RESEARCH EXPERIENCES FOR UNDERGRADUATES

Program Announcement
Closing Dates: Sites: September 15 of each Year
Supplements: Varies with Discipline

The Foundation welcomes proposals from all qualified scientists and engineers, and strongly encourages women, minorities, and persons with disabilities to compete fully in any of the research and research-related programs described in this document.

In accordance with Federal statutes and regulations and NSF policies, no person on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, denied the benefits of, or be subjected to discrimination under any program or activity receiving financial assistance from the National Science Foundation.

Facilitation Awards for Scientists and Engineers with Disabilities provide funding for special assistance or equipment to enable persons with disabilities (investigators and other staff, including student research assistants) to work on an NSF-supported project. See the program announcement (NSF Publication 91-54), or contact the Coordinator in the Directorate for Education and Human Resources. The telephone number is (703) 306-1636.

The Foundation has TDD (Telephonic Device for the Deaf) capability, which enables individuals with hearing impairment to communicate with the NSF Information Center about NSF programs, employment, or general information. To access NSF TDD, dial (703) 306-0090; for FIRS, 1-800-877-8339.

How to Obtain NSF Publications. Many NSF publications are available through NSF's electronic dissemination and publishing system called STIS (Science and Technology Information System). Full instructions appear in "Getting NSF Information and Publications" (NSF 95-64), which is printed elsewhere in this announcement. We recommend strongly that you use the electronic system for fast, convenient access to NSF publications.

Copies of NSF publications in printed form are available at no charge, and may be ordered in a number of ways. If you are a user of electronic mail, send your requests to the Internet address pubs@nsf.gov. Printed publications may be ordered by telephone, dial (703) 306-1130, or by FAX, (703) 644-4278. In any request for printed publications, please include the NSF publication number and title, number of copies, your name, and a complete mailing address. Publications should be received within 3 weeks after receipt of request.

This program is described in the following categories of the Catalog of Federal Domestic Assistance: 47.041, 47.049, 47.050, 47.070, 47.073, 47.074, 47.075, 47.076, and 47.077.

Regularly updated information on current REU Sites may be obtained electronically in three ways (no hardcopy list is published):

• Address a message to getpub@nsf.gov
• Access [reulist] Current List of REU Sites on the NSF Home Page, at http://www.nsf.gov/home/crssprgm/reu/
• Use the following URL: http://www.nsf.gov/home/crssprgm/reu/reulist.htm

Contents

I. Program Description

A. Purpose and Scope

B. Eligibility Criteria and Limitations

1. Eligible Institutions

2. Eligible Fields

3. Eligible Individuals

C. Closing Dates

II. Preparation and Submission of Proposals

A. REU Sites

B. REU Supplements

III. Proposal Review

IV. Grant Administration

V. Progress and Final Reports

VI. NSF Telephone and Internet Contacts

Appendix 1: REU Project Summary Form

NOTICE

CHANGES IN THE REU PROGRAM ANNOUNCEMENT

• To the extent possible and appropriate, all instructions relate to and conform with the Grant Proposal Guide (GPG)(NSF 95-27), which has replaced Grants for Education and Research in Science and Engineering (GRESE).
• Instructions for accessing information on current REU Sites appear inside the front cover.
• A new proposal section on Project Evaluation, and revised material on Optional Ethics Components appear.
• Instructions for signature of the Certification Page are modified .
• The form to be used for the Project Summary is changed from NSF Form 1358 to the REU PROJECT SUMMARY FORM .
• The permitted length and certain content of Results from Prior NSF Support (a part of the Project Description required under certain circumstances) are changed.
• Instructions for proposal Sec. F, Project Budget, are modified in several places.
• Additional detail is included in the instructions for proposal Sec. I, Special Information and Supplementary Documentation.
• E-mail addresses [Internet] are given for NSF directorate and divisional REU contacts.
• Additions have been made to the information requested for Items 3, 10, 12, and 14, in the REU Project Summary Form.

