Published on AidPage by IDILOGIC
on Jun 24, 2005
Purpose of this program:
NSF's Directorate for Engineering (ENG) seeks to improve the quality of life and the economic strength of the Nation by fostering innovation, creativity, and excellence in engineering education and research. Specifically, ENG enables the Nation's long- term capacity to perform by: (1) Investing in the creation of new engineering knowledge and the development of human capital within disciplines and at their interfaces; (2) making critical investments to enable an intelligent, agile and adaptable physical infrastructure for engineering education and research; (3) improving the quality and effectiveness of engineering education and research through the integration of and systemic reform of these processes; and (4) enabling knowledge transfer connections among diverse constituencies and communities. Areas of research include: tissue engineering; metabolic pathway engineering; bioinformatics; protein drug processing, fluid flow; combustion; heat transfer; fuel cells; sensors; integrated modeling of the behavior of materials and structures; civil infrastructure; structures and mechanical systems; engineering in geologic materials; reducing risks of natural and technological hazards; enterprise-level integration technologies; innovative design strategies; manufacturing processes and materials; production systems; microelectronic, nanoelectronic, micromagnetic, photonic, and electromechanical devices and their integration into circuits and microsystems; design and analysis of systems and the convergence of control, communications and computation; Engineering Research Groups; Engineering Research Centers; Industry/University Cooperative Research Centers; Engineering Education; Human Resources Development; cross cutting activities and special studies and analyses. Support is also provided for undergraduate student research, graduate research fellowships, research equipment and instrumentation, Small Business Innovation Research (SBIR), Innovation and Organizational Change and Grant Opportunities for Academic Liaison with Industry (GOALI). ENG also provides support for Foundation-wide programs including the Faculty Early Career Development (CAREER) program and the Integrative Graduate Education and Research Training (IGERT) Program, and Small Business Technology Transfer Program (STTR).
Possible uses and use restrictions...
Funds may be used for paying costs to conduct research, such as salaries and wages, equipment and supplies, travel, publication costs, other direct costs, and indirect costs. This program does not provide support for inventions, product development, marketing, pilot plant efforts, technical assistance, or research requiring security classifications.
Who is eligible to apply...
Public and private colleges and universities, nonprofit institutions, profit-making institutions including small businesses, State, and local government agencies and unaffiliated individuals.
The proposal must be signed electronically by an official authorized to commit the institution or organization in business and financial affairs and who can commit the organization to certain proposal certifications. Costs will be determined in accordance with OMB Circular Nos. A-21 for colleges and universities and A-122 for nonprofit organizations. This program is excluded from coverage under OMB Circular No. A-87.
Note:This is a brief description of the credentials or documentation required prior to, or along with, an application for assistance.
About this section:
This section indicates who can apply to the Federal government for assistance and the criteria the potential applicant must satisfy.
For example, individuals may be eligible for research grants, and the criteria to be satisfied may be that they have a professional or scientific degree,
3 years of research experience, and be a citizen of the United States. Universities, medical schools, hospitals, or State and local governments may also be eligible.
Where State governments are eligible, the type of State agency will be indicated (State welfare agency or State agency on aging) and the criteria that they
Certain federal programs (e.g., the Pell Grant program which provides grants to students) involve intermediate levels of application processing, i.e., applications
are transmitted through colleges or universities that are neither the direct applicant nor the ultimate beneficiary. For these programs,
the criteria that the intermediaries must satisfy are also indicated, along with intermediaries who are not eligible.
How to apply...
Proposals must be submitted electronically via FastLane to the Engineering Programs and should follow the general instructions and guidelines in the NSF "Grant Proposal Guide," NSF 04-2. Research proposals for support under the Small Business Innovation Research (SBIR) program must be submitted in response to an annual solicitation. All proposals are acknowledged. These programs are subject to the provisions of OMB Circular No. A-110.
Note: Each program will indicate whether applications are to be submitted to the Federal headquarters, regional or local office, or to a State or local government office.
NSF staff members review and evaluate all proposals with the assistance and advice of scientists and engineers who are specialists in the field covered by the proposal, of prospective users of research results when appropriate, and of specialists in other Federal agencies when appropriate.
Note: Grant payments may be made by a letter of credit, advance by Treasury check, or reimbursement by Treasury check.
