Grant

Proposal

Guide

NSF 99-2

October 1998

(Replaces NSF 98-2)

National Science Foundation

Office of Budget, Finance & Award Management

4201 Wilson Boulevard

Arlington, VA 22230

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August 28, 1998

Dear Colleagues:

We have published an updated version of the NSF Grant Proposal Guide (GPG) (NSF 99-2) and Proposal Forms Kit (NSF 99-3). This document supersedes the prior version of the GPG (NSF 98-2) and the Proposal Forms Kit (NSF 98-3.) This revision has been necessitated by and is consistent with the:

Other sections have been revised, as appropriate, for clarity as well as to make the Guide consistent with current NSF policies, practices and procedures. A summary of significant changes is included on pages iii and iv of the GPG.

The GPG (including all forms) is available on the NSF Web site at:

in HTML, Microsoft Word, ASCII text, and Portable Document Format (PDF).

Please address any questions or comments about the GPG to the

Division of Contracts,

Policy & Oversight,

Policy Office,

on 703-306-1243

or by e-mail to policy@nsf.gov.

Joseph L. Kull

Chief Financial Officer

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End notes: ----------

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ABOUT THE NATIONAL SCIENCE FOUNDATION

The National Science Foundation (NSF) is an independent Federal agency, created by the National Science Foundation Act of 1950, as amended (42 USC 1861-75). Its aim is to promote and advance scientific and engineering progress in the United States (US). The Foundation is also committed to ensuring the nation's supply of scientists, engineers and science educators.

NSF funds research and education in most fields of science and engineering. It does this through grants, contracts and cooperative agreements to more than 2,000 colleges, universities and other research and/or education organizations in all parts of the US. NSF receives approximately 30,000 proposals annually for new or renewal support for research, graduate and postdoctoral fellowships, and math/science/engineering education projects, and makes approximately 10,000 new awards. These typically are awarded to universities, colleges, academic consortia, non-profit institutions and small businesses. The agency operates no laboratories itself but does support National Research Centers, certain oceanographic vessels and Antarctic research stations. The Foundation also supports cooperative research between universities and industry and US participation in international scientific efforts.

NSF is generally structured by fields of science and engineering and science education but also considers activities that cross traditional fields by coordinating review across the Foundation. NSF's staff is assisted by advisors, primarily from the scientific and engineering communities, who serve on panels or as mail reviewers of proposals. NSF Program Officers who are experts in the field or area of the proposal are responsible for award recommendations.

Grantees are wholly responsible for conducting their project activities and preparing the results for publication. Thus, the Foundation does not assume responsibility for such findings or their interpretation.

NSF welcomes proposals on behalf of all qualified scientists, engineers and educators. The Foundation strongly encourages women, minorities and persons with disabilities to participate fully in its programs. In accordance with Federal statutes, regulations and NSF policies, no person on grounds of race, color, age, sex, national origin or disability shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving financial assistance from NSF (some programs may have special requirements that limit eligibility).

Facilitation Awards for Scientists and Engineers with Disabilities provide funding for special assistance or equipment to enable persons with disabilities to work on NSF-supported projects. (For more information, see Section V. G.)

The National Science Foundation has Telephonic Device for the Deaf (TDD) and Federal Information Relay Service (FIRS) capabilities that enable individuals with hearing impairments to communicate with the Foundation about NSF programs, employment or general information. TDD may be accessed at (703) 306-0090, FIRS at 1-800-877-8339.

Copies of this Guide (NSF 99-2) or the Proposal Forms Kit (NSF 99-3) (which is contained as part of NSF 99-2) are available electronically on the NSF Web site at:

in a variety of formats including: HTML, Microsoft Word, ASCII text, and Portable Document Format (PDF). Paper copies may be ordered from:

NSF Clearinghouse

P.O. Box 218

Jessup, MD 20794-0218

Telephone: 301-947-2722

e-mail: pubs@nsf.gov

YEAR 2000 REMINDER

In accordance with Important Notice No. 120 dated June 27, 1997, Subject: Year 2000 Computer Problem, NSF awardees are reminded of their responsibility to take appropriate actions to ensure that the NSF activity being supported is not adversely affected by the Year 2000 problem. Potentially affected items include computer systems, databases, and equipment. The National Science Foundation should be notified if an awardee concludes that the Year 2000 will have a significant impact on its ability to carry out an NSF-funded activity. Information concerning Year 2000 activities can be found on the NSF Web site at:

.

