Preparing and Submitting Proposals to the National Science Foundation (NSF) Nancy Daneau Kimberly Schulman NYU Office of Sponsored Programs (OSP) July

Preparing and Submitting Preparing and Submitting Proposals to the National Proposals to the National

Science Foundation (NSF)Science Foundation (NSF)Nancy DaneauNancy Daneau

Kimberly SchulmanKimberly Schulman

NYU Office of Sponsored Programs (OSP)NYU Office of Sponsored Programs (OSP)

July 26, 2007July 26, 2007

AgendaAgenda

MaterialsMaterials About the NSFAbout the NSF Electronic SystemsElectronic Systems Nuts and Bolts of Putting Together a Nuts and Bolts of Putting Together a

ProposalProposal Review CriteriaReview Criteria Hints and TipsHints and Tips ResourcesResources

About the NSFAbout the NSF

Independent Federal AgencyIndependent Federal Agency Unique: Responsible for overall health of Unique: Responsible for overall health of

science and engineering across all science and engineering across all disciplinesdisciplines• Other Federal agencies support research Other Federal agencies support research

focused on specific missionsfocused on specific missions Awards 25% of all Federal funding going to Awards 25% of all Federal funding going to

academic institutions for basic researchacademic institutions for basic research• 2,000+ recipients2,000+ recipients

What NSF is NOTWhat NSF is NOT Does not fundDoes not fund

• Technical assistanceTechnical assistance• Research requiring security classificationResearch requiring security classification• Development of products for commercial Development of products for commercial

marketingmarketing• Market research for inventionsMarket research for inventions• Research with disease-related goals (unless Research with disease-related goals (unless

bioengineering which applies engineering bioengineering which applies engineering principles to problems in biology and medicine)principles to problems in biology and medicine)

• Development or testing of drugsDevelopment or testing of drugs• Construction of public worksConstruction of public works• No grants to State and local governmentsNo grants to State and local governments

Proposal and Award StatisticsProposal and Award Statistics

NSF receives 40,000 proposals NSF receives 40,000 proposals annuallyannually

11,000 are funded11,000 are funded Receives several thousand Receives several thousand

applications forapplications for• Graduate fellowshipsGraduate fellowships• Postdoctoral fellowshipsPostdoctoral fellowships

NSF Organizational StructureNSF Organizational Structure

NSF Organizational Structure NSF Organizational Structure (cont’d)…(cont’d)…

Mechanisms to manage cross-cutting Mechanisms to manage cross-cutting interdisciplinary effortsinterdisciplinary efforts• Advisors from science & engineering communitiesAdvisors from science & engineering communities

50,000 scientists and engineers each year50,000 scientists and engineers each year• Serve on formal and ad hoc committeesServe on formal and ad hoc committees• Serve as peer reviewersServe as peer reviewers

Grants-funding divisions for each disciplineGrants-funding divisions for each discipline• Program officers Program officers

Scientists responsible for proposal review, funding Scientists responsible for proposal review, funding *recommendations*, and programmatic monitoring*recommendations*, and programmatic monitoring

**Not authorized to commit NSF funding**Not authorized to commit NSF funding• Grants and Agreements Officers (DGA)Grants and Agreements Officers (DGA)

Responsible for business, financial, administrative aspects, Responsible for business, financial, administrative aspects, pre-award through close-outpre-award through close-out

**Only individuals authorized to commit NSF funding**Only individuals authorized to commit NSF funding

Identifying NSF Funding Identifying NSF Funding OpportunitiesOpportunities

Types:Types:• Unsolicited (program descriptions and announcements that Unsolicited (program descriptions and announcements that

describe areas of interest to NSF directorates)describe areas of interest to NSF directorates)• Solicited (program announcement where NSF defines Solicited (program announcement where NSF defines

competition and sets a deadline for receipt of applications)competition and sets a deadline for receipt of applications) NSF Website NSF Website

• www.nsf.govwww.nsf.gov ““My NSF”My NSF”

• http://www.nsf.gov/mynsfhttp://www.nsf.gov/mynsf• Personalized emails that give you information on funding Personalized emails that give you information on funding

opportunities based on your identified interests, publications, opportunities based on your identified interests, publications, changes in proposal and award management, and upcoming changes in proposal and award management, and upcoming NSF regional grants conferencesNSF regional grants conferences

Grants.govGrants.gov• www.grants.govwww.grants.gov• Searchable databaseSearchable database

NSF Proposal & Award Policies & NSF Proposal & Award Policies & Procedures Guide (PAPPG)Procedures Guide (PAPPG)

