NATIONAL SCIENCE FOUNDATON

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NATIONAL SCIENCE FOUNDATON
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The NSF Merit Review Process

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NSF Proposal Award Process Timeline
NSF Announces Opportunity
Returned Without Review/Withdrawn
GPG Announcement Solicitation
Min. 3 Revs. Req.
Via DGA
Award
N S F
NSF Program. Office
Program Office Analysis Recomm.

• Org.
• submits
• via
• FastLane

Mail
DD Concur
Panel
Both
Organization
Research Education Communities
Decline
Proposal Receipt at NSF
DD Concur
Award
90 Days
6 Months
30 Days
Proposal Receipt to Division Director Concurrence
of Program Officer Recommendation
DGA Review Processing of Award
Proposal Preparation Time
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NSF Merit Review Criteria

• NSB Approved Criteria include
• Intellectual Merit
• Broader Impacts of the Proposed Effort

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Proposal Review Criterion Intellectual Merit

• Potential to advance knowledge and understanding
  within and across fields
• Qualifications of investigators
• Creativity and originality
• Conceptualization and organization
• Access to resources

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Proposal Review Criterion Broader Impact

• Advances discovery while promoting teaching,
  training and learning
• Broadens the participation of underrepresented
  groups (e.g., gender, ethnicity, disability,
  geographic, etc.)
• Enhances the infrastructure for research and
  education, such as facilities, instrumentation,
  networks and partnerships

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Proposal Review Criterion Broader Impact
(contd)

• Results disseminated broadly
• Potential benefits to society

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NSF Merit Review Criteria
Any proposal that does NOT address both merit
criteria in the Project Summary will be
RETURNED WITHOUT REVIEW.
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Return Without Review

• Does not meet NSF proposal preparation
  requirements, such as page limitations,
  formatting, etc.
• Is inappropriate for funding by the NSF
• Is not responsive to the GPG or program
  announcement or solicitation
• Does not meet an announced proposal deadline date

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Return Without Review(contd)

• Is submitted with insufficient lead-time to a
  target date
• Is a duplicate of, or substantially similar to, a
  proposal already under consideration
• Was previously reviewed and declined and has not
  been substantially revised.

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NSF Sources of Reviewers

• Program Officers knowledge of what is being done
  and whos doing what in the research area
• References listed in proposal
• Recent technical programs from professional
  societies
• Recent authors in Scientific and Engineering
  journals

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NSF Sources of Reviewers(contd)

• Reviewer recommendations
• Investigators suggestions
• Volunteers to Program Officer

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Reasons For Funding A Competitive Proposal

• Likely high impact
• PI Career Point (tenured/established/
  beginning)
• Place in Program Portfolio
• Other Support for PI
• Impact on Institution/State

• Special Programmatic Considerations
  (CAREER/RUI/EPSCoR)
• Diversity
• Educational Impact
• Launching versus Maintaining

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The Proposal Cycle
Funded!
Declined
Revise
What next?
Write
Try again
Conceptualize
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Summary

• A good proposal is a good idea, well expressed,
  with a clear indication of methods for pursuing
  the idea, evaluating the findings, making them
  known to all who need to know, and indicating the
  broader impacts of the activity.

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Proposal Preparation

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Grant Proposal Guide (GPG)

• Provides guidance for preparation of proposals
• Describes process -- and criteria --by which
  proposals will be reviewed
• Describes process for withdrawals, returns and
  declinations
• Describes the award process and procedures for
  requesting continued support
• Identifies significant grant administrative
  highlights

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A Good Proposal

• A good proposal is a good idea, well expressed,
  with a clear indication of methods for pursuing
  the idea, evaluating the findings, and making
  them known to all who need to know.

A Competitive Proposal is
All of the above Appropriate for the
Program Responsive to the Program Announcement
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What Makes a Proposal Competitive?

• Likely high impact
• New and original ideas
• Succinct, focused project plan
• Knowledge of subject area or published, relevant
  work
• Experience in essential methodology
• Clarity concerning future direction
• Sound scientific rationale
• Realistic amount of work
• Sufficient detail
• Critical approach

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Simple tips for a better proposal

• Follow formatting requirements carefully
• (1 inch margins, lt15 characters per inch)

• Compliance check before submitting
• (FastLane wont do it for you!)