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FOREWORD

This Guide provides guidance for the preparation of unsolicited proposals to NSF. Some NSF programs have specific program announcements (see endnote 2) that may modify the general provisions of this Guide. Contact with NSF program personnel prior to proposal preparation is encouraged.

Information in this Guide applies to all programs listed in Appendix A and related activities, such as foreign travel, conferences, symposia, equipment and facilities. Sources of additional information on these related activities are noted in the text or are available from appropriate Foundation programs.

General information about NSF programs may be found in the NSF Guide to Programs. Additional information about special requirements of individual NSF programs may be obtained from the appropriate Foundation program offices. Information about most program deadlines and target dates for proposals appears in the NSF Bulletin, an electronic publication available at:

Program deadline and target date information also appears in individual program announcements and on relevant NSF Division Web sites. A complete listing of all upcoming deadlines, sorted by date and by program area is available on the NSF Web site at: .

NSF generally utilizes grants in support of research and education in science, mathematics, engineering and technology. In cases where assistance projects require substantial NSF technical or managerial involvement during the performance period, NSF uses cooperative agreements. While this Guide is generally applicable to both types of assistance awards, cooperative agreements may include different or additional requirements.

Informal information about NSF activities can be obtained on the Grants Bulletin Board. To make arrangements to access the bulletin board, send your electronic mail address along with your complete name, address and telephone number to grants@nsf.gov.

For detailed information about the award and administration of NSF grants and cooperative agreements, proposers and grantees may refer to the NSF Grant Policy Manual (GPM) (NSF 95-26) or to Chapter VI of title 45 of the Code of Federal Regulations. The Manual is a compendium of basic NSF policies and procedures for use by the grantee community and NSF staff and is available by subscription from the Superintendent of Documents, Government Printing Office, Washington, DC 20402. The GPM may be ordered through the GPO Web site at:

.

The NSF documents and manuals referenced above, including all forms contained in the GPG, may also be accessed electronically.

Catalog of Federal Domestic Assistance

NSF programs fall under the following categories in the latest Catalog of Federal Domestic Assistance issued by the Office of Management and Budget and the General Services Administration:

A listing of NSF Divisions, by CFDA number, is available on the NSF Web site at:

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Endnotes: ---------

2. Unless otherwise specified, the term "program announcement" also refers to program solicitations and other NSF proposal-generating mechanisms.

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SUMMARY OF SIGNIFICANT CHANGES

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TABLE OF CONTENTS

I. Introduction

II. Instructions for Proposal Preparation

III. NSF Proposal Processing and Review

IV. Withdrawals, Returns and Declinations

V. Special Programs

VI. The Award and Continued Support

VII. Grant Administration Highlights

Appendices

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CHAPTER I

INTRODUCTION

A. OVERVIEW

B. THE PROPOSAL

The proposal should present the

It should present the merits of the proposed project clearly and should be prepared with the care and thoroughness of a paper submitted for publication. Sufficient information should be provided so that reviewers will be able to evaluate the proposal in accordance with the two merit review criteria established by the National Science Board. (See Chapter III.) As a matter of convenience, a checklist is provided as Appendix B, to help assure that proposals are complete before submission to NSF. Proprietary or Privileged Information

Patentable ideas, trade secrets, privileged or confidential commercial or financial information, disclosure of which may harm the proposer, should be included in proposals only when such information is necessary to convey an understanding of the proposed project. Such information should be clearly marked in the proposal or included as a separate statement accompanying the proposal and should be appropriately labeled with a legend such as,

The box for "Proprietary and Privileged Information" should be checked on the proposal Cover Sheet (NSF Form 1207) when the proposal contains such information. (See also Section VII.J, "Release of Grantee Proposal Information.")

C. NSF FASTLANE SYSTEM

The NSF FastLane system uses Internet/Web technology to facilitate the way NSF does business with the research, education, and related communities. The NSF FastLane system is available for proposal preparation, submission, status check, project reporting, and post award administrative activities. Its functions may be accessed by using Web browsers that support file upload and forms capabilities (e.g., Netscape Navigator 3.0+ or Microsoft Internet Explorer 4.01+.)