One consolidated source for information One consolidated source for information relative to NSF proposals and awardsrelative to NSF proposals and awards• Found at: Found at:

http://www.nsf.gov/pubs/policydocs/papp/nsf07140.http://www.nsf.gov/pubs/policydocs/papp/nsf07140.pdfpdf

NSF Grants Proposal Guide (GPG) is NSF Grants Proposal Guide (GPG) is incorporated into the new PAPPG as Part Iincorporated into the new PAPPG as Part I

NSF Grant Policy Manual (GPM), now the NSF Grant Policy Manual (GPM), now the NSF Award & Administration Guide (AAG) NSF Award & Administration Guide (AAG) is incorporated into the new PAPPG as Part is incorporated into the new PAPPG as Part IIII

Submitting Proposals to NSFSubmitting Proposals to NSF

All proposals to NSF must be submitted electronicallyAll proposals to NSF must be submitted electronically• NSF Fastlane (https://www.fastlane.nsf.gov), ORNSF Fastlane (https://www.fastlane.nsf.gov), OR• Grants.gov (www.grants.gov)Grants.gov (www.grants.gov)

How do you know which one to use?How do you know which one to use?• Funding Opportunity instructions (remember, program Funding Opportunity instructions (remember, program

announcement instructions always take precedence)announcement instructions always take precedence)• All collaborative proposals submitted as separate submissions All collaborative proposals submitted as separate submissions

from the partnering institutions MUST be submitted via Fastlanefrom the partnering institutions MUST be submitted via Fastlane To submit via Fastlane, follow PAPPGTo submit via Fastlane, follow PAPPG

• http://www.nsf.gov/pubs/policydocs/papp/nsf07140.pdfhttp://www.nsf.gov/pubs/policydocs/papp/nsf07140.pdf To submit via Grants.gov, follow the NSF Grants.gov To submit via Grants.gov, follow the NSF Grants.gov

Application guideApplication guide• http://www.nsf.gov/bfa/dias/policy/docs/grantsgovguide.pdfhttp://www.nsf.gov/bfa/dias/policy/docs/grantsgovguide.pdf

NSF Fastlane CapabilitiesNSF Fastlane Capabilities Proposal prep and submissionProposal prep and submission

• Proposal file updates (can only be done by PI)Proposal file updates (can only be done by PI)• Revised budgetsRevised budgets

Check the status of proposals in the review Check the status of proposals in the review cycle cycle • Proposal Status InquiryProposal Status Inquiry

Submit project reportsSubmit project reports Post-award admin functionsPost-award admin functions

• Notifications and RequestsNotifications and Requests Change in PIChange in PI No-cost extensionsNo-cost extensions

How does one get an account through NSF Fastlane?How does one get an account through NSF Fastlane?OSP will help you, just go to: http://www.nyu.edu/osp/res/ for web-OSP will help you, just go to: http://www.nyu.edu/osp/res/ for web-

based registration in Fastlane and other systemsbased registration in Fastlane and other systems

Grants.govGrants.gov Single government-wide portal for finding and Single government-wide portal for finding and

applying for Federal grants on-lineapplying for Federal grants on-line• Unlike Fastlane, Grants.gov serves as a “mailbox” that is Unlike Fastlane, Grants.gov serves as a “mailbox” that is

limited to receiving and distributing to federal agencies limited to receiving and distributing to federal agencies electronic packageselectronic packages

• If NSF announcement requires use of grants.gov, follow If NSF announcement requires use of grants.gov, follow NSF Grants.gov application guide NSF Grants.gov application guide (http:/www.nsf.gov/bfa/dias/policy/docs/grantsgovguide.(http:/www.nsf.gov/bfa/dias/policy/docs/grantsgovguide.pdf)pdf)

General instructionsGeneral instructions NSF-specific instructionsNSF-specific instructions Grant application package instructionsGrant application package instructions NSF-specific forms and instructionsNSF-specific forms and instructions

• Once Grants.gov submitted proposal inserted into NSF Once Grants.gov submitted proposal inserted into NSF Fastlane, no other interaction with Grants.gov requiredFastlane, no other interaction with Grants.gov required

When to submitWhen to submit Target datesTarget dates

• Proposals can be submitted anytime on or Proposals can be submitted anytime on or before the target date before the target date

• If submitted after, they will be accepted but If submitted after, they will be accepted but may not be reviewed until the next panel may not be reviewed until the next panel meetingmeeting