RESEARCH EXPERIENCES FOR UNDERGRADUATES

I. PROGRAM DESCRIPTION

A. PURPOSE AND SCOPE

Active research experience is one of the most effective techniques for attracting talented undergraduates to and retaining them in careers in mathematics, science and engineering. Too few such experiences are now available. The Research Experiences for Undergraduates program (REU) is designed to help meet this need.

Projects supported by the REU program provide opportunities annually for several thousand undergraduate students to participate in active mathematics, science and engineering research experiences. REU projects involve students in meaningful ways in ongoing research programs or in research projects specially designed for this purpose. Projects may also provide opportunities for undergraduate students to participate in research opportunities in non-U.S. settings. International activities are eligible for support from the Division of International Programs either on the basis of proposals submitted to it or in conjunction with proposals submitted to disciplinary research divisions.

NSF is particularly interested in increasing the participation in research of women, minorities* and persons with disabilities. REU project directors are encouraged to involve students who are members of these groups.

• REU Sites grants will be based on independent proposals to initiate and conduct undergraduate research-participation projects for a number of students appropriate to the discipline and the setting. Most REU Sites projects are expected to be within the scope of a single discipline and/or single academic department. Interdisciplinary proposals and proposals with an ethics-in-science component are also encouraged, but multiple-discipline or multiple-department proposals without a common project focus or orientation are discouraged.

• REU Supplements are intended to provide research experiences for one or two undergraduate students. Requests for REU Supplements may be included in original research grant and cooperative agreement applications or as supplements to ongoing NSF projects.

Site and Supplement projects may be carried out during the summer months, during the academic year, or both. REU Sites projects may be proposed for durations of one to five years; the term of REU Supplements may not exceed that of the underlying research project. Preproposals will not be accepted for the REU program. However, requests for information concerning the REU program may be directed to the cognizant program directors or the contacts listed in Section VI.

B. ELIGIBILITY CRITERIA AND LIMITATIONS

All U.S. institutions conducting research in the disciplines normally supported by NSF are eligible to apply. Thus, proposals will be accepted from colleges and universities, from such non-academic research institutions as government or industrial laboratories (including small businesses with strong capabilities in research), museums, observatories, or from combinations thereof. There is no restriction on the number of proposals that may be submitted per institution.

2. Eligible Fields

The Foundation considers proposals for REU support in most of the fields of science and engineering. NSF does not normally support technical assistance, pilot plant efforts, research requiring security classification, the development of products for commercial marketing, or market research for a particular product or invention. Bioscience research with disease-related goals (including work on the etiology, diagnosis, or treatment of physical or mental disease, abnormality, or malfunction in human beings or animals) is normally not supported. Animal models of such conditions or the development or testing of drugs or other procedures for their treatment also are not eligible for support. However, research in bioengineering, with diagnosis- or treatment-related goals, that applies engineering principles to problems in biology and medicine while advancing engineering knowledge, is eligible for support. Bioengineering research to aid persons with disabilities is also eligible.

3. Eligible Individuals

Principal Investigator

A single individual should be designated clearly as Principal Investigator. This individual will be responsible for overseeing all aspects of the award. However, if additional professional personnel will be involved, the institution may, at its option, designate one additional person as co-principal investigator. It is anticipated that developing and operating REU Sites may involve such shared responsibility.

Participants

The main thrust of the REU Program is to make research experiences available to the largest possible number of eligible undergraduates. Undergraduate student participants supported with NSF funds in either Sites or Supplements must be citizens or permanent residents of the United States or its possessions.

An undergraduate student is a student who is enrolled in a degree program (part-time or full-time) leading to a bachelor's degree. Students who are transferring from one institution to another and are enrolled at neither institution during the intervening summer may participate. High school graduates who have not yet enrolled and students who have received their bachelor's degrees and are no longer enrolled as undergraduates generally are not eligible. Inclusion of high school teachers of science, mathematics, and engineering, and of other participants may be considered, but should be discussed in advance with the cognizant disciplinary Program Director.

