Preparing and Submitting Proposals to the National Science Foundation NSF

1
Preparing and Submitting Proposals to the
National Science Foundation (NSF)

• Nancy Daneau
• Kimberly Schulman
• NYU Office of Sponsored Programs (OSP)
• July 26, 2007

2
Agenda

• Materials
• About the NSF
• Electronic Systems
• Nuts and Bolts of Putting Together a Proposal
• Review Criteria
• Hints and Tips
• Resources

3
About the NSF

• Independent Federal Agency
• Unique Responsible for overall health of science
  and engineering across all disciplines
• Other Federal agencies support research focused
  on specific missions
• Awards 25 of all Federal funding going to
  academic institutions for basic research
• 2,000 recipients

4
What NSF is NOT

• Does not fund
• Technical assistance
• Research requiring security classification
• Development of products for commercial marketing
• Market research for inventions
• Research with disease-related goals (unless
  bioengineering which applies engineering
  principles to problems in biology and medicine)
• Development or testing of drugs
• Construction of public works
• No grants to State and local governments

5
Proposal and Award Statistics

• NSF receives 40,000 proposals annually
• 11,000 are funded
• Receives several thousand applications for
• Graduate fellowships
• Postdoctoral fellowships

6
NSF Organizational Structure
7
NSF Organizational Structure (contd)

• Mechanisms to manage cross-cutting
  interdisciplinary efforts
• Advisors from science engineering communities
• 50,000 scientists and engineers each year
• Serve on formal and ad hoc committees
• Serve as peer reviewers
• Grants-funding divisions for each discipline
• Program officers
• Scientists responsible for proposal review,
  funding recommendations, and programmatic
  monitoring
• Not authorized to commit NSF funding
• Grants and Agreements Officers (DGA)
• Responsible for business, financial,
  administrative aspects, pre-award through
  close-out
• Only individuals authorized to commit NSF
  funding

8
Identifying NSF Funding Opportunities

• Types
• Unsolicited (program descriptions and
  announcements that describe areas of interest to
  NSF directorates)
• Solicited (program announcement where NSF defines
  competition and sets a deadline for receipt of
  applications)
• NSF Website
• www.nsf.gov
• My NSF
• http//www.nsf.gov/mynsf
• Personalized emails that give you information on
  funding opportunities based on your identified
  interests, publications, changes in proposal and
  award management, and upcoming NSF regional
  grants conferences
• Grants.gov
• www.grants.gov
• Searchable database

9
NSF Proposal Award Policies Procedures Guide
(PAPPG)

• One consolidated source for information relative
  to NSF proposals and awards
• Found at http//www.nsf.gov/pubs/policydocs/papp/
  nsf07140.pdf
• NSF Grants Proposal Guide (GPG) is incorporated
  into the new PAPPG as Part I
• NSF Grant Policy Manual (GPM), now the NSF Award
  Administration Guide (AAG) is incorporated into
  the new PAPPG as Part II

10
Submitting Proposals to NSF

• All proposals to NSF must be submitted
  electronically
• NSF Fastlane (https//www.fastlane.nsf.gov), OR
• Grants.gov (www.grants.gov)
• How do you know which one to use?
• Funding Opportunity instructions (remember,
  program announcement instructions always take
  precedence)
• All collaborative proposals submitted as separate
  submissions from the partnering institutions MUST
  be submitted via Fastlane
• To submit via Fastlane, follow PAPPG
• http//www.nsf.gov/pubs/policydocs/papp/nsf07140.p
  df
• To submit via Grants.gov, follow the NSF
  Grants.gov Application guide
• http//www.nsf.gov/bfa/dias/policy/docs/grantsgovg
  uide.pdf

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NSF Fastlane Capabilities

• Proposal prep and submission
• Proposal file updates (can only be done by PI)
• Revised budgets
• Check the status of proposals in the review cycle
  
• Proposal Status Inquiry
• Submit project reports
• Post-award admin functions
• Notifications and Requests
• Change in PI
• No-cost extensions

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How does one get an account through NSF
Fastlane?OSP will help you, just go to
http//www.nyu.edu/osp/res/ for web-based
registration in Fastlane and other systems
13
Grants.gov