Submission “windows”Submission “windows”• Periods of time during which you can submit a Periods of time during which you can submit a

proposalproposal• End of submission window converts to End of submission window converts to

“deadline”“deadline”

When to submit When to submit (cont’d)…(cont’d)…

Deadline datesDeadline dates• Firm dates after which proposals will not be Firm dates after which proposals will not be

accepted or reviewedaccepted or reviewed• If deadline falls on a weekend; automatically If deadline falls on a weekend; automatically

extended to the following Mondayextended to the following Monday• Deadlines falling on holidays move to the Deadlines falling on holidays move to the

following business dayfollowing business day• Deadlines are by COB local time (5 p.m.)Deadlines are by COB local time (5 p.m.)

Exceptions to deadlines Exceptions to deadlines • Natural disasters (contact your program officer Natural disasters (contact your program officer

via phone, email, etc.)via phone, email, etc.)• Generally, deadlines will be extended five Generally, deadlines will be extended five

business days in these casesbusiness days in these cases

Nuts and Bolts of Preparing a Nuts and Bolts of Preparing a Proposal to NSFProposal to NSF

First and foremostFirst and foremost• Involve OSP and your Project OfficerInvolve OSP and your Project Officer• Share draft budgets for review early and oftenShare draft budgets for review early and often• Prepare the Application for Approval for Research and Prepare the Application for Approval for Research and

Training Proposal Submission (synopsis)Training Proposal Submission (synopsis) Internal routing and approval form Internal routing and approval form Requires Chair and Dean’s signaturesRequires Chair and Dean’s signatures Proposal will be submitted without approvals to meet Proposal will be submitted without approvals to meet

deadline, but withdrawn if synopsis with approvals does not deadline, but withdrawn if synopsis with approvals does not followfollow

• Complete Researcher’s disclosure statement (conflict of Complete Researcher’s disclosure statement (conflict of interest) with every proposal and Agreement to Disclose interest) with every proposal and Agreement to Disclose (inventions and patents) with your first application to a (inventions and patents) with your first application to a federal sponsorfederal sponsor

Nuts and Bolts of Preparing a Nuts and Bolts of Preparing a Proposal to NSF Proposal to NSF (cont’d)…(cont’d)…

FormatFormat• If proposal doesn’t conform to GPG or If proposal doesn’t conform to GPG or

solicitation-specific instructions, solicitation-specific instructions, proposal may be returned without proposal may be returned without reviewreview

• Deviations authorized must be Deviations authorized must be documenteddocumented

• Check proposal against the Proposal Check proposal against the Proposal Preparation checklistPreparation checklist

Exhibit II-1Exhibit II-1


Page numberingPage numbering• Fastlane does not paginate automatically so be Fastlane does not paginate automatically so be

sure to do so before uploading filessure to do so before uploading files Particular files (project description, budget Particular files (project description, budget

justification, etc.)justification, etc.) Formatting RequirementsFormatting Requirements

• Fonts allowed (must be 10 point or larger and Fonts allowed (must be 10 point or larger and black)black)

Windows: Arial, Helvetica, Palatino Linotype, or Windows: Arial, Helvetica, Palatino Linotype, or Georgia TypefaceGeorgia Typeface

Macs: Arial, Helvetica, Palatino, or GeorgiaMacs: Arial, Helvetica, Palatino, or Georgia TeX: Computer ModernTeX: Computer Modern


SpacingSpacing• Characters must not exceed 15 Characters must not exceed 15

characters per inchcharacters per inch• No more than 6 lines of text within a No more than 6 lines of text within a

vertical inchvertical inch Margins: at least 1 inchMargins: at least 1 inch Use single column format for text; Use single column format for text;

columns are hard to read columns are hard to read electronicallyelectronically

Components of an NSF proposalComponents of an NSF proposal

Cover SheetCover Sheet• Awardee and performing org (pre-filled upon log-on to Awardee and performing org (pre-filled upon log-on to

Fastlane)Fastlane)• Program announcement/solicitation numberProgram announcement/solicitation number

If none, select “grant proposal guide”If none, select “grant proposal guide” If no deadline, select “no closing date”If no deadline, select “no closing date”

• Title of proposed projectTitle of proposed project• Budget (pre-fills) and duration (enter start date 6 months out Budget (pre-fills) and duration (enter start date 6 months out

and # of months needed to complete project)and # of months needed to complete project)• PI Information (pre-populated once PI logs in)PI Information (pre-populated once PI logs in)• Previous NSF awardPrevious NSF award• Awardee Organization Information (pre-populated)Awardee Organization Information (pre-populated)• Performing/Research Organization (if different)Performing/Research Organization (if different)• Other (e.g. beginning investigator, disclosure of lobbying, Other (e.g. beginning investigator, disclosure of lobbying,

proprietary/privileged info., vertebrate animals, human proprietary/privileged info., vertebrate animals, human subjects, high resolution graphics)subjects, high resolution graphics)

Components of an NSF proposal Components of an NSF proposal (cont’d)…(cont’d)…

Project SummaryProject Summary• Abstract, suitable for publicationAbstract, suitable for publication• Written in third person and include statement Written in third person and include statement

of objectives and methodsof objectives and methods• Limited to one pageLimited to one page• Summary Summary mustmust specificallyspecifically address address

the the Intellectual MeritIntellectual Merit of the proposed activity of the proposed activity the the Broader ImpactsBroader Impacts of the proposed activity of the proposed activity

• If separate statements addressing these review criteria If separate statements addressing these review criteria not included, proposal will be returned without review not included, proposal will be returned without review


Table of ContentsTable of Contents• Automatically generated by FastlaneAutomatically generated by Fastlane

Project DescriptionProject Description• Limited to 15 pagesLimited to 15 pages• Includes results from prior NSF support (no more than 5 pages)Includes results from prior NSF support (no more than 5 pages)

NSF award number, amount and period of supportNSF award number, amount and period of support Title of the projectTitle of the project Summary of resultsSummary of results List of resulting publicationsList of resulting publications Description of available dataDescription of available data If renewal request, description of tie-in for the current proposal to completed If renewal request, description of tie-in for the current proposal to completed

workwork• Must be a clear statement of work that addresses the two review Must be a clear statement of work that addresses the two review

criteriacriteria Intellectual meritIntellectual merit Broader impactsBroader impacts

• If *unfunded* collaborations proposed, describe and include letter from If *unfunded* collaborations proposed, describe and include letter from collaborator in supplementary documentation sectioncollaborator in supplementary documentation section

• Use of website URL’s not recommended unless a reference citationUse of website URL’s not recommended unless a reference citation


References cited References cited • Must use standard, acceptable styleMust use standard, acceptable style• No page limitationNo page limitation• Include website for those available Include website for those available

electronicallyelectronically Biographical SketchesBiographical Sketches

• Include only for senior/key personnelInclude only for senior/key personnel Defined as individual(s) responsible for Defined as individual(s) responsible for

scientific or technical direction of projectscientific or technical direction of project

• Limited to two pages per individualLimited to two pages per individual


• Biosketches to include: Biosketches to include: Professional preparation (undergrad, grad, and post-doc education Professional preparation (undergrad, grad, and post-doc education

and training)and training) Appointments (in chronological order, most recent first)Appointments (in chronological order, most recent first) Publications (up to 5 most relevant to proposed project and up to 5 Publications (up to 5 most relevant to proposed project and up to 5

other significant)other significant) Synergistic activitiesSynergistic activities

• Up to 5 examples, e.g. innovations in teaching and training, Up to 5 examples, e.g. innovations in teaching and training, development of research tools, role in increasing participation of development of research tools, role in increasing participation of groups underrepresented groups underrepresented

Collaborators and other affiliationsCollaborators and other affiliations• Co-authors during 48 months preceding proposal submissionCo-authors during 48 months preceding proposal submission• Co-editors during 24 months preceding proposal submissionCo-editors during 24 months preceding proposal submission• Graduate advisors, thesis advisor, post-doc sponsors within past 5 Graduate advisors, thesis advisor, post-doc sponsors within past 5

yearsyears• If none, state as suchIf none, state as such• Used to ensure no conflicts of interest arise during selection of Used to ensure no conflicts of interest arise during selection of

reviewers)reviewers)• Do NOT include any personal informationDo NOT include any personal information


BudgetBudget• Each year must have a budget (cumulative Each year must have a budget (cumulative

generated automatically in Fastlane)generated automatically in Fastlane)• Costs must be allowable, allocable, and Costs must be allowable, allocable, and

reasonablereasonable A-21, Cost Principles for Educational InstitutionsA-21, Cost Principles for Educational Institutions NYU policiesNYU policies

• Direct CostsDirect Costs• Facilities and Administrative (Indirect) CostsFacilities and Administrative (Indirect) Costs

Budget CategoriesBudget Categories Salaries and Wages (lines A&B)Salaries and Wages (lines A&B)

• $’s requested for faculty and other key personnel must be in $’s requested for faculty and other key personnel must be in proportion to the effort devoted to the projectproportion to the effort devoted to the project

For key personnel, entering $0 dollars and no effort is unacceptableFor key personnel, entering $0 dollars and no effort is unacceptable Must be NYU employees Must be NYU employees

• External collaborators should be listed on the budget page as either External collaborators should be listed on the budget page as either consultants (G.3) or subawards (G.5.)consultants (G.3) or subawards (G.5.)

• For summer: total of faculty member’s salary charged across all NSF-For summer: total of faculty member’s salary charged across all NSF-funded grants may not exceed two-ninths of academic year salary (2 funded grants may not exceed two-ninths of academic year salary (2 summer months; may not charge academic year salary)summer months; may not charge academic year salary)

If confidential (i.e. faculty does not want anyone outside the NSF to If confidential (i.e. faculty does not want anyone outside the NSF to see salary rates):see salary rates):

• Salary line reflects total for all personnel as a single figure Salary line reflects total for all personnel as a single figure • Person-month may be omittedPerson-month may be omitted• Check box on cover sheet titled “proprietary or privileged information”Check box on cover sheet titled “proprietary or privileged information”• Detail must be provided on separate paper and marked as confidential, Detail must be provided on separate paper and marked as confidential,

submitted electronically as a single-copy documentsubmitted electronically as a single-copy document• NSF will not share with reviewersNSF will not share with reviewers

Budget Categories Budget Categories (cont’d)…(cont’d)…

• Salaries of admin and clerical staffSalaries of admin and clerical staff Generally part of the administrative portion of the Generally part of the administrative portion of the

F&A/indirect cost pool and therefore not direct-F&A/indirect cost pool and therefore not direct-chargedcharged

Exceptions: Exceptions: • Major projects or center grants (defined in Exhibit C of Major projects or center grants (defined in Exhibit C of

OMB Circular A-21, Cost Principles for Educational OMB Circular A-21, Cost Principles for Educational Institutions) Institutions) http://www.whitehouse.gov/omb/circulars/a021/a21_20http://www.whitehouse.gov/omb/circulars/a021/a21_2004.html04.html

• Projects requiring extensive data collection and Projects requiring extensive data collection and analysesanalyses

• Conference grants requiring administrative support for Conference grants requiring administrative support for making extensive travel arrangementsmaking extensive travel arrangements


Fringe Benefits (line C)Fringe Benefits (line C)• Calculated either as percentage of salary and wages, per Calculated either as percentage of salary and wages, per

federally negotiated F&A rate agreement or by actual federally negotiated F&A rate agreement or by actual cost direct based on individual’s benefit selectionscost direct based on individual’s benefit selections

• Here at NYU we use our federally negotiated fringe Here at NYU we use our federally negotiated fringe benefit rate (27% as of 9/1/07 with estimated increases benefit rate (27% as of 9/1/07 with estimated increases of ½ percent (.5%) per year thereafter)of ½ percent (.5%) per year thereafter)

Equipment (line D)Equipment (line D)• Items costing $3,000 or above with useful life of at least Items costing $3,000 or above with useful life of at least

one yearone year• General purpose items such as personal computers or General purpose items such as personal computers or

office furnishings not allowable unless purchased office furnishings not allowable unless purchased exclusively for use on the research project and deemed exclusively for use on the research project and deemed integral to the scope of workintegral to the scope of work


Travel (line E)Travel (line E)• Itemize by destination and cost Itemize by destination and cost

Include airfare, lodging, per diem, mileage, etc.Include airfare, lodging, per diem, mileage, etc.

• Airfare must be economyAirfare must be economy• U.S. carriers must be used whenever possible U.S. carriers must be used whenever possible

(Fly America Act)(Fly America Act) DomesticDomestic

• Includes U.S., Puerto Rico, Canada, MexicoIncludes U.S., Puerto Rico, Canada, Mexico ForeignForeign

• Must identify country to be visited and relevanceMust identify country to be visited and relevance• Dependent travel covered only under specific Dependent travel covered only under specific

circumstancescircumstances


Participant Support Costs (line F)Participant Support Costs (line F)• Transportation, per diem, stipends and other Transportation, per diem, stipends and other

costs of trainees on NSF-funded grants for:costs of trainees on NSF-funded grants for: Conferences Conferences MeetingsMeetings SymposiaSymposia WorkshopsWorkshops

• Trainees may NOT be employeesTrainees may NOT be employees Exception: local school districts where teachers are Exception: local school districts where teachers are

traineestrainees In this case, stipends may be categorized as In this case, stipends may be categorized as

participant support as long as school district has participant support as long as school district has accounting mechanism in place to track and report accounting mechanism in place to track and report stipends separate from salarystipends separate from salary


Other Direct Costs (lines G1. to G6.)Other Direct Costs (lines G1. to G6.)• Materials and supplies (G1)Materials and supplies (G1)

Lab supplies such as beakers, chemicals, etcLab supplies such as beakers, chemicals, etc Animals Animals

• Publication costs (G2)Publication costs (G2) ReprintsReprints Reports Reports

• Consultant services (G3)Consultant services (G3) No cap on rate, but must be reasonable, based on marketNo cap on rate, but must be reasonable, based on market Specify affiliation, rate (hourly/daily), number of hours/days Specify affiliation, rate (hourly/daily), number of hours/days

required, travel costs if applicablerequired, travel costs if applicable• Computer services (G4)Computer services (G4)

Generally, only for access to supercomputing centers, data Generally, only for access to supercomputing centers, data warehouses specifically set up for large data collectionwarehouses specifically set up for large data collection

Charge only when institutional policy indicates as suchCharge only when institutional policy indicates as such


Subawards (G5)Subawards (G5)• Transfer of a substantive portion of the programmatic Transfer of a substantive portion of the programmatic

efforteffort• Separate budget for each subrecipient should be Separate budget for each subrecipient should be

included along with SOW (refer to section on included along with SOW (refer to section on collaborative proposals presented later)collaborative proposals presented later)

• If not included in the proposed budget, issuance of If not included in the proposed budget, issuance of subaward requires prior approval by NSFsubaward requires prior approval by NSF

Other (G6)Other (G6)• Other costs not attributable to major cost categoriesOther costs not attributable to major cost categories

E.g. tuition remission (see E.g. tuition remission (see http://www.nyu.edu/osp/policies/basicinfo.phphttp://www.nyu.edu/osp/policies/basicinfo.php), ), human subject payments, etc. human subject payments, etc.


Total direct costs (Line H)Total direct costs (Line H)• Sum total of lines A-GSum total of lines A-G

Facilities and Administrative (F&A)/Indirect Costs (line I)Facilities and Administrative (F&A)/Indirect Costs (line I)• Applied as a percentage of specific categories of costApplied as a percentage of specific categories of cost• Based on negotiated rate agreement with cognizant agencyBased on negotiated rate agreement with cognizant agency

DHHS agreement dated 7/2/2007DHHS agreement dated 7/2/2007 Rate is 53.5% for period 9/1/07-8/31/08 and 54% effective 9/1/08 Rate is 53.5% for period 9/1/07-8/31/08 and 54% effective 9/1/08

(see (see http://www.nyu.edu/osp/policies/basicinfo.phphttp://www.nyu.edu/osp/policies/basicinfo.php))

• Basis for rate is Modified Total Direct Costs (MTDC)Basis for rate is Modified Total Direct Costs (MTDC) 53.5% X total direct costs less equipment, participant support, 53.5% X total direct costs less equipment, participant support,

tuition remission, and that amount exceeding the first $25K on tuition remission, and that amount exceeding the first $25K on each subawardeach subaward


Total direct and indirect costs (line J)Total direct and indirect costs (line J)• Sum total of comprehensive cost estimateSum total of comprehensive cost estimate

Amount of the request (line L)Amount of the request (line L)• Should be the same as line J Should be the same as line J

Cost Sharing (line M)Cost Sharing (line M)• NSF does NOT require any cost sharingNSF does NOT require any cost sharing

mandatory cost sharing requirements by program mandatory cost sharing requirements by program and institutional 1% aggregate rules rescindedand institutional 1% aggregate rules rescinded

• However, *if* identified either on line M or in However, *if* identified either on line M or in budget pages or narrative (e.g. time and effort budget pages or narrative (e.g. time and effort for which no salary is requested), becomes a for which no salary is requested), becomes a condition of the award and must be tracked condition of the award and must be tracked and reported upon and will be auditedand reported upon and will be audited


JustificationJustification• Not to exceed three pagesNot to exceed three pages• Must provide specifics on how cost estimates Must provide specifics on how cost estimates

were derived and explain why costs are were derived and explain why costs are necessary for the accomplishment of the necessary for the accomplishment of the activities described in the SOWactivities described in the SOW

