Proposal Preparation Requirements Federal Government - NSF

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1. Proposal Pagination Instructions
Each section of the proposal that is uploaded as a file must be individually paginated prior to upload to the electronic system.

2. Proposal Margin and Spacing Requirements
a. Use one of the following typefaces identified below:

• Arial10, Courier New, or Palatino Linotype at a font size of 10 points or larger
• Times New Roman at a font size of 11 points or larger
• Computer Modern family of fonts at a font size of 11 points or larger

A font size of less than 10 points may be used for mathematical formulas or equations, figure, table or diagram captions and when using a Symbol font to insert Greek letters or special characters. PIs are cautioned, however, that the text must still be readable;

b. No more than 6 lines of text within a vertical space of 1 inch; and
c. Margins, in all directions, must be at least an inch.

These requirements apply to all uploaded sections of a proposal, including supplementary documentation.

3. Page Formatting
Proposers are strongly encouraged to use only a standard, single-column format for the text. Avoid using a two-column format since it can cause difficulties when reviewing the document electronically.

While line spacing (single-spaced, double-spaced, etc.) is at the discretion of the proposer, established page limits must be followed. (Individual program solicitations, however, may eliminate this proposer option by requiring other type size, margin or line spacing requirements.)

A significant change was made to the cover sheet requirements in January 2011.

Information requested on the Cover Sheet is as follows:

1. Awardee & Project/Performance Site Primary Location
The information on the Awardee Organization is pre-filled on the Cover Sheet based on the login information entered.

2. Program Announcement/Solicitation/Description Number
Proposers are required to select the applicable program announcement, program solicitation or program description. If the proposal is not submitted in response to a specific program announcement, program solicitation, or program description, proposers should select "Grant Proposal Guide."

Proposals submitted with "Grant Proposal Guide" selected that are directed to Division/Program combinations with active program descriptions will default to the nearest target date for that program. Proposers are advised to select "No Closing Date" when the proposal is not submitted in response to any relevant NSF funding opportunity (which includes program announcements, program solicitations or program descriptions).

3. NSF Unit of Consideration
Proposers must follow instructions for selection of an applicable NSF Division/Office and Program(s) to which the proposal should be directed.

4. Remainder of the Cover Sheet
(a) Title of Proposed Project
The title of the project must be brief, scientifically or technically valid, intelligible to a scientifically or technically literate reader, and suitable for use in the public press. NSF may edit the title of a project prior to making an award.

(b) Budget and Duration Information
The proposed duration for which support is requested must be consistent with the nature and complexity of the proposed activity.

(c) PI Information and co-PI Information
Information (including address information) regarding the PI is derived from login information and is not entered when preparing the Cover Sheet. The proposal also may identify up to four additional co-Principal Investigators.  Each individual's name and either NSF ID or primary registered e-mail address, must be entered in the boxes provided.

(d) Previous NSF Award
If the proposal is a renewal proposal, or an accomplishment-based renewal proposal, the applicable box must be checked. If yes, the proposer will be requested to select the applicable previous award number.

(e) Other Federal Agencies
If the proposal is being submitted for consideration by another Federal agency, the abbreviated names of the Federal agencies must be identified in the spaces provided.

(f) Awardee Organization Information
The awardee organization name, address, DUNS number and Employer Identification Number/Taxpayer Identification Number are derived from the login information and are not entered when preparing the Cover Sheet via FastLane.

(g) Project/Performance Site Primary Location
If the project will be performed at the awardee organization, check the designated box. If the project, however, will be performed at a location other than the awardee, provide the following information (where applicable):

• Organization Name (identify the organization name of the primary site where the work will be performed, if different than the awardee);
• Street;
• City;
• State;
• Country; and
• 9-digit Zip Code.