C. CLOSING DATES

Proposals for REU Supplements require 2-3 months from the date of receipt for processing. Because some disciplines and programs have specific closing dates and review Supplement requests in a comparative manner, applicants should make contact with the cognizant NSF Program Director for their research grants early in the fiscal year (which begins October 1).

II. PREPARATION AND SUBMISSION OF PROPOSALS

A. REU SITES

Each proposal should reflect the unique combination of the proposing institution's interests and capabilities. Cooperative regional arrangements among institutions will be considered so that a project might increase the quality or availability of undergraduate research experiences.

REU Sites projects must have a well-defined common focus. This is usually achieved within the scope of a single discipline or academic department, although interdisciplinary proposals with cohesively integrated projects or proposals with an ethics component are encouraged. Multiple-discipline or multiple-department proposals without a common project focus or orientation are not encouraged.

Proposals should be prepared and submitted in accordance with the general guidelines in the NSF Grant Proposal Guide (GPG), NSF 95-27 (or the latest revision), as modified herein. Standard forms and an explanation of their preparation and purpose are contained in GPG, and are available separately in the Proposal Forms Kit (PFK), NSF 95-28. Please note the special considerations listed in GPG that require additional in-formation and/or documentation. [Single copies of GPG and PFK are available at no cost from the Forms and Publications Unit: phone (703) 306-1130; fax (703) 644-4278; or via e-mail, pubs@nsf.gov. For full information, see the circular Getting NSF Information and Publications (NSF 95-64).]

The narrative Project Description should discuss the features of the proposed project in sufficient detail that it can be reviewed in accordance with the goals of the REU program and the criteria articulated in Section III, below. The narrative must cover four specific topics:

(1) Nature of Student Activities. NSF believes undergraduate research experiences have their greatest impact in situations that lead the participants from a relatively dependent status to as independent a status as their competence warrants. In this context, proposals must present plans that will ensure the development of student-faculty interaction and student-student communication. Proposals should address the philosophy of the approach to undergraduate research training being taken, and should provide detailed descriptions of examples of projects in which students will become engaged.

(2) The Research Environment. This subsection should describe concisely the experience and record of the involvement with undergraduate research of the Principal Investigator, any potential advisers of students, and the institution. The facilities, equipment, and other resources available to support the proposed undergraduate research experiences should be described in relation to those activities.

If applicable, a brief statement of results of prior support from NSF's REU Program must be included. (Content and format of this statement are described below in the paragraphs dealing with Proposal Section C.)

(3) Student Recruitment and Selection. Student recruitment and selection processes and criteria should include a description of the recruitment plans; if possible, the types and/or names of institutions where students will be recruited; and what effort will be made to attract members of underrepresented groups (women, minorities, and persons with disabilities). In addition to increasing the participation of underrepresented groups, another goal of the program is to involve students in research who might not otherwise have the opportunity, particularly those from institutions where research programs are limited. Thus, a significant fraction of the student participants should come from outside the host institution. The overall quality of the student recruitment and selection process will be an important element in proposal evaluation.

The number of students per project should be appropriate to the institutional setting and to the manner in which research is conducted in the discipline. Development of collegial relationships and interactions is an important part of the project opportunity. The Foundation expects that an appropriate number of students will be involved, and proposals involving fewer than six students are discouraged.

(4) Project Evaluation. This subsection should indicate briefly but clearly how the proposed project will be evaluated. It should include descriptions of such matters as: measures to be employed to gauge project success; mechanisms for assessment of the project by participants and faculty and administrative observers; follow-through procedures to promote continuation of student interest and involvement in research; plans for tracking participants after they complete the project research experience; etc. Evaluation instruments and/or results of evaluation of a previous undergraduate research program may be included in Proposal Section I (see below).

Optional Ethics Components. Project directors may apply for support of ethics in science (or engineering) activities in an REU Sites project. The description of an ethics component (limit, 3 pages) should appear in proposal Section I (Special Information and Supplementary Documentation), and be listed in the Table of Contents. Ethics activities should focus on issues relevant to the scientific content of the project. They should emphasize active student (and, where possible, faculty) involvement in teaching and learning ethical concepts that bear on the issues and skills to bring to bear in their resolution. They may include individual student and faculty research projects, special seminars and symposia or courses, team projects, panel presentations and reports, etc. The description should identify the relevant qualifications of the ethics faculty. It should indicate what results are expected from the activities and provide a plan to evaluate how well the goals are achieved.

