Study on Criteria for Federal Support of Research and Development

1995年9月26日出席：A. Petersen， J. Bordogna， M. Cehelsky， M. Clutter， K. Erb， W. Harris， J. Kull， W. Lester， C. Marrett， C. mcclindon， K. Rison， C. Sullivan， L. Sundro， J. Sunley， L. Williams， Petersen博士在9月12日的SMIG会议上向DPG做了简报。主题包括：1)J.摩尔关于1996年国家科学技术周计划和拟议的新“青年挑战”计划的介绍；2) P. Young向小组简要介绍了NSF对超级计算未来的发展计划；3)克拉特先生总结了在联邦研究机构范围内建立青年研究人员项目的努力。SMIG今天会议的议程议题包括：PFF；1997财政年度管理预算办公室预算提交；10月NSB会议；以及96财政年度机会基金。9月13日。Petersen和Erb会见了美国国家科学院院长Bruce Alberts和其他人，讨论了定于1995年11月2日至4日在美国国家科学院举行的第七届科学前沿年度研讨会。B. Harris鼓励DPG参加即将到来的研讨会，这是一个与年轻研究者见面和交谈的绝佳机制。他报告说，今年夏天，德国以NAS研讨会为蓝本举行了第一次研讨会。预计NAS将向NSF以及其他机构提交一份提案，用于未来的专题讨论会。Petersen博士报告说，NSF的提案审查过程论坛于9月15日举行。会议进行得很顺利，总的来说大家的评价都很积极。与会者包括所有NSF咨询委员会的成员，以及来自学术界和工业界的代表。该小组强调了NSF项目主管在提案过程中的重要性，并鼓励NSF继续招募最有才华的科学家。他们还建议对邮件审查和小组审查进行研究。会议完成后将提供会议摘要。Drs。彼得森和沙利文报道了他们9月20日至23日的阿拉斯加之行。参观活动包括安克雷奇学区、安克雷奇阿拉斯加大学、伊利萨维克学院、巴罗北坡区学区，并参观了NOAA的监测站，包括紫外线监测仪、巴罗环境观测站和ITEX站点。还与阿拉斯加州土著人联合会主席J. Kitka、科学和数学教育优等奖总统获得者举行了会议。Drs。沃森、布罗德本特和派尔也参加了实地考察。行动：OPP向DPG提供费尔班克斯报纸的文章。Drs。杂波和哈里斯领导了一个关于预算灵活性和6个月提案处理6个月规则的演讲。预算拨款：克拉特先生回顾了美国国家科学基金会目前的做法，即在每个财政年度开始时，BFA为每个项目提供上一年运营计划的75%。克拉特先生和哈里斯先生就根据科学需要最大限度地灵活分配经费的重要性发表了意见。他们强调指出，为了在组级、司级和首长级保持灵活性，管理人员需要有能力在这些级别进行分配，并有能力设立储备金。关于如何实现最大限度灵活性的建议包括：1)BFA在项目一级为持续承诺提供拨款，而拨款的余额在司或首长级进行；2)降低抵押贷款-降低我们的年度承诺，即将我们的年度承诺减少到50-55%而不是65% -制定更多标准奖励；3)建立司级/首长级储备；4)用5%的首长级预算建立独立办公室，仅从该办公室获得标准拨款。提案处理- 6个月规则：Petersen博士提醒小组，6个月规则已经作为NSF客户服务指南的一部分发布。可能是6个月不适合某些行动，我们不应该按单位看平均值，而应该看我们期望达到6个月处理时间的百分比。她说，我们不想做的是在那些难以在6个月内获得充分审查的情况下走质量捷径。B. Harris报告说，MPS将6个月规则应用于所有未经请求的提案，并且他们已经承诺在6个月内完成所有决定。在那些罕见的情况下，当6个月的规定不能满足时，项目需要提供一个解释。此外，如果花费超过6个月的时间将导致更新提案的资金缺口，则需要项目提供补充资金以消除任何缺口。这一做法在1996年6月的MPS通讯中向社会公布。哈里斯审查了MPS开发的数据库，该数据库用于跟踪所有行动并提供“假设”场景。公安部正在努力采用最佳做法，并使工作人员以团队形式工作。标普E基金的分配与司一级的业绩挂钩。克拉特先生报告说，BIO在6个月的规定之内，尽管他们没有制定任何特殊程序。她与该领域的部门主管一起工作，项目主管不再为未来可能的资金提供建议。Drs。Lane和Bordogna报告了他们在9月17日至19日举行的学习和智能系统研讨会上的出席情况。克拉特在9月19日和20日举行的神经信息学研讨会上做了报告。她还在9月21日和22日举行的美国-欧洲委员会生物技术研究工作组会议上作了报告。克拉特与欧盟委员会科学研究与发展总司联合研究中心主任法塞拉共同主持了该工作组。行动：M.杂乱向DPG提供会议摘要。L. Williams宣布，中国国家科委教育培训委员会的报告《面向21世纪的战略规划文件》已经发布。副本将提供给DPG。他分发了一份少数民族参与联盟的出版物，题为《在多样化的科学和技术劳动力中证明责任》。这是第一次收集到这些信息。统计资料载于第6、7、10、11和12页。威廉斯在1995年9月22日至24日举行的1995年全国多样性会议上作了报告。有800多名学生参加了会议。为了找到让更多学生参与的方法，今年的会议采用了同时举行区域会议的想法，效果相当不错。L. Williams报告说，关于目标2000的立法可能对国家科学基金会的项目影响很小，因为许多州已经制定了全州范围内的科学和数学系统计划。L. Williams为将于1995年12月13日至15日举行的NSF会议分发了一份议程草案，该会议名为“妇女与科学：庆祝成就，绘制挑战”。由莱恩博士担任主席的助理主任小组将于1995年12月15日星期五举行会议。切赫尔斯基先生分发并审查了1995年10月4日至6日NSB会议的议程。安妮塔·琼斯博士将于周四与NSB共进午餐。玛丽·古德博士和威廉·戈尔登先生将于周四晚上与NSB共进晚餐。DPG被邀请参加这两个活动。J. Kull报告说，NSF公告95-13，NSF关闭事件下的获奖者指南，已经发布。9月27日（星期三）下午2点在380教室举行问答环节。C.麦克林登报告说，周五将向员工发布关于周一上班的通知，无论是否有持续的决议。C.马雷特

DPG SEPTEMBER 26, 1995 Present: A. Petersen, J. Bordogna, M. Cehelsky, M. Clutter, K. Erb, W. Harris, J. Kull, W. Lester, C. Marrett, C. McLindon, K. Rison, C. Sullivan, L. Sundro, J. Sunley, L. Williams Dr. Petersen briefed DPG on the September 12 SMIG meeting. Topics included 1) presentation by J. Moore on plans for the 1996 National Science and Technology Week and a proposed new "youth challenge" program; 2) P. Young briefed the group on NSF's evolving plans for the future of supercomputing; and 3) M. Clutter summarized the efforts to develop a federal research agency-wide young investigators program. SMIG agenda topics for today's meeting includes: PFF; FY 1997 OMB Budget submission; October NSB meeting; and the FY 96 Opportunity Fund. On September 13, Drs. Petersen and Erb met with Bruce