- OVERVIEW
The Grant Proposal Guide (GPG) provides guidance for the preparation and submission of
proposals to NSF. Some NSF programs have program solicitations that modify the general
provisions of this Guide, and, in such cases, the guidelines provided in the solicitation must
be followed. Contact with NSF program personnel prior to proposal preparation is encouraged.
The Foundation considers proposals submitted by organizations on behalf of individuals or
groups for support in most fields of research. Interdisciplinary proposals also are eligible
for consideration.
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 project or invention. 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. Research in bioengineering, with diagnosis or treatment-related
goals, however, 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 also is eligible.
The NSF Website provides the most comprehensive source of information on NSF Directorates
(including contact information), programs and funding opportunities. Use of this Website by
potential proposers is strongly encouraged. In addition, the NSF Custom News Service is an
information-delivery system designed to keep potential proposers and other interested parties
apprised of the issuance of new program announcements and solicitations (as well as other NSF
publications and policies) through e-mail or the user's Web browser. Subscribers are informed
each time new publications are issued that match their identified interests. The Custom News
Service also is available on NSF's Website.
Research proposals to the Biological Sciences Directorate (not proposals for conferences or
workshops) cannot be duplicates of proposals to any other Federal agency for simultaneous
consideration. The only exceptions to this rule are: (1) when the proposers and program
officers at relevant Federal agencies have previously agreed to joint review and possible
joint funding of the proposal; or (2) proposals for PIs who are beginning investigators
(individuals who have not been a principal investigator (PI)1 or co-principal investigator
(co-PI) on a Federally funded award with the exception of doctoral dissertation, postdoctoral
fellowship or research planning grants). For proposers who qualify under this latter
exception, the box for "Beginning Investigator" must be checked on the proposal Cover Sheet.
- THE PROPOSAL
The proposal should present the (1) objectives and scientific, engineering, or educational
significance of the proposed work; (2) suitability of the methods to be employed;
(3) qualifications of the investigator and the grantee organization
2 ; (4) effect of the
activity on the infrastructure of science, engineering and education; and (5) amount of
funding required. It should present the merits of the proposed project clearly and should be
prepared with the care and thoroughness of a paper submitted for publication. Sufficient
information should be provided so that reviewers will be able to evaluate the proposal in
accordance with the two merit review criteria established by the National Science Board.
(See Chapter III for additional information on the NSF processing and review of proposals.)
NSF expects strict adherence to the rules of proper scholarship and attribution. The
responsibility for proper attribution and citation rests with authors of a proposal; all parts
of the proposal should be prepared with equal care for this concern. Serious failure to adhere
to such standards can result in findings of research misconduct. NSF policies and rules on
research misconduct are discussed in Grant Policy Manual (GPM) Section 930 as well as in 45
CFR Part 689.
The Metric Conversion Act of 1975, as amended, and Executive Order 12770 of 1991 encourage
Federal agencies to use the Metric System (SI) in procurement, grants and other
business-related activities. Proposers are encouraged to use the Metric System of weights and
measures in proposals submitted to the Foundation. Grantees also are encouraged to use metric
units in reports, publications and correspondence relating to proposals and awards.
PROPRIETARY OR PRIVILEGED INFORMATION
Patentable ideas, trade secrets, privileged or confidential commercial or financial
information, disclosure of which may harm the proposer, should be included in proposals only
when such information is necessary to convey an understanding of the proposed project. Such
information must be clearly marked in the proposal and be appropriately labeled with a legend
such as,
"The following is (proprietary or confidential) information that (name of proposing
organization) requests not be released to persons outside the Government, except for purposes
of review and evaluation."
Such information also may be included as a separate statement. If this method is used, the
statement must be submitted electronically as a single-copy document in the Proposal
Preparation module in the FastLane system. (See also Chapter II, Section C.1 for further
information regarding submission of single-copy documents.)3
The box for "Proprietary or Privileged Information" must be checked on the proposal Cover
Sheet when the proposal contains such information. While NSF will make every effort to prevent
unauthorized access to such material, the Foundation is not responsible or in any way liable
for the release of such material. (See also Chapter VI, Section J, "Release of Grantee
Proposal Information.")
- WHO MAY SUBMIT PROPOSALS
Scientists, engineers and educators usually initiate proposals that are officially submitted
by their employing organization. Before formal submission, the proposal may be discussed with
appropriate NSF program staff. Graduate students are not encouraged to submit research
proposals, but should arrange to serve as research assistants to faculty members. Some NSF
divisions accept proposals for Doctoral Dissertation Research Grants when submitted by a
faculty member on behalf of the graduate student. The Foundation also provides support
specifically for women and minority scientists and engineers, scientists and engineers with
disabilities, and faculty at primarily undergraduate academic institutions.
CATEGORIES OF PROPOSERS
Except where a program solicitation establishes more restrictive eligibility criteria,
individuals and organizations in the following categories may submit proposals:
1. Universities and colleges - US universities and two-and four-year colleges
(including community colleges) acting on behalf of their faculty members.
2. Non-profit, non-academic organizations - Independent museums, observatories, research
laboratories, professional societies and similar organizations in the US that are directly
associated with educational or research activities.
3. For-profit organizations - US commercial organizations, especially small businesses with strong capabilities in scientific or engineering research or education. An unsolicited proposal from a commercial organization may be funded when the project is of special concern from a national point of view, special resources are available for the work, or the proposed project is especially meritorious. NSF is interested in supporting projects that couple industrial research resources and perspectives with those of universities; therefore, it especially welcomes proposals for cooperative projects involving both universities and the private commercial sector.
4. State and Local Governments - State educational offices or organizations and local
school districts may submit proposals intended to broaden the impact, accelerate the pace, and
increase the effectiveness of improvements in science, mathematics and engineering education in
both K-12 and post-secondary levels.
5. Unaffiliated Individuals - Scientists, engineers or educators in the US and US
citizens may be eligible for support, provided that the individual is not employed by, or
affiliated with, an organization, and:
- the proposed project is sufficiently meritorious and otherwise complies with the
conditions of any applicable proposal-generating document;
- the proposer has demonstrated the capability and has access to any necessary facilities to
carry out the project; and
- the proposer agrees to fiscal arrangements that, in the opinion of the NSF Division of
Grants & Agreements, ensure responsible management of Federal funds.
Unaffiliated individuals should contact the appropriate program before preparing a proposal
for submission.
6. Foreign organizations - NSF rarely provides support to foreign organizations. NSF will
consider proposals for cooperative projects involving US and foreign organizations, provided
support is requested only for the US portion of the collaborative effort.
7. Other Federal agencies - NSF does not normally support research or education activities
by scientists, engineers or educators employed by Federal agencies or Federally Funded Research
and Development Centers (FFRDCs). A scientist, engineer or educator, however, who has a joint
appointment with a university and a Federal agency (such as a Veterans Administration Hospital,
or with a university and a FFRDC) may submit proposals through the university and may receive
support if he/she is a bona fide faculty member of the university, although part of his/her
salary may be provided by the Federal agency. Under unusual circumstances, other Federal
agencies and FFRDCs may submit proposals directly to NSF. Preliminary inquiry should be made
to the appropriate program before preparing a proposal for submission.
- WHEN TO SUBMIT PROPOSALS
Many NSF programs accept proposals at any time. Other programs, however, establish target
dates, deadlines or submission windows for submission of proposals to allow time for their
consideration by review panels that meet periodically. These target dates
4, deadlines
5, and
submission windows
6 are published in specific program announcements and solicitations that can
be obtained from the NSF Clearinghouse at pubs@nsf.gov or electronically through the NSF
Website7. Unless
otherwise stated in a program announcement or solicitation, proposals must be
received by the specified date (and time, where indicated.) If the deadline date falls on a
weekend, it will be extended to the following Monday; if the date falls on a holiday, it will
be extended to the following business day. Inquiry about submission also may be made to the
appropriate NSF program office.
Proposers should allow up to six months for programmatic review and processing (see Chapter
III for additional information on the NSF merit review process). In addition, proposers should
be aware that the NSF Division of Grants and Agreements generally makes awards to academic
institutions within 30 days after the program division makes its recommendation. Grants being
made to organizations that have not received an NSF award within the preceding two years, or
involving special situations (such as coordination with another Federal agency or a private
funding source), cooperative agreements, and other unusual arrangements may require additional
review and processing time. Proposals that are time sensitive (e.g., conference, group travel,
and research involving ephemeral phenomena) only will be accepted for review if, in the opinion
of the cognizant Program Officer, they are received in sufficient time to permit appropriate
NSF review and processing to support an award in advance of the activity to be supported.
Every effort is made to reach a decision and inform the proposer promptly. Until an award is
made, NSF is not responsible for any costs incurred by the proposing organization.
- HOW TO SUBMIT PROPOSALS
1. Electronic Requirements
Proposals to NSF must be submitted electronically via the FastLane system
8. For proposers
who cannot submit electronically, a deviation must be approved in advance of submission of the
paper proposal in accordance with GPG Chapter II, Section A, Conformance with Instructions for
Proposal Preparation.
Upon receipt of the proposal by NSF, proposals are generally converted to hard copy for
distribution to the reviewer community. The rationale for this step is that the wide variance
of equipment available to reviewers may not, at this time, assure that an all-electronic review
process would be successful or totally fair to proposers. In the near future, NSF envisions
that it will be possible to avoid this printing step and send proposals out for review solely
by electronic means.
Special instructions for proposals that contain high-resolution graphics or other
graphics where exact color representations are required for proper interpretation by the
reviewer
For cost and technical reasons, the Foundation cannot, at this time, reproduce proposals
containing color. Therefore, PIs generally should not rely on colorized objects to make their
arguments. PIs who must include in their project descriptions high-resolution graphics or
other graphics where exact color representations are required for proper interpretation by the
reviewer, must submit the required number of copies of the entire paper proposal, including a
paper copy of the proposal Cover Sheet, for use in the review process. This submission is in
addition to, not in lieu of, the electronic submission of the proposal via FastLane. Given
that some NSF programs have converted to use of a primarily electronic review process, PIs are
strongly encouraged to contact the cognizant program officer prior to submission of the paper
copies of a proposal.
Upon submission of the proposal, the proposing organization will be notified of the required
number of paper copies of the proposal that must be submitted to NSF. The exact number of
copies required will appear in an electronic message at the time of FastLane submission and
will depend on the NSF Division selected.
9 Such proposals must be postmarked (or provide a
legible proof of mailing date assigned by the carrier) within five working days following the
electronic submission of the proposal.
2. Submission Instructions
A proposal needs to be submitted only once to NSF, even if the proposer envisions review by
multiple programs. The submission of duplicate or substantially similar proposals concurrently
for review by more than one program without prior NSF approval may result in the return of the
redundant proposals. (See Chapter IV, Section B, Return Without Review, for further
information.)
In submission of a proposal for funding, the Authorized Organizational Representative (AOR)
10 is required to provide certain
proposal certifications. (See Chapter II, Section C.1.e for listing.) This process can
concurrently occur with submission of the proposal for those organizations where the individual
authorized to submit a proposal to NSF also is a designated AOR, or as a separate function for
those organizations that choose to keep the certification process separate from the submission
function. For those organizations that designate separate authorities in FastLane for these
functions, the AOR must provide the required certifications within 5 working days following
the electronic submission of the proposal.
11
A proposal may not be processed until NSF has received the complete proposal (including the
electronic certifications from the AOR.)
3. Proposal Receipt
Once the proposal is submitted, PIs can access the number assigned to the proposal via the
"Submitted Proposals" list in the FastLane Proposal Preparation module. If a proposal number
is not reflected in the FastLane System, contact the FastLane Help Desk at (800) 673-6188, or
(703) 292-8142 or by e-mail to fastlane@nsf.gov.
When the proposal is assigned to an NSF program, the cognizant program information is
available through the FastLane "Proposal Status Inquiry" function for PIs and through the
"Recent Proposals" report for sponsored projects offices. Communications about the proposal
should be addressed to the cognizant Program Officer with reference to the proposal number.
Proposers are strongly encouraged to use FastLane to verify the status of their submission to
NSF.