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MENTOR-CONNECT TUTORIAL PREPARING FORMS FOR YOUR NSF ATE PROPOSAL This tutorial will guide you through an important process - filling out the forms that will be part of your proposal to the National Science Foundation’s Advanced Technological Education Program. It is based on a Mentor-Connect webinar, conducted in April 2016 and available as a recording on the Mentor-Connect website (www.MentorConnect.org), in the Resources section.

It is easy to underestimate the time it takes to fill out the forms! In addition to the project description, summary, and budget information, you will submit eight forms, some of which are several pages long.

The good news is that you can begin working on these forms early and have them ready long before the proposal is due. Doing so will not only leave you free to focus on the project description and the budget, but also give you the satisfaction of having your submission well under way.



The following pages will provide an overview of the information required in each of the forms you will submit, with the exception of the Budget and Budget Justification. They are covered in a separate webinar and tutorial, available in the Resources section of the MentorConnect website.



Before you begin working on the forms (and on any other part of the proposal):

1. Become familiar with: Ø the current ATE Solicitation (dated June 18, 2014; NSF 11692) - Read it carefully. And again. And again! http://www.nsf.gov/pubs/2014/nsf14577/nsf14577.htm

Ø

the 2016 Grant Proposal Guide (GPG) – The section on Proposal Preparation will be invaluable as

you develop your proposal. The GPG also provides useful information about proposal processing and review. http://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg The GPG is part of a larger document, The Proposal & Award Policies and Procedures Guide. It also contains the Award and Administration Guide, which will be an important source of information throughout your project, if it is funded.

Try opening both the HTML and the pdf versions of the GPG to see which best meets your needs. (The HTLM version consists of a detailed outline with hyperlinks to specific topics, while the pdf version has the complete text.)

2. Identify your Sponsored Research Officer (SRO). Ensure that he/she will work with the PI to cross-check all uploaded information before the proposal is submitted. Note that it is the SRO who

officially submits the proposal! (The PI will send the completed proposal to the SRO, who provides the official electronic signature and submits it to FastLane.)



3. Decide who will be responsible for handling proposal input on FastLane. (This is usually the PI.)

4. Register your institution, PI, Co-PIs and all other Senior Personnel within FastLane. (See

Registration Information on the FastLane home page, http://www.fastlane.nsf.gov. This will enable you to log in with your institution’s ID and your personal password.





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Accessing the forms: Ø In FastLane, click on Proposals, Awards and Status. Ø Log in and click on Proposal Functions→ Proposal Preparation→ Prepare Proposal. Ø If your proposal is registered in the system you will see it on the screen. Select it and click on Edit. If it is not yet registered, click on Create Blank Proposal. This will give you a proposal number, and with that you can enter your proposal into the system. Both routes will take you to the Form Preparation page, which is shown below. Click on some of the GO buttons to become familiar with the forms. Note that some forms will be filled out on-line by the person responsible for FastLane input, while work on other forms may be delegated since they will include uploaded files. Remember that you may make changes until you submit the final proposal. The date on which you save each form will appear on the Form Preparation page, so you can easily keep track of your progress. Begin as soon as possible!





The forms required for ATE proposals are listed below. You will not need to submit any of the other forms shown on the Form Preparation page. Ø Cover Sheet Ø Project Data Form (Because this form is not required by all NSF programs, it will appear on the Form Preparation page only after you indicate on the cover page that you are submitting an ATE proposal.) Ø Table of Contents Ø Project Summary Ø Project Description Ø Biographic Sketches Ø Current and Pending Support Ø Facilities, Equipment, and Other Resources Ø References Cited Ø Supplementary Documents: Data Management Plan Ø Other Supplementary Documents (The only document in this category that is required for ATE proposals is a list of individuals who will receive compensation from the project. Note that this is new and correct information.)



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Cover Sheet Your first task is to click on “Cover Sheet” and respond to a number of questions. This will generate a cover sheet similar to the one below. Note the automatically generated proposal number, at the top of the form. Program track: Be sure that you have the provided the correct program track, DUEATE Projects. This will ensure that all relevant forms appear on the Form Preparation page. Title: Provide a meaningful and concise title that conveys the focus of your project. Requested Amount: Ensure that your budget request does not exceed the maximum noted in the program solicitation! Duration: Request the maximum allowable time, in months, even if you expect to finish sooner. Delays happen! Also, you need to allow time for your final evaluation once the work is completed. Start date: - Be aware that it can take nine months from the submission date until an award is granted. - Determine whether your institution requires your project to operate on an academic year or a fiscal year calendar. This may impact your start date. - Decide whether you will need funded preparation time before launching the project.

The second page of the cover sheet asks for certification that the statements made in the proposal are accurate and that your institution is in compliance with several NSF requirements. Either the SRO or the PI may sign this page as the authorized representative. An electronic signature is registered when the proposal is submitted.

