DoD Women in STEM Implementation Summary .pdf

DoD Women in STEM Implementation Summary

Scope

Include the Research and Related Personal Data form and Research and Related Senior/Key Person

Profile (Expanded) form in all research and related funding opportunities using the SF-424 (R&R) forms family where the award of a grant or cooperative agreement is anticipated and where institutions of higher education are eligible to submit applications. Applies to all new funding opportunities posted beginning January 2018. Multi-year or indefinite funding opportunities that were posted prior to January

2018 and are expected to continue beyond FY 2018 must be modified to include the additional forms and guidance within 60 days of the signed memorandum. Applications submitted prior to the modification of long-term funding opportunities to add the additional forms are exempt from the data collection requirement and those applicants are not required to re-submit their applications. Funding opportunities posted prior to Jan 2018 that will close in 2018 do not need to be modified to add the two forms.

Exclusions

Funding opportunities for scholarships or fellowships are excluded from the data collection requirements. Funding opportunities that result in awards other than a grant or cooperative agreement will not be considered for data collection purposes. White paper evaluations are exempt from the data collection requirement and DoD is not authorized to collect this data outside of the Grants.gov application process. DoD Components using Grants.gov to receive white papers may collect women in

STEM data by including the two forms in those application packages but are not required to do so. Any

Component collecting women in STEM data from white paper applications must comply with the requirement to separate the Personal Data form from the materials provided to technical reviewers and must not include the women in STEM data from white paper evaluations in the same data set used to report the results from award competitions resulting from full applications.

Types of Recipients

The Title IX compliance assessment applies to federally-funded educational institutions. However, when reporting the data, it may be necessary to include other entities that competed for or received a grant or cooperative agreement award in the reporting. See the Data Collection section below for the circumstances under which data must be collected.

Sources of Information

The information reported by applicants in the fields on the two forms will be the source for the gender and educational background information. For consistency in data reporting, grantors will not attempt to fill in blank fields using information from other application documents. Fields where applicants elected not to provide the data will be reported as blanks or “Do not wish to provide” based on the field selection.

Data Collection

The following summarizes the circumstances where data on PDs/PIs and/or Co-PDs/Co-PIs must be captured. The circumstances include cases where the institution of higher education is either the applicant or a collaborating entity on the application.

From the entity receiving the award when it proposes one or more PDs/PIs or Co-PDs/Co-PIs from an institution(s) of higher education.

From the entity receiving the award when it does not propose any PDs/PIs or Co-PDs/Co-PIs from an institution of higher education, but one or more entities that competed for the award proposed one or more PDs/PIs or Co-PDs/PIs from an institution(s) of higher education. The information from the award recipient must be captured in this case to ensure that the award is accounted for in the data so that success rates on awards are calculated consistently.

From entities that competed unsuccessfully for an award if they proposed one or more PDs/PIs and/or Co-PDs/Co-PIs from an institution(s) of higher education for the award.

No data needs to be captured from entities competing for or receiving an award if no PDs/PIs or Co-

PDs/Co-PIs from institutions of higher education were proposed in any application being evaluated for the award. No data needs to be captured from entities that have already submitted applications to funding opportunities prior to the inclusion of the two forms, or before existing funding opportunities have been modified to add the two forms.

No names or other information that uniquely identifies PDs/PIs or Co-PDs/PIs are to be included in the data set to be reported. As the instructions on the SF-424 (R&R) Personal Data form indicates, the form is to be separated from any materials provided to merit reviewers and retained in the pre-award files for the funding opportunity.

Data Fields

The following data fields are those to be collected and reported for the circumstances described above.

ASD(R&E) will provide a spreadsheet template to the Components at a later date. The field order will be the same as below.

Field Description

FOA Number From Grants.gov

Short Title From Grants.gov

Competition Area (if multiple awards from same

FOA)

Competition ID, technical area, or other descriptor/identifier of FOA area where competition took place. This would be used for FOAs where multiple awards in different areas could be made, and would be used to identify the records that were associated with a particular competition. May be left blank for FOAs where only a single award was made.

