September 30, 2004

November 08, 2004

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, competitive and globally engaged U.S. workforce of scientists, engineers, technologists 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) 2005, HBCU-UP will support awards for five-year implementation projects as well as twelve- to eighteen-month 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 may 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
• Advising and counseling services
• Career services
• Graduate school planning and preparation – test taking courses, application preparation, curriculum vitae development, funding opportunities and financial aid information

NOTES:  Student financial support may only be provided to students who 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, mentoring training, using technology in classrooms, innovative teaching practices, grant writing skills, and student 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 and STEM students and faculty would be affected by the HBCU-UP activities.  The scope of the project should be clearly defined numerically, outlining the impact on students and faculty of the proposed HBCU-UP activities.  If the proposed scope will be limited the reasons should be clearly outlined. 

If an institution has previously received an HBCU-UP implementation award, it is critical that the proposal provide complete information on the outcomes of that HBCU-UP project including a description of how the activities are being sustained by the institution.  New HBCU-UP awards will only be made if the proposed activities do not simply continue previous HBCU-UP activities.  The activities in the new proposal should be based an a thorough evaluation of the previous 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 that have the potential to become sustainable by the end of the five years.

Planning Grants

Activities may 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 including existing HBCU-UP project sites
• 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 twelve 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 or baccalaureate 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 6
• 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 continuing grants.

Planning Grants

• Number of Awards: Approximately 2
• 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 and should be sent by email to jdearo@nsf.gov.  Letters must be limited to one page and contain the following information:  1) The intent of the institution to submit an implementation project or planning grant proposal to HBCU-UP, and 2) The proposed Principle Investigator's name and email address.

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

• Cover Sheet -
  • 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
  • Be sure to review the regulations regarding Human Subjects (45 CFR 690.101-124 https://www.nsf.gov/bfa/dga/policy/docs/45cfr690.pdf) to determine if these regulations apply to your proposed activities.  If applicable, check the box on the cover sheet and indicate whether or not the review is pending or if the proposal is exempt according to an Internal Review Board review citing the applicable subsection. 

• 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, if they 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 (two-page limit each person) that are related to the proposed HBCU-UP implementation project or planning grant activities.  Include two-page position descriptions, with minimum qualifications, for any proposed project staff position.
• Budget - Funds should be budgeted for the PI and the co-PI, who will act as the project manager, to attend a three-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:  Include baseline data describing the current state of your STEM programs.  Competitive proposals will provide the key information that will allow the reviewers to determine the scope and impact of the proposed project in terms of the numbers of students and faculty that will be involved in each activity.
    • Proposers are highly encouraged to review the Self Evaluation Indicator System (SEIS), which is part of the reporting requirements for HBCU-UP awardees, as a guide for the types of data that should be included.  You can download a copy of the SEIS questions at http://www.ehr.nsf.gov/EHR/HRD/SEISSample.pdf. 
  • For institutions that have previously received an HBCU-UP implementation award, competitive proposals for a second award will also answer the following questions concerning the first HBCU-UP project (these questions could be answered in a table):
    • What were the objectives of the project (numerical when possible)?
    • What activities were implemented?
    • What were the results of the activities (numerical when possible)?
    • Have the activities been institutionalized?  If not, why not?
  • For institutions that have received an HBCU-UP planning grant, competitive proposals will provide a description of the results of the planning grant activities.
• Describe the relationship between the HBCU-UP project goals and 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 proposed activities that will be implemented.  Competitive proposals will provide answers to following questions for each proposed activity:
  • WHAT:  What are the goals and objectives?  Include the number of STEM students and faculty that will be impacted by the activity each year of the project.  Describe whether the proposed activity addresses the needs of other underrepresented groups, such as women and persons with disabilities, in addition to minority populations .
  • HOW:  Describe the activity that will be implemented in order to achieve these goals and objectives?   Include enough details so that the scope of your proposed activity is clear.  What are the strategies and methods that will be used?  How will the activity be sustained after NSF funding ends? 
  • WHY:  Provide evidence that the proposed activity is based on research and/or other projects that have been shown to be effective in achieving similar goals and objectives.  What are the expected outcomes of the activity at your institution?
  • WHEN and WHO:  Outline the five-year timeline for the proposed activity with measurable milestones.  Include the project staff, administrators, and/or partners that are responsible for the activity and milestones.
• Institutions that have previously received an HBCU-UP implementation award will also need to explain:
  • How the proposed activities will build on the previous project and not just continue previous activities.
  • How the proposed activities will move the institution to the next level of STEM program quality.

