NSF Open Source Ecosystems Grant Phase I

Draft Document

Important Links

1. Grant Page
2. OSE Wiki Summary
3. Research.gov standards
4. Grants.gov standards

OSE Admin Data

1. DUNS Number: 078454947
2. Unique Entity ID: NAHCCJJGKKW7
3. Physical Address (Format Specific): 909 SW WILLOW RD MAYSVILLE, MO 64469-8902
4. MPIN: *Redacted*

Information Requirements

1. Do we want to use the research.gov standards or grant.gov standards?

1. I’m leaning towards research.gov standards; grants.gov seems more oriented toward education institutions. I think we fall under “Non-profit, Non-academic Organizations”

2. How do we calculate and differentiate indirect and direct costs?

Running Estimates

1. 7 months from the date of submission to receiving the award
2. We must submit audited financial statements, if we don’t have we can submit compiled or unaudited financial statements for the two most recent accounting years along with corresponding federal tax returns for those years.
3. Require a financial management and accounting system
4. We are subject to auditing if awarded
5. If we go through research.gov, don’t include page numbers
6. Use Arial, size 10 or larger
7. 1” page margins on 8 ½ x 11” paper
8. Use standard single column text

Sections of Proposal:

1. Cover Sheet
2. Project Summary
3. Table of Contents
4. Project Description
5. References Cited
6. Biographical Sketch(es)
7. Budget and Budget Justification
8. Current and Pending Support
9. Facilities, Equipment and Other Resources
10. Special Information and Supplementary Documentation
    • Data Management Plan
    • Postdoctoral Mentoring Plan (if applicable)
11. Single Copy Documents

1. Collaborators and Other Affiliations Information

Definitions

1. PI - Principle Investigator

Phase I Grant Focus

1. Scoping and planning for eventual OSE that will inform development in Phase II.
2. Ecosystem Discovery

1. Describes evaluation methods to justify need
2. Explains why OSE is right approach
3. Outline methods to identify potential users

3. Organization and Governance plan

1. Specific activities and rationale
2. Governance model and licensing approach
3. Development, integration, and deployment process and infrastructure plan
4. Methods to sustain organizational structure
5. Qualifications of team required to do work

4. Community building

1. Activities that will engage content contributors, develop and maintain product
2. Plans for supporting and onboarding new contributors.

New Prospective Awardee Checklist

1. Awardee Organization and Management Summary, NSF Form 357 (see Appendix 1) Complete Part 1 only.
2. SmallBusinessDeclaration,NSFForm359(seeAppendix2)

If you are a for-profit organization or small business, provide a copy of the Small Business Declaration form. If you are a non-profit organization, provide a copy of the current Internal Revenue Service tax exemption letter, which certifies the organization’s non-profit status.

3. DocumentationofOrganizationalEstablishmentandStructure

Provide an official or published statement of the purpose of your organization and of the power, which have been granted to it to enter into contractual relationships and/or accept awards (e.g. articles of incorporation, by- laws). This should include a brief description of your organization’s objectives.

4. Organizational Chart/Segregation of Duties

Provide a copy of your organizational chart reflecting the structure of your organization. The organization’s structureshould allow for adequate segregation of duties. For example, no single employee or person should have complete control of accounting transactions and oversight of the daily functions of the NSF project; or be in a position that generates a conflict of interest.

5. ListingofCurrentorRecentFederalAwards

Provide a listing of all federal awards (grants, contracts and cooperative agreements) received by your organization over the past two years. Please provide the name of the agency, award number, amount, and title of the project.

6. FinancialManagementSystemsQuestionnaire(FMSQ),NSFForm358(seeAppendix3) Complete the questionnaire and sign the form.
7. Single audits: An organization that expends $750,000 or more in Federal Awards during its fiscal year must have had a single audit conducted in accordance with 2 CFR 200, Subpart F – Audit Requirements. Provide your organization’s Single Audit Reports if you have met the $750,000 expenditure requirement for both or any of your two most recently ended fiscal years.
8. FinancialStatements

If you have NOT met the $750,000 expenditure requirement for a Single Audit, provide your organization’s financial statements for the two most recently ended fiscal years. If financial statements are not audited, please ALSO submit the organization’s tax returns for the two most recently ended fiscal years.

9. GeneralLedgerandsampleProjectExpenseLedger

The Project Expense Ledger can be queried from the General Ledger for a specific grant-project’s fund/account to show revenues and incurred expenses under the grant-project. Documentation submitted should show how the organization tracks grant-project expenditures by line item, reconcile current expenditures to the amount budgeted, and keep grant-project expenditures separate from organizational expenditures. If you have open or recently closed Federal grant awards, please submit a sample of Project Expense Ledger the organization used to track those expenses. If you have never received a Federal award, submit a sample of your General Ledger with general operational transactions for a period; e.g., month, quarter, or year.

10. Chart of Accounts

Please provide an up-to-date Chart of Accounts of revenue and expense codes/accounts used for recording revenues and expenses under Federal grant projects.

11. Compensation – Personal Services

Please provide current written policies and procedures for compensation of personal services, or salaries and wages; to address the processes for allocating, reporting, and certifying effort under Federal grant awards. Please also provide a sample of the effort reports/attendance records the organization intends to use for documenting effort charged to the NSF project. Note: SSN’s and other personal data should be redacted.

12. Allowable Costs

Provide the current accounting policies and procedures in place at the organization governing the types of expenditures that can be made under federally sponsored projects. These should include how the organization will evaluate costs to ensure that they are necessary, reasonable, allocable and allowable. Policies should also include identification and treatment of strictly unallowable costs such as alcohol, entertainment, etc., as prescribed by 2 CFR 200 Subpart E – Cost Principles, and 420-475 – General Provisions for Selected Items of Cost.

13. Participant Support

If your proposal contains participant support, provide the current written policies and procedures governing participant support (who is considered a participant, what types of costs can be charged, NSF restrictions on re-budgeting out of participant support, non-recouping of indirect costs, and segregation of incurred participant support costs in the accounting system.). Please also identify in the Chart of Accounts which expense codes/accounts are used to segregate participant support costs.

14. Subaward Monitoring Policies and Subaward Agreement

If your proposal contains a subaward, provide the current subaward monitoring policies and procedures in place at the organization as well as a copy of the proposed subaward agreement, if already executed. If the proposed subaward agreement is not yet executed, provide a sample copy of any executed subaward agreement.

15. Mandatory Cost Sharing

If your proposal contains mandatory cost-sharing, provide the current cost-sharing policies and procedures in place at the organization. Please also provide an explanation of how the accounting system provides proper segregation and recording, of incurred costs.

16. Support of Indirect Costs

Provide a copy of the organization’s current negotiated indirect cost rate agreement (NICRA). If you do not have a negotiated indirect cost rate and are requesting indirect costs in excess of the “de minimis” rate of 10% of modified total direct costs, submit a full indirect cost rate proposal for review: https://www.nsf.gov/bfa/dias/caar/indirect.jsp.

Submission Requirements

1. Cover Sheet (I think Automated)
2. Project Summary (max 1 page)

1. Overview

1. Description of activity if funded, objectives, and methods employed

2. Statement of intellectual merit

1. Potential for activity to advance knowledge

3. Broader impacts

1. Potential of activity to benefit society and contribute to specific desired outcomes

3. Table of Contents (Automated)
4. Project Description (up to 7 pages): what they want to do, why they want to do it, how they plan to do it, how they will know if they succeed, and what benefits could accrue if the project is successful.

1. Clear statement of work to be undertaken, objectives for work, expected significance, relationship to present state of knowledge, work currently in progress.
2. Broader Impacts Section

1. Emphasize improved STEM education and educator development, increased scientific literacy, public engagement, diversity

3. Must have separate section titled “Context of OSE” describing the situation and vision
4. Guiding principles
5. Long-term vision
6. Specific societal or national needs
7. Anticipated broader impacts
8. Pointer to existing publically-available open-source product that is being transitioned
9. Details on current status of research product, developmental model, dissemination, and user base
10. Description of problem being addressed
11. Novelty of intended product including substantiating evidence of potential to significantly impact/address problem

5. Biographical Sketches

1. Seperate sketch, max 3 pages for each senior personnel, no personal info
2. Format education as follows:

1. Undergraduate        Location        Major        Degree & Year
2. Graduate                Location        Major        Degree & Year
3. Postdoctoral                Location        Area        Degree & Year

6. Budget and justification Organized by year Max 5 pages

1. LIne A is Salaries

1. Salary compensations from grant cannot exceed 2 months of regular salary in any one year

2. Line B are Wages
3. Line C is Fringe Benefits
4. Line D is Equipment
5. Line E is travel
6. Line F is participant support (stipends, travel, fees, subsistence)
7. Line G is other direct costs (services, materials and supplies, computer costs)
8. Line H is total Direct Costs
9. Line I is Indirect Costs

1. Admin and legal costs are considered indirect unless they are integral, can be specifically identified with the project, costs are explicitly included in approve budget

10. Line J is Total direct and indirect costs
11. Line K is fees (only applies to small businesses innovation stuff)
12. Line L is total amount requested
13. Line M is cost sharing

7. Current and pending support
8. Facilities, Equipment and Other Resources
9. Special information and supplementary documentation
10. Appendices are not included unless deviation has been authorized
11. Minimum of 3 letters of collaboration from third-party users or contributors (Max 2 pages each)

1. Clear description of contributions, and how they will contribute including technological advancements and value proposition
2. Current, accurate info for all personnel involved

1. All PIs, co-PIS, Senior Personnel, Paid/unpaid consultants or collaborators, subawardees, postdocs, and project-level advisory committee members
2. List must be numbered and include Full Name, Organization, Role in Project in order, separated by semi-colon. E.g., Mary Smith; XYZ University; PI John Jones; University of PQR Non-Profit; Senior Personnel Jane Brown; XYZ University; Letter of Collaboration Bob Adams; ABC Community College; Paid Consultant Susan White; DEF Corporation; Unpaid Collaborator Tim Green; ZZZ University; Subawardee.

3. Must be combined into single pdf

12. Data Management Plan (2 page max)

1. Address security and data privacy

13. Security Plan

Proposal Preparation Checklist

General:

• []  The proposer has an active and valid SAM registration and a valid DUNS number (UEI, effective April 1, 2022).
• []  The proposer has reviewed and certified compliance with the government-wide financial assistance certifications and representations in SAM.
• []  The proposal is compliant with the provisions in the PAPPG and/or the relevant program solicitation.
• []  The proposal is responsive to the relevant program description or announcement (if applicable).
• []  If the proposal has been previously declined and is being resubmitted, the proposal has been substantively revised to take into account the major comments from the prior NSF review.
• []  The proposed work is appropriate for funding by NSF, and is not a duplicate of, or substantially similar to, a proposal already under consideration by NSF from the same submitter.
• []  The proposal will be submitted by 5 p.m. submitter's local time if there is an established deadline date.
  Single Copy Documents:
  [ ] Authorization to Deviate from NSF Proposal Preparation Requirements is included (if applicable).
• []  List of Suggested Reviewers, or Reviewers Not To Include has been provided (if applicable).
• []  SF LLL, Disclosure of Lobbying Activities has been provided (if applicable).
• []  Collaborators and Other Affiliations (COA) Information has been separately provided for
  each individual identified as senior personnel through use of the COA template.
  Cover Sheet:

• []  For interdisciplinary proposals, all relevant programs have been identified.
• []  Proposal title includes any necessary prefix.
• []  For a renewal proposal, the previous award number has been entered.
• []  Related preliminary proposal number has been entered (if applicable).
• []  The “Special Exception to the Deadline Date Policy” box has been checked on the NSF Cover Sheet and the requisite Single Copy Document has been provided (if applicable).
• []  Appropriate box(es) have been checked, and requisite information has been provided.
• []  If the box for “Funding of an International Branch Campus of a U.S. IHE” or “Funding of a Foreign Organization or Foreign Individual” has been checked on the Cover Sheet, the name of the applicable country(ies) in the International Activities Country Name(s) box(es) has been provided.
  Project Summary:

• []  The Project Summary does not exceed one page.
• []  The Project Summary contains an overview, a statement on the intellectual merit of the proposed activity, and a statement on the broader impacts of the proposed activity.
• []  For proposals submitted via FastLane, the Project Summary may ONLY be uploaded as a Supplementary Document if use of special characters is necessary. If uploaded as a Supplementary Document, the Project Summary has been formatted to include separate headings for Overview, Intellectual Merit and Broader Impacts.
  Project Description:

• []  The Project Description does not exceed the 15-page limitation, the limit specified in the relevant program solicitation, or the limit provided in the instructions for types of proposals (e.g., Planning, RAPID, EAGER and Ideas Lab).
• []  Project Description contains, as a separate section within the narrative, a section labeled “Broader Impacts”.
• []  Project Description contains the requisite explanation/justification for proposals that include funding to an International Branch Campus of a U.S. IHE or to a foreign organization or foreign individual, including through use of a subaward or consultant arrangement.
• []  Project Description is self-contained, and Uniform Resource Locators (URLs) have not been included.

[] Results from Prior NSF Support have been provided for any PI or co-PI identified on the proposal that has received prior NSF support including:

• an award with an end date in the past five years; or
• any current funding, including any no cost extensions.
• Results related to Intellectual Merit and Broader Impacts are described under two

[ ] Results are limited to five pages of the Project Description.