(h) Other Information
Should any of the following items on the Cover Sheet apply to a proposal, the applicable box(es) must be checked:

• Beginning Investigator (See GPG I.G.2)
• Disclosure of Lobbying Activities (See GPG II.C.1e)
• Proprietary or Privileged Information (See GPG I.D.3 & II.C.1d)
• Historic Places (See GPG II.C.2j)
• Rapid Response Grants (See GPG II.D.1)
• EArly-concept Grants for Exploratory Research (EAGER) (See GPG II.D.2)
• Vertebrate Animals19 (See GPG II.D.6)
• Human Subjects20 (See GPG II.D.7)
• High Resolution Graphics/Other Graphics Where Exact Color Representation is Required for Proper Interpretation (See GPG I.G.1)
• International Cooperative Activities Country Name(s) (See GPG II.C.2j)

This information is used to assess the capability of the organizational resources available to perform the effort proposed. Identify the facilities to be used (Laboratory, Animal, Computer, Office, Clinical and Other). If appropriate, indicate their capacities, pertinent capabilities, relative proximity and extent of availability to the project. Describe only those resources that are directly applicable to the proposed work. Provide any information describing the Other Resources available to the project (e.g., machine shop, electronic shop) and the extent to which they would be available to the project.

• No special form is required but this section must be completed and attached for submissions to NIH and other PHS agencies unless otherwise noted in an FOA. Describe how the scientific environment in which the research will be done contributes to the probability of success (e.g., institutional support, physical resources, and intellectual rapport). In describing the scientific environment in which the work will be done, discuss ways in which the proposed studies will benefit from unique features of the scientific environment or subject populations or will employ useful collaborative arrangements.
  
• For Early Stage Investigators, describe institutional investment in the success of the investigator, e.g., resources for classes, travel, training; collegial support such as career enrichment programs, assistance and guidance in the supervision of trainees involved with the ESI’s project, and availability of organized peer groups; logistical support such as administrative management and oversight and best practices training; and financial support such as protected time for research with salary support.
  
• If there are multiple performance sites, describe the resources available at each site.

http://www.nsf.gov/pubs/policydocs/csfaqs_jan11.pdf

A significant change was made to the postdoc mentoring plan in January 2011.

Each proposal that requests funding to support postdoctoral researchers must include, as a supplementary document, a description of the mentoring activities that will be provided for such individuals.  (In situations where a postdoctoral researcher is listed in Section A of the NSF Budget, and is functioning in a Senior Project personnel capacity (i.e., responsible for the scientific or technical direction of the project), a mentoring plan is not required.) In no more than one page, the mentoring plan must describe the mentoring that will be provided to all postdoctoral researchers supported by the project, irrespective of whether they reside at the submitting organization, any subawardee organization, or at any organization participating in a simultaneously submitted collaborative project. Proposers are advised that the mentoring plan may not be used to circumvent the 15-page project description limitation. See GPG Chapter II.D.4 for additional information on collaborative proposals.

A significant change was made to the project summary requirements in January 2011.

The proposal must contain a summary of the proposed activity suitable for publication, not more than one page in length. It should not be an abstract of the proposal, but rather a self-contained description of the activity that would result if the proposal were funded. The summary should be written in the third person and include a statement of objectives and methods to be employed. It must clearly address in separate statements (within the one-page summary):

• the intellectual merit of the proposed activity; and
• the broader impacts resulting from the proposed activity.

A significant change was made to the project description requirements in January 2011.

1.  Content
All proposals to NSF will be reviewed utilizing the two merit review criteria described in greater length in GPG Chapter III.  The Project Description should provide a clear statement of the work to be undertaken and must include:  objectives for the period of the proposed work and expected significance; relation to longer-term goals of the PI's project; and relation to the present state of knowledge in the field, to work in progress by the PI under other support and to work in progress elsewhere. 

The Project Description should outline the general plan of work, including the broad design of activities to be undertaken, and, where appropriate, provide a clear description of experimental methods and procedures. It must describe as an integral part of the narrative, the broader impacts resulting from the proposed activities, addressing one or more of the following as appropriate for the project: how the project will integrate research and education by advancing discovery and understanding while at the same time promoting teaching, training, and learning; ways in which the proposed activity will broaden the participation of underrepresented groups (e.g., gender, ethnicity, disability, geographic, etc.); how the project will enhance the infrastructure for research and/or education, such as facilities, instrumentation, networks, and partnerships; how the results of the project will be disseminated broadly to enhance scientific and technological understanding; and potential benefits of the proposed activity to society at large. Examples illustrating activities likely to demonstrate broader impacts are available electronically on the NSF website.