• Be available by email to fix compliance problems
• (proposals may be returned if NSF cant
  contact you)

• Suggest reviewers

• Include all conflicts of interest in your CV

• Respond explicitly to previous reviews
• (Panels are asked to comment on this)

• Emphasize readability avoid verbiage

• Talk to your Program Director!

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Advice

• Learn to love rejection
• Contact the program officer with specific
  questions
• Revise and resubmit
• Collaboration is good, if appropriate
• Discover alternative funding sources

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Myths about NSF

• Only funds researchers from elite institutions
• Once declinedalways declined
• Only funds normal science
• Advisory committees make funding decisions

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Dos and Donts

• Talk to your Program Officer
• Less verbiage, more readability
• Anticipate objections or criticisms
• Justify your budget
• Dont be greedy
• Follow the rules
• Give yourself plenty of time
• Study reviews carefully

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Ask Us Early, Ask Us Often!!
The Prime Directive

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• Policy Office

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Ask Early, Ask Often!
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Proposal Preparation Basics
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What to Look for in a Program Announcement/Solicit
ation

• Goal of program
• Eligibility
• Special proposal preparation and/or award
  requirements

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Program Announcement vs. Solicitation
Program Announcement
Program Solicitation

• Unsolicited proposals
• Follow GPG guidelines
• NSF merit review criteria
• Often use target dates instead of deadline dates

• Solicited proposals
• May deviate from GPG
• May include additional merit review criteria or
  reporting requirements
• Established proposal due date

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Types of Proposal Submission

• No deadlines
• Deadlines
• Target dates

• Submission Windows
• Preliminary proposals
• Letters of Intent

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Budgetary Guidelines

• Amounts
• Reasonable for work - Realistic
• Well Justified - Need established
• In-line with program guidelines
• Eligible costs
• Personnel
• Equipment
• Travel
• Participant Support
• Other Direct Costs (including subawards,
  consultant services, computer services,
  publication costs)

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Budgetary Guidelines (contd)

• General Suggestions
• All funding sources noted in Current and Pending
  Support
• Help from Sponsored Projects Office

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Getting Support in Proposal Writing

• NSF Publications
• Program Announcements/
• Solicitations
• Grant Proposal Guide
• Web Pages
• Funded Project Abstracts
• Reports, Special Publications

• Program Officers
• Incumbent
• Former Rotators
• Mentors on Campus
• Previous Panelists
• Serve As Reviewer
• Sponsored Projects Office
• Successful Proposals

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How to Submit a Proposal

• FastLane
• Grants.gov

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An eGovernment Success StoryFY 05 Stats

• Over 42,000 Electronic Proposals Received
• 250,000 Reviews Submitted
• 26,000 Electronic Grantee Progress Reports
• 9,000 Graduate Research Fellowship Submissions
• 15,000 Electronic Cash Requests
• 4.22 Billion Distribution of Funds

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Grants.gov

• Presidents Management Agenda
• Applicants for federal grants apply for and
  manage grant funds through a common site, to
  simplify grant management and eliminate
  redundancy.

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Submitting an Application to NSF through
Grants.gov
7. NSF downloads submitted application packages
and validates and inserts the information into
FastLane
2. Applicant searches for program announcements
1. Applicant navigates to Grants.gov website
5. AOR submits application package to Grants.gov
3. Applicant finds a program announcement and
downloads application package (PureEdge forms)
and instructions
4. Applicant completes application package
6,8. Confirmations are sent by both Grants.gov
and NSF
Applicant or Researcher
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NSF Grants.gov Application Guide

• Intended to serve as the primary document for use
  in preparation of NSF applications via Grants.gov
• Includes step-by-step instructions for completion
  of each of the SF 424 (RR) forms as well as the
  NSF specific forms
• Provides specific instructions for inclusion and
  conversion of pdf files

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Grants.gov Implementation

• In FY 06, 75 of all funding opportunities
  authorized or required use of Grants.gov
• In FY 07, 100 of all funding opportunities
  posted in Grants.gov FIND, will be posted in
  Grant.gov APPLY (that is the goal)

