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Carleton College

NSF Proposal Specifics

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Starting your NSF/Fastlane Proposal

Guidelines for proposal preparation

NSF has detailed guidelines in the Proposal & Award Policies & Procedures Guide (PAPPG), (NSF 13-1).

This PAPPG version is for all proposals due on or after January 14, 2013.

Additionally, there is brief discussion on proposal preparation via Fastlane or Grants.gov at NSF's "Funding: How to Prepare Your Proposal."

Here's a few formatting particulars.

FONT: Use one of the approved typefaces (noting the exception that a font size of less than 10 points may be used for mathematical formulas or equations, figure, table or diagram captions; key is to keep it easily readable):

  • Arial, 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

FORMATTING: Margins, in all directions, must be at least 1 inch. Pagination can be located within the 1-inch margin; each section of proposal needs to be individually paginated prior to upload to the electronic system (i.e., "Project Description – 1"). Line spacing, whether single-spaced or double-spaced, is up to discretion of the proposer, but established page limits must be followed.

For the whole story follow the PAPP GPG Chapter II.B link. If any specifics given in the individual program solicitation differ from the PAPP, always defer to the program solicitation instructions. 

Step-by-step instructions to begin a proposal in Fastlane

To start a National Science Foundation (NSF) proposal via Fastlane, you first need to be in their system. Corporate and Foundation Relations (CFR), referred to as the SPO or SRO (Sponsored Projects/Research Office) by NSF, will set up an account to generate an NSF ID number and will assign a temporary password. Call CFR (507-222-4441 or 507-222-4046) with questions; follow these step-by-step instructions if you are already in the Fastlane system.

 Fastlane Help offers screen shots with instructions: for example, for PI or Co-PI Login (in left sidebar select Proposal Functions, Log in to Proposal Functions, PI and Co-PI Login), or to Create a New Proposal (on main page, select Prepare a Proposal, Create a Proposal).

Components of an NSF proposal

Required pieces

Most NSF proposals call for completion of a Cover Sheet, Project Summary, Project Description, References Cited, Biographical Sketch(es), Budget, Budget Justification, Current and Pending Support, Facilities, and Supplementary Documentation. Learn some Proposal Contents specifics, and refer to GPG Proposal Preparation Checklist.

Collaborative research projects

Collaborative proposals are those in which investigators from two or more organizations wish to collaborate on a unified research project. They 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 to the non-lead institutions or coPIs; or
  • as a simultaneous submission of proposals from different organizations, with each organization requesting a separate award. When involved with a separately submitted simultaneous collaborative project, the lead institution provides all the pieces listed above (under Required Pieces), and the non-lead collaborators provide Cover Sheet, Biographical Sketch(es), Budget, Budget Justification, Current and Pending Support and Facilities (Facilities, Equipment and Other Resources).

For more, click on collaborative proposals, or read the explanation in the PAPP GPG Chapter II.D.4, or refer to Fastlane Help (search for specific step, i.e., "Link a Temporary Proposal"). 

Biographical sketches

NSF bio sketches differ significantly from a CV. See the specific information and formatting requirements in this bio sketch doc or online via PAPP GPG Chapter II.C.2.f.

About Budgets

To see descriptions of budget categories, as laid out by NSF, go to PAPP GPG Chapter II.C.2.g.

For a budget template spreadsheet based on NSF budget categories, go to Business Office Forms page, and under the heading "Government & Foundation Grant Forms"  open "Research Grant Proposed Budget Template."

For current figures to use in budget preparation - such as Carleton College faculty and student compensation guidelines, benefit percentages, indirect cost rate, and more - contact CFR (Dee 507-222-4441, Nina 507-222-4046, or Christopher 507-222-4046).

Indirect costs are a line item in nearly every proposal budget submitted to a federal agency. In contrast to straightforward project expenses of "direct costs" (such as salary, benefits, equipment, travel, supplies), indirect costs are - as NSF describes - "those costs which are not readily identifiable with a particular cost objective but nevertheless are necessary to the general operation of an organization."

An indirect cost rate agreement is negotiated with a Federal agency every four years; 56% is Carleton's rate agreement starting 7/1/12. The Business Office government grant proposal page explains that the rate is "calculated on the total of all faculty or technician salaries/stipends and undergraduate student stipends." This 56% rate is in effect from 7/1/12-6/30/15 (previously the rate of 50.2% was in place for grants approved between July 1, 2009 through June 30, 2012).

A SUBAWARD budget can be entered into Fastlane by either the lead organization or the subawardee (subaward organization, if not a coPI, gains access to the proposal as an OAU {other authorized user} and uses the temporary proposal number created in Fastlane and PIN assigned by the lead organization).

To input a subaward budget, refer to the first section of collaborative proposals, or utilize Fastlane Help and search "Create a Budget for the Subcontracting Organization."

Compliance specifics

What do I need to do to be compliant with federal requirements?

Each organization receiving funding from a federal agency needs to certify that the institution and individuals are following specified federal guidelines.