Plans for data management and sharing of the products of research, including preservation, documentation, and sharing of data, samples, physical collections, curriculum materials and other related research and education products should be described in the Special Information and Supplementary Documentation section of the proposal (see GPG Chapter II.C.2.j) for additional instructions for preparation of this section). 

2.  Page Limitations and Inclusion of Universal Resource Locators (URLs) Within The Project Description
Brevity will assist reviewers and Foundation staff in dealing effectively with proposals. Therefore, the Project Description (including Results from Prior NSF Support, which is limited to five pages) may not exceed 15 pages. Visual materials, including charts, graphs, maps, photographs and other pictorial presentations are included in the 15-page limitation. PIs are cautioned that the Project Description must be self-contained and that URLs that provide information related to the proposal should not be used because 1) the information could circumvent page limitations, 2) the reviewers are under no obligation to view the sites, and 3) the sites could be altered or abolished between the time of submission and the time of review.  Conformance to the 15-page limitation will be strictly enforced and may not be exceeded unless a deviation has been specifically authorized. (GPG Chapter II.A contains information on deviations.)

3.  Results from Prior NSF Support
If any PI or co-PI identified on the project has received NSF funding in the past five years, information on the award(s) is required. Each PI and co-PI who has received more than one award (excluding amendments) must report on the award most closely related to the proposal. The following information must be provided:

(a) the NSF award number, amount and period of support;
(b) the title of the project;
(c) a summary of the results of the completed work, including accomplishments related to the Broader Impact activities supported by the award and, for a research project, any contribution to the development of human resources in science and engineering;
(d) publications resulting from the NSF award;
(e) evidence of research products and their availability, including, but not limited to: data, publications, samples, physical collections, software, and models, as described in any Data Management Plan; and
(f) if the proposal is for renewed support, a description of the relation of the completed work to the proposed work.

Reviewers will be asked to comment on the quality of the prior work described in this section of the proposal.

Please note that the proposal may contain up to five pages to describe the results. Results may be summarized in fewer than five pages, which would leave the balance of the 15 pages for the Project Description. 

4.  Unfunded Collaborations
Any substantial collaboration with individuals not included in the budget should be described and documented with a letter from each collaborator, which should be provided in the supplementary documentation section of the FastLane Proposal Preparation Module. Collaborative activities that are identified in the budget should follow the instructions in GPG Chapter II.D.4. 

5.  Group Proposals
NSF encourages submission of proposals by groups of investigators; often these are submitted to carry out interdisciplinary projects. Unless stipulated in a specific program solicitation, however, such proposals will be subject to the 15-page Project Description limitation established in Section (ii) above. PIs who wish to exceed the established page limitations for the Project Description must request and receive a deviation in advance of proposal submission. (GPG Chapter II.A contains information on deviations.) 

6.  Proposals for Renewed Support
A proposal for renewed support may be either a “traditional” proposal in which the proposed work is documented and described as fully as though the proposer were applying for the first time; or, an “Accomplishment-Based Renewal” (ABR) proposal, in which the Project Description is replaced by copies of no more than six reprints of publications resulting from the research supported by NSF during the preceding three to five year period, plus a brief summary of plans for the proposed support period. (See GPG Chapter V for additional information on preparation of Renewal Proposals.)

This section of the proposal calls for required information on all current and pending support for ongoing projects and proposals, including subsequent funding in the case of continuing grants. All current project support from whatever source (e.g., Federal, State, local or foreign government agencies, public or private foundations, industrial or other commercial organizations) must be listed. The proposed project and all other projects or activities requiring a portion of time of the PI and other senior personnel must be included, even if they receive no salary support from the project(s). The total award amount for the entire award period covered (including indirect costs) must be shown as well as the number of person-months per year to be devoted to the project, regardless of source of support. Similar information must be provided for all proposals already submitted or submitted concurrently to other possible sponsors, including NSF. Concurrent submission of a proposal to other organizations will not prejudice its review by NSF. Note the Biological Sciences Directorate exception to this policy, however, delineated in NSF GPG Chapter I.G.2. 

If the project now being submitted has been funded previously by a source other than NSF, the information requested in the paragraph above must be furnished for the last period of funding.

Data management guidelines.