Awards may be made by the headquarters office directly to the applicant, an agency field office, a regional office,
or by an authorized county office. The assistance may pass through the initial applicant for further distribution by
intermediate level applicants to groups or individuals in the private sector.
Deadlines and process...
See Division web pages for deadlines for unsolicited research proposals. Some programs and special proposal competitions have target dates for receipt of proposals. Applicants should contact the program officer listed under the Information Contacts section of this program for dates on specific programs.
When available, this section indicates the deadlines for applications to the funding agency which will
be stated in terms of the date(s) or between what dates the application should be received.
When not available, applicants should contact the funding agency for deadline information.
Range of Approval/Disapproval Time
Approximately 3 to 7 months.
None required for unsolicited proposals, but preliminary discussions with relevant National Science Foundation program officer, by telephone or mail, is encouraged if specific program information is needed. Special proposal competitions may specify preapplication requirements. This program is excluded from coverage under OMB Circular No. A-102. This program is excluded from coverage under E.O. 12372.
This section indicates whether any prior coordination or approval is required with governmental or nongovernmental units
prior to the submission of a formal application to the federal funding agency.
The Principal Investigator may request, in writing, that the Foundation reconsider its action in declining any proposal application, renewal application, or continuing application.
In some cases, there are no provisions for appeal. Where applicable, this section discusses appeal procedures or allowable rework time for resubmission
of applications to be processed by the funding agency. Appeal procedures vary with individual programs and are either listed in this section or
applicants are referred to appeal procedures documented in the relevant Code of Federal Regulations (CFR).
NSF awards the following types of grants: 1) Standard Grants, in which NSF agrees to support a specified level of effort for a specified period of time, with no statement of NSF intent to provide additional future support. Proposals for renewal of a Standard Grant compete with all other pending proposals. 2) Continuing Grants, in which NSF agrees to support a specified level of effort for a specified period of time, with a statement of intent to provide additional support for the project, provided funds are available and the results achieved warrant further support. Funding is normally in one-year increments. Some awards are made as cooperative agreements when substantial NSF involvement is required during the project performance period. Renewals are not allowed for the Small Business Innovation Research (SBIR) program.
In some instances, renewal procedures may be the same as for the application procedure, e.g., for projects of a non-continuing nature renewals will be treated as new, competing applications; for projects of an ongoing nature, renewals may be given annually.
Who can benefit...
Public and private colleges and universities; nonprofit institutions; profit organizations, including small businesses; State, and local government agencies; and unaffiliated individuals.
About this section:
This section lists the ultimate beneficiaries of a program, the criteria they must satisfy and who specifically is not eligible. The applicant and beneficiary will generally be the same for programs that provide assistance directly from a Federal agency. However, financial assistance that passes through State or local governments will have different applicants and beneficiaries since the assistance is transmitted to private sector beneficiaries who are not obligated to request or apply for the assistance.
What types of assistance...
The funding, for fixed or known periods, of specific projects. Project grants can include fellowships, scholarships, research grants, training grants, traineeships, experimental and demonstration grants, evaluation grants, planning grants, technical assistance grants, survey grants, and construction grants.
How much financial aid...
Range and Average of Financial Assistance
$5,000 to $4,000,000; $119,000.
This section lists the representative range (smallest to largest) of the amount of financial assistance available. These figures are based upon funds awarded in the past fiscal year and the current fiscal year to date. Also indicated is an approximate average amount of awards which were made in the past and current fiscal years.
(Grants and Contracts) FY 03 $541,700,000; FY 04 est $565,130,000; and FY 05 est $575,900,000.
The dollar amounts listed in this section represent obligations for the past fiscal year (PY), estimates for the current fiscal year (CY), and estimates for the budget fiscal year (BY) as reported by the Federal agencies. Obligations for non-financial assistance programs indicate the administrative expenses involved in the operation of a program.
Note: This 11-digit budget account identification code represents the account which funds a particular program.
This code should be consistent with the code given for the program area as specified in Appendix III of the Budget of the United States Government.
Examples of funded projects...
