National Science Foundation Workshop Proposal Preparation Basics, Part 1 NSF Webinar Series September 14, 2010

Ask Early, Ask Often! NameTitleContact Jean Feldman Head, Policy Office, Office of Budget, Finance & Award Management; Division of Institution & Award Support (703) Rebecca Vandall Director of New Program Development & Strategic Partnerships; SRA International (703)

Topics  Introduction & NSF Overview  NSF Policy Guidance  Proposal Preparation & Submission Basics  Initial Administrative Review  Return Without Review

Introduction & NSF Overview

Mathematical & Physical Sciences (MPS) Geosciences (GEO) Engineering (ENG) Computer & Information Science & Engineering (CISE) Biological Sciences (BIO) Office of the Inspector General (OIG) Director Deputy 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 & Economic Sciences (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 Subcommittee Grant 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 dates Deadline dates Special Exceptions to NSF’s Deadline Date Policy Submission Windows, primarily MPS, ENG  Specifies process for deviations including: individual program solicitations; by written approval of cognizant Assistant Director or designee; or procedure 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; and Proposals 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; and Electronic 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  Deadlines Special Exceptions to NSF’s Deadline Date Policy  Target dates  Submission Windows  Preliminary proposals  Letters of Intent

Number of Preliminary Proposals & Subsequent Actions

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 Documentation Postdoctoral Mentoring Plan, if postdocs are included on budget Data Management Plan

New Implementation: Data Management Plans NSF 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 Reminders 1.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 Proposals Changed/Corrected Applications Revisions Continuations Supplemental 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; and Conform 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 Guide Web Pages Funded Project Abstracts Reports, Special Publications  Program Officers Incumbent Former “Rotators” Mentors on Campus Previous Panelists Serve As Reviewer Sponsored Research Office Successful Proposals

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