• Single government-wide portal for finding and
  applying for Federal grants on-line
• Unlike Fastlane, Grants.gov serves as a mailbox
  that is limited to receiving and distributing to
  federal agencies electronic packages
• If NSF announcement requires use of grants.gov,
  follow NSF Grants.gov application guide
  (http/www.nsf.gov/bfa/dias/policy/docs/grantsgovg
  uide.pdf)
• General instructions
• NSF-specific instructions
• Grant application package instructions
• NSF-specific forms and instructions
• Once Grants.gov submitted proposal inserted into
  NSF Fastlane, no other interaction with
  Grants.gov required

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When to submit

• Target dates
• Proposals can be submitted anytime on or before
  the target date
• If submitted after, they will be accepted but may
  not be reviewed until the next panel meeting
• Submission windows
• Periods of time during which you can submit a
  proposal
• End of submission window converts to deadline

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When to submit (contd)

• Deadline dates
• Firm dates after which proposals will not be
  accepted or reviewed
• If deadline falls on a weekend automatically
  extended to the following Monday
• Deadlines falling on holidays move to the
  following business day
• Deadlines are by COB local time (5 p.m.)
• Exceptions to deadlines
• Natural disasters (contact your program officer
  via phone, email, etc.)
• Generally, deadlines will be extended five
  business days in these cases

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Nuts and Bolts of Preparing a Proposal to NSF

• First and foremost
• Involve OSP and your Project Officer
• Share draft budgets for review early and often
• Prepare the Application for Approval for Research
  and Training Proposal Submission (synopsis)
• Internal routing and approval form
• Requires Chair and Deans signatures
• Proposal will be submitted without approvals to
  meet deadline, but withdrawn if synopsis with
  approvals does not follow
• Complete Researchers disclosure statement
  (conflict of interest) with every proposal and
  Agreement to Disclose (inventions and patents)
  with your first application to a federal sponsor

17
Nuts and Bolts of Preparing a Proposal to NSF
(contd)

• Format
• If proposal doesnt conform to GPG or
  solicitation-specific instructions, proposal may
  be returned without review
• Deviations authorized must be documented
• Check proposal against the Proposal Preparation
  checklist
• Exhibit II-1

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Nuts and Bolts of Preparing a Proposal to NSF
(contd)

• Page numbering
• Fastlane does not paginate automatically so be
  sure to do so before uploading files
• Particular files (project description, budget
  justification, etc.)
• Formatting Requirements
• Fonts allowed (must be 10 point or larger and
  black)
• Windows Arial, Helvetica, Palatino Linotype, or
  Georgia Typeface
• Macs Arial, Helvetica, Palatino, or Georgia
• TeX Computer Modern

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Nuts and Bolts of Preparing a Proposal to NSF
(contd)

• Spacing
• Characters must not exceed 15 characters per inch
• No more than 6 lines of text within a vertical
  inch
• Margins at least 1 inch
• Use single column format for text columns are
  hard to read electronically

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Components of an NSF proposal

• Cover Sheet
• Awardee and performing org (pre-filled upon
  log-on to Fastlane)
• Program announcement/solicitation number
• If none, select grant proposal guide
• If no deadline, select no closing date
• Title of proposed project
• Budget (pre-fills) and duration (enter start date
  6 months out and of months needed to complete
  project)
• PI Information (pre-populated once PI logs in)
• Previous NSF award
• Awardee Organization Information (pre-populated)
• Performing/Research Organization (if different)
• Other (e.g. beginning investigator, disclosure of
  lobbying, proprietary/privileged info.,
  vertebrate animals, human subjects, high
  resolution graphics)

21
Components of an NSF proposal (contd)

• Project Summary
• Abstract, suitable for publication
• Written in third person and include statement of
  objectives and methods
• Limited to one page
• Summary must specifically address
• the Intellectual Merit of the proposed activity
• the Broader Impacts of the proposed activity
• If separate statements addressing these review
  criteria not included, proposal will be returned
  without review

