SEPTEMBER 16, 2014 SERIES 4, SESSION 7 OF APPLICANTS & ADMINISTRATORS PREAWARD LUNCHEON SERIES (AAPLS) What You Need to Know Before Applying for National.

SEPTEMBER 16, 2014

SERIES 4, SESSION 7 OF

APPLICANTS & ADMINISTRATORS PREAWARD LUNCHEON SERIES

(AAPLS)

What You Need to Know Before Applying for National Science

Foundation (NSF) Funding

Presenters

Office of Research AdministrationChristine WoodroffeSr. Associate Director

Suzanne RochaAssistant Director

Alison GolosovkerResearch Administration Coordinator

Maria HarlowAssociate Director

Leigh CurleyAssociate Director

Session Overview

1. Introduce Research Funding at NSF2. 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 STRATEGIES1. 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

Engineering

Geosciences

Mathematical & Physical Sciences

Social, Behavioral &

Economic 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)

FY2010 FY2011 FY2012 FY2013 FY20140

5,000,000

10,000,000

15,000,000

20,000,000

25,000,000

Proposed $

Tufts NSF Funding Statistics

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)

Unless specifi ed, proposals submitted to NSF must be submitted electronical ly via

use of either the NSF Fastlane system* or Grants.gov.

*Tufts ORA recommends proposal preparation and submission via the NSF

Fastlane system

GRANT PROPOSAL GUIDE, FEBRUARY 2014

HTTP://WWW.NSF.GOV/PUBS/POLICYDOCS/PAPPGUIDE/NSF14001/GPG_INDEX.JSP

Applying to NSF

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 [email protected]

Contact Vicki Laake for [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

obtain internal approval

register in FastLane

complete proposal in

Fastlane

route proposal to ORA Signing

Official for review and submission

Typical Proposal Contents

Cover Sheet

Note: Be sure to follow page formatting instructions throughout application

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

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

NSF supports all fi elds of fundamental science and engineering, except for medical sciences

To submit a compliant proposal:1. Fol low the program

announcement/so l ic i tat ion instruct ions2. Al low t ime wel l in advance for p lanning,

registrat ion, approvals , preparat ion, rev iew/rev is ions, and submiss ion

Conclusions