E.g. base rates of pay for salaried positions and the E.g. base rates of pay for salaried positions and the roles/responsibilities of each position, estimates for roles/responsibilities of each position, estimates for travel including airfare, lodging, per diem should be travel including airfare, lodging, per diem should be specifiedspecified

Provide reference to federally negotiated rate Provide reference to federally negotiated rate agreement for F&A/indirect cost and fringe benefit agreement for F&A/indirect cost and fringe benefit ratesrates


Current and Pending SupportCurrent and Pending Support• Disclose support from any and all sources Disclose support from any and all sources • Include awards even where no salary is being Include awards even where no salary is being

requested (must show time and effort requested (must show time and effort committed to project)committed to project)

• List total award amount (direct + indirect) for List total award amount (direct + indirect) for entire award period coveredentire award period covered

• List number of person-months committed for List number of person-months committed for each year (CAL, AY, SUM)each year (CAL, AY, SUM)


Facilities, Equipment, and Other ResourcesFacilities, Equipment, and Other Resources• Describe facilities and resources available to conduct the SOWDescribe facilities and resources available to conduct the SOW

Special Information and Supplementary DocumentationSpecial Information and Supplementary Documentation• Takes the place of appendicesTakes the place of appendices• Usually, program announcement will specify need for itemsUsually, program announcement will specify need for items• May only include the following:May only include the following:

Rational for performance off-siteRational for performance off-site Letters of commitment documenting collaborators planned participationLetters of commitment documenting collaborators planned participation Information on environmental impactInformation on environmental impact Work in foreign countriesWork in foreign countries Research in GreenlandResearch in Greenland Antarctic proposalsAntarctic proposals Research in a registered historic placeResearch in a registered historic place Research with genetically engineered organismsResearch with genetically engineered organisms Documentation regarding research with human subjects, hazardous Documentation regarding research with human subjects, hazardous

materialsmaterials Tech transfer management plansTech transfer management plans RUI or REU’sRUI or REU’s NO LETTERS OF SUPPORT UNLESS REQUESTED (e.g. training grants)NO LETTERS OF SUPPORT UNLESS REQUESTED (e.g. training grants)

Other considerationsOther considerations

Common circumstancesCommon circumstances• Collaborative proposalsCollaborative proposals

Can be submitted in two waysCan be submitted in two ways• Together, with the lead institution completing all Together, with the lead institution completing all

requisite portions of the proposal and populating requisite portions of the proposal and populating with collaborators scope of work, roles and with collaborators scope of work, roles and responsibilitiesresponsibilities

Results in subaward(s) issued to collaborators Results in subaward(s) issued to collaborators by lead institutionby lead institution

At time of submission, NYU OSP needs At time of submission, NYU OSP needs subrecipient’s SOW, budget, and letter of subrecipient’s SOW, budget, and letter of collaboration reflecting approval by authorized collaboration reflecting approval by authorized representativerepresentative

Collaborative proposals Collaborative proposals (cont’d)(cont’d)

• Separately, by “linking” the proposalsSeparately, by “linking” the proposals Lead submits first with title “Collaborative Lead submits first with title “Collaborative

Research:….”Research:….” Non-lead institution(s) assign a PIN to proposalNon-lead institution(s) assign a PIN to proposal Provides PIN and temporary proposal ID number to Provides PIN and temporary proposal ID number to

lead institution before lead submitslead institution before lead submits Lead institution enters each collaborators PIN and Lead institution enters each collaborators PIN and

temporary proposal ID into Fastlane by using “link temporary proposal ID into Fastlane by using “link proposal” option in the Form Preparation screenproposal” option in the Form Preparation screen

Collaborators include everything EXCEPT project Collaborators include everything EXCEPT project summary, project description, and references cited summary, project description, and references cited

Linked proposals should all be submitted within Linked proposals should all be submitted within close proximity to one anotherclose proximity to one another

Results in separate awards made by NSF directly to Results in separate awards made by NSF directly to each organizationeach organization

Single Copy DocumentsSingle Copy Documents Information about PI/PD’s and Co-PI’s (gender, race, Information about PI/PD’s and Co-PI’s (gender, race,

ethnicity, etc.)ethnicity, etc.) Authorization to deviate Authorization to deviate List of suggested reviewers and those not to includeList of suggested reviewers and those not to include Proprietary or privileged information (including confidential Proprietary or privileged information (including confidential

salary info.)salary info.) Proposal certifications (AOR)Proposal certifications (AOR)

• Conflict of interestConflict of interest• Drug-free workplaceDrug-free workplace• Debarment and suspensionDebarment and suspension• LobbyingLobbying• NondiscriminationNondiscrimination• Flood hazard insurance Flood hazard insurance

Review CriteriaReview Criteria Questions that must be answered in your proposalQuestions that must be answered in your proposal

• What is the intellectual merit of the proposed What is the intellectual merit of the proposed activity?activity?