Review both pages of the cover sheet after it is generated to ensure that all of the information appears in the correct places!



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Project Data Form

This form provides information about the discipline, the submitting institution, other participating institutions, and the populations that will be impacted. Item 4: Be sure to list all other institutions, industries, or agencies that are involved in the project. Reviewers view collaboration positively. Items J-N: Reviewers will compare the total cost of your project with the number of people you plan to impact. Do not underreport these numbers!

If your participants are teachers, you are not only impacting them, but also their students.

For example, assume that a workshop for 20 high school teachers, conducted at the end of Year One, will result in each teacher using workshop materials in eight classes per year. During the remaining two years of the project, that workshop can impact about 4,000 students per year, assuming an average of 25 students per class, or a total of 8,000 students.





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Table of Contents FastLane will generate this form for you – no need to enter any information. It will look something like this:



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Project Summary The summary page has three components, with separate text boxes for: Ø Overview: What discipline best represents the project, and who is the primary audience? What are the objectives and by what methods will you achieve them? What kinds of activities will the project undertake? Clarity is important! NSF needs this information in order to assign the proposal to a review panel that has the appropriate expertise. Ø Intellectual merit: What is the project’s potential to advance knowledge? Ø Broader impacts: What is the project’s potential to benefit society? Important: Ø Your proposal will be rejected automatically if you submit it without a project summary, or if the project summary does not address each of the three categories. Ø NSF defines intellectual merit and broader impacts in general, and the ATE program does so more specifically. Take note of both in crafting these important statements for your proposal. NSF-wide definitions may be found in the GPG (NSF 16-1, January 2016) section on Merit Review Criteria (http://www.nsf.gov/pubs/policydocs/pappguide/nsf16001/gpg_index.jsp). For ATE-specific guidance, see the Merit Review Principles and Criteria in the ATE Program Solicitation. Ø This form does not allow uploading of Word documents or pdf files. You will minimize errors if you develop a Word document and paste each section into the form, instead of writing directly on the form. Ø Beware! Avoid apostrophes, bullets, or other special characters, as they will be converted into unintended symbols, like dollar signs. If your Project Summary must include special characters, such as mathematical symbols or Greek letters, you may upload it as a Supplementary Document. (Mark the “check here” box on the form, and remember to follow the guidelines, including the character limits, specified for the form.) Ø The combined text for all three components is limited to 4,600 characters, including spaces. Ø Print and scrutinize the completed form to make sure that the formatting is correct, that the text appears as intended, and that you have not exceeded the character limit. Useful tips: Ø This is an important opportunity to interest the reviewers in your proposal and make them want to read more. Make the most of it! Ø Remember that the ATE Program requires that the Broader Impacts statement reappear in the Project Description.



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Project Description

Develop your Project Description as a separate document, and upload it to FastLane by clicking on the Project Description form and following the directions in the box that looks like the one below. You may upload it as a Word document, which FastLane will convert to pdf, or as an already converted pdf file. Converting before uploading reduces the risk of formatting errors, but you will still need to check carefully for any formatting changes after uploading. This is the HEART of your proposal. Explain what you want to do, why you want to do it, how you plan to do it, how you will know if you are successful, and what benefits and impacts will result from a successful project. Ø Explain the project’s motivating rationale, goals, objectives, deliverables, and activities. Ø Describe the roles and responsibilities of the PI, Co-PIs, and other senior personnel. Ø Include a timetable, management plan, evaluation plan, dissemination plan, and plans for sustainability once NSF funding ends. Ø Address the broader impact criteria in a separate section labeled “Broader Impacts of the Proposed Work.” (Examples: reaching women and underrepresented minorities in STEM; improving STEM education at a particular level; increasing partnerships with business and industry.) Ø If a PI or Co-PI has received NSF funding in the past 5 years, you must begin the project description with a section titled “Results from prior NSF support.” While proposals seeking New-to-ATE funding may come only from institutions that have not received NSF funds for the past ten years, it is permissible for PIs and Co-PIs to have worked on funded projects at other institutions. Ø Note the formatting rules in the Grant Proposal Guide! The project description may not exceed 15 pages; margins must be one inch on all sides; and the minimum font size is 10 points in Arial, Courier, and Palatino Linotype and 11 points in Times New Roman and the Computer Modern family of fonts. A vertical space of one inch may contain no more than six lines of text.

Useful tips:

Ø Reviewers receive 10-12 proposals - they appreciate readability. Use 11 or 12-point font sizes, even though NSF allows a 10-point size for certain fonts. Avoid packing your pages too tightly with text. Use informative section headings and summarize information in bulleted lists and charts. Ø Avoid using automated endnotes. Instead, number your references manually and list them in the separate References section of the proposal. These references will not count toward your 15-page limit, but automated endnotes would become part of your 15-page project description. Ø Do not include links to websites that provide information relevant to your project. Reviewers are under no obligation to view them. Also, providing such links could be seen as circumventing page limitations. And the sites could be altered or gone between submission and review. Ø Avoid using appendices to convey critical information about the project. Reviewers are not obligated to read lengthy appendices, and they may choose not to read any appendices carefully.



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Bio-sketches Bio-sketches are required for all senior personnel. They can be uploaded separately for each individual or as one document. Note that a bio-sketch may not be longer than two pages and that NSF requires a very specific format. Use the headings listed below, and see the Grant Proposal Guide for more specific information.

All Bio-sketches must include the following components:

Professional Preparation Names and locations of undergraduate, graduate, and post-doctoral institutions (as applicable). For each institution, provide major discipline, degree, and the year the degree was awarded.

Appointments All academic and professional appointments, with dates, beginning with current employment.

Products Up to five citable products that most closely relate to the proposed project, such as publications, data sets, software, patents, etc. The list must include full citations. (Do not be concerned if you lack products or publications. The bio-sketch format was created to also serve the needs of the research community, where such products are more important.)

Synergistic Activities Up to five activities that relate to the proposal or reflect skills and experience required by the project. (Examples: sub-recipient of an ATE Center grant, senior staff on an ATE project at another institution, membership in a professional society, advisory roles.)



Useful tips: Ø Develop a bio-sketch template for use by all senior personnel, to ensure that everyone enters the information in the required format. Include only the NSF-required information. (Do not, for example, add personal contact information in the template.)

Ø Encourage all senior personnel to complete their bio-sketches as soon as possible.



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Current and Pending Support This form ensures that the senior personnel will have dedicated time for the project and that they will not be committed beyond 100% of their work time. NSF expects that grant personnel will dedicate a portion of the normal workweek to the project and that this time will be paid for by grant funds. Staff may be paid with grant funds for project work when not under contract to your institution, such as during summer months. Step 1: Generate a form for each project All senior personnel must complete a separate Current and Pending Support form for each of their current projects, each project for which funding is pending (including the proposal you are now preparing), and any project that is planned for the near future. Step 2: Fill out separate forms for each project

Required information:

- Project/proposal title - Source of support (funding agency or organization) - Project location (name of your institution) - Total award amount - Starting/ending dates - Support type - Person-months per year (fulltime-equivalent months, rounded off to one decimal place, and based on a 12month calendar year, academic year, summer months, or a combination of academic year and summer months) Person-months is the category in which most mistakes are made. The issue is not the number of months during which staff will devote some time to the project, but the full-time equivalent months (person-months) for which they will be paid.

Three different scenarios may help clarify this reporting method: Ø A 12-month employee devotes 10% of his/her time (10% FTE) to the project. Ten percent of 12 months is reported as 1.2 calendar months. (Note: part-time work during 12 months is not reported as working 12 months on the project.) Ø A faculty member has one course release time for fall and spring. The normal full-time teaching load is five courses, so 1/5 or 20% of 9 months is reported as 1.8 academic months. Ø A faculty member works ½ month in the summer, which is reported as 0.5 summer months.



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The system will consolidate information on each individual Current and Pending Support form into one final form, like the one below. Report faculty time either as calendar-year months or as academic-year and/or summer months. Never combine calendar-year months and academic year or summer months. Include time commitments for any unpaid project work. All projects or activities requiring a portion of Senior Personnel time must be included, even if they provide no salary support. Beware of having personnel donate large amounts of time to your ATE project. Donated time may be considered voluntary cost sharing, which is prohibited by NSF. Also, reviewers may not believe that the scope of work will be completed if it relies on significant amounts of donated time.

Note that faculty time on ATE grants is not limited to two months, as in many other NSF programs. Ensure that time allocated to your ATE project is reasonable for the scope of work, carefully aligned with each person’s responsibilities, and consistent with information provided elsewhere in the proposal, particularly in the budget.

Avoid overload! Combined faculty release time for all current and pending projects must be within the normal workload. NSF will not allow faculty to receive overload pay for grant-supported work. (Very limited exceptions may be made for rare cases, but these must be discussed with a Program Officer in advance of proposal submission.)



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Facilities, Equipment and Other Resources This form is used to describe the resources that will be used by the project at the home institution and elsewhere.

Laboratory support can be important for the successful implementation of an ATE grant. If this is the case for your project, describe your current capability even if the proposal calls for improvements or additional equipment. Computer capability can also be essential for your grant, especially if the project focuses on Information Technology, Cyber-Security or any number of other advanced technologies that will use the computing capabilities and computer labs at your institution. Office support is important. Budget guidelines specifically state that grant budgets may not include office furnishings or everyday office equipment such as computers, copiers, and other items that support normal office operations. Make it clear that these resources will be available. If your institution is providing dedicated office space, access to administrative support, or similar resources, include this support. Other is the section where you may describe resources other than facilities and equipment, such as personnel support. Examples include an internal advisory committee; a college recruiter who will support outreach activities without grant compensation; or institutional research personnel who will help with internal evaluation and data collection without grant compensation. This is also the place to describe other donated time. But remember to limit such time and do not assign monetary value to it. (See the third paragraph on page 11.) Major Equipment can be an important category for some ATE grants, since advanced technology programs are often equipment intensive. If your project will be dependent on major equipment, this is the place to describe it, whether it belongs to your college or a collaborating institution or industry.



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References Cited Reference citations are essential! They document the data you provide as you build the rationale for your project, and they show that you have done the research that enables you to draw on relevant work. Like most funding sources, NSF encourages the use of research-based strategies and the adaptation of work undertaken in other funded projects. Cite references to work that led you to select a particular strategy, curriculum, teaching methodology or other promising or proven approaches.

Useful tips:



Ø As you include information from your research, manually number your references throughout the project description. Then prepare a separate document with citations that correspond to those numbers, and upload it to the Reference Cited form. If you use automated endnotes, the references will be included in your 15-page project description. You can put that space to better use, since the endnotes would duplicate the information in your References Cited form.

Ø Note that it is possible to enter the references directly on the form. However, it is always better to upload text than to enter it directly, since this gives you far better control of formatting. For the same reason, it is also better to upload pdf files than Word documents, even though FastLane will convert Word to pdf.



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Data Management Plan The Data Management Plan is a recent requirement for ATE proposals. It is a supplementary document of no more than two pages (a third page can automatically disqualify your proposal), which describes how the project will conform to NSF policies on the dissemination and sharing of research results. NSF expects you to share the outcomes of your work, and timely publication of results is encouraged. However, you must consider privacy, confidentiality, intellectual property and other rights. The Data Management Plan provides an opportunity for you to describe the care that will be taken in this regard. See below for a good example, provided by Asheville-Buncombe Technical Community College.

Your Data Management Plan should describe: Ø The types of data, samples, physical collections, software, curriculum materials, and other materials to be produced in the course of the project Ø The standards to be used for data and metadata format and content Ø Policies for accessing and sharing, including provisions for appropriate protection of privacy, confidentiality, security, intellectual property, or other rights or requirements Ø Policies and provisions for re-use, re-distribution, and the production of derivatives Ø Plans for archiving data, samples, and other research products, and for preserving access to them

Useful tips:

Ø See the NSF Award and Administration Guide (AAG) for more information about Data Management Plans. http://www.nsf.gov/publ ications/pub_summ.jsp? ods_key=aag

Ø For responses to frequently asked questions about Data Management Plans, see: http://www.nsf.gov/bfa/ dias/policy/dmpfaqs.jsp Ø As with other documents, it is a good idea to upload your Data Management Plan as a pdf file and to check the formatting carefully before and after uploading.



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Other Supplementary Documents: List of all individuals who will receive compensation from the project - Required Provide the names, roles and affiliations of all who will receive compensation, except for participants and students. Ensure that the names are consistent with those identified in the budget and budget justification, the project description, and the current and pending support forms. This form is not required by most other NSF programs, but the new and correct information is that it is definitely required by the ATE program.

Letters of commitment – Very strongly encouraged but not required The letters should explain specific collaborations, partnerships or resources pledged to the project. Do not include letters that merely endorse the project or offer non-specific support. Do not provide boilerplate language or templates for letters. Reviewers will notice if you have several similar letters and will question the level of commitment of those who wrote them.

Additional Supplementary Documents – Not required You may provide documents that offer examples of the kind of work you plan to accomplish. For example, if you are proposing to revise a curriculum and have already updated one module you may provide it as a sample, or if you plan to conduct a professional development workshop you may provide a draft agenda and information about the resources that will be available.

Useful tips:

Ø Do not exceed 30 pages of combined supplementary materials. (Reviewers are not required to read more than that number.) Ø All supplemental documents must adhere to the same font and page formatting requirements as the project description. Ø Supplementary documents may be uploaded as one or more files. Once again – remember that FastLane does convert Word documents to pdf files, but you will have better control over the formatting if you convert them yourself before uploading them.

Final advice from Mentor-Connect: Ø Begin working on your forms as soon as possible. Ø Review what you have written several times, before and after uploading to FastLane. Ø Don’t be afraid to ask questions – your mentors and the Mentor-Connect team members are here to help, and no question is too trivial. Ø Visit Mentor-Connect.org and click on “Resources” and “Visit our Library” for samples, templates, FAQs and other support related to NSF ATE Proposal Submission.



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