Education and Human Resources (47.076)
Program
47.076 Education and Human Resources
Federal Agency
NATIONAL SCIENCE FOUNDATION
Authorization
National Science Foundation Act of 1950, as amended, Public Law 106-377, 42 U.S.C 1861 et seq.
Program Number
47.076
Last Known Status
Active
Objectives
To provide leadership and ensure the vitality of the Nation's science, technology, engineering and mathematics (STEM)education Enterprise. The Education and Human Resources (EHR) component of the National Science Foundation sponsors programs that support the development of models and strategies for providing all students with access to high-quality, standards-based education. The portfolio of EHR programs in STEM education is comprised of efforts spanning preK to 12 (with special emphasis on projects that join institutions of higher education with K-12 education units), undergraduate, graduate and post-doctoral levels, as well as informal education and life-long learning. Long-term goals include: Supporting infrastructure (especially broad-based collaborative partnerships) that will enable development of high-quality educational experiences for all students; ensuring that our educational pathways yield an adequately educated and diverse corps of individuals for both the highly technical workplace and the professional STEM community; and the development of a cadre of professionally educated and well-trained teachers and faculty. The strength of EHR programming resides in its ability to integrate research and education, combining the expertise of the research and education communities. Its programs include support for research on learning and teaching that informs education practice; comprehensive, standards-based instructional materials effective in increasing student achievement; strategies for developing deep content knowledge and teaching skills for the instructional workforce; and research, development, and implementation of next-generation learning technologies. The EHR activity also sponsors projects under the Experimental Program to Stimulate Competitive Research (EPSCoR) program, which builds the capacity of participating states to compete successfully for Federal research funding. EHR programs are subject to continuous improvements based on program reviews, evaluation, dissemination of best practices, and evolving knowledge bases.
Types of Assistance
Project Grants (Cooperative Agreements).
Uses and Use Restrictions
Grant funds may be used for costs necessary to conduct research, educational activities or studies, including salaries and expenses, permanent equipment, expendable materials and supplies, travel, publication costs, and other direct and indirect costs. Primary responsibility for general supervision of all grant activities rests with the grantee institution. Funds may not be used for purposes other than those specified in the award. Graduate fellowships provide for stipends and allowances to be paid to the awardee through his/her institution; a fixed cost-of-education allowance is paid directly to the institution. H-1B Nonimmigrant Petitioner Fees support: private-public partnerships in K-12 education; and scholarships for tuition, displacement of loans and college/university-provided grants, and miscellaneous academic expenses, which will be paid to the awardee through his/her institution. Scholarships are restricted to the fields of computer science, engineering, mathematics, and engineering and computer technology at associate, baccalaureate, masters and doctoral levels, pursuant to the American Competitiveness in the 21st Century Act of 2000 (P.L. 106-313). NSF does not provide funds directly to individuals for the payment of private or public tuition expenses.
Eligibility Requirements
Applicant Eligibility
Graduate students, public and private colleges (2-year and 4-year) and universities, State and local education agencies, tribal entities, nonprofit and private organizations, professional societies, science academies and centers, science museums and zoological parks, other informal science education institutions, research laboratories, and other institutions with an educational mission may apply.
Beneficiary Eligibility
Elementary, secondary and undergraduate science, technology, engineering, and mathematics teachers and faculty; preK-12, undergraduate and graduate students; public and private colleges (2-year and 4-year) and universities; State and local educational agencies; tribal entities, nonprofit and private organizations; professional societies; science academies and centers; science museums and zoological parks; other informal science education institutions, research laboratories, and other institutions with an educational mission.
Credentials/Documentation
Proposals 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 No. A-21 for colleges and universities, No. A-87 for State and local governments, and No. A-122 for nonprofit organizations. Applicants for fellowship support must show evidence of ability such as academic records, letters of recommendation, graduate record examination scores, and grade point average. Applications for H-1B Nonimmigrant Petitioner scholarships require documentation of financial need, evidence of inclination to pursue study in targeted disciplines, and evidence of academic ability.
Application and Award Process
Preapplication Coordination
In selected areas, discussion with NSF program staff is strongly recommended and/or submission of a preliminary proposal is required before submitting formal proposals. Other areas are eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process that the State requires to be followed in applying for assistance, if the State has selected the program for review.
Application Procedure
By electronic submission via FastLane of a formal proposal, and, in some programs, a preliminary proposal, describing the planned project and the proposed amount of the grant. For guidelines, see specific program announcements and "Grant Proposal Guide," NSF 03-2.
Award Procedure
NSF staff members review and evaluate all proposals based on a set of criteria established by the National Science Board. In most cases reviews are undertaken with the advice of scientists, engineers, educators and other appropriate persons who are specialists in the fields covered by the proposals. External reviewers, who are conversant with the fields covered by the applications, review and evaluate all graduate fellowship applications. Awards are made by NSF on a competitive basis.
Deadlines
Deadlines and target dates are published in the NSF bulletin and program announcements.
Range of Approval/Disapproval Time
Appeals
The principal investigator may request, in writing within 90 days of a declination or return, that the Foundation reconsider its action in declining or returning any proposal or application.
Renewals
Contact NSF program staff for specific renewal policies and procedures.
Assistance Considerations
Formula and Matching Requirements
Projects vary with regard to the required level of institutional contribution or cost-sharing; requirements are provided in program announcements. Under the "Course, Curriculum, and Laboratory Improvement" and "Advanced Technological Education" programs, funds requested for equipment and other technology must be matched by a nonfederal contribution equal to or greater than the NSF contribution. Adaptation and Implementation projects under the Course, Curriculum, and Laboratory Improvement program require matching of the entire NSF budget request. Minority serving institutions that are covered by Executive Order (i.e., Historically Black Colleges and Universities, Hispanic Serving Institutions, and Tribal Colleges) and that do not offer STEM degrees beyond the baccalaureate level are exempted from this requirement. 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.
Length and Time Phasing of Assistance
Up to 5 years. For fellowships, typically 9 to 12 months; up to 3 years of support. Assistance is disbursed to the institution for monthly stipend allotment to the fellow. Annual H-1B scholarships are awarded through institutions; reapplication is required.
Post Assistance Requirements
Reports
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.
Audits
In accordance with the provisions of OMB Circular No. A- 133 (Revised, June 24, 1997), "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.
Records
Grantees are expected to maintain separate records for each grant to ensure that funds are used for the general purpose for which the grant was made. Records are subject to inspection during the life of the grant and for three years thereafter. Special record keeping requirements apply to fellowships.
Program Accomplishments
In fiscal year 2001, approximately 1,153 awards were made, and 4,450 proposals were received for competitive review. In fiscal year 2002, approximately 1,210 awards will be made, and 4,600 proposals will be received for competitive review. In fiscal year 2003, it is anticipated that approximately 1,160 awards will be made, and 5,000 proposals will be received for competitive review. H-1B Nonimmigrant Petitioner scholarship activity was over 120 awards to institutions in fiscal year 2001, resulting in over 15,000 scholarship opportunities; it is expected that over 130 awards will be made to institutions in fiscal year 2002, resulting in over 16,000 scholarship opportunities.
Financial Information
Account Identification
49-0106-0-1-251.
Obligations
(Grants) FY 02 $882,420,000; FY 03 est $932,300,000; and FY 04 est $1,000,000,000 (Includes H-1B Nonimmigrant Petitioner Fees).
Range and Average of Financial Assistance
$2,500 to $7,000,000; $117,600.
Regulations, Guidelines and Literature
45 CFR Chapter VI; 48 CFR Chapter 25; "NSF Guide to Programs, FY 2003," NSF 03-02 (http://www.nsf.gov/cgi-bin/getpub?nsf0302); "Grant Proposal Guide," NSF 03-2 (http://www.nsf.gov/cgi-bin/getpub?nsf032).
Related Programs
84.120, Minority Science and Engineering Improvement; 84.168, Eisenhower Professional Development_Federal Activities; 84.186, Safe and Drug-Free Schools and Communities_State Grants; 84.203, Star Schools; 93.880, Minority Access to Research Careers.
Information Contacts
Regional or Local Office
Not applicable.
Headquarters Office
Assistant Director, Education and Human Resources, National Science Foundation, 4201 Wilson Blvd., Room 805 Arlington, VA 22230. Telephone: (703) 292-8600. NSF World Wide Web site URL: http://www.ehr.nsf.gov/.