Proposals submitted in response to this program announcement must be prepared and submitted in accordance with the general guidelines provided in the Grant Proposal Guide (GPG), NSF 95-27, and must also adhere to the following special instructions. [The procedure for obtaining authorization for deviations from these instructions appears in Sec. A. of GPG Chapter II.] Each copy of the proposal -- except as noted below -- must contain:

• Information about Principal Investigators/Project Directors. (Use NSF Form 1225, found in GPG or the Proposal Forms Kit, PFK, NSF 95-28.) Submit only ONE copy of this form with the proposal. Attach it on top of the Cover Sheet of the proposal copy that bears original signatures. Information on this form is confidential and is used for statistical purposes only, but it is Congressionally-required. The Foundation is not responsible for removing surplus copies of Form 1225 inappropriately included with proposal copies that go to reviewers.

• List of Suggested Reviewers or Reviewers Not to Include ( ONE copy, optional).

• Cover Sheet. (Use NSF Form 1207, found in GPG or PFK; page 1 of 2 is to be included in all proposal copies .) Indicate clearly the NSF research directorate and/or division to which the proposal is directed in the top left box of the form. A list of these can be found in Section VI, below. In the box just below the top left box (Program Announcement/Solicitation No./Closing Date), type 'REU NSF 96-102/September 15, (insert year).'

• Certification Page. (Use NSF Form 1207, found in GPG or PFK; page 2 of 2 is to be included only in the copy that bears the original signatures.) Both the prospective Principal Investigator(s), PI(s), and the authorized organizational representative of the host institution must sign the certification page.

• Proposal Section (Sec.) A. Project Summary. (Use the REU PROJECT SUMMARY FORM, Appendix 1 of this brochure.) Item 16 of the Summary Form is used by the Foundation to inform the public about projects supported and therefore should be addressed to the informed lay reader. It should be a self-contained description of the activities that would result if the project is funded and should include brief comments on its objectives, students to be accepted, and intended impact.

• Sec. B. Table of Contents. (Use NSF Form 1359, found in GPG or PFK). Note that pages are to be numbered consecutively within each Section, e.g., C-1, C-2, C-3, etc.

• Sec. C. Project Description. (NSF Form 1360, found in GPG or PFK, is optional for Page C-1 and other pages of this proposal section.) This narrative description, not to exceed 15 pages in length (including tables, figures, and other visual supplements), is the principal part of the proposal. It is a detailed statement of the work to be undertaken and is the basis for determining the educational and technical merit of the proposal. It must conform to the restrictions on type size and margin width, and the conventions for sequence of contents, page numbering, and stapling, stated in GPG (Chap. II, Sec. C). The Project Description should contain:
  1. A very brief discussion of the objectives and intended impacts of the project;
  2. A general description and timetable of the project, including the required coverage of: Nature of Student Activities, The Research Environment, Student Participants, and Project Evaluation ; and,
  3. If no prior support has been received through an REU Site award, the maximum of 15 pages may be employed for items 1 and 2 above.

  If the applicant institution has received prior support through an REU Site award in the disciplinary area(s) of the proposal, the proposal must include a section (limited in length to 5 pages) entitled Results from Prior NSF Support within the 15-page narrative description of the project. This section must describe the earlier REU project(s) and outcome(s) in sufficient detail to permit reviewers to reach an informed conclusion regarding the value of the results achieved. The following information must be included in this statement:

  • The NSF award number, amount, and period of support;
  • The title of the project; ·A summary of the results of the completed REU project, including: (a) a summary of information available on past participants and their current status; and (b) an analysis of the effects of that completed REU project on the career choices of participants, on the participating faculty, and on the institution (to facilitate review, this summary must not exceed 4 pages in length); and
  • A list of publications or reports (if to be submitted for publication) resulting from the NSF award. (Do not submit copies of such papers with the proposal.)

• Sec. D. References Cited. (Use of NSF Form 1361, found in GPG or PFK, is optional.) A listing of references to pertinent literature is optional.

• Sec. E. Biographical Sketch(es). A biographical sketch including a list of publications for each of the key personnel (Principal Investigator, any Co-Principal Investigator, and other professionals) should be included. (Limit: Twelve biographical sketches for representative participating mentors and other professionals.) Each biographical sketch is limited to two pages. (Use NSF Form 1362, found in GPG or PFK, for the first page of each sketch; if a second page is required it should be headed BIOGRAPHICAL SKETCH and should show the correct pagination at the bottom center. All pages in the resulting Proposal Section E should then be numbered consecutively.) In accordance with GPG (NSF 95-27, Chap. II, Sec. D.6), each of the key personnel should include (Part B) only a list of up to five publications most relevant to the work proposed and up to five other significant publications. If this list of publications includes items involving undergraduate authors, an asterisk should be used to identify undergraduate students who served as co-authors. [Each key person may include an additional listing of up to ten publications involving undergraduate authors in proposal Section I.] Items in press may be included. The information on collaborators required by NSF Form 1362 Parts C and D will help avoid potential conflicts of interests in the merit-review process.

• Sec. F. Project Budget. The proposal should include a detailed project budget and budget justification, as described in GPG. Use NSF Form 1030 (found in GPG and PFK , with detailed instructions) for the proposed budget, a separate form for each year for which support is requested and for the cumulative budget for all years. The budget justification (not to exceed 3 pages) should explain and justify major cost items, any unusual situations/inclusions, and the proposed institutional cost-sharing.

  A general description of allowable budget items is included in GPG, Chap. II, Sec. D.7. Project costs should be described clearly and may include such items as faculty salaries, participant housing, travel, tuition, or laboratory use. Institutions may choose to absorb any or all of these expenses as their commitment to the REU Site. Various NSF Directorates and Divisions may permit other expenses or exclude some of those just mentioned. It is advisable to check early with the appropriate Directorate/Division about development of the project budget. Total project costs per year are expected to be typically about $5,000 per student. [N.B.: This is a guideline figure, neither a floor nor a ceiling.] Institutional cost-sharing should be included on Line M of Form 1030.

  An administrative allowance (limited to 25% of the participant stipend support only) is allowed for REU awards in lieu of indirect costs (enter at line I of form 1030). As a guide to budget development, student stipends for summer projects are expected to be at least $250 per week, with academic year stipends comparable on a pro rata basis. Cost of student travel to the site is an appropriate budget item. All student costs should be entered at line F of Form 1030.

  [Special Note: A grantee may pay stipends as scholarships or wages as it determines appropriate. In either case, money received by individuals may be taxable income under the Internal Revenue Code of 1986 and may also be subject to state or local taxes. Grantees should provide students with copies of the United States Internal Revenue Service Publication 4, 'Student's Guide to Federal Income Tax.' If stipends are paid as scholarships, grantees are also encouraged to provide copies of IRS Publication 520, 'Scholarships and Fellowships,' to participants. Questions regarding applicable Federal taxes should be directed to the IRS. Grantees should also provide participants with information on any applicable state or local taxes.]

  Optional Ethics Components. Project directors may apply for up to $4,000 each year in support of ethics activities in an REU Sites project; these funds are not included in the guideline of $5,000 per student. Up to 25% of the direct costs requested for this component may be budgeted as an administrative allowance, but the yearly total requested for ethics activities may not exceed $4,000. [Separate budget sheets should be submitted for an ethics component request.]

• Sec. G. Current and Pending Support. (Use of NSF Form 1239, found in GPG or PFK, is optional.) List (all sources) current and pending research and education project support for each of the key personnel. Note: Each key person must have submitted NSF Form 98A (Final Project Report) for all completed NSF-funded projects.· Sec. H. Facilities, Equipment, and Other Resources. (Use of NSF Form 1363, found in GPG or PFK, is optional.) List briefly such resources as are applicable to the activities proposed. Do not repeat the descriptions included in the Project Description (proposal Section C). This listing is used by reviewers to assess the overall adequacy of the institutional resources available for performance of the project.

