POLICIES, PROCEDURES, PROPOSALS AND OTHER FASCINATING TOPICS Advanced Study Program Any sufficiently advanced bureaucracy is indistinguishable from molasses. -Unknown

What exciting topics will we cover?  Policies and Procedures  Publication Guidelines  Postdocs and Proposals  …and, if we’re lucky, Export Control Hard work never killed anybody, but why take the chance -Edgar Bergen ( )

ASP Policies & Procedures  ASP policy manual can be found on the ASP website at:  Should be your first “stop” when you have a question about ASP policies  UCAR policy manual:

Publication Guidelines  All manuscripts MUST include somewhere: The National Center for Atmospheric Research is sponsored by the National Science Foundation

Publication Guidelines To ensure that manuscripts submitted with NCAR affiliations are of the highest quality:  The lead author should solicit reviews from at least two colleagues. Comments should be addressed before the manuscript is submitted.  If the reviews indicate that the manuscript should not be submitted in its present form, the authors should not submit the manuscript without the approval of the ASP Director. All paid jobs absorb and degrade the mind. -Aristotle

What about transitional publications? Transitional publications are those manuscripts that were started while at a previous institution.  If the paper was submitted and all work was completed before you came to NCAR, you do not need to include an NCAR affiliation on the paper. The skill of writing is to create a context in which other people can think. -Edwin Schlossberg

What about transitional publications?  If the paper was submitted before you came to NCAR, but revisions and changes were completed at NCAR, you should include your NCAR affiliation. ASP will cover a pro rated portion of the page charges.  You do not need to seek an internal review if the manuscript was submitted before you arrived. After being turned down by numerous publishers, he had decided to write for posterity. -George Ade (1866 – 1944)

Transitional Publications  If the paper is based on your work at your previous affiliation, but you are submitting the manuscript after arrival at NCAR, you should seek two internal reviews before submitting and include an NCAR affiliation. ASP will cover a portion of the page charges.  Basically, if you are using NCAR resources to work on the paper, you should include your NCAR affiliation.

Postdocs and Proposals 1. Investigator with Funding coming to NCAR 2. Investigator with No Funding coming to NCAR 3. Named collaborator with No Funding coming to NCAR Why are we talking about this? Proposal Scenarios

General Points to Remember  Postdocs may never be listed as the Principal Investigator. Postdocs may be Co-Investigators with certain restrictions.  Any time you are named anywhere on a proposal, with funding or not, we need to know about it.  All proposals with an NCAR component must go through the “Advance Notice” system. Why?

Co-Investigator on Funded Proposal  There must be an NCAR permanent staff member as a Principal Investigator or Co-Investigator with you.  Proposal must be submitted through the division/program that will support this research, not ASP. Why?

Co-Investigator with No Funding Coming to NCAR  There must be an NCAR permanent staff member as a Principal Investigator or Co-Investigator with you.  Proposal could be submitted by ASP, but probably better to be submitted through the division/program that will support you in the future. Why?

Named Collaborator with No Funding Coming to NCAR  If you are named as a collaborator in a proposal submitted by another organization, you do not need an NCAR permanent staff member to be named on the proposal as well.  You must still go through the Advance Notice process.  ASP will submit this. Why?

Final Thoughts on Proposals  Whatever the scenario, Chris must provide approval.  Never Sign Anything!  Some NSF solicitations are specifically for postdocs and contain language about the award being independent of the institution.  No punishments will be administered to those who may have already broken these rules; amnesty is available! Why?

Export Control: What is an export?  Any item that is sent from the United States to a foreign destination is an export. “Items” include commodities, software or technology, such as building materials, circuit boards, replacement parts, blue prints, design plans, scientific equipment, retail software packages, and technical information.

Export Control  The release of technology or source code to a foreign national in the United States is “deemed” to be an export to the home country of the foreign person.  Fundamental research, by definition, is free of access, participation, or dissemination restrictions.  The term Fundamental Research means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community

Export Control: Sanctions  US persons are prohibited from trading and providing services of value to  Cuba  Iran  North Korea  Sudan  Syria  Therefore, providing support to these countries and any nationals of these countries for any models, tools, applications or datasets through help desks, phone calls, s, and tutorials is not allowed without a license.

Export Control: Final Thoughts  This is an extremely complicated topic. To learn more, go to  If you have concerns, ask. Every program has export control “experts” They are listed on the webpage above.