Applicant Name From R&R SF-424 Cover Page Block 5

Applicant Type From R&R SF-424 Cover Page Block 7

Role (PD, PI, Co-PD, Co-PI) From R&R Senior/Key Persons (Expanded) form. Do not capture the person’s name or any other information that uniquely identifies the person. Add as many records as there are PD/Co-PD/PI/Co-PI for the competition.

Gender From R&R Personal Data form. If applicant did not volunteer info., leave blank or the value returned from the form. Add as many records as there are PD/Co-PD/PI/Co-PI for the competition.

Degree Type From R&R Senior/Key Persons (Expanded) form. Only provide for the same person(s)/role(s) as above.

Degree Year From R&R Senior/Key Persons (Expanded) form. Only provide for the same person(s)/role(s) as above.

Award No. Provide for all PD/Co-PD/PI/Co-PI records associated with the award.

Leave blank for the records that did not receive an award.

Award Type Grant or Cooperative Agreement. Complete for the records associated with the award.

Award Date Only include awards that were made during FY18 and subject to the data collection requirements. If the award is to be made in the next fiscal year, include it in that year’s report even if the FOA was posted in FY18 (or earlier).

Amount Obligated Do not report funding mods, options, or extensions

Total Est. Value Indicate the total estimated value of the award (if expected to have future options or additional funding)

DoD Dept/Agency Name/Acronym of DoD Dept or Defense Agency reporting the award

Awarding Office The Awarding Office as reported in DAADS

Notes Any explanatory or other remarks about the record.

Data Reporting

For actions subject to the data collection requirements, DoD Components shall report their women in

STEM data for grants and cooperative agreements awarded during FY18 by spreadsheet to ASD(R&E) by

November 15. ASD(R&E) will consolidate the data and calculate the women in STEM results for DoD by

December 15.

Data from competitions resulting in awards made after the end of the current fiscal year will be reported during the following fiscal year.

Funding Opportunity Instructions

The following (or substantially similar) language must be included in Section I.D.2 of the funding opportunity announcement format (2 CFR Part 200, Appendix I) and/or in a companion document cited in Section I.D.2 for any FOA that invites applications for grants or cooperative agreements for research and related funding where institutions of higher education are eligible to submit applications. DoD

Components may tailor the language (without changing the essential requirements) so that it may be integrated into the style and organization of their existing funding opportunity application instructions.

Appendix I.D.2

To evaluate compliance with Title IX of the Education Amendments of 1972 (20 U.S.C. A§ 1681 Et. Seq.), the Department of Defense is collecting certain demographic and career information to be able to assess the success rates of women who are proposed for key roles in applications in science, technology, engineering, or mathematics disciplines. To enable this assessment, each application must include the following forms completed as indicated.

Research and Related Senior/Key Person Profile (Expanded) form:

The Degree Type and Degree Year fields on the Research and Related Senior/Key Person Profile

(Expanded) form will be used by DoD as the source for career information. In addition to the required fields on the form, applicants must complete these two fields for all individuals that are identified as having the project role of PD/PI or Co-PD/PI on the form. Additional senior/key persons can be added by selecting the “Next Person” button.

Research and Related Personal Data form:

This form will be used by DoD as the source of demographic information, such as gender, race, ethnicity, and disability information for the Project Director/Principal Investigator and all other persons identified as Co-Project Director(s)/Co-Principal Investigator(s). Each application must include this form with the name fields of the Project Director/Principal Investigator and any Co-Project Director(s)/Co-Principal

Investigator(s) completed; however, provision of the demographic information in the form is voluntary.

If completing the form for multiple individuals, each Co-Project Director/Co-Principal Investigator can be added by selecting the “Next Person” button. The demographic information, if provided, will be used for statistical purposes only and will not be made available to merit reviewers. Applicants who do not wish to provide some or all of the information should check or select the “Do not wish to provide” option.