National Science Foundation WorkshopProposal Preparation Basics, Part 1

NSF Webinar SeriesSeptember 14, 2010

Ask Early, Ask Often!

Name Title Contact

Jean Feldman

Head, Policy Office, Office of Budget, Finance & Award Management; Division of Institution & Award Support

jfeldman@nsf.govpolicy@nsf.gov (703) 292-8243

Rebecca Vandall

Director of New Program Development & Strategic Partnerships; SRA International

rvandall@srainternational.org(703) 741-0140

Topics

Introduction & NSF Overview NSF Policy Guidance Proposal Preparation & Submission

Basics Initial Administrative Review Return Without Review

Introduction & NSF Overview

Mathematical& PhysicalSciences

(MPS)

Geosciences(GEO)

Engineering(ENG)

Computer &Information Science &

Engineering(CISE)

BiologicalSciences

(BIO)

Office of theInspector General

(OIG)

DirectorDeputy Director

National Science Board(NSB)

Office of Cyberinfrastructure

Office of Equal Employment Opportunity Programs

Office of the General Counsel

Office of Integrative Activities

Office of International Science & Engineering

Office of Legislative &Public Affairs

Office of Polar Programs

Social, Behavioral

& EconomicSciences

(SBE)

Education & Human

Resources(EHR)

Budget, Finance & Award

Management(BFA)

Information& Resource Management

(IRM)

NSF Organization

NSF in a Nutshell

Independent Agency Supports basic research &

education Uses assistance

mechanism Low overhead; highly

automated Accounts for about ¼ of

Federal support to academic institutions for basic research

Discipline-based structure

Cross-disciplinary mechanisms

Use of Rotators/IPAs National Science Board

NSF Policy Guidance

Drivers of NSF Policy Requirements…Just some of them….

Statutes Regulations Government Accountability Office (GAO) Office of Management & Budget (OMB) Government-wide initiatives & mandates

NSTC Research Business Models SubcommitteeGrant Policy Committee Activities

Policy Drivers (Cont’d)

National Science Board (NSB) Guidance from Senior Management Office of the Inspector General (OIG) NSF-wide committees

NSF Policy Documents NSF Proposal & Award Policies & Procedures Guide

Part I: Proposal Preparation & Submission• Grant Proposal Guide (GPG)• Grants.gov Application Guide

Part II: Award & Administration Guidelines• Award & Administration Guide

Grant Proposal Guide (GPG) Applicability of GPG:

Provides guidance for the preparation and submission of proposals to NSF:• Contains guidelines for preparation of proposals;• GPG is used unless program solicitation stipulates

otherwise.

GPG (Cont’d) Describes content and formatting requirements

for all parts of an NSF proposal. Identifies overall Foundation eligibility categories and

guidelines:Universities and Colleges;Non-profit, non-academic Organizations;For-profit Organizations;State and local Governments;Unaffiliated Individuals;Foreign Organizations;Other Federal Agencies

GPG (Cont’d) Describes types of NSF due dates:

Target datesDeadline dates

• Special Exceptions to NSF’s Deadline Date PolicySubmission Windows, primarily MPS, ENG

Specifies process for deviations including:individual program solicitations; by written approval of cognizant Assistant Director or

designee; orprocedure to follow for those proposers unable to submit

electronically.

GPG (Cont’d) Provides special instructions for proposals that

contain high resolution graphics or other graphics where exact color representations are required for proper interpretation by the reviewer Note: Such copies must only be submitted where necessary

for the proper interpretation by the reviewer

Establishes NSF policy regarding inclusion of Universal Resource Locators (URLs) in the Project Description Note different policy is established for use of URLs in

References Cited and Biographical Sketch portion of the proposal

GPG (Cont’d) Details process for submission of collaborative

proposals via: issuance of one proposal that contains a subaward from the

proposer to the collaborating organization; and submission of separate proposals from collaborating

organizations. Note: contact with cognizant program officer is strongly

encouraged prior to submission!

Outlines reasons why a proposal may be returned without review.

GPG (Cont’d) Contains NSF procedures on special categories of

proposals, including:Rapid Response Research (RAPID);Early-concept Grants for Exploratory Research (EAGER);Facilitation Awards for Scientists and Engineers with

Disabilities;Equipment Proposals;Conferences, symposia & workshops;Proposals that include vertebrate animals and human

subjects; andProposals to support international travel.

GPG (Cont’d)

Provides policy requirements for specific FastLane capabilities:Revised budgets (required for budget reductions of

10% or more) – note no budget justification section is required; only impact statement;

Proposal File Updates; andElectronic Proposal Withdrawal (in collaboratives,

withdrawal of one, is withdrawal of all!)

GPG (Cont’d)

Describes process -- and criteria -- by which proposals will be reviewed:Proposals that do not separately address both criteria

within the one-page Project Summary will be returned without review; and

Proposals that do not meet the standards identified in GPG Chapter IV. B may be returned without review.

Contains information on potentially disqualifying conflicts of interest for use in the proposal process.

AAG Highlights Provides a description of the NSF award process, from issuance

and administration of an NSF award, through closeout. Exhibit II-1 summarizes the requisite types of notifications and requests

for prior approval Identifies the types of terms and conditions referenced in NSF awards

Details requirements relating to conflict of interest, financial management, responsible conduct of research, and property management.

Describes requirements for receipt of payment, and for financial reporting.

Provides definitions and provides policies relating to the allowability of costs.

