Research Excellence Fund (REF)

Due February 26, 2009 no later than 4 pm
With an expectation of a heavy volume of submissions for this competition, please adhere to all guidelines including proposal format.

The 2009 Research Excellence Fund (REF) program will award grants in three categories:

1) Infrastructure Enhancement (REF-IE)

2) Research Seed Grants (REF-RS)

3) Mentoring Grants (REF-MG)

Index
Program Description
Proposal Format
Review Criteria and Procedures
Award Procedure
Reporting

1. PROGRAM DESCRIPTION
   
   
   1. Infrastructure Enhancement Grants

      REF Infrastructure Enhancement (REF-IE) grants are designed to provide Departments/Schools and Research Centers/Institutes with resources to develop the infrastructure necessary to support sponsored research and graduate student education. Funded projects will typically focus on acquisition of equipment, enhancement of laboratory facilities, or enhancement of administrative support structure to expand the research capability of the unit. Submitted proposals must each have a Chair, Dean, or Research Center/Institute Director as Principal Investigator. A PI may only submit one proposal per category (see FAQ). Co-investigators may include academic or research faculty, or research staff. REF-IE grants may be up to $50,000, are limited to a one year duration (through June 1, 2009), and may not be extended. Unexpended funds at the end of the project period will revert to the REF pool. Two or more departments may jointly submit a proposal.

      REF-IE proposals will be evaluated on:

      1. Extent of enhancement of the University's research capability.
      2. The likelihood of leading to future sponsored research funding and graduate student support.
      3. Contribution to achievement of the University and unit strategic plans.
      4. Matching funds are not required, however evidence of a departmental commitment to the project needs to be clear in the proposal. (top)
         
         

   2. Research Seed Grants
      
      REF Research Seed (REF-RS) grants are designed to provide untenured academic faculty with resources to develop an externally supported research program. Typical REF-RS projects will develop preliminary data to be used in subsequent proposals to outside funding sources, support pilot studies developing new research methods or procedures, or support other activity leading to the development of an externally recognized and funded research program.
      
      Untenured academic faculty members in any academic unit are eligible to submit REF-RS proposals. Teams of untenured faculty in one or more academic units are encouraged to submit joint proposals. Tenured faculty, research faculty, or research staff are not eligible to be Principal Investigators for REF-RS awards, but may be included as Co-Investigators on REF-RS proposals. A PI may only submit one proposal per category (see FAQ).
      
      REF-RS grants may be up to $50,000 per year, with an expected average award of $30,000 per year. Due to limited funding, it is expected that most awards will be for one year (through August 30, 2009), though projects of longer duration may be considered under exceptional circumstances.
      
      REF-RS proposals will be evaluated on:

      1. Likelihood of leading to the development of an externally supported research program, including future external graduate student funding.
      2. Contribution to the achievement of the University and unit strategic plans.
      3. Matching funds are not required, however the supporting letter from the Chair must clearly show the department's commitment to the success of the project. (top)
         
         
   3. Mentoring Grants

   REF Mentoring Grants (REF-MG) are designed to provide newly-hired, untenured faculty with resources to work with established, nationally-known, off-campus researchers to develop competitive proposals supporting the initiation of an externally recognized and funded research program. Keep in mind that the mentoring grant is not a research proposal; rather, it is an opportunity to build an advisory relationship with the mentor.Qualifications of the mentor to serve in this capacity must be clear in the proposal: such as mentor commitment, mentor compatibility, mentor stature, funding opportunities, and institutional/mentee benefit. A good mentoring grant should have both scientific/technical merit as well as establishment of a beneficial mentoring relationship. A mentoring relationship should not be consultant in nature. Tenured faculty, research faculty, or research staff are not eligible for REF-MG awards.

   Consider the following criteria when submitting REF-MG proposals:

   • Newly hired (starting since July 1, 2006), untentured academic faculty in any academic unit are eligible to submit REF-MG proposals.
   • A PI may only submit one proposal per category (see FAQ). Each proposal must be endorsed by the appropriate Department Chair/School Dean and must include a letter from the off-campus mentor indicating a willingness to participate.
   • A description of the planned interactions with the mentor and expected outcomes should be included.
   • Mentors will typically be identified with the assistance of the Department Chair/School Dean.
   • The selected mentor should not be someone with whom a mentoring relationship already exists, such as a previous advisor or senior research collaborator.
   • REF-MG grants may be up to $20,000, are limited to a one-year duration (through August 30, 2009), and will not normally be extended.
   • Matching funds are not required.
   • The supporting letter from the Chair/Dean must clearly describe the Department's/School's contribution to the mentoring program and also describe the Chair's/Dean's role in insuring the success of this effort. The qualifications of the mentor may be considered by the review committee during proposal evaluation.

   REF-MG proposals will be evaluated on:

   1. Likelihood of development of successful, competitive proposals leading to the establishment of an externally supported research program, including future external graduate student funding.
   2. Contribution to the achievement of the University and unit strategic plans.
      
      NOTE: All mentor stipends will be reviewed for appropriateness and justification. (top)

2. PROPOSAL FORMAT

REF-IE and REF-MG proposals are limited to no more than five (5) pages. REF-RS proposals are limited to no more than seven (7) pages (including tables and figures)

NOTE: Beginning 2009, to ensure the fairness of all applicants formatting requirements will be strictly enforced. The proposal must be formated according to the following guidelines or it will be returned without further review:

1. Font used to be Times New Roman at a font size of 12 points. (If you do not have access to this font, contact your systems administrator). Note: a smaller font size may be used for mathematical formulas, equations, figures, tables, or diagram captions. This text must still be readable.
2. Margins in all directions must be at least one inch.
3. The proposal must be single spaced.
4. Page numbers should be placed at the bottom center of each page with the exception of attachments, i.e. COS profile, letters, etc

References should be added at the end and do not count toward the page limit. Proposals should be accompanied by an MTU Transmittal Form. You will need to create and submit your budget to Research and Sponsored Programs, Attn: Suzan Caron (sjcaron@mtu.edu or 487-2225). She will work with you and then submit the final approved budget to the VP for Research Office which will be attached to your REF proposal. Proposals are due by Thursday, February 28, 2008 . You are only required to submit one hard copy (no staples) to Cheryl Gherna, 317 Admin., Office of Research Integrity and Compliance.

Proposals must have a signed MTU Transmittal Form as the cover page and be in the following format only:

1. Title
2. Investigator(s). The investigators names, including their departments and email addresses.
3. Project Summary. A short, 300 word summary of the proposed project.
4. Project Description. A description of the proposed project, its goals, and a description of the approach and methods that is succinct, but sufficient to evaluate the likelihood of success.
5. Rationale. The contribution of the proposed project to enhancing research capacity and graduate studies (REF-IE) or the development of an externally funded research program (REF-RS and REF-MG) should be described. A discussion of the contribution of the proposed project to the achievement of the MTU and unit strategic plans should be included.
   

The above five items should be given in five (5) pages or less (seven (7) pages for REF-RS proposals). In addition, the following items should be attached at the end of the proposal unless otherwise indicated :

1. References cited in the proposal.
2. Budget (reviewed and approved by Research & Sponsored Programs); there will be no indirect costs assessed on REF projects. A limited amount of extra compensation (summer) salary may be included in REF-RS proposals. Matching funds should be shown if they are used. Do not include a copy of your approved budget - the RSP office will provide an official copy.
3. Budget Justification. A short description of the need for each budget item, including the use, source, and amount of any other (non-REF) funding.
   1. Supplies and services need to be outlined in enough detail for the committee to determine how you arrived at your estimate.

   2. Travel detail: all travel costs over $1,500 must include hard copy back-up documentation for expenditures outlined, i.e. estimated airline travel costs (from Northwest Airlines website), Michigan Tech per diem calculated, conference information and fee documentation. In other words, each trip should have a travel expense estimate along with supporting documentation. The committee wants to easily see where you are traveling to, benefits of the travel, and how you arrived at your estimates.

4. Existing Resources. A description of existing resources available to the investigator(s) to complete the proposed work.
5. Current COS expertise profiles of the investigator(s). A complete proposal packet must contain a copy of your updated COS profile. COS profiles are reviewed and an incomplete profile may weaken your proposal. It is important to be thorough. Your COS profile should be at least two (2) pages and similar to that of an NSF bio. If you have not created your profile with COS, you need to do so. If you do not remember your userid and/or password, e-mail cagherna@mtu.edu and this information will be sent to you; no other vita information will be considered for on-campus personnel.
   
   REF-MG grants, the curriculum vitae of the off-campus mentor is a requirement and needs to be included with the submission.

A supporting letter from the relevant College or School Dean should be attached for all REF-IE and REF-RS proposals. For Research Seed grants a supporting letter from the appropriate Department Chair(s) should also be attached.

For REF-MG proposals, a supporting letter from the appropriate Department Chair or School Dean should be attached along with a letter from the off-campus mentor. (top)

3. REVIEW CRITERIA AND PROCEDURES

The review criteria for REF-IE, REF-RS, and REF-MG proposals are given above. Review committees are made up of an interdisciplinary panel of faculty members, who review the proposals. Please take this into account when writing your submission to ensure your proposal can be understood by all reviewers. These committees review the proposals and make recommendations to the Vice President for Research. All funding decisions are final. (top)

4. AWARD PROCEDURE

REF awards are dependent upon fiscal year funds. 2008 REF awards will be fully awarded on July 1, 2008 with an end date of August 31, 2009. Project funds will be put in a restricted account with the Principal Investigator as the account manger.

All unexpended REF funds will revert back into the REF pool at the project end date; extensions will be granted under exceptional circumstances only. (top)

5. REPORTING

Final reports will be due on October 1, 2009 for all REF projects. (top)