22
Components of an NSF proposal (contd)

• Table of Contents
• Automatically generated by Fastlane
• Project Description
• Limited to 15 pages
• Includes results from prior NSF support (no more
  than 5 pages)
• NSF award number, amount and period of support
• Title of the project
• Summary of results
• List of resulting publications
• Description of available data
• If renewal request, description of tie-in for the
  current proposal to completed work
• Must be a clear statement of work that addresses
  the two review criteria
• Intellectual merit
• Broader impacts
• If unfunded collaborations proposed, describe
  and include letter from collaborator in
  supplementary documentation section
• Use of website URLs not recommended unless a
  reference citation

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Components of an NSF proposal (contd)

• References cited
• Must use standard, acceptable style
• No page limitation
• Include website for those available
  electronically
• Biographical Sketches
• Include only for senior/key personnel
• Defined as individual(s) responsible for
  scientific or technical direction of project
• Limited to two pages per individual

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Components of an NSF proposal (contd)

• Biosketches to include
• Professional preparation (undergrad, grad, and
  post-doc education and training)
• Appointments (in chronological order, most recent
  first)
• Publications (up to 5 most relevant to proposed
  project and up to 5 other significant)
• Synergistic activities
• Up to 5 examples, e.g. innovations in teaching
  and training, development of research tools, role
  in increasing participation of groups
  underrepresented
• Collaborators and other affiliations
• Co-authors during 48 months preceding proposal
  submission
• Co-editors during 24 months preceding proposal
  submission
• Graduate advisors, thesis advisor, post-doc
  sponsors within past 5 years
• If none, state as such
• Used to ensure no conflicts of interest arise
  during selection of reviewers)
• Do NOT include any personal information

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Components of an NSF proposal (contd)

• Budget
• Each year must have a budget (cumulative
  generated automatically in Fastlane)
• Costs must be allowable, allocable, and
  reasonable
• A-21, Cost Principles for Educational
  Institutions
• NYU policies
• Direct Costs
• Facilities and Administrative (Indirect) Costs

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Budget Categories

• Salaries and Wages (lines AB)
• s requested for faculty and other key personnel
  must be in proportion to the effort devoted to
  the project
• For key personnel, entering 0 dollars and no
  effort is unacceptable
• Must be NYU employees
• External collaborators should be listed on the
  budget page as either consultants (G.3) or
  subawards (G.5.)
• For summer total of faculty members salary
  charged across all NSF-funded grants may not
  exceed two-ninths of academic year salary (2
  summer months may not charge academic year
  salary)
• If confidential (i.e. faculty does not want
  anyone outside the NSF to see salary rates)
• Salary line reflects total for all personnel as a
  single figure
• Person-month may be omitted
• Check box on cover sheet titled proprietary or
  privileged information
• Detail must be provided on separate paper and
  marked as confidential, submitted electronically
  as a single-copy document
• NSF will not share with reviewers

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Budget Categories (contd)

• Salaries of admin and clerical staff
• Generally part of the administrative portion of
  the FA/indirect cost pool and therefore not
  direct-charged
• Exceptions
• Major projects or center grants (defined in
  Exhibit C of OMB Circular A-21, Cost Principles
  for Educational Institutions) http//www.whitehous
  e.gov/omb/circulars/a021/a21_2004.html
• Projects requiring extensive data collection and
  analyses
• Conference grants requiring administrative
  support for making extensive travel arrangements

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Budget Categories (contd)

• Fringe Benefits (line C)
• Calculated either as percentage of salary and
  wages, per federally negotiated FA rate
  agreement or by actual cost direct based on
  individuals benefit selections
• Here at NYU we use our federally negotiated
  fringe benefit rate (27 as of 9/1/07 with
  estimated increases of ½ percent (.5) per year
  thereafter)
• Equipment (line D)
• Items costing 3,000 or above with useful life of
  at least one year
• General purpose items such as personal computers
  or office furnishings not allowable unless
  purchased exclusively for use on the research
  project and deemed integral to the scope of work

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Budget Categories (contd)