Access to proposal and post-award functions is limited to staff from FastLane registered organizations and is secured through the use of Personal Identification Numbers (PINs). To register an organization, authorized organization representatives must complete the registration form that can be accessed through the Registration Information hyperlink on the FastLane Web site. Once an organization is registered, PINs for individual staff are available from the organization's sponsored projects office.

Detailed information about the FastLane system is available from the FastLane Web site at:

.

D. WHO MAY SUBMIT PROPOSALS

Scientists, engineers and educators usually initiate proposals which are officially submitted by their employing organization. Before formal submission, the proposal may be discussed with appropriate NSF program staff. Graduate students are not encouraged to submit research proposals, but should arrange to serve as research assistants to faculty members. Some NSF divisions accept proposals for Doctoral Dissertation Research Grants when submitted by a faculty member on behalf of the graduate student. The Foundation also provides support specifically for women and minority scientists and engineers, scientists and engineers with disabilities, and faculty at primarily undergraduate academic institutions. (See Chapter V for information about Special Programs.)

Categories of Proposers

Unless the program announcement establishes more restrictive eligibility criteria, individuals and organizations in the following categories may submit unsolicited proposals:

E. WHEN TO SUBMIT PROPOSALS

Many NSF programs accept proposals at any time. Other programs, however, establish target dates (see endnote 5) or deadlines (see endnote 6)for submission of proposals to allow time for their consideration by review panels which meet periodically. These target dates and deadlines are published in specific program announcements, which can be obtained from the NSF Clearinghouse at: pubs@nsf.gov or electronically through the NSF Web site at: "http://www.nsf.gov". (see endnote 7) Unless otherwise stated in a program announcement, proposals must be received by the specified date. A paper proposal received after a deadline, however, may be acceptable if it carries a legible proof-of- mailing date assigned by the carrier and the proof-of-mailing date is not later than one week prior to the deadline date. If the deadline date falls on a weekend, it will be extended to the following Monday; if the date falls on a holiday, it will be extended to the following work day. The deadline date will be waived only in extenuating circumstances. Inquiry about submission may also be made to the appropriate program.

Proposers should allow up to six months for programmatic review and processing (see Chapter III for additional information on the NSF merit review process). In addition, proposers should be aware that the NSF Division of Grants and Agreements generally makes awards to academic institutions within 30 days after the program division makes its recommendation. Grants being made to organizations that have not received an NSF award within the preceding two years, or involving special situations (such as coordination with another Federal agency or a private funding source), cooperative agreements, and other unusual arrangements may require additional review and processing time. Proposals that are time sensitive (e.g., conference, group travel, and research involving ephemeral phenomena) will only be accepted for review if, in the opinion of the cognizant Program Officer, they are received in sufficient time to permit appropriate NSF review and processing to support an award in advance of the activity to be supported. Every effort is made to reach a decision and inform the proposer promptly. Until an award is made, NSF is not responsible for any costs incurred by the proposing organization.

F. HOW TO SUBMIT PROPOSALS

For standard unsolicited proposals, electronic proposal submission via FastLane is the preferred method and is strongly encouraged.(see endnote 8) Some NSF programs may require electronic submission of all or part of a proposal, including unsolicited proposals. Please check the FastLane Web site prior to proposal submission for a listing of programs and program announcements that require submission via FastLane. Unless otherwise specified by a program or in a program announcement, proposals may continue to be submitted in paper form.

A proposal needs to be submitted only once to NSF, even if review by multiple programs is envisioned by the proposer. The submission of duplicate or substantially similar proposals concurrently for review by more than one program without prior NSF approval may result in the return of the redundant proposals. (See Section IV.B for further information on proposal return.)

The following are specific instructions regarding the submission and receipt of electronic and paper proposals to NSF:

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End notes: ----------

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CHAPTER II INSTRUCTIONS FOR PROPOSAL PREPARATION

Organizations applying for the first time, or which have not received an NSF award within the preceding two years, should refer to GPM Section 501, for instructions on specific information that may be requested by NSF.