(1) Elastomeric and Biodegradable Scaffolds to Tissue Engineer Ligaments. (2) Nanostructural Engineering of Complex Functional Particles. (3) A Multiple Shake Table Earthquake Engineering Research Facility. (4) Rapid Fabrication of Non-Assembly Mechanisms with Embedded Components. (5) Development of Biosensors for Rapid Screening. (6) Research Experiences for Native American Students and Teachers. (7) Mechanical Heart Valve Testing. (8) Internally Mounted Engines for Aircraft of the Future. (9) Particle Laden Tubeless Siphon With Applications to Homeland Defense. (10) MEMS Tuners for Multi-band High Efficiency Wireless Transmitters. (11) Steer-by-Wire: Driver Assistance for Collision Avoidance. (12) SBIR Research: Development of a Novel Sensing Material for Waterborne Pathogens.
About this section
This section indicates the different types of projects which have been funded in the past. Only projects funded under Project Grants or Direct Payments for Specified Use should be listed here. The examples give potential applicants an idea of the types of projects that may be accepted for funding. The agency should list at least five examples of the most recently funded projects.
In fiscal year 2003, 9,076 proposals were received and 3,518 awards were made. In fiscal year 2004, approximately 9,348 proposals will be received and about 3,475 awards will be made, and in fiscal year 2005 approximately 9,628 proposals will be received and about 3,450 awards will be made.
Criteria for selecting proposals...
The National Science Board approved revised criteria for evaluating proposals at its meeting on March 28, 1997 (NSB 97-72). All NSF proposals are evaluated through use of the two merit review criteria. In some instances, however, NSF will employ additional criteria as required to highlight the specific objectives of certain programs and activities. On July 8, 2002, the NSF Director issued Important Notice 127, Implementation of new Grant Proposal Guide Requirements Related to the Broader Impacts Criterion. This Important Notice reinforces the importance of addressing both criteria in the preparation and review of all proposals submitted to NSF. NSF continues to strengthen its internal processes to ensure that both of the merit review criteria are addressed when making funding decisions. In an effort to increase compliance with these requirements, the January 2002 issuance of the GPG incorporated revised proposal preparation guidelines relating to the development of the Project Summary and Project Description. Chapter II of the GPG specifies that Principal Investigators (PIs) must address both merit review criteria in separate statements within the one-page Project Summary. This chapter also reiterates that broader impacts resulting from the proposed project must be addressed in the Project Description and described as an integral part of the narrative. Effective October 1, 2002, NSF will return without review proposals that do not separately address both merit review criteria within the Project Summary. It is believed that these changes to NSF proposal preparation and processing guidelines will more clearly articulate the importance of broader impacts to NSF-funded projects. The two National Science Board's approved merit review criteria are listed below (see the Grant Proposal Guide Chapter III.A for further information). The criteria include considerations that help define them. These considerations are suggestions and not all will apply to any given proposal. While proposers must address both merit review criteria, reviewers will be asked to address only those considerations that are relevant to the proposal being considered and for which he/she is qualified to make judgements. What is the intellectual merit of the proposed activity? How important is the proposed activity to advancing knowledge and understanding within its own field or across different fields? How well qualified is the proposer (individual or team) to conduct the project? (If appropriate, the reviewer will comment on the quality of the prior work.) To what extent does the proposed activity suggest and explore creative and original concepts? How well conceived and organized is the proposed activity? Is there sufficient access to resources? What are the broader impacts of the proposed activity? How well does the activity advance discovery and understanding while promoting teaching, training, and learning? How well does the proposed activity broaden the participation of underrepresented groups (e.g., gender, ethnicity, disability, geographic, etc.)? To what extent will it enhance the infrastructure for research and education, such as facilities, instrumentation, networks, and partnerships? Will the results be disseminated broadly to enhance scientific and technological understanding? What may be the benefits of the proposed activity to society? NSF staff will give careful consideration to the following in making funding decisions: Integration of Research and Education. One of the principal strategies in support of NSF's goals is to foster integration of research and education through the programs, projects, and activities it supports at academic and research institutions. These institutions provide abundant opportunities where individuals may concurrently assume responsibilities as researchers, educators, and students and where all can engage in joint efforts that infuse education
Length and Time Phasing of Assistance
Normally 6 months to 3 years, occasionally longer.