• Travel (line E)
• Itemize by destination and cost
• Include airfare, lodging, per diem, mileage, etc.
• Airfare must be economy
• U.S. carriers must be used whenever possible (Fly
  America Act)
• Domestic
• Includes U.S., Puerto Rico, Canada, Mexico
• Foreign
• Must identify country to be visited and relevance
• Dependent travel covered only under specific
  circumstances

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Budget Categories (contd)

• Participant Support Costs (line F)
• Transportation, per diem, stipends and other
  costs of trainees on NSF-funded grants for
• Conferences
• Meetings
• Symposia
• Workshops
• Trainees may NOT be employees
• Exception local school districts where teachers
  are trainees
• In this case, stipends may be categorized as
  participant support as long as school district
  has accounting mechanism in place to track and
  report stipends separate from salary

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Budget Categories (contd)

• Other Direct Costs (lines G1. to G6.)
• Materials and supplies (G1)
• Lab supplies such as beakers, chemicals, etc
• Animals
• Publication costs (G2)
• Reprints
• Reports
• Consultant services (G3)
• No cap on rate, but must be reasonable, based on
  market
• Specify affiliation, rate (hourly/daily), number
  of hours/days required, travel costs if
  applicable
• Computer services (G4)
• Generally, only for access to supercomputing
  centers, data warehouses specifically set up for
  large data collection
• Charge only when institutional policy indicates
  as such

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Budget Categories (contd)

• Subawards (G5)
• Transfer of a substantive portion of the
  programmatic effort
• Separate budget for each subrecipient should be
  included along with SOW (refer to section on
  collaborative proposals presented later)
• If not included in the proposed budget, issuance
  of subaward requires prior approval by NSF
• Other (G6)
• Other costs not attributable to major cost
  categories
• E.g. tuition remission (see http//www.nyu.edu/osp
  /policies/basicinfo.php), human subject payments,
  etc.

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Budget Categories (contd)

• Total direct costs (Line H)
• Sum total of lines A-G
• Facilities and Administrative (FA)/Indirect
  Costs (line I)
• Applied as a percentage of specific categories of
  cost
• Based on negotiated rate agreement with cognizant
  agency
• DHHS agreement dated 7/2/2007
• Rate is 53.5 for period 9/1/07-8/31/08 and 54
  effective 9/1/08 (see http//www.nyu.edu/osp/polic
  ies/basicinfo.php)
• Basis for rate is Modified Total Direct Costs
  (MTDC)
• 53.5 X total direct costs less equipment,
  participant support, tuition remission, and that
  amount exceeding the first 25K on each subaward

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Budget Categories (contd)

• Total direct and indirect costs (line J)
• Sum total of comprehensive cost estimate
• Amount of the request (line L)
• Should be the same as line J
• Cost Sharing (line M)
• NSF does NOT require any cost sharing
• mandatory cost sharing requirements by program
  and institutional 1 aggregate rules rescinded
• However, if identified either on line M or in
  budget pages or narrative (e.g. time and effort
  for which no salary is requested), becomes a
  condition of the award and must be tracked and
  reported upon and will be audited

35
Components of an NSF proposal (contd)

• Justification
• Not to exceed three pages
• Must provide specifics on how cost estimates were
  derived and explain why costs are necessary for
  the accomplishment of the activities described in
  the SOW
• E.g. base rates of pay for salaried positions and
  the roles/responsibilities of each position,
  estimates for travel including airfare, lodging,
  per diem should be specified
• Provide reference to federally negotiated rate
  agreement for FA/indirect cost and fringe
  benefit rates

36
Components of an NSF proposal (contd)

• Current and Pending Support
• Disclose support from any and all sources
• Include awards even where no salary is being
  requested (must show time and effort committed to
  project)
• List total award amount (direct indirect) for
  entire award period covered
• List number of person-months committed for each
  year (CAL, AY, SUM)

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Components of an NSF proposal (contd)

• Facilities, Equipment, and Other Resources
• Describe facilities and resources available to
  conduct the SOW
• Special Information and Supplementary
  Documentation
• Takes the place of appendices
• Usually, program announcement will specify need
  for items
• May only include the following
• Rational for performance off-site
• Letters of commitment documenting collaborators
  planned participation
• Information on environmental impact
• Work in foreign countries
• Research in Greenland
• Antarctic proposals
• Research in a registered historic place
• Research with genetically engineered organisms
• Documentation regarding research with human
  subjects, hazardous materials
• Tech transfer management plans
• RUI or REUs
• NO LETTERS OF SUPPORT UNLESS REQUESTED (e.g.
  training grants)