Carleton asks all primary investigators (PI and coPIs) involved in a proposal to a federal governmental agency (NSF, NIH, NEH, etc.) to read and sign a Compliance & Disclosure Form. The form addresses college policies and provides a checklist with links addressing I) financial conflicts of interest, II) human or animal subject involvement, III) responsible conduct of research, and IV) environmental health and safety issues. 

What is a "Data Management Plan"?

Any proposal submitted to the National Science Foundation must include a supplemental "Data Management Plan" (no more than two pages in length) which demonstrates how the principal investigator of the proposed project will fulfill the NSF’s Data Sharing Policy, as published in the NSF Award & Administration Guide (AAG). [The requirement was formally enforced starting in January 2011.]

For more, see the CFR's web page Dissemination and Sharing of Research Results and find there a "Data Management Plan Template" that is available for download to use in developing a statement which satisfies the requirements of the policy. 

What is RCR and how do I comply?

RCR stands for responsible and ethical conduct of research"; it is a requirement for which the submitting organization must certify and the PI must "describe in its grant proposal a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduate students, graduate students, and postdoctoral researchers participating in the proposed research project." For more, see NSF's RCR page.

Go to the CFR page Responsible Conduct of Research to link to an online training course and to obtain more specific information. 

When do I need to include a postdoc supplementary document?

If your proposal requests funding to support postdoctoral researchers, in the Supplementary Documentation section provide "a description of the mentoring activities that will be provided for such individuals." Proposers are advised that the mentoring plan may not be used to circumvent the 15-page project description limitation.

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. The guidelines include specifics and examples of mentoring plan activities.

If the proposal is collaborative and includes support of a postdoc researcher at any of the collaborating institutions, NSF procedures dictate that the lead organization's submission must include a supplemental mentoring plan not to exceed one page, addressing the mentoring activities to be provided for all postdoctoral researchers supported under the entire collaborative project.

FAQs

Who are senior personnel?

The term "senior personnel" describes PI/co-PIs who are "responsible for the scientific or technical direction of the project," along with other key personnel involved such as faculty associates. For all senior personnel a biographical sketch and current and pending support information are required. A distinct additional category is "Other personnel" that includes postdoctoral scholars, other professionals, graduate students, undergraduate students, and miscellany others working on the project in a non-research capacity. For more explanation, see the PAPP GPG Chapter II Definitions of Categories of Personnel.

Am I a beginning investigator?

A "beginning investigator" is an individual who has not been a principal investigator (PI) or co-principal investigator (co-PI) on a Federally funded award with the exception of doctoral dissertation, postdoctoral fellowship or research planning grants.

What are person months and how do I calculate them?

For the Current and Pending Support form, the PAPP GPG Chapter II.C.2.h states "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."

Here's more from the NSF Frequently Asked Questions publication (go to "P" for "Person-Months") -

What is the definition of "person-months"?

"The term "person-months" refers to the effort (amount of time) that PI/coPI(s), faculty, and other senior personnel will devote to a specific project. The effort is based on the organization's regular academic-year, summer, or calendar-year. For example, if the regular schedule is 10 months and 30% effort will be devoted to the project, a total of 3 months should be listed in the academic or calendar-year block (10 months x 30% = 3 months)." See other approaches below.

How do I calculate the person-months per year committed to the project?

"Multiply the percentage of your effort associated with the project times the number of months of your appointment (i.e. 10% of a 9 month AY appointment equals 0.9 person months; 10% of a 12 month calendar appointment equals 1.2 months)... Person months shown in the current and pending support section should usually equal the number of months on the NSF proposal budget."

OR, if you know the number of hours, days, or weeks to be devoted to the project, person-months can be obtained by calculating the portion.

For example, working 5 days on a project = 1 week/4 total weeks in a month = 0.25 person-months. Since a month includes a working day or two longer than four weeks, an alternate way to calculate would be 5 days/22 work days in a month = 0.23 person-months. Simply said:

  • Using weeks: multiply number of weeks by 0.23 to get person months (3 weeks x 0.23 = 0.69 person months). OR
  • Using days: multiply number of days by 0.05 to get person months (4 days x 0.05 = 0.20 person months).

If the time varies in each year, calculate yearly person months and then average them for the final number to report on the NSF Current and Pending form.

If devoting a term to research, the academic year person months can be calculated using 1/3 of 9-month appointment = 3.0 academic months (1/3 for Carleton's trimester system). NOTE: for NSF "If anticipated, any compensation for such personnel in excess of two months must be disclosed in the proposal budget, justified in the budget justification, and must be specifically approved by NSF in the award notice."

If your research will be during the summer months, even if working 10 weeks rather than 8 weeks, use 2.0 summer months for NSF proposals (it is permissible to ask for up to 3.0 months with NIH). As stated in NSF's PAPP Award and Administrative Guide, "NSF normally limits salary compensation for senior project personnel on awards made by the Foundation, to no more than two months of their regular salary in any one year. This limit includes salary received from all NSF funded grants."