• Sec. I. Special Information and Supplementary Documentation. Except as indicated below and in the GPG description of proposal Section I, all information necessary for the review of an REU Sites proposal should be contained in the REU PROJECT SUMMARY FORM (Appendix 1 of this brochure), the 15-page project description, and the accompanying list of references cited, biographical sketch(es), and budget justification. For REU Sites proposals, there are five specific exceptions: (1) Up to 2 pages may be used to provide a copy of the advertisement or recruitment poster for the Site; (2) Up to 3 pages may be used for evaluation documentation consistent with the Project Evaluation section on page 3, above; (3) Up to 3 pages may be used for the description of an optional ethics component; (4) A compact list of up to ten publications involving undergraduate authors may be included for each of the key personnel; (5) Signed letters of commitment documenting collaborative arrangements of significance to the proposal, e.g., where the awardee and performing organizations are different, where faculty or facilities of more than one institution are to be employed, etc.Äbut letters of endorsement are not permitted.

• Sec. J. Appendices. All information necessary for the review of a proposal should be contained in Proposal Sections A through I. In those instances where additional content is deemed necessary, the proposer should contact the appropriate Program Director to obtain explicit approval and then follow the instructions for Deviation Authorization in GPG (Chap. II, Sec. A). Only under unusual circumstances will such additional proposal content be allowed.

Proposals must be postmarked by September 15 to ensure inclusion in the competitive review process. Fifteen copies of the complete proposal must be submitted to:

REU ANNOUNCEMENT NO. NSF 96-102
NATIONAL SCIENCE FOUNDATION PPU
4201 WILSON BOULEVARD, ROOM P60
ARLINGTON, VA 22230

B. REU SUPPLEMENTS

• A proposal for a new grant or cooperative agreement should be sent to the NSF Proposal Processing Unit.
• Requests for support of REU activity through a supplement to an ongoing NSF grant or cooperative agreement should be in the form of a letter sent directly to the cognizant NSF Program Director for that award.

The letter should be signed by both the principal investigator and the appropriate institutional official. It should state clearly that this is an REU Supplement request, and should articulate in some detail the form and nature of each prospective student's involvement in the research project. If the student has not been preselected, a brief description of the selection process and criteria should be included. If the student has been preselected, the grounds for selection and a brief biographical sketch of the student should be included. Normally, funds may be available for up to two students, but exceptions will be considered for training additional qualified students who are members of underrepresented groups (women, minorities, and persons with disabilities). The Principal Investigator's experience in involving undergraduates in research (including any previous REU Supplement support) should be described.

The request letter should be accompanied by the REU PROJECT SUMMARY FORM (see Appendix 1) and a signed budget page including information about the funds requested for student support and their proposed use. Use NSF Form 1030 (found in GPG) for this purpose. As a guide to budget development, student stipends for summer projects are expected to be at least $1,000 per month, with academic-year stipends comparable on a pro rata basis. All student costs should be entered at line F of Form 1030. Indirect costs for REU awards are not allowed; however, an administrative allowance limited to 25% of the student stipend support is allowed (enter at line I of Form 1030). Total costs per year are expected to be typically about $5,000 per student. [N.B.: This is a guideline figure, neither a floor nor a ceiling.]

In the case of requests that are submitted simultaneously with those for new or renewal support, attach the letter of request, the REU PROJECT SUMMARY FORM (see Appendix 1), and a separate Form 1030 for the REU activity to the full proposal being submitted. A summary budget page (Form 1030) for the entire project (including REU activity) must be included. If applicable, be sure to attach a statement on results from previous REU support.

III. PROPOSAL REVIEW

REU Sites proposals will be examined by external merit review, involving scientists, engineers, and mathematicians.

REU Supplements proposals will be reviewed internally by NSF program staff. The same general review criteria will be applied to all REU proposals: