This section gives basic information needed to submit a proposal. Proposers should also consult the Grant Proposal Guide (GPG, NSF 99-2) and the Proposal Forms Kit (PFK, NSF 99-3) for additional guidance and required forms. To facilitate proposal preparation, answers to Frequently Asked Questions are available at the NSF Web site <https://www.nsf.gov/bfa/cpo/policy/ques.htm>.
DUE now requires use of the NSF FastLane system for some proposal submission and grant administration functions (see the FastLane information on pages ii-iii). FastLane can be accessed from NSF's home page on the World Wide Web.
Except as modified by the guidelines set forth in this announcement (in particular, the maximum page limits given on page 21 and guidelines for appendices on page 24), standard NSF guidelines contained in GPG are applicable.
More information is contained in the NSF Grant Policy Manual (NSF 95-26), available from the NSF Web site or by subscription from the Superintendent of Documents, Government Printing Office, Washington, DC 20402. In the event that the submitting organization has never received an NSF award, it is recommended that appropriate administrative officials become familiar with the NSF policies and procedures contained in the Grant Policy Manual, sections 500-501.3. If a proposal from such an institution is recommended for an award, the NSF Division of Grants and Agreements will request certain required organizational, management, and financial information.
DUE staff often provide informal guidance to proposers. The advice most frequently sought has been collected in A Guide for Proposal Writing (NSF 98-91). For examples of DUE-funded projects, refer to the DUE Project Information Resource System (see page 29).
A. All preliminary proposals (except those for ATE Special Activities) must include:
1. Cover Sheet (NSF Form 1207, 10/98) completed and signed by the PI(s). Other institutional signatures are not required at the preliminary proposal stage.
2. Project Data Form (NSF Form 1295, 10/98). The information on this form will be used to direct the preliminary proposal to appropriate reviewers.
3. Project Summary. This should be a clear, concise, self-contained description of the proposed project and should not exceed 22 single-spaced lines.
4. Project Description, not to exceed 6 single-spaced pages. The format must be readily legible. Use no less than 2.5-cm margins, and a standard font with font size no smaller than 12 point. Print only on one side of the page.
The preliminary proposal should express the conceptual design of the full proposal. Sufficient detail must be provided so that reviewers can evaluate the potential success of the project. The Project Description must address:
5. A One-page Estimated Yearly Budget plus a one-page budget explanation that provides enough detail for reviewers to understand how funds would be used. It is not necessary to use the NSF Budget Form 1030. However, the estimated budget should be broken out by project year and separated into categories for salaries, equipment, supplies, travel, other direct costs, and indirect costs (at a Federally approved rate), and within each category sufficient detail should be provided about the purpose and allocation of funds. Estimated contributions by other partners in the alliance should be indicated. Equipment funds must be matched by non-Federal funds equal to or greater than funds requested from NSF.
6. A Curriculum Vitae (maximum of two pages) for each of the principals involved in the project. The vitae should show the expertise necessary to conduct the project.
Do not include appendices or attachments such as letters of support, curriculum documentation, etc.
Submit ten (10) copies of the preliminary proposal, postmarked no later than midnight of the deadline date, to:
ALLIED TECHNOLOGY GROUP, INC.
NSF/DUE PROGRAM _______ [either ATE or CETP]
ANNOUNCEMENT NO 99-53
1803 RESEARCH BLVD., SUITE 601
ROCKVILLE, MD 20850
Preliminary proposals cannot be submitted via NSF's FastLane system.
A subset of applicants will be encouraged to submit formal proposals. The time between the deadline for submission of preliminary proposals and the reply from NSF will be approximately six weeks for CETP and ten weeks for ATE.
B. Preliminary Proposals for ATE Special Activities:
See the instructions in the ATE section under "f. Special Activities" on page 17.
The formal proposal for all programs should contain the following information, assembled in the order indicated:
1. Cover Sheet (NSF Form 1207, 10/98)
2. Information about Principal Investigators (NSF Form 1225, 10/98)
3. Project Data Form (NSF Form 1295, 10/98)
4. Project Summary
5. Table of Contents (NSF Form 1359, 10/98)
6. Project Description, including Results from Prior NSF Support
7. References Cited
8. Biographical Sketches
9. Budget (NSF Form 1030, 10/98) and Budget Justification
10. Current and Pending Support (NSF Form 1239, 10/98)
11. Appendices (if any)
All forms are available in the Proposal Forms Kit (PFK NSF 99-3) or the Grant Proposal Guide (GPG NSF 99-2) except the Project Data Form (NSF Form 1295), which is included in this Program Announcement.
The Cover Sheet (NSF Form 1207, 10/98) should be fully completed with the information requested in the GPG. Most of the items are self-explanatory. One copy must carry the original signature of the PI(s) and the Authorized Organizational Representative.
Be sure to indicate both the program and track to which the proposal is being submitted. If a preliminary proposal was submitted, indicate the number that was assigned to it.
Note that if funds for this project are being requested from another Federal agency or another NSF program, this must be indicated on the cover sheet. If funds are requested after the proposal is submitted, send a letter so stating to DUE, identifying the proposal by its NSF number.
The Title should include informative key words that indicate, for example, the discipline, the target audience, and the nature of the problem or innovative solution.
Submit a copy of NSF Form 1225 (10/98) for each PI and Co-PI. Attach the form(s) to the original signature copy of the proposal. Do not include the form(s) with any of the other copies of the proposal, since this would compromise the confidentiality of the information. Although providing the requested information is voluntary, submitting this form is required by NSF. Omitting this form will delay proposal processing.
The information on the Project Data Form (NSF Form 1295) is used to direct the proposal to appropriate reviewers and to announce and advertise the nature of NSF-supported projects. See the instructions on pages 30-31 for completing this form. If the project intends to address women, underrepresented minorities, or persons with disabilities as an audience, the proposal should explicitly describe features that will result in increased participation by, and success of, these groups. The numbers given concerning student impact should be as accurate as possible.
The Project Summary should be a clear, concise, self-contained description of the project that would result if the proposal is funded by NSF. It should be informative to other persons working in the same or related fields, and insofar as possible, understandable to a scientifically literate reader. It should not contain extraneous descriptions of the institution, department, or PIs. In no more than 22 single-spaced lines the summary should describe: the problem(s) being addressed by the proposal; the objectives and expected outcomes including products; the activities used to accomplish the objectives; and, as appropriate, what special audiences are targeted by the project; notable collaborations with other institutions; and which DUE themes apply (i.e. teacher preparation, diversity, faculty development, or integration of technology in education).
Text in this section of a formal proposal should be double-spaced (3 lines per 2.5 cm). The format must be readily legible. Use no less than 2.5-cm margins, and a standard font with font size no smaller than 12 point. Print only on one side of the page. Obey the following page limits:
PROGRAM
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CCLI Educational Materials Development: |
PAGE LIMIT |
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15 |
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30 |
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CCLI Adaptation & Implementation |
15 |
|
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CCLI National Dissemination |
30 |
|
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CETP Institutional Focus and System-wide Focus |
30 |
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ATE Projects and Centers |
30 |
|
DUE will not accept proposals in which the Project Description (including Results from Prior NSF Support) exceeds these page limits.
This section of the proposal presents most of the information that determines whether or not the proposal will be recommended for an award. Write the proposal to respond to criteria, as described in this document, that will be used by reviewers in judging the merit of the proposal.
Results from Prior NSF Support
If the prospective PI or Co-PI(s) has received support from NSF pertaining to undergraduate education in the past five years, briefly describe the earlier project(s) and outcomes or present progress. Do not list research funding unless those projects have a direct bearing on the new proposal. Provide sufficient detail to permit a reviewer to reach an informed conclusion regarding the value of the results achieved. Include the NSF award number, amount and period of support, the title of the project, a summary of the results of the completed work, and a list of publications and formal presentations that acknowledged the NSF award (do not submit copies with the proposal). Be aware that, for any completed NSF-funded project, the PI must have submitted a Final Project Report, or no new grant can be awarded (see page 29).
Project Description
This description of the project should contain:
a) Project Overview: Briefly summarize the project, clearly stating goals and objectives, planned activities, general organizational structure (highlighting major participants), general schedule for activities, and expected outcomes.
b) Goals and Objectives: Describe the goals clearly and concisely, relating them to local needs and resources within the context of national concerns and recent trends.
c) Detailed Project Plan: This should be the longest section of the Project Description. Describe the project's features, clearly delineating the need or problem you will address, what you plan to do, how you plan to do it, the timetable for executing the project, and the facilities and resources available for realizing the project's objectives.