Formula and Matching Requirements
Cost-sharing may not apply to solicited proposals, or to conferences and symposia, publication, travel, or logistic support. A minimum cost-sharing of one-third of total costs is required for equipment grants. Some cost-sharing is also expected for Engineering Research Centers and Industry/University Cooperative Research Centers. The Grant Proposal Guide (GPG)(Chapter II) and the Grant Policy Manual (Sec. 330) provide additional information on the general NSF policy on cost-sharing. The Small Business Innovation Research (SBIR) program is a phased project program. Phase I is a feasibility study up to 6 months. Phase II is the principal research program for up to 24 months.
A formula may be based on population, per capita income, and other statistical factors. Applicants are informed whether there are any matching requirements to be met when participating in the cost of a project. In general, the matching share represents that portion of the project costs not borne by the Federal government. Attachment F of OMB Circular No. A-102 (Office of Management and Budget) sets forth the criteria and procedures for the evaluation of matching share requirements which may be cash or in-kind contributions made by State and local governments or other agencies, institutions, private organizations, or individuals to satisfy matching requirements of Federal grants or loans.
Cash contributions represent the grantees' cash outlay, including the outlay of money contributed to the grantee by other public agencies, institutions, private organizations, or individuals. When authorized by Federal regulation, Federal funds received from other grants may be considered as the grantees' cash contribution.
In-kind contributions represent the value of noncash contributions provided by the grantee, other public agencies and institutions, private organizations or individuals. In-kind contributions may consist of charges for real property and equipment, and value of goods and services directly benefiting and specifically identifiable to the grant program. When authorized by Federal legislation, property purchased with Federal funds may be considered as grantees' in-kind contribution.
Maintenance of effort (MOE) is a requirement contained in certain legislation, regulations, or administrative policies stating that a grantee must maintain a specified level of financial effort in a specific area in order to receive Federal grant funds, and that the Federal grant funds may be used only to supplement, not supplant, the level of grantee funds.
Post assistance requirements...
For all multi-year grants (including both standard and continuing grants), the PI must submit an annual project report to the cognizant program office at least 90 days before the end of the current budget period. Within 90 days after the expiration of a grant, the PI is required to submit a final project report. Quarterly Federal Cash Transaction Reports are required. Other reporting requirements may be imposed via the grant instrument.
This section indicates whether program reports, expenditure reports, cash reports or performance monitoring are required by the Federal funding agency, and specifies at what time intervals (monthly, annually, etc.) this must be accomplished.
In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Non-Profit Organizations," nonfederal entities that expend financial assistance of $300,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $300,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133.
This section discusses audits required by the Federal agency.
The procedures and requirements for State and local governments and nonprofit entities are set forth in OMB Circular No. A-133.
These requirements pertain to awards made within the respective State's fiscal year - not the Federal fiscal year,
as some State and local governments may use the calendar year or other variation of time span designated as the fiscal year period,
rather than that commonly known as the Federal fiscal year (from October 1st through September 30th).
Grantees are expected to maintain separate records for each grant to ensure that funds are used for the general purpose for which the award was made. Records are subject to inspection during the life of the award and for 3 years thereafter.
This section indicates the record retention requirements and the type of records the Federal agency may require.
Not included are the normally imposed requirements of the General Accounting Office.
For programs falling under the purview of OMB Circular No. A-102, record retention is set forth in Attachment C.
For other programs, record retention is governed by the funding agency's requirements.
National Science Foundation Act of 1950, as amended, Public Law 108-199, 42 U.S.C. 1861 et seq.
This section lists the legal authority upon which a program is based (acts, amendments to acts, Public Law numbers, titles, sections, Statute Codes, citations to the U.S. Code, Executive Orders, Presidential Reorganization Plans, and Memoranda from an agency head).
Regulations, Guidelines, And Literature
45 CFR Chapter VI; 48 CFR Chapter 25; "NSF Guide to Programs, fiscal year 2004," NSF 04-009 (http://www.nsf.gov/cgi-bin/getpub?nsf04009); and "Grant Proposal Guide," NSF 04-2, (http://www.nsf.gov/cgi-bin/getpub?nsf042); selected solicitations include "Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Programs Phase I Solicitation," NSF 04-551; "Faculty Early Career Development (CAREER)," NSF 02-111; "Grant Opportunities for Academic Liaison with Industry (GOALI)," NSF 98-142; "Major Research Instrumentation (MRI)," NSF 04-511. For descriptions of ENG program announcements, please check the following Electronic source: ENG Home Page on Internet World Wide Web (WWW). URL Address is: http://www.eng.nsf.gov/.