To facilitate proposal preparation, Frequently Asked Questions (FAQs) regarding proposal preparation and submission are available electronically on the NSF Web site at: "http://www.nsf.gov/bfa/cpo/policy/ques.htm".

With the exception of item B.3 below, all standard NSF proposal format items are supported by FastLane.

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CHAPTER III NSF PROPOSAL PROCESSING AND REVIEW

Proposals received by the NSF Proposal Processing Unit are assigned to the appropriate NSF program for acknowledgment and, if they meet NSF requirements, for review. All proposals are carefully reviewed by a scientist, engineer, or educator serving as an NSF Program Officer, and usually by three to ten other persons outside NSF who are experts in the particular field represented by the proposal. Proposers are invited to suggest names of persons they believe are especially well qualified to review the proposal or persons they would prefer not review the proposal. These suggestions may serve as one source in the reviewer selection process at the Program Officer's discretion. Program Officers may obtain comments from assembled review panels or from site visits before recommending final action on proposals. Recommendations for awards are further reviewed by senior NSF staff.

A. REVIEW CRITERIA

The National Science Board approved revised criteria for evaluating proposals at its meeting on March 28, 1997 (NSB 97-72). The criteria are designed to be useful and relevant across NSF's many different programs, however, NSF will employ special criteria as required to highlight the specific objectives of certain programs and activities. The merit review criteria are listed below. Following each criterion are potential considerations that the reviewer may employ in the evaluation. These are suggestions and not all will apply to any given proposal. Each reviewer will be asked to address only those that are relevant to the proposal and for which he/she is qualified to make judgments. 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 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?

B. ADMINISTRATIVE CORRECTIONS TO FASTLANE PROPOSALS

NSF recognizes that minor, non-content related errors may occur in proposal development and that these errors may not be discovered until after the proposal submission to NSF. To enable organizations to correct such errors, FastLane will be enhanced to include a 60- minute "grace period," which begins immediately following proposal submission. During this grace period, authorized sponsored projects office personnel will be permitted to make administrative corrections to Cover Sheet (NSF Form 1207) or Budget (NSF Form 1030) data. These corrections do not include changes to identified PIs, co-PIs or other senior project personnel. This correction option will be available in FastLane in spring 1999. Detailed instructions for use of this feature will be made available at that time.

C. REVISIONS TO PROPOSALS MADE DURING THE REVIEW PROCESS

In the event of a significant development that might materially affect the outcome of the review of a pending proposal, the proposer should contact the Program Officer to whom the proposal is assigned to discuss the finding or changed circumstances. Submitting additional information must not be used as a means of circumventing page limitations or stated deadlines, but is intended to provide an opportunity to communicate unexpected and significant developments. Before recommending whether or not NSF should support a particular project, the NSF Program Officer may, subject to certain constraints outlined below, engage in discussions with the proposing PIs. Negotiating budgets generally involves discussing a lower or higher amount of total support for the proposed project. The NSF Program Officer may suggest reducing or eliminating costs for specific budget items that are clearly unnecessary or unreasonable for the activities to be undertaken, especially when the review process supports such changes; however, this would generally not include faculty salaries, salary rates, fringe benefits, or tuition. Note: indirect cost rates are not subject to negotiation. NSF Program Officers may discuss with PIs the "bottom line" award amount, i.e., the total NSF funding that will be recommended for a project. NSF Program Officers may not renegotiate cost sharing or other institutional commitments. When such discussions result in significant changes in the basic objectives or scope of the project as originally proposed, an appropriate proposal modification (which may include a revised proposal budget) signed by the PI and the Authorized Organizational Representative must be submitted to the NSF Program Officer. By signing and submitting this modification to the proposal, the PI and AOR are certifying to the accuracy and completeness of the information provided.