• Post Doc Mentoring Plan
  
  
• Data Management Plan
  
  
• Rationale for performance of all or part of the project off-campus or away from organizational headquarters. (See AAG Chapter V.D.1)
  
  
• Documentation of collaborative arrangements of significance to the proposal through letters of commitment. (See GPG Chapter II.C.2.d.(iv))
  
  
• The National Environmental Policy Act of 1969 (NEPA) (42 USC §4332). NEPA requires that Federal agencies consider the environmental impacts of major Federal actions significantly affecting the quality of the human environment. If a proposed project might have an environmental impact, the proposal should furnish sufficient information to assist Foundation officials in assessing the environmental consequences of supporting the project. NSF will determine:
  1. the adequacy of the information submitted;
  2. whether or not additional information is needed; and
  3. whether or not an environmental assessment or environmental impact statement will be necessary.
     
     
• Work in foreign countries. Some governments require nonresidents to obtain official approval to carry out investigations within their borders and coastal waters under their jurisdiction. PIs are responsible for obtaining the required authorizations and for advising NSF that they have been obtained or requested. Advance coordination should minimize disruption of the research. (See AAG Chapter VI.B.4 and VI.G.3) and the Research Terms and Conditions, NSF Agency Specific Requirements Article 29, and NSF Grant General Conditions Article 42.)
  
  
• Research in Greenland. (See AAG Chapter VI.G.3)
  
  
• Antarctic proposals to any NSF program require operational worksheets by the first Wednesday of June in the year before any proposed fieldwork. See “proposals with fieldwork” in Chapter V.A of the Antarctic Research solicitation. Special budget considerations also apply. See also Chapter V.B Antarctic Research solicitation.
  
  
• Research in a location designated, or eligible to be designated, a registered historic place. (See AAG Chapter VI.K). Where applicable, the box for “Historic Places” must be checked on the Cover Sheet.
  
  
• Research involving field experiments with genetically engineered organisms. (See AAG Chapter VI.B.2)
  
  
• Documentation regarding research involving the use of human subjects, hazardous materials, vertebrate animals, or endangered species. (See AAG Chapter VI.B  and GPG Chapter II.D.5 and II.D.6).
  
  
• Projects that involve technology utilization/transfer activities, that require a management plan, or that involve special reports or final products. Please note that some program solicitations provide specific guidance on preparation and inclusion of management plans in proposals submitted to NSF.
  
  
• Special components in new proposals or in requests for supplements, such as Facilitation Awards for Scientists and Engineers with Disabilities (FASED), Research Opportunity Awards (ROAs) or Research Experiences for Undergraduates (REUs). (See GPG Chapter II.D.3 for information on FASED, and for the other programs identified, consult the relevant program solicitation.)
  
  
• Research in Undergraduate Institutions. (See RUI program solicitation for information.)
  
  
• Research Experiences for Undergraduates. (See the REU program solicitation for information.)
  

Grant Proposal Guide II-21 NSF 11-1
In addition, the supplementary documentation section should alert NSF officials to unusual circumstances that require special handling, including, for example, proprietary or other privileged information in the proposal,matters affecting individual privacy, required intergovernmental review under E.O. 12372 (Intergovernmental Review of Federal Programs) for activities that directly affect State or local governments, or possible national security implications. Proposers are reminded that, unless required by a specific program solicitation, letters of support should not be submitted as they are not a standard component of an NSF proposal, and, if included, a reviewer is under no obligation to review these materials. Letters of support submitted in response to a program solicitation requirement must be unique to the specific proposal submitted and cannot be altered without the author’s explicit prior approval. NSF may return without review proposals that are not consistent with these instructions.

Letters of Support
Proposers are reminded that, unless required by a specific program solicitation, letters of support should not be submitted as they are not a standard component of an NSF proposal, and, if included, a reviewer is under no obligation to review these materials. Letters of support submitted in response to a program solicitation requirement must be unique to the specific proposal submitted and cannot be altered without the author’s explicit prior approval. NSF may return without review proposals that are not consistent with these instructions.

Letters of Commitment - Sample
Unfunded Collaborations - Any substantial collaboration with individuals not included in the budget should be described and documented with a letter from each collaborator, which should be provided in the supplementary documentation section of the FastLane Proposal Preparation Module. Collaborative activities that are identified in the budget should follow the instructions in GPG Chapter II.D.4.