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Other considerations

• Common circumstances
• Collaborative proposals
• Can be submitted in two ways
• Together, with the lead institution completing
  all requisite portions of the proposal and
  populating with collaborators scope of work,
  roles and responsibilities
• Results in subaward(s) issued to collaborators by
  lead institution
• At time of submission, NYU OSP needs
  subrecipients SOW, budget, and letter of
  collaboration reflecting approval by authorized
  representative

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Collaborative proposals (contd)

• Separately, by linking the proposals
• Lead submits first with title Collaborative
  Research.
• Non-lead institution(s) assign a PIN to proposal
• Provides PIN and temporary proposal ID number to
  lead institution before lead submits
• Lead institution enters each collaborators PIN
  and temporary proposal ID into Fastlane by using
  link proposal option in the Form Preparation
  screen
• Collaborators include everything EXCEPT project
  summary, project description, and references
  cited
• Linked proposals should all be submitted within
  close proximity to one another
• Results in separate awards made by NSF directly
  to each organization

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Single Copy Documents

• Information about PI/PDs and Co-PIs (gender,
  race, ethnicity, etc.)
• Authorization to deviate
• List of suggested reviewers and those not to
  include
• Proprietary or privileged information (including
  confidential salary info.)
• Proposal certifications (AOR)
• Conflict of interest
• Drug-free workplace
• Debarment and suspension
• Lobbying
• Nondiscrimination
• Flood hazard insurance

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Review Criteria

• Questions that must be answered in your proposal
• What is the intellectual merit of the proposed
  activity?
• What are the broader impacts of the proposed
  activity?
• Timeframe for review and award
• Six months for programmatic review
• Often, a revised budget will be requested to
  match available funding level
• Contact OSP program officials typically contact
  PI only
• Submit revised budget timely or risk losing
  funding
• Typically thirty days for DGA to issue award once
  program office makes final recommendation

42
Other hints and tips

• Your copy of the announcement should be
  highlighted, dog eared.read and re-read
• Look for special terms and conditions included
• Be sure you know the deadline date (target vs.
  deadline)
• Margin and spacing reqts
• Be sure to follow, can look different depending
  on type of computer you are using (Mac vs. PC)
• Do not exceed page limitations on sections and
  use page numbering where possible
• Remember, if intellectual merit and broader
  impacts statements not included, proposal will
  not be reviewed so make a header for those
  sections to ensure they stand out
• Project Summary should be in the 3rd person,
  active voice
• When you view/edit/submit in Fastlane, hit
  allow SRO access
• Make sure PI is reachable on deadline day to
  address any last minute issues
• Submit via Fastlane whenever possible submit via
  Grants.gov when required

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NYU and NSF Resources

• NYU Office of Sponsored Programs/Project Officers
• http//www.nyu.edu/osp/about/
• NSF See Frequently Asked Questions on Proposal
  Preparation
• http//www.nsf.gov/pubs/gpg/faqs.pdf
• Help with Broader Impact Statement
• http//www.nsf.gov/pubs/gpg/broaderimpacts.pdf
• Proposal and Award Policies and Procedures Guide
  (PAPPG)
• Replaced Grants Proposal Guide (GPG) and Grants
  Policy Manual (GPM) for proposals submitted on or
  after June 1, 2007
• http//www.nsf.gov/pubs/policydocs/papp/nsf07140.p
  df
• Grants.gov and NSF Fastlane
• http//www.grants.gov/
• https//www.fastlane.nsf.gov/fastlane.jsp
• Contact NSF
• Policy Office, Division of Institution Award
  Support
• policy_at_nsf.gov [phone]
• Fastlane Help Desk
• fastlane_at_nsf.gov [phone] or (800)
  673-6188
• NSF offices/directorates
• http//www.nsf.gov/staff/orglist.jsp