D. AWARD RECOMMENDATION

After scientific, technical and programmatic review and consideration of appropriate factors, the NSF Program Officer recommends to the cognizant Division Director whether the proposal should be declined or recommended for award. Normally, final programmatic approval is at the division level.(see endnote 18) Because of the large volume of proposals, this review and consideration process may take up to six months. Large or particularly complex proposals may require additional review and processing time. If the program recommendation is for an award and final division or other programmatic approval is obtained, then the recommendation goes to the Division of Grants and Agreements for review of business, financial and policy implications and the processing and issuance of a grant or other agreement. The Division of Grants and Agreements generally makes awards to academic institutions within 30 days after the program division makes its recommendation. Grants being made to organizations that have not received an NSF award within the preceding two years, or involving special situations (such as coordination with another Federal agency or a private funding source), cooperative agreements, and other unusual arrangements may require additional review and processing time. Proposers are cautioned that only an appointed Grants Officer in the Division of Grants and Agreements may make commitments, obligations or awards on behalf of NSF or authorize the expenditure of funds. No commitment on the part of NSF or the Government should be inferred from technical or budgetary discussions with an NSF Program Officer. A PI or organization that makes financial or personnel commitments in the absence of a grant or cooperative agreement signed by the NSF Grants Officer does so at its own risk.

E. COPIES OF REVIEWS

When a decision has been made (whether an award or a declination), verbatim copies of reviews, excluding the names of the reviewers, and summaries of review panel deliberations, if any, are provided to the PI. Proposers may also request and obtain any other releasable material in NSF's file on their proposal. Everything in the file except information that directly identifies either reviewers or other pending or declined proposals is usually releasable to the proposer.

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Endnotes: ---------

18. Recommended awards of $3,000,000 per year or $15,000,000 over the life of the award must be reviewed and approved by the National Science Board.

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CHAPTER IV WITHDRAWALS, RETURNS & DECLINATIONS

A. WITHDRAWALS

A proposal may be withdrawn at any time before a final decision is made. A request for withdrawal must be signed by both the PI and the Authorized Organizational Representative. Confirmation of withdrawal requests will be sent by NSF. NSF must be notified if any funding for the proposed project is received from another source or sponsor. If it is brought to NSF's attention that funding for a proposal to NSF has been accepted from another sponsor, NSF will send a withdrawal confirmation letter to the PI and the Authorized Organizational Representative without waiting for the official withdrawal request. NSF does not normally return the copies of withdrawn proposals to the proposer but does retain a file copy. Copies of reviews received by NSF before a proposal is withdrawn will be provided to the PI. NSF provides copies of withdrawal, return, declination, reconsideration or resubmission information to both the PI and the Authorized Organizational Representative.

B. RETURNS

Proposals may not be considered for review by NSF for the following reasons: (1) inappropriate for NSF funding; (2) submitted with insufficient lead time before activity is to begin; (3) does not meet NSF requirements for proposal content, format, etc.; (4) does not meet announced proposal deadline date requirements; (5) the proposal was previously reviewed and declined and has not been substantially revised; or (6) the proposal is a duplicate of or substantially similar to a proposal already under consideration by NSF.

C. DECLINATIONS

A PI whose proposal for NSF support has been declined generally will receive information and an explanation of the reasons for declination along with copies of the reviews considered in making the decision. If that explanation does not satisfy the PI, he/she may request additional information from the cognizant Program Officer.

D. RECONSIDERATION

If the explanation provided does not satisfy the PI, he/she may request that the cognizant NSF Assistant Director or Office Head reconsider the action to determine whether the proposal received a fair and reasonable review, both substantively and procedurally. A PI whose proposal has not been accepted because it is inappropriate for consideration by NSF may also request reconsideration of this determination. The request for reconsideration must be in writing and must be received within 90 days after the date of the declination letter or return. If the proposing organization is still not satisfied after reconsideration by the responsible Assistant Director/Office Head, it may, within 60 days after the determination by the Assistant Director/Office Head, request further reconsideration by the NSF Deputy Director. Consult GPM Section 900 for additional information on the NSF reconsideration process.

E. RESUBMISSION

A declined proposal may be resubmitted, but only after it has undergone substantial revision. Resubmittals that have not clearly taken into account the major comments or concerns resulting from the prior NSF review may be returned without further review. The Foundation will treat the revised proposal as a new proposal, subject to the standard review procedures.

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CHAPTER V SPECIAL PROGRAMS

A. RESEARCH INSTRUMENTATION/FACILITIES

The Major Research Instrumentation Program (MRI) assists in the acquisition or development of major research instrumentation by US institutions that is, in general, too costly for support through other NSF programs. The MRI program is designed to improve the condition of scientific and engineering equipment for research and research training in our Nation's academic institutions. This program seeks to improve the quality and expand the scope of research and research training in science and engineering, and to foster the integration of research and education by providing instrumentation for research-intensive learning environments. For more information, see the program solicitation or contact the Office of Integrative Activities. (See Appendix A.) In addition, NSF occasionally provides assistance for the acquisition of specialized facilities. Examples include supercomputers, oceanographic research vessels, polar research facilities and national astronomy centers. All NSF programs will consider proposals that include funds for facility construction, renovation or improvements where required for the proposed research, in competition with other proposals received. It is, however, NSF policy that the principal responsibility for providing facilities for research and education rests with the proposing organizations. Preliminary inquiry should be made before preparing a formal proposal. (See Section VII.D for additional information on equipment.)

B. CONFERENCES, SYMPOSIA AND WORKSHOPS

NSF supports conferences, symposia and workshops in special areas of science and engineering that bring experts together to discuss recent research or education findings or to expose other researchers or students to new research and education techniques. NSF encourages the convening in the US of major international conferences and unions. Conferences will be supported only if equivalent results cannot be obtained at regular meetings of professional societies. Although requests for support of conferences, symposia and workshops ordinarily originate with educational institutions or scientific societies, they may also come from other groups. Shared support by several Federal agencies, States or private organizations is encouraged. Because proceedings of such conferences normally should be published in professional journals, requests for support may include publication costs. Requests should generally be made at least a year in advance of the scheduled date. Conferences or meetings, including the facilities in which they are held, funded in whole or in part with NSF funds, must be accessible to participants with disabilities. A conference, symposium or workshop proposal (that complies with the page and font size instructions in Section II.C) must be assembled in the following sequence:

o Cover Sheet for Proposal to the National Science Foundation (NSF Form 1207)

o Summary of one page or less indicating the objectives of the project.

o Statement of the need for such a gathering and a list of topics.

o Recent meetings on the same subject, including dates and locations.

o Names of the chairperson and members of organizing committees and their organizational affiliations.

o Information on the location and probable date(s) of the meeting and the method of announcement or invitation.

o Statement of how the meeting will be organized and conducted, how the results of the meeting will be disseminated and how the meeting will contribute to the enhancement and improvement of scientific, engineering and/or educational activities.

o Estimated total budget for the conference, together with an itemized statement of the amount of support requested from NSF. The budget may include participant support for transportation (when appropriate), per diem costs, stipends, publication and other conference-related costs. Participant support costs must be excluded from the indirect cost base. (See Section II.D.7.e.) (NSF Form 1030, Summary Proposal Budget, should be used to submit the budgetary information.)

o Support requested or available from other Federal agencies and other sources. (NSF Form 1239, Current and Pending Support, may be used to submit this information.) For additional coverage on allowability of costs associated with meetings and conferences, proposers should consult GPM Section 625.

C. INTERNATIONAL COOPERATIVE ACTIVITIES

In addition to the international projects funded and managed by the disciplinary directorates, the Division of International Programs provides support for bilateral and regional cooperative science and engineering projects to foster and facilitate cooperation between US investigators and their foreign colleagues in joint activities of mutual interest and benefit. Grants may be made for the US portion of the costs of the initial phases of cooperative research, joint seminars and workshops, planning visits, programs to enhance the international perspectives of the next generation of US scientists and engineers, and for fellowships, summer programs and research participation. Information on proposal requirements and award selection procedures is contained in the Program Announcement of the Division of International Programs. The box for "International Cooperative Activities" should be checked and the countries identified on the NSF Form 1207. (For telephone numbers and program contacts by region, see Appendix A, under listings for SBE Directorate.) The program announcement is available electronically on the Division of International Programs Web site at: "http://www.nsf.gov/sbe/int/9614rev.htm".

D. INTERNATIONAL TRAVEL GRANTS

Proposals for travel support for US participation in international scientific and engineering meetings held abroad are handled by the NSF organizational unit with program responsibility for the area of research interest. Group travel awards are encouraged as the primary means of support for international travel. A university, professional society or other non-profit organization may apply for funds to enable it to coordinate and support US participation in one or more international scientific meeting(s) abroad. Group travel grants may include as compensation for the grantee a flat rate of $50 per traveler for general administrative costs of preparing announcements, evaluating proposals and handling travel arrangements customarily associated with this type of project. (See GPM Section 765.) Group travel grantees are required to retain supporting documentation that funds were spent in accordance with the original intent of the proposal. Such documentation may be required in final reports and is subject to audit.