AAG Highlights (Cont’d) Describes other award requirements or considerations that either

are not universally applicable or which do not follow the award cycle such as: Non-Discrimination

Construction

Data Policies

International Considerations (Including Use of Foreign Flag Carriers)

Human Subjects

Recombinant DNA

Vertebrate Animals

Patents and Inventions

Research Misconduct

Proposal Preparation& Submission Basics

NSF Proposal & Award Process Timeline

What to Look for in a Program Announcement/Solicitation

Goal of program

Eligibility

Special proposal preparation and/or award requirements

Program Announcement versus Solicitation

Follows GPG guidelines Standard eligibility criteria NSF merit review criteria

May deviate from supplement the GPG

May include specialized eligibility requirements

May include additional merit review criteria

May require special reporting requirements

Program Announcement/Program Description

Program Solicitation

Types of Submissions to NSF

No deadlines

DeadlinesSpecial Exceptions to

NSF’s Deadline Date Policy

Target dates

Submission Windows

Preliminary proposals

Letters of Intent

Number of Preliminary Proposals & Subsequent Actions

Fiscal Year 2002 2003 2004 2005 2006 2007 2008 2009

Total # Preliminary Proposals 1,747 2,469 2,310 2,120 1,874 2,842 3,203 3,856

Non-Binding (NB) Total 1,184 1,924 1,412 1,302 1,279 1,540 669 1,140

NB Encouraged 665 669 544 512 509 662 333 519

NB Discouraged 519 1,255 868 790 770 878 336 621

Binding Total 540 534 892 816 594 1,301 2,534 2,500

Binding Invite 168 152 221 246 136 252 572 685

Binding Non-invite 372 382 671 570 458 1,049 1,962 1,815

The NSF Proposal

Single Copy Documents

Cover Sheet

Project Summary

Table of Contents

Project Description

References Cited

Biographical Sketch(es)

Budget & Budget Justification

Current & Pending Support

Facilities, Equipment & Other Resources

Special Information & Supplementary DocumentationPostdoctoral Mentoring Plan, if

postdocs are included on budget

Data Management Plan

New Implementation:Data Management PlansNSF is changing the implementation of its long-standing policy on data sharing Existing policy requires awardees to share their data

within a reasonable length of time & incremental cost.Proposers will be expected to include, as a supplemental

doc of up to 2 pages, how the proposal will conform to NSF policy on the dissemination and sharing of research results.

The Data Management Plan will be reviewed as an integral part of the proposal, coming under Intellectual Merit or Broader Impacts or both, as appropriate for the scientific community of relevance.

New Implementation:Data Management Plan (Cont’d)A valid Data Management Plan may include only the

statement that no detailed plan is needed, as long as the statement is accompanied by a clear justification. The statement will be subject to peer review & program management.

The changes are designed to address trends and needs in the modern era of data-driven science.

NSF wants to avoid a one size fits all approach to address the issue of data sharing.

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)

Program practices

Proposal Preparation Reminders1. Read the Program Announcement/Solicitation carefully,

and ask Program Officer for clarifications, if needed.2. Re-Read the Program Announcement/Solicitation

carefully, and ask Program Officer for clarifications, if needed.

3. Repeat steps 1 and 2.4. Address all the proposal review criteria.5. Understand the NSF merit review process. 6. Use the checklist in the GPG to ensure compliance prior

to submission.

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 (R&R) forms as well as the NSF specific forms

Provides specific instructions for inclusion and conversion of PDF files

NSF and Grants.gov

Unless otherwise specified, optional submission for the vast majority of NSF programs

NSF does not accept applications through Grants.gov for:Submission of Letters of Intent & Preliminary ProposalsChanged/Corrected ApplicationsRevisionsContinuationsSupplemental Funding Requests

Initial Administration Review

Proposal Review and Processing

Initial Administrative Review

Upon receipt at NSF, the Proposal Processing Unit routes proposals to the program office.

The Program Office conducts a preliminary review of the proposal to ensure they are:Complete;Timely; andConform to proposal preparation and other solicitation requirements

NSF may return without review proposals that do not meet the above requirements.

Return without Review

Proposal Review and Processing

Return of Proposals Without Review

Per Important Notice 127, Implementation of new Grant Proposal Requirements Related to the Broader Impacts Criterion:Proposals that do not separately address both criteria

within the one-page Project Summary will be returned without review.

Other Reasons for Return of Proposals Without Review

It is inappropriate for funding by the National Science Foundation.

It is scheduled with insufficient lead time before the activity is scheduled to begin.

It is a full proposal that was submitted by a proposer that has received a “not invited” response to submission of a preliminary proposal.

It is a duplicate of, or substantially similar to, a proposal already under consideration by NSF from the same submitter.

Other Reasons for Return of Proposals Without Review It does not meet NSF proposal preparation requirements,

such as page limitations, formatting instructions, and electronic submission, as specified in the GPG or program solicitation.

It is not responsive to the GPG or program announcement/solicitation.

It does not meet an announced proposal deadline date, or deadline time (5 p.m. submitter’s local time.)

It was previously reviewed and declined and has not been substantially revised.

It duplicates another proposal that was already awarded.

FastLane Compliance Checking

Effective NOW….. If there is a postdoctoral researcher identified on Line

B.1. of the budget, a postdoctoral mentoring plan (no more than 1 page) must be attached as a supplementary doc….FastLane will NOT allow the proposal to be submitted without it…

Effective January 18, 2011…Each proposal must have a data management plan (up to

2 pages) attached as a supplementary doc….FastLane will NOT allow the proposal to be submitted without it…

Getting Support in Proposal Writing NSF Publications

Program Announcements/Solicitations

Grant Proposal GuideWeb PagesFunded Project

AbstractsReports, Special

Publications

Program Officers IncumbentFormer “Rotators”

Mentors on CampusPrevious PanelistsServe As ReviewerSponsored Research

OfficeSuccessful Proposals

Ask Early, Ask Often

For More Information….

www.nsf.gov