References Cited:

• []  This section includes bibliographic citations only and does not provide parenthetical information outside of the Project Description.
• []  Each reference is in the required format, which may vary according to the norms of the scientific discipline.
  Biographical Sketch(es):

• []  A separate biographical sketch has been prepared through use of an NSF-approved format and provided for each individual identified as senior personnel. Each pdf file has been uploaded into FastLane, Research.gov or Grants.gov.
• []  Each biographical sketch does not exceed three pages.
• []  The content described has been prepared in accordance with the instructions, and does not contain additional information beyond that specified.
• []  A list, in reverse chronological order by start date of all of the individual’s academic, professional, or institutional appointments, beginning with the current appointment, has been provided for each individual. All current domestic and foreign professional appointments outside of the individual's academic, professional, or institutional appointments at the proposing organization also have been included.
• []  A list of: (i) up to five products most closely related to the proposed project; and (ii) up to five other significant products, whether or not related to the proposed project has been provided. Each product includes the full citation information including (where applicable and practicable) names of all authors, date of publication or release, title, title of enclosing work such as journal or book, volume, issue, pages, website and URL, or other Persistent Identifier.
• []  A list of up to five distinct examples that demonstrate the broader impact of the individual’s professional and scholarly activities that focus on the integration and transfer of knowledge as well as its creation has been provided. The synergistic activities provided are specific and do not include multiple examples to further describe the activity.

[ ]

Proposal Budget:

• []  Each budget line item has been documented and justified in the budget justification.
• []  Any compensation for senior personnel in excess of two months has been disclosed in the proposal budget and justified in the budget justification.
• []  Contracts for the purpose of obtaining goods and services for the proposer’s own use have been identified on Line G6 of the proposal budget, when applicable.
• []  The amount for indirect costs was calculated by applying the current negotiated indirect cost rate(s) to the approved base(s), and the amount has been specified in the budget justification.
• []  Each budget justification does not exceed five pages or the page limitation specified in the relevant program solicitation. For proposals that contain subawards, each subaward includes a separate budget justification that does not exceed five pages.
  Cost Sharing:

[] Unless required by an NSF program solicitation, voluntary committed cost sharing has not been included. Note that voluntary committed cost sharing is prohibited and Line M on the proposal budget will not be available for use by the proposer. While not required by NSF, proposing organizations may, at their own discretion, continue to contribute voluntary uncommitted cost sharing to NSF-sponsored projects. These resources are not auditable by NSF and should not be included in the proposal budget or budget justification.

Current and Pending Support:

• []  A separate current and pending support document has been prepared through use of an NSF-approved format and provided for each individual identified as senior personnel. Each pdf file has been uploaded into FastLane, Research.gov or Grants.gov.
• []  All resources made available to the individual in support of and/or related to all of his/her research efforts, regardless of whether or not they have monetary value, have been reported. If the individual is not requesting salary, however, and will not be expending any effort, then the project should not be reported in current and pending support.
• []  In-kind contributions not intended for use on the project/proposal being proposed that have associated time commitments have been reported, if applicable.
• []  Current and pending support information has been provided for the project/proposal being proposed, for ongoing projects, and for any proposals currently under consideration from whatever source, irrespective of whether such support has been provided through the proposing organization or has been provided directly to the individual.
• []  A brief statement of the overall objectives of the project/proposal being proposed or in-kind contribution has been provided. The potential overlap with any active or pending proposal or in-kind contribution and the proposal being submitted in terms of scope, budget, or person-months planned or committed to the project by the individual has been summarized, where applicable.
• []  The total award amount for the entire award period covered (including indirect costs) has been provided, as well as the number of person-months (or partial person-months) per year to be devoted to the project by the individual.

[ ] If the project (or any part of the project) now being submitted has been funded previously by a source other than NSF, information has been provided regarding the last period of funding.

Facilities, Equipment and Other Resources:

• []  An aggregated description of the internal and external resources (both physical and personnel) that the organization and its collaborators will provide to the project, should it be funded, has been included.
• []  In-kind contributions intended for use on the project being proposed (such as office/laboratory space, equipment, supplies, employees, students) have been identified, where applicable.
• []  No quantifiable financial information has been provided.
• []  If there are no facilities, equipment or other resources identified, a statement to that effect has been included in this section of the proposal and uploaded into FastLane, Research.gov or Grants.gov.
  Special Information and Supplementary Documentation:

• []  A postdoctoral mentoring plan, limited to one page, has been included, if required.
• []  A data management plan, limited to two pages, has been included.
• []  Letters of collaboration documenting collaborative arrangements of significance to the proposal have been included (if applicable).
• []  Other types of information identified in Chapter II.C.2.j have been included, as appropriate.
• []  Any additional items specified in a relevant program solicitation have been included. Appendices:
  [ ] Appendices many not be included unless a deviation has been authorized.
  Other Types of Proposals:
  [ ] For other types of proposals (see Chapter II.E), the applicable proposal preparation guidance has been followed.