Transcript Slide 1

What You Need to Know Before
Applying for National Science
Foundation (NSF) Funding
SEPTEMBER 16, 2014
SERIES 4, SESSION 7 OF
APPLICANTS & ADMINISTRATORS
PREAWARD LUNCHEON SERIES
(AAPLS)
Presenters
Office of Research Administration
Christine Woodroffe
Sr. Associate Director
Suzanne Rocha
Assistant Director
Alison Golosovker
Research Administration Coordinator
Maria Harlow
Associate Director
Leigh Curley
Associate Director
Session Overview
1. Introduce Research Funding at NSF
2. Overview and How to Submit a Compliant Proposal
• Internal approval
• FastLane
• Application components
3. Things to Consider
• Collaborative proposals
• Salary of Senior Project Personnel (“2 months rule”)
• Cost share
Research Funding at NSF
CORE STRATEGIES
1. Foster integration of research and education through the programs,
projects, and activities it supports at academic and research
institutions.
2. Broadening opportunities and expanding participation of groups,
institutions, and geographic regions that are underrepresented in
science, technology, engineering and mathematics (stem) disciplines,
which is essential to the health and vitality of science and engineering.
What is NSF?
• An independent federal agency created by Congress in
1950
• Supports all fields of fundamental science and
engineering, except for medical sciences
• Ensures that research is fully integrated with education
NSF is divided into 7 directorates
Biological
Sciences
Computer &
Information
Science &
Engineering
Education &
Human
Resources
Geosciences
Engineering
Social,
Behavioral &
Economic
Sciences
Mathematical &
Physical
Sciences
Funding Statistics
• Annual budget of $7.2B in FY2014
• Funds ~24% of all federally supported basic research
conducted by US universities, and over 2,000 colleges,
universities, K-12 schools, businesses, informal science
organizations and other research organizations in the US
• Receives over 40,000 proposals per year, of which ~11,000
are funded
• Tufts received ~10% of its sponsored funding from NSF in
FY2013 (~$15M USD)
Tufts NSF Funding Statistics
25,000,000
20,000,000
15,000,000
Proposed $
Awarded $
10,000,000
5,000,000
0
FY2010
FY2011
FY2012
FY2013
FY2014
Funding Opportunities & Budget Details
• Funding opportunities fall into three categories: program
descriptions; program announcements; and program solicitations
• Budget ceiling is not typically dictated, but directorates or
programs may offer guidance and program announcement may
specify
• Funding rate is ~20% for research grants with an average duration
of 3 years and average annual award size of $160,500 (FY2013)
• “Institutions must use” full indirect cost (F&A) rate, calculated on
the modified total direct costs (except for special programs as
specified in program announcement or solicitation)
Applying to NSF
Unless specified, proposals submitted to NSF must
be submitted electronically via use of either
the NSF Fastlane system* or Grants.gov.
* Tu f t s O R A r e c o m m e n d s p r o p o s a l p r e p a r a t i o n a n d
submission via the NSF Fastlane system
G R A N T P R O P O S A L G U I D E , F E B R UA R Y 2 0 1 4
H T T P : / / W W W. N S F. G O V / P U B S / P O L I C Y D O C S / P A P P G U I D E / N S F 1
4001/GPG_INDEX.JSP
NSF Proposal & Award Process Timeline
NSF Fastlane Registration
• Tufts University is registered as an organization in
Fastlane
• In order to submit a proposal, a PI needs to be added as a
user under Tufts in Fastlane
 Contact Alison Golosovker for Medford
[email protected]
 Contact Vicki Laake for Boston
[email protected]
• If a PI is transferring to Tufts, they will need to register in
Fastlane via Tufts University (previous institution credentials do not
carry over)
Application Process
register in FastLane
obtain internal approval
complete proposal in
Fastlane
route proposal to ORA
Signing Official for
review and submission
Typical Proposal Contents
Cover Sheet
Title of Proposed Project
• Must describe the purpose of the research in nontechnical terms to the fullest extent
possible.
• NSF may edit the title of a project prior to making an award.
• For Collaborative and Certain Programs (such as MRI, Career, REU) the title must start
with “Collaborative:” or “MRI:” or “REU:” followed by the project title. Check the
program announcement.
Budget and Duration Information
• Make sure the total “Amount of This Request” is identical to Line L of cumulative
budget page.
• Project duration is normally 3 to 5 years
Other Information
• PI and Co-PI information
• If Preliminary Proposal, check block on cover sheet and at full proposal stage fill in
block showing preliminary proposal number assigned by NSF
• Project Performance Site location
Note: Be sure to follow page formatting instructions throughout application
Summary, Description & References Cited
Project Summary (1 page limit)
• Written in the third person
• Broken down into 3 sections: overview, intellectual merit and broader impacts
• Program announcement may contain special instructions, such as inclusion of key
words
Project Description (15 page limit)
• 15 page limit, unless otherwise specified in the program announcement
• Address both merit review criteria (Intellectual Merit and Broader Impacts), and
include separate section that discusses the broader impacts of the proposed activities
• Project description must be “self-contained”; reviewers are not obligated to view URLs
• Must contain section on results from prior NSF support received within the last 5 years
(PI and Co-PIs)
References Cited (no page limitation)
• Include bibliographic citations only
• Cannot be used to provide parenthetical information outside of the 15-page Project
Description.