With all subawards where IIT is the lead institution, the subrecipient must provide a consortium letter (signed by the non-lead institution’s Authorized Institutional Official), statement of work, budget and budget justification, biographical sketch and current and pending support to the Office of Sponsored Research and Programs at least 5 business days prior to the proposal submission.

Sample Consortium Letter

Collaborative Proposals
A collaborative proposal is one in which investigators from two or more organizations wish to collaborate on a unified research project. Collaborative proposals may be submitted to NSF in one of two methods: as a single proposal, in which a single award is being requested (with subawards administered by the lead organization); or by simultaneous submission of proposals from different organizations, with each organization requesting a separate award. In either case, the lead organization’s proposal must contain all of the requisite sections as a single package to be provided to reviewers (that will happen automatically when procedures below are followed). 

All collaborative proposals must clearly describe the roles to be played by the other organizations, specify the managerial arrangements, and explain the advantages of the multi-organizational effort within the Project Description. PIs are strongly encouraged to contact the cognizant NSF Program Officer prior to submission of a collaborative proposal.

a. Submission of a collaborative proposal from one organization
The single proposal method allows investigators from two or more organizations who have developed an integrated research project to submit a single, focused proposal. A single investigator bears primary responsibility for the administration of the grant and discussions with NSF, and, at the discretion of the organizations involved, investigators from any of the participating organizations may be designated as co-PIs. Please note, however, that if awarded, a single award would be made to the submitting organization, with any collaborators listed as subawards.

If a proposed subaward includes funding to support postdoctoral researchers, the mentoring activities to be provided for such individuals must be incorporated in the supplemental mentoring plan.

By submission of the proposal, the organization has determined that the proposed activity is administratively manageable. NSF may request a revised proposal, however, if it considers that the project is so complex that it will be too difficult to review or administer as presented.

b. Submission of a collaborative proposal from multiple organizations
In many instances, simultaneous submission of proposals that contain the same Project Description from each organization might be appropriate. For these proposals, the project title must begin with the words “Collaborative Research”.   The lead organization's submission will include a Cover Sheet, Project Summary, Project Description, References Cited, Biographical Sketches, Budgets and Budget Justification, Current and Pending support, and Facilities, Equipment and Other Resources for their organization. If applicable, the lead organization’s submission also must include a supplemental mentoring plan that must not exceed one page, and that addresses the mentoring activities to be provided for all postdoctoral researchers supported under the entire collaborative project.

Non-lead organization submissions will include all of the above for their organization except the project summary, project description, and references cited which are the same for all collaborating organizations. FastLane will combine the proposal submission for printing or electronic viewing.

To submit the collaborative proposal, the following process must be completed:

(i) Each non-lead organization must assign their proposal a proposal PIN. This proposal PIN and the temporary proposal ID generated by FastLane when the non-lead proposal is created must be provided to the lead organization before the lead organization submits its proposal to NSF.

(ii) The lead organization must then enter each non-lead organization(s) proposal PIN and temporary proposal ID into the FastLane lead proposal by using the "Link Collaborative Proposals" option found on the FastLane "Form Preparation" screen. Given that such separately submitted proposals constitute a “single” proposal submission to NSF, it is imperative that the proposals be submitted within a reasonable timeframe to one another.

(iii) All components of the collaborative proposal must meet any established deadline, and, failure to do so may result in the entire collaborative proposal being returned without review.

Final submission of the IIT proposal must be submitted through the Office of Sponsored Research and Programs

Any paid or unpaid consultant must provide a letter addressed to the IIT Office of Sponsored Research and Programs including the individual’s expertise, compensation rate by month, day or hour, and the expected duration and involvement within the project at least 5 business days prior to the proposal submission.

Sample Consultant Letter

Consultants are members of a particular profession or possess a special skill and who are not officers or employees of the performing organization. Costs of professional and consultant services are allowable when reasonable in relation to the services rendered. Payment for consultant services should be comparable to the normal or customary fees charged and received by the consultant for comparable services, especially on nongovernment contracts and grants.

Anticipated services must be justified and information furnished on each individual’s expertise, primary organizational affiliation, normal daily compensation rate, and number of days of expected service. Consultants’ travel costs, including subsistence, may be included.  If requested, the proposer must be able to justify that the proposed rate of pay is reasonable.