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 continuing 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 project.
  • Many projects will have an Internal Steering Committee or Internal Advisory Committee with faculty from relevant disciplines and programs – the size and composition depends on the complexity of the project.  This committee should meet regularly throughout the project.  Describe the responsibilities and duties of the committee.
  • HBCU-UP requires that projects have an External Advisory Committee that meets at least once a year, chaired by the chief executive officer of the institution.  The External Advisory Committee should have representatives from other institutions including two-year institutions, industry, and local school districts.  Persons involved in the implementation of the project activities should not serve on the External Advisory Committee.  Describe the responsibilities and duties of the committee.
• 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.
  • Describe the plans to disseminate the outcomes of the project.
• 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. 

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:  Include baseline data describing the current state of your STEM programs.  Competitive proposals will provide the key information that will allow the reviewers to determine the scope and impact of a potential implementation project in terms of the numbers of students and faculty that will be involved in each potential activity.
    • Proposers are highly encouraged to review the Self Evaluation Indicator System (SEIS), which is part of the reporting requirements for HBCU-UP awardees, as a guide for the types of data that should be included.  You can download a copy of the SEIS questions at http://www.ehr.nsf.gov/EHR/HRD/SEISSample.pdf. 
• 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.
  • Planning grants should 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.  The participation of representatives from the local community including school districts, community colleges and industry is also encouraged.  Describe the responsibilities of the committee and the planned frequency of meetings.
• Evaluation and assessment plan of the planning grant activities:
  • 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.  
• Financial support may be provided to student participants under HBCU-UP.  However, financial 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. "Stipends" of the budget.  Stipends to undergraduate students should not replace other need based grants and scholarships already awarded to the students.   
• Funds should be budgeted for the PI and the co-PI, who will act as the project manager, to attend a three-day grantee meeting in the Washington, DC area each award year for implementation projects and planning grants.

September 30, 2004

November 08, 2004

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 as part of the annual project reports and the final project report submitted 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.

The Historically Black Colleges and Universities Undergraduate Program is among a number of NSF programs that promote the involvement of underrepresented minorities in science, technology, engineering, and mathematics and foster innovation in education for all students.  Related programs in the Division of Human Resource Development include the Tribal Colleges and Universities Program (TCUP), Louis Stokes Alliances for Minority Participation (LSAMP), Centers of Research Excellence in Science and Technology (CREST), Alliances for Graduate Education and the Professoriate (AGEP), Research on Gender in Science and Engineering (GSE), and Research in Disabilities Education (RDE).  The following programs might also be of interest:

Biological Studies (BIO) (https://www.nsf.gov/cgi-bin/bio/biolist.pl)

• Undergraduate Mentoring in Environmental Biology (UMEB)

Computer and Information Science and Engineering (http://www.cise.nsf.gov/)

• Combined Research and Curriculum Development and Educational Innovation Program (CRCD/EI)
• Information Technology Workforce (ITWF)

Cross Directorate (https://www.nsf.gov/home/crssprgm/)

• Faculty Early Career Development Program (CAREER)
• Research Experiences for Undergraduates (REU)
• Major Research Instrumentation program (MRI)
• Science of Learning Centers (SLC)
• Science and Technology Centers (STC)

Education and Human Resources (EHR) (https://www.nsf.gov/home/ehr/)

• Advanced Technological Education (ATE)
• NSF Graduate Teaching Fellows in K-12 Education (GK-12) 
• Course, Curriculum, and Laboratory Improvement (CCLI)  

Engineering (ENG) (http://www.eng.nsf.gov/eec/)

• Engineering Research Centers (ERC)

International Science and Engineering (INT) (https://www.nsf.gov/sbe/int/start.htm)

• Funding opportunities for principle investigators
• Funding opportunities for undergraduate students

Mathematical and Physical Sciences (MPS) (https://www.nsf.gov/mps/start.htm)

• Partnerships for Research and Education in Materials (PREM)

• Enhancing the Mathematical Sciences Workforce in the 21st Century (EMSW21)