Alberts, President, National Academy of Sciences, and others to discuss the Seventh Annual Symposium on Frontiers of Science scheduled for November 2-4, 1995 at the NAS. B. Harris encouraged DPG to attend the upcoming symposium as an excellent mechanism to meet and talk with young investigators. He reported that Germany held its first symposium this summer which was modeled after the NAS symposium. It is expected that NAS will submit a proposal to NSF, as well as other agencies, for future symposia. Dr. Petersen reported that NSF's Proposal Review Process Forum held on September 15. The meeting went well and overall the comments were very positive. Participants included members of all NSF Advisory Committees, with representatives from academia and industry. The group emphasized the importance of NSF program directors in the proposal process and encouraged NSF to continue recruiting the most talented scientists. They also suggested that a study be done on mail review vis a vis panel reviews. A summary of the meeting will be made available when complete. Drs. Petersen and Sullivan reporte d on their September 20-23 trip to Alaska. Visits included the Anchorage School District, University of Alaska, Anchorage, visit to Ilisagvik College, the North Slope Borough School District in Barrow and a tour of NOAA's monitoring station including the UV monitor, the Barrow Environmental Observatory and the ITEX Site. Meetings were also held with President J. Kitka of the Alaska Federation of Natives, the Presidential Awardees for Excellence in Science and Mathematics Education. Drs. Watson, Broadbent and Pyle also attend the site visits. Action: OPP to provide DPG with Fairbanks newspaper article. Drs. Clutter and Harris led a presentation on budget flexibility and the 6 month proposal processing 6 month rule. Budget Allocations: M. Clutter reviewed the current practice at NSF that at the beginning of each fiscal year, BFA provides, for each line item, 75% of the previous year's operating plan. M. Clutter and B. Harris provided comments on the importance of allowing maximum flexibility to make allocations based on scientific needs. They stressed the point that in order to maintain flexibility at the cluster level, division level, and directorate level, managers need the capability to allocate at those levels and the ability to establish reserves. Suggestions on ways to allow for the maximum flexibility included: 1) BFA provide allocations for continuing commitments at the line item level and the balance of the allocation be done at the Division or Directorate level; 2) lower mortgage - lower out year commitments, i.e. reduce out year commitments to 50-55% instead of 65% - make more standard awards; 3) establish divisional/directorate reserves; and 4) establish independent office with 5% of directorate budget from which only standard grants would be made. Proposal Processing - 6 month rule: Dr. Petersen reminded the group that the six month rule has been published as part of NSF's customer service guidelines. It may be that the 6 months is not appropriate for some actions and that we should not be looking at average by unit but looking at percent where we expect to achieve 6 months processing times. She stated that what we don't want to do is short cut quality in those cases where it is difficult to obtain adequate review in 6 months. B. Harris reported that MPS applies the 6 month rule to all unsolicited proposals and that they have made a commitment to have all decisions finalized in 6 months. In those rare case when the 6 month rule cannot be met, programs are required to provide an explanation. In addition, where taking longer than 6 months would result in a funding gap for renewal proposals, programs are required to provide supplemental funding in order to eliminate any gaps. This practice was announced to the community in the MPS June 96 Newsletter. Harris reviewed the data base which has been developed in MPS to track all actions and to provide "what if" scenarios. Efforts are ongoing in MPS to use best practices and have staff work as teams. The allocation of S&E funds has been tied to performance at the Division level. M. Clutter reported that BIO was within the 6 month rule although they had not instituted any special procedures. She works with Division Directors in this area and program directors are no longer holding proposals over for possible future funding. Drs. Lane and Bordogna reported on their attendance at the Learning and Intelligent Systems Workshop held on September 17-19. M. Clutter reported on the Neuroinformatics Workshop held September 19 and 20. She also reported on the U.S. - European Commission Task Force on Biotechnology Research meeting held on September 21 and 22. Clutter co-chairs the task force with P. Fasella, Director General for the Joint Research Center for the Directorate General 12, Science Research and Development of the European Commission. Action: M. Clutter to provide summary of meeting to DPG. L. Williams announced that t he NSTC's Committee on Education and Training report, "A Strategic Planning Document for Meeting the 21st Century" has been released. Copies will be provided to DPG. He distributed a copy of the Alliances for Minority Participation publication entitled, Demonstrating ACCOUNTABILITY in a Diverse Scientific and Technological Workforce. This is the first time this information has been assembled. Statistical information is provided on pages 6, 7, 10, 11 and 12. L. Williams reported on the 1995 National Conference on Diversity held September 22-24, 1995. The conference was attended by over 800 students. In an effort to find a way to involve more students this year's conference was modeled with the idea of concurrent regional conferences which worked fairly well. L. Williams reported that legislation on GOALS 2000 will likely have minimal effect on NSF programs because many of the states have already developed a statewide systemic plan for science and math. L. Williams distributed a draft agenda for NSF's conference, Women & Science: Celebrating Achievements, Charting Challenges to be held December 13-15, 1995. A panel of Assistant Directors, chaired by Dr. Lane will be held on Friday, December 15, 1995. M. Cehelsky distributed and reviewed the agenda for the October 4-6, 1995 NSB meeting. Dr. Anita Jones will join the NSB for lunch on Thursday. Dr. Mary Good and Mr. William Golden will join NSB for dinner on Thursday evening. DPG is invited to both events. J. Kull reported that NSF Bulletin 95-13, Guidance for NSF Awardees in the Event of an NSF Shutdown, has been issued. A question and answer session is scheduled for Wednesday, September 27 at 2:00 pm in room 380. C. McLindon reported that a notice would be released on Friday to staff regarding reporting to work on Monday, with or without a continuing resolution. C. Marrett r