• If there are no references, insert a document stating “Not Applicable.”
Facilities, Equipment and Other Resources
Facilities, Equipment and Other Resources (no page limitation)
• Description of available internal and external resources
(physical and personnel) directly applicable to the proposed
project. Ensure that no quantifiable financial information is
provided (ie., cost sharing commitments).
• Include information such as available computer systems,
laboratory equipment, library resources, etc.
• The description should be narrative in nature.
• If there are no facilities required, insert a document stating
“Not Applicable.”
Budget and Budget Justification
• Justification should follow budget
format sections/headings and justify
each budget line item.
• Costs - necessary, reasonable,
allocable, and allowable.
• Follow PA/RFA special instructions
and special allowable/unallowable
costs.
• If the program announcement does
not require a budget, insert text or
upload document stating “Not
Applicable.”
*Note: If no person months/salary are
requested for senior personnel , they
should be removed from the budget; their
names remain on cover sheet; role should
be described in Facilities, Equipment and
Other Resources section of the proposal.
PostDoc Mentoring Plan; Data Management Plan
Postdoctoral Researcher Mentoring Plan (1 page limit)
• If support for postdoctoral researchers is requested, must include a
description of the mentoring activities (career counseling, training in
grant proposal preparation, publications and presentations) for such
individuals.
Data Management Plan (2 page limit)
• Required for each proposal, a description of how the proposal will
conform to NSF policy on dissemination and sharing of research
results.
• If a Data Management Plan is not needed, a document must be
uploaded and state that no detailed plan is needed, as long as the
statement is accompanied by a clear justification.
Biosketch
Biographical Sketches (2 page limit per individual)
• Required for all senior project personnel*
• The following information must be provided:
 Professional Preparation
 Appointments
 Products: publications, data sets, software, patents, copyrights
 Synergistic Activities
 Collaborators & Other Affiliations
*NSF defines Senior Project Personnel as: 1) PI and Co-PIs; 2) Faculty
Associate (faculty member) - an individual other than the Principal
Investigator(s) considered by the performing institution to be a member of
its faculty or who holds an appointment as a faculty member at another
institution, and who will participate in the project being supported.
Current & Pending
Current and Pending (no page limitation)
 The PI and each senior personnel complete their own
 All current project support from whatever source (e.g., Federal, State, local or
foreign government agencies, public or private foundations, industrial or other
commercial organizations) must be listed, including this proposed project.
 The proposed project and all other projects or activities requiring a portion of
time from the researcher must be included, even if they receive no salary
support from the project(s).
 The total award amount for the entire award period covered (including indirect
costs) must be shown as well as the number of person-months per year to be
devoted to the project, regardless of source of support.
 Ensure the budget amount for the proposed project equals the amount shown
on the cover page and Line L of cumulative budget page.
 Make sure current NSF support does not total more than two months.
Things to Consider
Collaborative Proposals
Proposals that include collaboration with other institutions require all
institutions to be registered in FastLane
Submission options:
1. prime institution submits a proposal with subcontract(s)
2. each institution submits their part of the proposal and receives a
separate award directly from NSF if funded
 lead-PI/proposal must be identified and proposals must be linked
through a PIN # and submitted within a “reasonable timeframe of
one another” and meet the deadline.
 Required proposal sections differ based on the organization’s role
as Lead/Non-Lead Organization.
Check your Directorate and program to see if option 2 is allowed
Salary of Senior Project Personnel (“2 months rule”)
• NSF operates on the assumption that research is a normal
faculty function included within the terms of an individual’s
appointment at their institution
• Senior Project Personnel cannot receive more than 2
months of salary in any one year from all NSF-funded grants
• Any compensation greater than 2 months requires
justification in budget/justification and NSF approval via
award notice
• Tufts defines the year as September 1st – August 31st
Cost Sharing
Voluntary Cost Sharing:
• Voluntary committed cost sharing is prohibited
• All available organizational resources necessary and available to the
project must be described in the Facilities, Equipment and Other
Resources section
Mandatory Cost Sharing:
• Only for programs that require cost sharing as stated in the program
announcement
• Any other inclusion of cost sharing requires authorization by NSF
Director, National Science Board or legislation
• Listed on Line M of budget and legally binding and subject to audit
Conclusions
NSF supports all fields of fundamental science
and engineering, except for medical sciences
To s u b m i t a c o m p l i a n t p r o p o s a l :
1. Follow the program announcement/solicitation
instructions
2. Allow time well in advance for planning,
registration, approvals, preparation,
review/revisions, and submission