• What are the broader impacts of the proposed What are the broader impacts of the proposed activity?activity?

Timeframe for review and awardTimeframe for review and award• Six months for programmatic reviewSix months for programmatic review• Often, a revised budget will be requested to match Often, a revised budget will be requested to match

available funding levelavailable funding level Contact OSP; program officials typically contact PI onlyContact OSP; program officials typically contact PI only Submit revised budget timely or risk losing fundingSubmit revised budget timely or risk losing funding

• Typically thirty days for DGA to issue award once program Typically thirty days for DGA to issue award once program office makes final recommendationoffice makes final recommendation

Other hints and tipsOther hints and tips Your copy of the announcement should be highlighted, dog Your copy of the announcement should be highlighted, dog

eared….read and re-read eared….read and re-read • Look for special terms and conditions includedLook for special terms and conditions included

Be sure you know the deadline date (target vs. deadline)Be sure you know the deadline date (target vs. deadline) Margin and spacing reqt’sMargin and spacing reqt’s

• Be sure to follow, can look different depending on type of computer Be sure to follow, can look different depending on type of computer you are using (Mac vs. PC)you are using (Mac vs. PC)

Do not exceed page limitations on sections and use page Do not exceed page limitations on sections and use page numbering where possiblenumbering where possible

Remember, if intellectual merit and broader impacts statements Remember, if intellectual merit and broader impacts statements not included, proposal will not be reviewed so make a header for not included, proposal will not be reviewed so make a header for those sections to ensure they stand outthose sections to ensure they stand out

Project Summary should be in the 3Project Summary should be in the 3rdrd person, active voice person, active voice When you “view/edit/submit” in Fastlane, hit “allow SRO access”When you “view/edit/submit” in Fastlane, hit “allow SRO access” Make sure PI is reachable on deadline day to address any last Make sure PI is reachable on deadline day to address any last

minute issuesminute issues Submit via Fastlane whenever possible; submit via Grants.gov Submit via Fastlane whenever possible; submit via Grants.gov

when required when required

NYU and NSF ResourcesNYU and NSF Resources NYU Office of Sponsored Programs/Project OfficersNYU Office of Sponsored Programs/Project Officers

• http://www.nyu.edu/osp/about/http://www.nyu.edu/osp/about/ NSF: See Frequently Asked Questions on Proposal PreparationNSF: See Frequently Asked Questions on Proposal Preparation

• http://www.nsf.gov/pubs/gpg/faqs.pdfhttp://www.nsf.gov/pubs/gpg/faqs.pdf Help with Broader Impact StatementHelp with Broader Impact Statement

• http://www.nsf.gov/pubs/gpg/broaderimpacts.pdfhttp://www.nsf.gov/pubs/gpg/broaderimpacts.pdf Proposal and Award Policies and Procedures Guide (PAPPG) Proposal and Award Policies and Procedures Guide (PAPPG)

• Replaced Grants Proposal Guide (GPG) and Grants Policy Manual (GPM) for Replaced Grants Proposal Guide (GPG) and Grants Policy Manual (GPM) for proposals submitted on or after June 1, 2007proposals submitted on or after June 1, 2007

• http://www.nsf.gov/pubs/policydocs/papp/nsf07140.pdfhttp://www.nsf.gov/pubs/policydocs/papp/nsf07140.pdf Grants.gov and NSF FastlaneGrants.gov and NSF Fastlane

• http://www.grants.gov/http://www.grants.gov/• https://www.fastlane.nsf.gov/fastlane.jsphttps://www.fastlane.nsf.gov/fastlane.jsp

Contact NSF Contact NSF • Policy Office, Division of Institution & Award SupportPolicy Office, Division of Institution & Award Support

[email protected]@nsf.gov; (703) 292-8243; (703) 292-8243• Fastlane Help DeskFastlane Help Desk

[email protected];[email protected]; (703) 292-8142 or (800) 673-6188 (703) 292-8142 or (800) 673-6188• NSF offices/directoratesNSF offices/directorates

http://www.nsf.gov/staff/orglist.jsphttp://www.nsf.gov/staff/orglist.jsp