E. DOCTORAL DISSERTATION RESEARCH

NSF awards grants in support of doctoral dissertation research in some disciplines, primarily field research in the environmental, behavioral and social sciences. Support may be sought through those disciplinary programs and, in cases involving research abroad, through the Division of International Programs. Proposals are submitted by the thesis advisor or concerned faculty member on behalf of the graduate student. Further information can be obtained from the cognizant program office.

F. HUMAN RESOURCES DEVELOPMENT

The Foundation supports a range of activities to increase participation by women, minorities, persons with disabilities and by faculty from minority institutions and predominantly undergraduate institutions. Programs that have a strong focus on underrepresented communities are:

o Professional Opportunities for Women in Research and Education

o Research Planning Grants and Career Advancement Awards for Minority Scientists and Engineers

o Program for Persons with Disabilities

o Centers for Research Excellence in Science and Technology

o Alliances for Minority Participation

o Research Opportunity Awards

o Facilitation Awards for Scientists and Engineers with Disabilities

o Faculty Early Career Development

o Comprehensive Partnerships for Mathematics and Science Achievement

o Presidential Awards for Excellence in Science, Mathematics and Engineering Mentoring

o Program for Women and Girls (K-16)

o Model Institutions for Excellence

o Minority Postdoctoral Research Fellowships and Supporting Activities in Biological, Social, Behavioral & Economic Sciences

o Minority Graduate Education

o Initiative for Historically Black Colleges & Universities In some cases, additional information may be required as part of a proposal. Program announcements describing these activities are available on the NSF Web site at: http://www.nsf.gov or from the NSF Clearinghouse. General information may be obtained from the NSF Information Center at (703) 306-1234.

G. FACILITATION AWARDS FOR SCIENTISTS AND ENGINEERS WITH DISABILITIES

Facilitation Awards for Scientists and Engineers with Disabilities encourage participation in NSF programs by scientists and engineers (investigators or other staff, postdoctoral associates, student research assistants, and awardees and honorable mention recipients for Graduate Fellowships) with disabilities. This effort provides funds for equipment or assistance specifically required for performance of research on a NSF-supported project. Requests for support may be included in new proposals submitted to any NSF program or in requests for supplements to existing grants. The box for "Facilitation for Scientists/Engineers with Disabilities" should be checked on the NSF Form 1207.

H. RESEARCH OPPORTUNITY AWARDS (ROAs)

A faculty member at an organization with limited research opportunities may arrange to work with a PI at another organization who holds or is applying for an NSF research grant. If supplemental funds are required to cover additional costs, the PI should make preliminary contact with the cognizant Program Officer. The formal ROA request letter, endorsed by the organization and addressed to the program office, should be received at least three months before funds will be needed. It must include: a description of the arrangements and the work to be performed by the ROA visitor, a statement of the contribution of this work to the NSF project and to the visitor's future research and home organization, a budget (NSF Form 1030) with appropriate explanatory information; a biographical sketch of the visitor, and any additional information specified by the Program Officer. The box for "Research Opportunity Award" should be checked on the NSF Form 1207. (See the Research in Undergraduate Institutions program announcement for further details.)

I. RESEARCH EXPERIENCES FOR UNDERGRADUATES (REUs)

REUs provide opportunities for talented undergraduate students to participate in active research in mathematics, science and engineering. Awards are of two types:

o Sites--grants to initiate and support undergraduate research participation sites. These projects could be carried out during the summer months, the academic year or both. NSF expects that an appropriate number of students will be involved, and proposals involving fewer than four to six students are discouraged.

o Supplements - to ongoing NSF research grants provide research training experiences for one or two additional undergraduates. Funds will normally be available for up to two students, but exceptions will be considered for training additional minority and women students and students with disabilities. See the program announcement for more information.