Web Site Address
Examples of Funded Projects
1) The University of Arizona is incorporating several scientific disciplines (including anthropology, the geosciences, physics, materials science and engineering) into archaeological science research - the first major program of its kind in the country - to utilize new technologies to date artifacts and ancient ecological landscapes and reconstruct past animal and plant communities and the climates that produced them. NSF's Integrative Graduate Education and Research Traineeships program is funding the project, which will primarily target graduate students but will also aid undergraduates and high school and middle school science teachers. 2) EHR's Advanced Technological Education program supports the efforts of Dr. Henry Estrada at Evergreen Valley College (in partnership with Sun Microsystems) in preparing students from minority and underprivileged communities in the San Jose, CA, area to acquire computer skills and pass industry certification exams to land jobs in the information technology field. Over the past 3 years, all of Dr. Estrada's students have graduated the program, and most have gained employment in the IT industry. 3) In 2002, 201,615 students participated in EHR's Louis Stokes Alliances for Minority Participation (the highest total in the program's 11-year history), and 21,707 underrepresented minority students graduated at the baccalaureate level in science, technology, engineering and mathematics. 4) The El Paso Urban Systemic Program, a collaborative of three independent school districts (i.e., El Paso, Socorro, and Ysleta), has been extremely successful in improving achievement for all students and closing the achievement gap between minority and majority students. From 1994 to 2000, the percentage of students who passed all portions of the Texas Assessment of Academic Skills (TAAS) rose from 55% to 85%, and between the 1993-94 and 1997-98 school years, the achievement gap between Hispanic and white students as a percentage of those who passed the TAAS dropped from 30% to 13% (78% of Hispanic students and 91% of whites passed the test in 1997-98). The project is supported under EHR's Urban Systemic Initiatives. 5) The Center for Informal Learning and Schools (CILS) - a collaborative effort of the Exploratorium (San Francisco), the University of California-Santa Cruz, and King's College-University of London - is contributing to the science of learning by researching successful informal education programs and applying that knowledge to formal learning settings (e.g., professional development; undergraduate, graduate, post-graduate teaching and learning). Funded by EHR's Informal Science Education program, the Center is helping educators gain understanding of the impact of differential teaching strategies that are used in formal (classroom) and informal learning environments. 6) Instructional materials in elementary mathematics supported by EHR's Instructional Materials Development program are used in over 1,200 school districts, account for nearly 12% of the U.S. market, and are influencing content in more traditional textbooks. A recent study adds to a growing body of research attesting to the positive impact of these materials (i.e., Math Trailblazers; Investigations in Number, Data, and Space; and Everyday Mathematics) on student learning - test results for 752 schools in the spring of 2000 show that elementary students taught with these curricula had higher test scores than peers in control classrooms on the overall test. 7) Funded by EHR's Course, Curriculum and Laboratory Improvement program, the Institute for Transforming Undergraduate Education (ITUE) at the University of Delaware was established in 1997 to promote reform of undergraduate education through faculty development and course design, and to infuse the institution with a successful model of instruction. Institute Fellows receive hands-on experience from their faculty colleagues in employing active-learning strategies and effective use of technology in their courses, and conferences of faculty from around the world help fellows examine best practices in the classroom and uses of online resources for instruction. ITUE received the Theodore M. Hesburgh Certificate of Excellence in 1999 in recognition of its efforts to improve undergraduate education through faculty development. 8) Robert J. Sternberg and Elena Grigorenko of Yale University conducted research under the Interagency Education Research Initiative demonstrating that instruction emphasizing all three aspects of intelligence (i.e., analytic, creative, and practical) is more effective than instruction that emphasizes only critical thinking or memory in enhancing student achievement in mathematics, science, and language arts for elementary students. 9) The Experimental Program to Stimulate Competitive Research (EPSCoR) is funding the Oklahoma Biological Defense Program, operated by Oklahoma State University in collaboration with local industrial R&D firms, to develop a research program focusing on sensor technology to detect biological warfare agents using "molecular switches," a technology that is up to one million times more sensitive for detecting explosives than other available technologies and could have applications in food safety, medical diagnosis and environmental testing. 10) The Appalachian Mathematics and Science Partnership, led by the University of Kentucky, is a collaboration among 52 school districts (enrolling 170,000 students) in Kentucky, Tennessee and western Virginia; the Kentucky Science and Technology Corporation; and 10 institutions of higher education (including Eastern Kentucky, Kentucky State, and Morehead State Universities; Pikeville and Union Colleges; the University of Tennessee; the University of Virginia College at Wise; and Prestonsburg and Somerset Community Colleges). The goals of the partnership are to a) reform science, mathematics and technology education in central Appalachia in order to improve student achievement, which lags behind state averages, and eliminate the achievement gap for preK-12 students; and b) to build an integrated preK-12 and higher education system to ensure the attraction, development, retention and career-long support of a diverse and high quality mathematics and science teacher workforce. Planned activities to address the needs of the region include (1) preservice teacher education; (2) professional development of preK-12 personnel; (3) student learning opportunities including parent/community engagement; and (4) research to advance the understanding of rural education reform.
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 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 with the excitement of discovery and enrich research through the diversity of learning perspectives. Integrating Diversity into NSF Programs, Projects, and Activities. Broadening opportunities and enabling the participation of all citizens -- women and men, underrepresented minorities, and persons with disabilities -- is essential to the health and vitality of science and engineering. NSF is committed to this principle of diversity and deems it central to the programs, projects, and activities it considers and supports.