Where appropriate, include evidence of past successes that supports the methods you plan to adopt; such evidence may come from the current literature or from pilot programs. The literature cited in the bibliography should reflect an understanding of the knowledge base in the field in which the problem or question is posed. Appropriate literature on research in teaching and learning should be cited. Any literature cited should be clearly and specifically related to the proposed project, and it should be clear to a reader how the information in a reference has played a role in the design of the project.
Describe as well the organizational structure of the project including any current barriers to inter-departmental or inter-institutional collaboration, as appropriate, and your plans to overcome these problems. Indicate how the project will be self-sustained at the conclusion of NSF support.
d) Experience and Capability of the Principal Investigator(s): Briefly describe the experience and capability of the PI(s). Include a brief description of the rationale for including the specific faculty members and institutional components within the project. State the role of each and cite the expertise that each will contribute to the project.
e) Evaluation Plan (see also page 5): Describe the criteria that will be used to evaluate the quality and impact of the project, how student learning will be assessed to reflect the proposed educational objectives and practices, the process for collecting and analyzing information at the applicant's institution or from others involved in pilot testing of materials developed, and the use of the information for monitoring the progress of the project. Provide a timeline for the evaluation activities. Describe the qualifications of the individuals who will perform the evaluation tasks or serve on an advisory committee to provide general advice on the project's concept and conduct. The independence of such individuals from the PI should be evident. The breadth of the evaluation plan and the composition of an advisory committee should be appropriate to the size and complexity of the project.
For very large projects (generally those requesting $500,000 or more), plans should include a National Visiting Committee (NVC). NVCs provide advice to the project staff, assess the plans and progress of projects through reports to the project leadership and to NSF, and enhance dissemination of the project's products. NSF will work with the proposer during the award process to finalize NVC membership and budget details.
f) Dissemination of Results (see also page 5): Describe plans to communicate the results of the project to other professionals in the SMET and education communities, both during and after the project, and to disseminate products. Designate the audience to be reached and describe the information or materials to be disseminated (e.g., textbooks, laboratory manuals, software, multimedia materials); how the material will be made available to other institutions; the means of dissemination (e.g., faculty development workshops, journal articles, conference presentations, electronic networks and media); the nature of technical assistance available to support implementation; and procedures for determining success of the dissemination effort. If significant use of information technology is proposed, describe the procedures to maintain the quality and currency of the material, to provide user support, to publicize the availability of materials, and to assess the impact of the project. Plans for involving commercial publishers in the production, marketing, and dissemination of all appropriate products should be provided.
Special instructions for equipment requests:
The equipment requested must be appropriate for the project's objectives. The Project Description must show how the proposed curriculum improvement will incorporate the requested equipment, and how the equipment will be used to improve student learning. A proposal seeking support for equipment for several unrelated projects or for a list of equipment to be used in unrelated ways is not appropriate.
In addition to the material cited above under c) Detailed Project Plan, include:
1) Equipment Request: Here answer the question, "Is each item of requested equipment actually needed to implement this development, is it the right piece of equipment for the job, and is the request appropriate for the department?" Indicate briefly how each major equipment item requested will be used to enhance learning. Also indicate why the particular equipment was chosen, what alternatives were considered and rejected, and why. Reviewers do not need to be told what functions a given piece of equipment can perform unless those functions are unusual. Establish the precise correlation between the subject matter developments and the items of equipment being requested. In the event of an award, any items regarded by NSF as ineligible or inadequately justified will be deleted from the authorized list of purchases.
Specifically explain requests for 1) apparatus of a quality or cost not usually encountered in undergraduate instruction; 2) equipment which is to be fabricated rather than purchased as a unit; or 3) purchases which might appear to be at variance with the academic setting in which the project would operate. Justification of these items must be related to the improvement of undergraduate education. Arguments based on enhancement of graduate-level courses, improvement of faculty research capabilities, or other activities outside the scope of undergraduate education are inappropriate.
2) Equipment on Hand for the Project: Answer the question, "Has there been a thorough inventory of current equipment and does the project plan to make full use of this equipment?" Discuss major equipment on hand that will be available for the project, but that is not included in this request. Describe how the requested equipment will fit into the department's current holdings.
3) Implementation and Equipment Maintenance: Answer the question, "Is a reasonable plan presented to ensure a maximum usable lifetime for the equipment?" Briefly, but explicitly, outline the institution's plan for starting the project and for maintaining the equipment beyond the duration of the grant.
Refer to GPG for guidelines.
Provide a biographical sketch of no more than two pages for each person listed as Senior Personnel on the NSF Budget Form 1030. For CETP proposals, biographical sketches of other participants may be included but may not exceed one page per person. Refer to GPG for what information must be included within the two-page limit.
See NSF Form 1030 (10/98) and the instructions in GPG, and those in this document under each program. Text for budget justification is limited to a total of no more than 3 single-spaced or 6 double-spaced pages for all budget years, except for the CETP System-wide Focus proposals, where the limits are 5 single-spaced or 10 double-spaced pages.
For all programs, it is expected that the majority of the funds requested be for personnel time and costs related to development and implementation of new courses and curricula, and/or equipment for laboratory improvement. For multi-institutional submissions, the budget explanation should include the contributions of each institution and the amount each will receive from the grant. For multi-year projects, the results of the project are expected to be integrated into the academic programs of the institutions within the period of the award, and therefore it is expected that the budgets will reflect the assumption of responsibility by the participating institution(s) as the educational innovations are fully implemented.
NSF funds may not be used to support expenditures that would have been undertaken in the absence of an award, such as the costs for routine teaching activities including curriculum development.
Institutional Matching Requirements
In all DUE programs, requests for equipment must be matched by funds or equipment from non-Federal sources equal to or greater in value than the funds requested from NSF. To qualify as matching, these resources must be used specifically for the equipment (or its equivalent) listed in the budget approved for the project. For CCLI Adaptation & Implementation proposals only, the entire budget request must be matched by non-Federal resources equal to or greater in value than the funds requested from NSF. The non-equipment portions of the budget may be matched in the form of funds, equipment, personnel time, etc., and may be provided from the institution(s), industry, foundations, or other non-Federal sources.
For the equipment match, an institution may obligate its matching funds or receive gifts of equipment to be counted toward matching at any time following the program deadline date under which the awarded proposal was submitted, but before the grant expiration date specified in the grant document. This normally provides a lengthy period during which the institution must fulfill the requirement to match NSF equipment funds. For all other categories of matching (e.g., personnel time) an institution may obligate its matching funds at any time following the award effective date but before the grant expiration date specified in the grant document.
For all programs, the cost-sharing amount must be entered on Line M of NSF Budget Form 1030. Any cost-sharing commitments should be described in the budget justification detailing the funds requested from NSF, the non-Federal matching funds, and the total project costs. These cost-sharing commitments will be referenced and included as a condition of an award.
Workshops
In proposals that involve professional development workshops, it is generally expected that the home institutions of the faculty participants will bear the cost of travel to and from the workshop. However, on ATE proposals some travel costs for preK-12 teachers and college faculty may be included in project budgets. In CCLI-A&I proposals travel costs paid by the grantee institution may be counted towards the institutional match requirement.
In all DUE programs, the NSF grant may include participant support costs for subsistence (lodging and meals) during the workshop. In addition, funds may be requested for a stipend of up to $60 per day of the workshop for participants. Requests for such stipends must be specific to the target audience and fully justified; for example, to assure participation by faculty with few professional development opportunities or from resource-poor institutions. No tuition or other fees may be charged to the participants. Note that indirect costs may not be charged on participant support costs. The host institution is expected to provide the facilities and equipment necessary to operate the project, and therefore NSF will ordinarily support no permanent equipment or facilities. The host institution is also expected to cover the expenses incurred by their own faculty participants.
With the exceptions noted above, the NSF grant may provide for planning and provision of the workshop, follow-through activities, participant support, and indirect costs. The total cost per participant-day varies considerably depending on the proposed activity.
Special instructions for equipment requests:
Preparation of Equipment Budget and Justification
a) Reviewers must be able to recognize the function of the requested equipment. Therefore, on a separate page list all individual items by a descriptive name and the probable brand, model, and price. Such selections may be changed after an award.
b) Budget items may be either single items meeting the minimum cost required ($500), or part(s) of a functional unit where the sum of the components meets the minimum cost requirement. A functional unit is an assemblage of instruments, modules, and components that together perform a specific task or that will normally be used together. Each component of a functional unit must be itemized and the cost indicated; the subtotal for the entire unit should be entered as the unit cost.
c) Many equipment manufacturers routinely offer educational or institutional discounts. In preparing the budget, contact manufacturers or distributors to obtain discounted prices. On the detailed equipment budget page show both the list price and the discounted price used to compute the total cost of the project. If it is possible to negotiate on an individual basis a special discount not routinely available to educational institutions, list the usual discounted price in the project's budget. The amount by which the special discount exceeds the standard educational discount may be counted as matching funds.
Eligible Equipment Items
For proposals submitted to DUE programs, each item or functional unit of equipment must have a minimum unit acquisition cost of $500 and an expected service life of more than one year.
a) Scientific and computing equipment, to be used in any phase of undergraduate SMET education, may be requested. The equipment must be for use in specific curricular improvements discussed in the Project Description. Purchase of software essential to the scientific, technical, and educational objectives of the project is permitted. Each software package must be itemized, justified, and the cost indicated. Software ordered in conjunction with new computing equipment is regarded as part of a functional unit and, accordingly, need not cost $500 in order to be eligible.
Construction of equipment, including material and labor costs, is allowed. Sufficient justification must accompany requests for equipment construction funds, such as a detailed explanation of the advantages of the proposed units over commercially available items. Requests for equipment fabrication must be supported by drawings, diagrams, parts lists, and estimates for labor charges, as appropriate. Any use of project funds (NSF or institutional matching funds) for the modification or construction of laboratories or other buildings, or for the installation of equipment, is specifically prohibited.
Equipment assembly costs for on-site assembly of multi-component instruments, as distinct from equipment installation or building or laboratory modification, are allowable. Specialized safety equipment may be purchased where necessary for the safe utilization of the equipment requested.
b) Shipping costs, if not included in the purchase price, should be separately itemized. Reasonable estimates should be used, as opposed to a percentage of equipment costs.
c) Required taxes may be included if the institution cannot be exempted from paying them.
Ineligible Equipment Items
In any DUE project, neither NSF funds nor institutional matching funds may be used to purchase:
All external support to the PI(s), including the proposed project, must be listed on NSF Form 1239. This information is needed to ensure that project leaders will have time to conduct the project and there is no duplication of support.
For all programs:
Appendices should be relevant and concise. For materials development proposals, a sample of prior work or work in progress is recommended.
For CETP proposals:
Letters of support from the President, Dean of Arts and Sciences or Engineering, and Dean of the School of Education from the submitting institution are required. These letters should cite specific policies and activities they will pursue: to recognize the importance of the project to the campus; to encourage faculty and departments to participate in the project (e.g., reward and recognition for grant-related efforts including full credit for education related publications); to enable faculty and departments to implement project goals (e.g. needed renovation of learning spaces, support for faculty to attend workshops, support for data gathering through the registrar); and to establish increased institutional recognition of the importance of SMET department participation in teacher preparation in partnership with education departments and school districts. The total number of pages in the combined appendices may not exceed 15 single-spaced or 30 double-spaced pages, including any letters of support from participating institutions or individuals.
Note: At present, NSF's FastLane system makes no explicit provision for submitting appendices. Proposers using FastLane have two options: (1) They may mail the required number of copies of appendices (10 copies for ATE and CCLI proposals; 15 copies for CETP proposals) along with the signed Cover Sheet and the Project Data Form (see below). (2) If proposers have appendices in electronic format (e.g., as word-processed documents), they may include them as part of the "Project Description" in FastLane; in this case, the appendix or appendices should begin on a new page (following the Project Description proper) and should be clearly labeled "Appendix" or "Appendix A," "Appendix B," etc. For proposers who choose Option (2), the added appendix pages will not count against the page limits for the Project Description.
FastLane Submission:
DUE now requires use of the NSF FastLane system for some proposal submission functions; see page iii for details. For proposals submitted via FastLane, the signed Cover Sheet, the Project Data Form, and multiple copies of Appendices (see "Note" above) should be mailed to the address for paper submissions below and received within five working days following the FastLane proposal submission. (For DUE programs, do not mail the Cover Sheet, etc., to the NSF address specified for electronic submissions in the GPG, Chapter I, Paragraph F.)
Paper Submission:
For paper submissions, the required materials should be postmarked no later than the program deadline date and sent in a single package to:
ALLIED TECHNOLOGY GROUP, INC.
NSF/DUE ____________ [enter Program and Track]
ANNOUNCEMENT NO. 99-53
1803 RESEARCH BLVD., SUITE 601
ROCKVILLE, MD 20850
The following materials must be included in the submission:
The following requirements also must be met:
Don'ts: