

The UMRB provides a unique opportunity for fostering and encouraging creative scholarship of its faculty through competitively awarded research support. Its mission is to enhance the long-term quality and quantity of scholarship throughout the University by supporting meritorious research projects. This support is intended to:  help promising new faculty initiate their research  provide seed money to test new ideas in their preliminary stages before enough data have been gathered to submit a proposal for external funding  provide modest resources for excellent scholarship in fields for which external support may be quite limited  provide matching funds sometimes required by external sponsors, and  provide bridging funds. The UMRB is administered by the Research Board (20 members); faculty serve as peer reviewers. Research Board members are forbidden to consult with potential applicants regarding the scholarly content of their proposal by a conflict-of interest policy. Background

 FY02 Distributions CampusOct 01Feb 02Total% UMC448,351563,7461,012,097(51%) UMKC20,914187,423208,337(11%) UMR405,570134,206539,776(27%) UMSL81,607136,487218,094(11%) Totals:956,4421,021,8621,978,304  FY03 budget: $2M/year (originally $4M) Background

 The Board has established programs for:  individual or collaborative projects  special opportunities, and  book publication subventions  Special Opportunities Grants: designed to leverage large external funding opportunities and normally involve cooperative effort among faculty members; accepted at any time and reviewed as expeditiously as possible to meet an agency deadline.

 No funds are set aside for specific programs or for specific types of proposals. However, inter-departmental and inter-campus collaboration may strengthen a proposal and serve as a positive factor in its evaluation.  There are no quotas; the goal is to support the most meritorious projects, regardless of discipline, campus or departmental affiliation, or faculty rank of the applicant.  All research endeavors are considered; particularly interested in encouraging the career development of young faculty and in facilitating exceptional new initiatives of more senior faculty.  An increasingly important criterion for support is the potential for leveraging additional external dollars.  A commitment of partial support for a project from the campus, college or unit is not required, but it may be a positive factor in the review. Background

 The Board expects significant return to the University on its investment, as measured by increased grant/contract income, productivity and accomplishment, and increased stature and national/international visibility of the faculty and its programs.  Favorable consideration is given to projects that will likely result in applications for extramural support.  Awards are not renewable. The Research Board will not serve as a source of continuing support for specific projects or facilities.  Awards normally are for a one-year period, but longer terms (up to a maximum of two years) are permitted if fully justified in the proposal. Background

The deadlines for the academic year are: October 7, 2002 and February 17, 2003 Applications must be received by the designated campus official no later than 5 p.m. on the deadline date. Late submissions will be held for the next deadline. Research Board Meeting Dates: December 7, 2002 and April 26, 2003 Application Deadlines

Bryan Becker (01-03) Lindsey Hutt-Fletcher (00-02) Professor of Mechanical Engr.Professor of Biological Sciences Gerald Carlson (01-03) Dennis Merrill (00-02) Professor of Biological Sciences Professor of History Max Skidmore (99-03) Professor of Political Science Douglas K. Ludlow (01-03) Lokeswarappa Dharani (01-03) Professor of Chemical EngineeringProfessor of EMAE Elizabeth Cummins (00-02) Professor of English Members of the Research Board UMKC UMR

David Pintel (01-03) Ronald Ratti (99-03) Prof. of Molecular Professor of Economics Microbiology & Immunology Nakhle Asmar (99-03)H.R. Chandrasekhar (01-03) Professor of Mathematics Professor of Physics Richard Rosenfeld (01-03) Professor of Criminology & Criminal Justice Members of the Research Board UMC UMSL

UMCUMKC Dr. Robert Hall Dr. John R. Baumann Vice Provost, Office of ResearchDirector, Sponsored Programs 205 Jesse Hall5211 Rockhill Road TEL: /3841; FAX: TEL: ; FAX: UMRUMSL Dr. Wayne Huebner Dr. Nasser Arshadi Interim Vice Provost for Research Associate Vice Chancellor 204 Parker Hall for Research TEL: ; FAX: Woods Hall TEL: ; FAX: Designated campus officials

 Each proposal must have a primary applicant (or principal investigator) responsible for conducting the project and submitting a final report. Collaborative projects may have one or more co-applicants.  Regular (tenured or tenure-track) faculty members are eligible to apply as primary applicants. Non-regular faculty whose eligibility has been approved previously by the Board may also apply or serve as co-applicants.  In exceptional cases that present advantages for the University, emeritus faculty may be considered for support.  Only one proposal from a primary applicant will be considered in any review cycle. Proposals revised in response to a previous review will be considered, but repeated submission of the same proposal is discouraged.  Prospective applicants who have received a Research Board award may apply again only at the next, or subsequent, deadline that occurs after the lapse of one year from the official end date of the most recent award (except those that support meetings and Special Opportunity projects). Eligibility

 This year the Board decided to accept applications from non-regular faculty.  Qualification to apply will be based on an eligibility application that must be approved at a regular meeting of the Board.  This is two-step process. Non-regular faculty must apply for eligibility and be approved before they may submit an application for Board support.  Criteria for Eligibility of Non-Regular Faculty The primary criteria for eligibility to apply are independence in research or creative activity, long-term association with and commitment to the University of Missouri, and potential to obtain external grants. Eligibility will be determined case-by-case, based on these criteria and the information submitted by the applicant and his/her department chair or unit director. Specific criteria for eligibility:  Benefit eligible  An independent investigator, based on the following facts:  Applicant is the corresponding author on publications  Applicant is the PI for external grant proposals submitted through the UM system  Applicant’s salary is not dependent upon grants to another faculty member Eligibility of Non-Regular Faculty to Apply for Research Board Support

 The range of awards is $3,000 to $50,000 for individual or collaborative projects.  Awards may include salaries for personnel, other than regular faculty, who are integrally involved in performing the research or creative activity. These include: graduate research assistants postdoctoral associates non-regular faculty visiting scholars undergraduate assistants technicians, and special assistants.  Both the primary applicant and a co-applicant(s) are each eligible to receive one summer salary stipend (up to 2/9 of the academic year salary, up to a maximum of $10,000). Two summer stipends for one individual are not allowed. Regular faculty on 11-month appointment are not eligible for salary support. Types of Support: Individual or Collaborative Projects

 Requests for other types of support will be considered if the request represents a critical research need or offers an important opportunity to promote scholarship and creativity. Some examples include:  materials and supplies  analytical services  equipment  a special library acquisition might have important implications for a particular faculty research effort  a workshop or conference might be needed to discuss an important new technology or to consolidate a substantial faculty group effort  expenses associated with special performances and exhibitions in the arts.  These examples are intended to be illustrative, not all-inclusive. Applicants are encouraged to present and justify only their most critical needs, recognizing that the Research Board's resources are limited in relation to the needs for research support.  The Board will NOT supplement continuing externally funded projects, but it may provide funds to bridge a gap in external funding. Types of Support: Individual or Collaborative Projects

 With a funding range normally above $50,000, a few major grants may be awarded as investments in new initiatives that show outstanding promise for enhancing the quality, stature and recognition of scholarship at the University of Missouri.  Special opportunities applications may involve:  a group of outstanding faculty who need matching funds to purchase major equipment that would improve their research productivity or expand their research into important new areas  sponsorship of an international chamber music festival for which a strong case for the "investment potential" and lasting benefit to the University can be made, or the acquisition of a rare book collection for the library that would significantly enhance the scholarly potential of a group of faculty and increase the stature and importance of the library.  Special Opportunity proposals from department chairs for start-up funds for new faculty will not be considered. Such funding for new faculty would normally be provided by the home department and college. Types of Support: Special Opportunity Projects

 When the primary purpose of a Special Opportunity proposal is to purchase major equipment, it is expected that an external agency will supply matching funds equal to or greater than the amount requested from the Research Board and that the campus will supply some matching funds. In all cases, the commitment of matching support is a positive factor in evaluation. Approved funds for an application will be held in escrow until documentation of commitments for all other proposed support are submitted to the Board. Special Opportunity commitments are usually valid for a period of one year.  Expedited Review: Under unusual circumstances that involve a request for matching funds and a time constraint, the Board will consider expedited review of Special Opportunity applications. For such review the applicant must submit an accompanying letter that documents a compelling reason for urgent consideration. Documentation must clearly demonstrate that the external agency involved requires matching funds and that expedited review is required to meet the deadline. Such requests may be submitted at any time and will be reviewed as promptly as feasible. Types of Support: Special Opportunity Projects

 The Research Board will provide book publication assistance to faculty in cases where the publisher:  is a non-commercial press  uses a peer-review mechanism for selecting books to publish, and stipulates that a subvention is necessary for the book to be published, as in the case where the anticipated sale is too small or too slow to permit timely recovery by the publishers of the initial production expense.  Authors should not suggest the possibility of a publication subvention in their communications with publishers.  The Research Board's policy for publication subventions requires that:  copies of all peer reviews available to the author must be provided to the Board  the Board be advised of the specific terms of the proposed contract between author and publisher, including the subvention required and the terms under which any revenue generated by the sale of the work shall be returned to the author  the publisher shall be asked to provide a copy of the publication to the library on each of the four campuses. At minimum, the author shall provide a copy of the book to the Research Board for its inspection. The Board will then donate the book to the library on the author's campus. Types of Support: Book Publication Subventions

 The Board will not provide certain types of support. These include:  academic salaries for faculty on 9 or 11-month appointments  graduate or undergraduate tuition or fees, graduate research assistantship appointments for greater than 50% time, or stipends for graduate students not enrolled at the University during the academic year  salaries for emeritus professors in excess of $10,000.  travel to meetings and symposia, or to principal sabbatical leave destinations  book publication subventions for non-refereed or commercial presses  computer time on University computers  dissertation preparation costs (copying, typing, binding)  construction and remodeling of facilities, equipment maintenance costs  indirect costs  secretarial support Budget Considerations

 All instructions can be found on the website:  The Research Board application process is mostly an on-line submission. One completed copy of a printed proposal must be processed through your campus officials office for signatures  Applications, including application forms, narrative portion and detailed budget, must be completed and submitted to the Research Board website before one of the designated deadlines..  If primary applicant has received a previous Research Board award, a copy of your technical report(s) MUST be included.  With one exception all tabular or illustrative material must reside within the 10- page narrative portion of the application. Inclusion of audio and visual materials may be justified for some fine arts applications which should be included with the copy sent to the campus official. How to Submit Your Proposal

 Application forms are located at  Type size throughout the application shall be standard 12 point or larger and should be typed with normal capitalization. DO NOT CAPITALIZE NAME, ADDRESS, ETC.  Click on website cited above and create a new account for first time. Use your real name, address, username and real name can be the same. Click on Create Account. Follow the instructions for each section (Application Form, Summary and Support Information, Biographical Sketch, Narrative, Budget, and Technical Report, if applicable). PLEASE NOTE - EACH SECTION MUST HAVE EITHER INFORMATION ENTERED OR NOT APPLICABLE (NA) ENTERED. INCOMPLETE SECTIONS CANNOT BE SUBMITTED. YOU MUST SAVE EACH SECTION PRIOR TO ADVANCING TO THE NEXT SECTION. Etc…. Application Instructions

 The Research Board consists of members chosen for their scholarship, expertise and administrative ability. The members are all full-time faculty who are leaders in their field.  The Board has organized itself into review subcommittees according to disciplinary areas. These are:  Engineering  Humanities and Fine Arts  Life Sciences  Physical Sciences and Mathematics  Social and Behavioral Sciences  Each subcommittee is interdisciplinary and is composed of at least three Research Board members.  The review subcommittee members select peer reviewers. Three peer reviews are sought for each proposal. Reviewers are sent a copy of the application and a copy of the Research Board's peer review sheet, listing the criteria for evaluating projects. Reviewers then return their evaluations and recommendations to the subcommittee in advance of Board consideration of the proposal. Review Process