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Implementation

• Collaborative proposals submitted as separate
  submissions from multiple organizations must be
  submitted via FastLane
• Collaborative proposals submitted by one
  organization (which include one or more
  subawards), may be submitted via FastLane or
  Grants.gov

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Implementation

• NSF does not accept applications through
  Grants.gov for
• Submission of Letters of Intent and Preliminary
  Proposals
• Changed/Corrected Applications
• Revisions
• Continuations
• Supplemental Funding Requests

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Important Dates

• Release Date Date funding opportunity is posted
  on Grants.gov. Applicants may download
  application package and start working on
  application.
• Opening Date - the first date the completed
  application can be submitted to Grants.gov.
• Deadline Date the date which application is
  due.

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NSF Reconsideration Process

• Explanation from Program Officer
• Written request for reconsideration to Assistant
  Director within 90 days of decline
• Request from organization to Deputy Director

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NSF Outreach/Learning Opportunities

• NSF Regional Grants Conference
• Two-day, bi-annual conference
• NSF Representatives from
• All NSF Directorates
• Office of Budget, Finance Award Management
• Office of the General Counsel
• Office of the Inspector General
• http//www.nsf.gov/bfa/dias/policy/outreach.jsp
• SRA NCURA conferences
• Annual and regional conference participation
• NSF-Updates and Workshops
• Focused Outreach
• Tribal Colleges, HBCUs, HSIs, MSIs

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Accessing Documents on the NSF Website

• www.nsf.gov
• Click
• How to Prepare Your Proposal
• Grant Proposal Guide
• Frequently Asked Questions
• Award Administration
• Award Administration Guide
• Grant Agreement Conditions
• Frequently Asked Questions

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• Division of Grants and Agreements

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Ask Early, Ask Often!!

• Ilonka Karasz
• Grant Agreement Specialist
• Division of Grants and Agreements
• ikarasz_at_nsf.gov
• Tel [phone]
• Denise Martin
• Grant Agreement Specialist
• Division of Grants and Agreements
• dmartin_at_nsf.gov
• Tel [phone]

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The Division of Grants and Agreements (DGA)

• handles approximately 35,000 active awards in any
  given year
• reviews, negotiates obligates funding for
  around 11,000 new awards each year
• is responsible for monitoring the business
  practices of all of our awardees
• With this in mind, DGA
• is focusing on portfolio management and
  post-award administration

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The NSF Award

• Grants
• Grant letter Grant General Conditions (GC-1) or
  FDP, occasional special award conditions, and
  other documents incorporated by reference
• Cooperative Agreements
• Financial Administrative Terms and Conditions
• Programmatic Terms and Condition
• Award Transmission
• Electronic dissemination of award letter and
  subsequent amendments
• Award letter and amendments can be accessed
  electronically via FastLane

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Grants versus Cooperative Agreements

• Grants - NSF Role
• Hands Off Project
• Minimal Monitoring

• Cooperative Agreements - NSF Role
• Substantial Monitoring Some Degree of Shared
  Responsibility
• NSF Technical Managerial Responsibilities
  Specified in the Agreement

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Awardee and PI Responsibilities

• Knowledge of Federal Cost Principles,
  Administrative and Audit Requirements
• See Office of Management and Budgets (OMB)
  circulars www.whitehouse.gov/omb/grants/gran
  ts_circulars.html
• Familiarity with NSF policies
• See How to Manage Your Award
  http//www.nsf.gov/awards/managing/
• Attention to specific award conditions
• See award letter on FastLane

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Pre-award Review of Sub-recipients

• Financial Capability
• Accounting System
• Cost or Price Analysis
• Indirect Cost Rate
• Debarment Suspension List
• http//www.epls.gov

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Subawards

• Description of work and duties
• Provide adequate information to sub-recipient
• source of Federal funds including CFDA number,
  and
• any special program requirements
• Budgets signed by authorized organizational
  representative

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Equipment

• Budget should list dollar amount for each item
  exceeding 5,000 (awardee may have lower
  threshold)
• NSF does not pay indirect costs (FA) on
  equipment
• Further guidance Equipment (GPM 612) Property
  Standards (GPM 540), GC-1 Article 6, A-110
  Property Standards, A-21

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Participant Support Costs

• DEFINITION Costs for participants or trainees
  (not employees) in connection with NSF-sponsored
  conferences, meetings, symposia, training
  activities and workshops.
• Costs can include Stipends, subsistence
  allowances, travel, registration fees, etc.
• Awardee organizations must be able to account for
  participant support costs and need to have
  written policies regarding the accounting
  treatment of these costs.

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Participant Support Costs (contd)

• Cannot be re-budgeted without prior written
  approval of the cognizant NSF Program Officer.
• Such requests must be submitted electronically
  via the NSF FastLane system.
• No indirect costs (FA) may be charged against
  participant support costs.

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Cost Sharing

• Participation in the cost of a project
• Statutory requirement of 1 for unsolicited
  research and education projects (GPG), will be
  eliminated effective with awards made on or after
  June 1, 2007.
• There is no expectation by NSF that proposals
  submitted for funding will include a cost sharing
  component.

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Cost Sharing (contd)

• Cost-sharing listed on Line M. of the budget form
  is at the discretion of the proposing
  institution, and subject to NSF acceptance. If
  awarded, the Line M. amount becomes legally
  binding and is auditable.
• Program Officers may not negotiate or impose cost
  sharing requirements.
• If budget is reduced by 10 or more, the scope
  must be adjusted accordingly.

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Indirect Costs (FA)

• NSF Guidelines GPM 630
• Awardee entitled to full reimbursement of
  indirect costs
• Basic Exceptions - limited or no indirect cost
• Equipment
• Participant support
• Foreign awardees
• REU
• Include rate, base and brief explanation in
  budget justification

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Human Subjects

• A proposal can be reviewed without IRB approval,
  however, projects involving human subjects can
  not be funded until this certification is filed
  in the proposal jacket.
• Researchers should file their proposal with their
  local IRB at the same time they submit it to NSF,
  so that the approval procedure will not delay the
  award processing.
• See www.nsf.gov/bfa/dias/policy/human.jsp

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Project Reporting

• Annual Reports
• Due 90-days prior to yearly anniversary date
• Required for ALL standard continuing grants and
  cooperative agreements
• Final Reports
• Due within 90-days after the expiration of an
  award
• Required for ALL standard continuing grants and
  cooperative agreements
• Required for individual research fellowships per
  program solicitation

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The Division of Institution and Award Support
(DIAS)

• Cost Analysis and Audit Resolution
• (CAAR Branch)
• Policy
• Systems Office

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CAAR Branch

• Responsibilities
• Award Monitoring
• Accounting Systems Reviews including Pre-award
  and Indirect Rate negotiations
• Audit Resolution

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Time and Effort Reporting

• Labor Distribution System
• Not the same as a Payroll System
• Personnel Activity Report must
• Reflect an after-the-fact distribution
• Account for total (100) activity for which the
  employee is compensated
• Must be signed by the employee or supervisor
  having first hand knowledge of work performed by
  the employee

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Keys to Success

• Know the requirements Federal rules and
  regulations, NSF policies, and specific terms and
  conditions of the award
• Implement and follow good accounting practices
• Document communications with NSF Program and
  Grant Officials

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Accessing Documents on the NSF Web Site

• Web Address http//www.nsf.gov
• DGA program liaison listing
• http//www.nsf.gov/bfa/dga/docs/liaison307.pdf
• CAAR home page www.nsf.gov/bfa/dias/caar/index.j
  sp

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New NSF Proposal Award Policies Procedures
Guide (NSF 07-140)

• The Guide consolidates two previous NSF policy
  documents the NSF Grant Proposal Guide (GPG) and
  the Grant Policy Manual (GPM) and combines them
  into a single electronic policy framework. The
  PAPP Guide will be effective for proposals
  submitted on or after June 1, 2007.
• See www.nsf.gov/publications/pub_summ.jsp?ods_key
  nsf07140

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QUESTIONS AND ANSWERS