Historically Black Colleges and Universities Undergraduate Program (HBCU-UP)

This program provides awards to enhance the quality of science, technology, engineering, and mathematics (STEM) instructional and outreach programs at Historically Black Colleges and Universities (HBCUs) as a means to broaden participation in the Nation's STEM workforce.  Support is available for implementation projects and planning grants.  Implementation projects should include comprehensive institutional approaches to strengthen STEM teaching and learning.   Proposed activities should be the result of a careful analysis of institutional needs, address institutional and NSF goals, and have the potential to result in significant and sustainable improvements in STEM program offerings.  Typical project implementation strategies include: curriculum enhancement, faculty professional development, undergraduate research, academic enrichment, infusion of technology to enhance STEM instruction, collaborations with research institutions and industry, and other activities that meet institutional needs.  Planning grants provide support to an institution in order to undertake an institutional STEM self-analysis and to identify activities and strategies for an implementation project.

The Historically Black Colleges and Universities Undergraduate Program (HBCU-UP) is committed to increasing the quality of science, technology, engineering, and mathematics (STEM) education and the number of students participating in STEM programs and research at HBCUs.  HBCU-UP recognizes and supports the important role that HBCUs play in increasing the numbers of underrepresented ethnic minorities that are well prepared for participation and leadership at every level of education and research in STEM.

HBCU-UP is one of the National Science Foundation’s programs designed to make progress toward the Foundation’s People Goal; “A diverse, internationally competitive and globally engaged workforce of scientists, engineers, and well prepared citizens.”  HBCU-UP is managed by the Division of Human Resource Development (HRD), located in the Directorate for Education and Human Resources.  For Fiscal Year (FY) 2004, HBCU-UP will support awards for five-year implementation projects as well as one-year planning grants.

The Historically Black Colleges and Universities Undergraduate Program (HBCU-UP) supports a wide range of activities that will increase the quality of STEM education, increase participation and success in undergraduate STEM programs, and increase access to undergraduate STEM research opportunities. 

NSF expects that the activities and strategies included in implementation proposals will be designed specifically to address the HBCU’s institutional STEM needs, long-term goals, and mission.  Therefore NSF allows maximum flexibility in the design of implementation projects under HBCU-UP.  Institutions that have not already identified these activities and strategies in an inclusive planning process, are encouraged to consider applying for a planning grant to perform an institutional STEM self-analysis.

Implementation Projects

Activities can include, but are not limited to:

Course and curriculum development, revision, and enhancement:

• Revise STEM gate-keeping and bottleneck courses
• Develop, adapt, and/or implement new instructional materials
• Develop and introduce new STEM program offerings
• Incorporate advances in science and engineering knowledge into courses and laboratories
• Implement research-based teaching and learning techniques and practices
• Integrate technology into STEM curricula and instruction
• Integrate student research and other active-learning opportunities into the STEM curriculum
• Enhance STEM equipment available for undergraduate education

Undergraduate student support services, academic success, and educational enrichment:

• Research opportunities for undergraduate students on-campus or off-site
• Internships or cooperative education opportunities
• Undergraduate STEM scholarships and awards
• Tutoring services – peer, faculty and professional
• Mentoring programs – peer, faculty and professional
• Increase access to computer labs and STEM equipment
• Travel for presentations at research conferences
• Career information
• Graduate school planning and preparation – test taking courses, application preparation, CV development, funding opportunities and financial aid information

NOTES:  Student support may only be provided to students that are U.S. citizens, nationals, or permanent residents of the U.S.  Graduate student research is not supported under the HBCU-UP program.

Faculty professional development:

• Professional development workshops - pedagogy training, innovative teaching practices, and assessment techniques
• Research opportunities for faculty on-campus or off-site
• Release time to participate in HBCU-UP activities such as:
  • STEM curricular revision and academic enhancement
  • Supervising undergraduate research
• Sabbaticals and exchange programs
• Visiting faculty and industry practitioners
• STEM disciplinary and topical seminars

Project Scope:  The scope will depend on the size and number of STEM programs and the complexity of the current and proposed project activities - ideally all STEM programs would be affected by the HBCU-UP activities.  The scope of the project should be clearly defined within the context of the institution’s current STEM capability showing the impact of the proposed HBCU-UP activities. 

If an institution has already received an HBCU-UP implementation award it is critical that the proposal provide complete information on the outcomes of the first HBCU-UP project including a description of how the activities are being sustained by the institution.  Second HBCU-UP awards will only be made if the proposed activities build on previous successful work and do not just continue the previous HBCU-UP activities.  The activities in the second proposal should be based an a thorough evaluation of the first HBCU-UP project and move the institution to the next level of STEM program quality. 

All HBCU-UP implementation proposals should: 

• Support new STEM activities or enhancements - not simply support existing activities. 
• Coordinate all institutional STEM strengthening activities (new and existing) in order to create a comprehensive STEM program that will result in significant and sustainable improvements. 
• Raise the quality of STEM education and student learning, including increasing opportunities for quality student and faculty research experiences.
• Establish and develop partnerships with other academic institutions that serve minority students, other institutions of higher education, industrial laboratories, national laboratories, and other research centers to enhance and support HBCU-UP activities.

Although the primary focus of HBCU-UP is at the associate and baccalaureate STEM degree levels, projects can also address critical transition points such as the transition between high school and college, between 2- and 4-year colleges, from undergraduate to graduate studies, and from college to the workplace. 

Project Length:  Implementation projects will be funded for up to five years.  The activities should be designed to produce significant improvements in undergraduate STEM education which have the potential to become sustainable by the end of the five years.

Planning Grants

Activities can include, but are not limited to:

• Faculty release time to manage and participate in planning activities
• Visiting faculty or consultants involved in the planning process
• Data collection
• STEM Program evaluation
• Computer services
• Research on effective STEM strengthening strategies
• Travel for site visits to exemplar institutions
• Professional travel related to improving the planning activities

Planning Grant Scope:  The scope should include an institutional STEM self-assessment and the development of an action plan including activities and strategies to enhance the institution’s STEM programs. 

Project Length:  Planning grants will be funded for up to eighteen months.  The activities should prepare the institution to submit a strong implementation proposal to the HBCU-UP program.

• Eligible institutions are Historically Black Colleges and Universities that are accredited and that currently offer associate, baccalaureate, master's, or doctoral degrees in science, technology, engineering, and mathematics (STEM) fields. 
• An institution may have only one active HBCU-UP award. 
• Only one HBCU-UP proposal (for either a planning grant or an implementation project) may be submitted per eligible institution.

Implementation Projects

• Number of Awards: Approximately 10
• Average Award: $1 to $2.5 million ($200,000 to $500,000 per year)
• Project Length: Up to five years
• Cost Share Requirement:  none
• Restrictions:  Equipment costs may not exceed 30% of the total budget request.
• Grant Administration:  Implementation projects will be managed by NSF as cooperative agreements.

Planning Grants

• Number of Awards: Approximately 6
• Average Award: up to $50,000
• Project Length: Twelve to eighteen months
• Cost Share Requirement:  none
• Restrictions:  Equipment costs are not normally allowed under planning grants.
• Grant Administration:  Planning grants will be managed by NSF as standard grants.

Letters of intent are optional but highly encouraged.   Letters should be limited to one page and contain the following information:

• Intent to submit an implementation project or planning grant proposal for HBCU-UP
• Principle Investigators name and email address
• Name of the institution
• Brief project description

Letters of intent can be sent as email to vsantiag@nsf.gov or by mail to:

Victor Santiago, HBCU-UP
4201 Wilson Boulevard, Suite 815
Arlington, VA 22230.

The GPG provides general instructions for each section required in the full proposal.  Additional program specific guidance is provided below.  

• Cover page -
  • For all HBCU-UP proposals under "NSF Unit Consideration" please select:
    • "HRD-Division of Human Resource Development" as the division
    • "Hist Black Colleges and Univ" as the program
  • Planning grant proposals:

    • Please begin the project title with "Planning Grant for..." 
    • The “proposal duration” should be between 12 and 18 months

• Project Summary -  The Project Summary is a self-contained one-page description of the activities that would be implemented if the proposal were funded.  IMPORTANT NOTE: Both NSF merit selection review criteria must be addressed separately in the one-page project summary: What is the intellectual merit of the proposed activity? and What are the broader impacts of the proposed activity?  Proposals will be returned, without review, that do not address both merit selection review criteria separately.
• Project Description - Refer to the "Project Description" information below for implementation projects and planning grants (15 page limit).
• References Cited - Provide references to sources that were used in the design and development of the HBCU-UP implementation project activities or planning grant.
• Biographical Sketches - Outline the experiences of the PI and co-PIs that are related to the proposed HBCU-UP implementation project or planning grant activities (two-page limit each).
• Budget - Funds should be budgeted for the PI and the co-PI, who will act as the project manager, to attend a two-day grantee meeting in the Washington, DC area each award year for implementation projects and planning grants.

Implementation Projects

The implementation project description should include the following information:

Background and context – 

• Provide information on the institution's current STEM capability including a description of STEM programs, student enrollment and performance, faculty, and STEM resources at the institution and partner organizations.
  • Baseline Data:  Applicants must include baseline data.  The baseline data will be used to determine progress toward project goals during implementation.  Applicants are highly encouraged to use the Self Evaluation Indicator System (SEIS), which is part of the reporting requirements for HBCU-UP awardees, as a guide for the format to provide baseline data.  Please see http://www.ehr.nsf.gov/EHR/HRD/hbcu.asp for the SEIS template.
  • If an institution has previously received a HBCU-UP implementation award, the proposal for a second award must provide information on the first HBCU-UP project:
    • Outline the STEM programs before and after the past HBCU-UP project
    • Describe how the previous HBCU-UP activities are being sustained by the institution
    • Explain how the proposed activities build on the previous project and do not just continue the previous activities
    • Describe how the proposed activities were identified for the second HBCU-UP project and how the new activities move the institution to the next level of STEM program quality
  • If an institution has received a HBCU-UP planning grant, the proposal must provide information on the results of the planning grant.
• Describe the relationship between the HBCU-UP project objectives and the institution’s long-term STEM goals and mission.
• Provide evidence of the commitment of the institution administration (and partners if applicable) as well as the STEM faculty and leadership to improve undergraduate STEM education at the HBCU.

Proposed activities –

• Describe the strategies and activities that will be implemented and the corresponding impact on STEM programs – include clear descriptions of measurable project goals and objectives.
• Outline the timeline for the proposed major activities and milestones including the responsibilities of each participating STEM program or partner organization.
• Describe plans to sustain the project after NSF funding ends.

Project Management –

• Provide a management plan for the project that will ensure that the activities will be implemented on time and within budget.  Implementation projects will be managed as cooperative agreements by NSF.
• Project staff organization - staffing requirements will depend on the design, scope, and the disciplines involved:
  • The Principal Investigator (PI) is normally the chief academic officer of the institution.
  • The Project Manager should be the co-PI who will have the most day-to-day contact with the project.
  • Some projects have an Internal Steering Committee with faculty from relevant disciplines and programs – the size and composition depends on the complexity of the project.
  • HBCU-UP requires that projects have an External Advisory Committee that meets at least once a year, normally chaired by the chief executive officer of the institution.  The External Advisory Committee should have representatives from other institutions, partner institutions, industry, and the local community. 
• Evaluation and assessment plan:
  • Describe the formative project evaluation methods that will be used to improve the implementation of the HBCU-UP activities during the grant period.
  • Describe the summative evaluation of the project which will provide project outcomes and determine if the project goals and objectives have been met.
• NSF reporting requirements:
  • Describe how the management plan will facilitate the timely submission of complete and accurate annual reports as well as the final report.
  • Describe how outcomes data will be collected and submitted in a timely manner to the Self Evaluation Indicator System (SEIS).  SEIS data is collected annually and at the end of the project.  Examples of the types of data collected in SEIS are listed below – please download a copy of the SEIS questions at http://www.ehr.nsf.gov/EHR/HRD/hbcu.asp for the complete set of questions.
    • Student learning, access and completion data:
      • Enrollment and completion rates for STEM programs
      • Rates of completion in STEM gate-keeper courses
      • Matriculation into other institutions
      • Graduates that enter the workforce or graduate school
    • Student activities such as internships, research, conference presentations etc.
    • Faculty demographics by program
    • Faculty professional development and research activity

Planning Grants

The planning grant description should include the following information:

Background and context – 

• Provide information on the institution's current STEM capability including a description of STEM programs, student enrollment and performance, faculty, and STEM resources at the institution and partner organizations.
  • Baseline Data:  Applicants should include baseline data in the planning grant.  The baseline data will provide information to the reviewers to determine the potential impact of a full implementation project.  Applicants are highly encouraged to use the Self Evaluation Indicator System (SEIS), which is part of the reporting requirements for HBCU-UP awardees, as a guide for the format to provide baseline data.  Please see http://www.ehr.nsf.gov/EHR/HRD/hbcu.asp for the SEIS template.
• Describe the relationship between the HBCU-UP planning grant objectives and the institution’s long-term STEM goals and mission.
• Provide evidence of the commitment of the institution administration (and partners if applicable) as well as the STEM faculty and leadership to improve undergraduate STEM education at the HBCU.

Proposed activities –

• Describe the activities to be supported by the planning grant.
• Provide a timeline for the planning grant’s major activities and milestones - identify who will participate and who will be responsible for completing each activity.
• Outline the potential impact of a full HBCU-UP implementation project on STEM programs.

Project Management –

• Provide a management plan for the project that will ensure that the activities will be implemented on time and within budget.  Planning grants will be managed as standard grants by NSF.
• Project staff organization - staffing requirements will depend on the design, scope, and the disciplines involved:
  • The Principal Investigator (PI) is normally the chief academic officer of the institution.
  • The Project Manager should be the co-PI who will have the most day-to-day contact with the planning grant.
  • Most planning grants will have an Internal Steering Committee with faculty from relevant disciplines and programs as well as key decision-making administrators – the size and composition should be representative of your STEM programs.
• Evaluation and assessment plan:
  • Describe the formative project evaluation methods that will be used to improve the implementation of the HBCU-UP planning activities during the grant period.
  • Describe the summative evaluation of the project which will provide outcomes and determine if the planning grant goals and objectives have been met.
• NSF reporting requirements:
  • Describe how the management plan will facilitate the timely submission of a complete and accurate final report. 

• Equipment costs may not exceed 30% of the total NSF budget requested for HBCU-UP.  
• Support may be provided to student participants under HBCU-UP.  However, support may only be provided to students that are U.S. citizens, nationals, or permanent residents of the U.S.  Student support should be included under participant support costs on line F.1. of the budget. 

Special reporting requirements:

HBCU-UP awardees are required to submit data via the Self Evaluation Indicator System (SEIS) each year of the award and after the award is over.  This is required in addition to submitting the annual project reports and the final project report to the cognizant Program Officer via FastLane.  The SEIS data is used by NSF to assess project progress as well as for HBCU-UP outcomes at the program level for Government Performance and Results Act (GPRA) reporting and other reporting requirements.  SEIS data will only be published as aggregate data unless permission from the institution is received to publish the data individually.

• Advanced Technological Education (ATE)
• Computer Science, Engineering, and Mathematics Scholarships (CSEMS) 
• NSF Graduate Teaching Fellows in K-12 Education (GK-12) 
• Course, Curriculum, and Laboratory Improvement (CCLI)  
• Research on Gender in Science and Engineering (GSE) 
• Educational Innovation Program
• Minority Institutions Infrastructure Program 
• Research Experiences for Undergraduates (REU)