 The Board considers these key factors:  quality of the proposed research or creative activity  importance and probable impact the proposed work may have on the field  potential of the project to obtain future external funding  potential value for enhancing the stature of the University  project design and procedures  resources and environment available to carry out the project  value for development of the applicant's research potential and progress  quality and productivity of the applicant, and  budget appropriateness in terms of the project and the Board's resources, including consideration of need and availability of external support.  The subcommittees make recommendations to the entire Board based on the peer reviewers' comments and their own judgment. After consideration of the recommendations and discussion, a final decision is made by the Board. Review Process

 Consideration of a proposal may be deferred if additional reviewers or information are needed. In such cases, the executive secretary will contact the applicant to explain what information is required. If supplementary materials are provided before the next application deadline, the proposal will be reconsidered at the next Board meeting. If the requested information is not received, the proposal will be withdrawn from consideration.  The Board's decision, and the primary reasons for it, are communicated by letter to the primary applicant. Copies of the award letters are sent to the designated campus official. The Board will normally forward copies of the peer reviewers' comments to the primary applicant. Review Process

 Recipients of Research Board awards are expected to manage the funds awarded to them.  Projects begin on the date an account is assigned by the campus and must begin within 6 months of the award letter. Accounts are assigned by the appropriate Campus Official with the primary applicant as the responsible person. Research Board accounts may not be used for any other purpose, and no expenditure incurred before the start date may be charged to the account.  Balances in Research Board accounts revert to the Board on the expiration date.  Rebudgeting of funds into summer salary or teaching replacements funds is not permitted. Most modifications in the use of funds (e.g., purchasing supplies, using equipment funds, or substituting equipment items) within the guidelines in this document are permitted without prior approval. However, equipment expenditures exceeding the amount approved by more than $500 require prior approval from the designated campus official. The Institutional Rebudgeting Request for Grants (Form UM118) should be used for this purpose. At the time of approval, a signed copy of the completed approval form must be provided to the Research Board Office. Administration of Awards

 The designated campus official may authorize a no-cost extension of the grant period for up to one year beyond the original termination date, provided the awardee submits a written justification for such an extension at least 30 days before the termination date. Form UM118 should be used, and when completed, a signed copy must be sent to the Research Board Office. Only in extenuating circumstances will the Board consider an additional time extension beyond the one year.  A financial report is required within 90 days of the project's termination. The financial report, approved and signed by the campus official, must list total expenditures in each budget category along with any balance returned to the Board.  A technical report, submitted through the campus official, is also required within 90 days of the project's termination. This report should follow the format of the Board's Technical Report form and be accompanied by reprints of refereed papers or other evidence of creative activity, e.g. book titles and performance programs. Administration of Awards

APPLICANT'S NAME: _________________________________________________ CAMPUS: MU UMKC UMR UMSL AWARD TYPE: I/C PS SO (circle one) PROJECT TITLE: _____________________________________________________ PROJECT BEGIN & END DATES: ________________ to __________________ AMOUNT AWARDED: __________________ 1.List Objectives of Original Proposal: 2.List Publications, presentations made or scheduled, creative works as a result of this project. 3.Have proposals for external funds been planned/submitted/awarded? Please provide agency, project title(s), dollars, and proposal status. 4. Summarize accomplishments and results of project. Please submit to your campus official. Signature: __________________________________________________ Date: _______________ UMRB Technical Report

 Primary applicants must agree, before an account is established, to complete a brief questionnaire approximately two years after termination of the grant. The purpose of the questionnaire is to evaluate the Research Board's program. It will also be used to track publications, other relevant works, and external funding that results from awards.  Research Board support shall be acknowledged in all publications, exhibits and performances that result from Research Board support. Administration of Awards