J. PARTNERSHIPS FOR ADVANCED COMPUTATIONAL INFRASTRUCTURE (PACI)

NSF supports two Partnerships for Advanced Computational Infrastructure that provide access to a variety of high performance computing platforms. These include parallel and vector supercomputers, visualization facilities and data storage capabilities. User access is available at the leading edge sites of the Partnerships and at some of the partner institutions. Major requests for allocations are reviewed by a national committee of computational scientists which meets twice a year. Smaller, local allocations are handled by each Partnership on a quarterly basis. For more information on PACI resources, and how to obtain an allocation see "http://www.npaci.edu".

K. SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM T

he Small Business Innovation Research Program is a highly competitive three-phase process that provides eligible small businesses with opportunities to propose innovative ideas that meet specific research and development (R&D) needs of the Federal Government. Phase I is a six-month effort to determine the scientific, technical and commercial merit and feasibility of the proposed concept or idea, and establishes the eligibility for Phase II. Phase II is a two- year effort that further develops the proposed concept and demonstrates the potential for commercialization. Phase III is the commercialization phase and is funded by non-SBIR sources, normally from the private sector. For more detailed information regarding the SBIR Program, proposers should consult the NSF SBIR solicitation.

L. SMALL BUSINESS TECHNOLOGY TRANSFER (STTR) PROGRAM

The Small Business Technology Transfer Program is a pilot program encouraging technology transfer through jointly conducted research between small business concerns and non-profit research organizations. The program follows the same three-phase process as the SBIR Program. Proposals must be submitted by the small business, and the proposed effort must be responsive to the program focus described in the annual STTR Program solicitation. Phase I is a 12-month effort to determine the scientific, technical and commercial merit and feasibility of the proposed concept or idea, and establishes the eligibility for Phase II. Phase II is a 24-month effort that further develops the proposed concept and demonstrates the potential for commercialization. Phase III is to pursue commercialization from the Government-funded research with non-STTR funds, primarily from the private sector. For more detailed information regarding the STTR Program, proposers should consult the NSF STTR solicitation.

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CHAPTER VI AWARD & CONTINUED SUPPORT

A. STANDARD AND CONTINUING GRANTS

NSF awards two types of grants: Standard Grants, in which NSF agrees to provide a specific level of support for a specified period of time with no statement of NSF intent to provide additional future support without submission of another proposal, and Continuing Grants, in which NSF agrees to provide a specific level of support for an initial specified period of time, usually a year, with a statement of intent to provide additional support of the project for additional periods, provided funds are available and the results achieved warrant further support. Notification of an NSF grant is by a letter signed by an NSF Grants Officer, addressed to the Grantee Organization. An NSF grant consists of: (1) the award letter, which includes any special provisions applicable to the grant and any numbered amendments thereto; (2) the budget, which indicates the amounts, by categories of expense, on which NSF has based its support (or otherwise communicates any specific approvals or disapprovals of proposed expenditures); (3) the proposal referenced in the award letter; (4) the applicable grant conditions, (see endnote 19) such as Grant General Conditions (NSF GC-1) or Federal Demonstration Partnership (FDP) Terms and Conditions and (5) any NSF brochure, program guide, announcement or other NSF issuance that may be incorporated by reference in the award letter. Electronic mail notification is the preferred way to transmit NSF grants to organizations that have electronic mail capabilities and have requested such notification from the Division of Grants and Agreements. Effective/Expiration Dates and Preaward Costs. The grant period begins on the effective date specified in the award letter or, in its absence, the date of the award letter and runs until the expiration date indicated. Expenditures incurred within the 90-day period preceding the effective date of the grant may be authorized by the grantee organization. Such expenditures, however, are made at the grantee's risk. Expenditures after the scheduled expiration date of the grant may be made only to honor documented commitments made on or before the expiration date. PIs should consult their business offices for details.

B. ADDITIONAL SUPPORT

1. Incremental Funding

Incremental funding for continuing grants within the total duration of the project is based on NSF review of project reports and does not require submission of a new proposal. For each increment, an annual project report addressed to the cognizant program office, with a copy to the Authorized Organizational Representative, must be received by NSF at least three months before the end of the period currently being funded. For information on the new NSF electronic reporting system for submission of project reporting information, see Section VII.G.1.

2. Renewal Proposals

Renewal proposals are requests for additional funding for a support period subsequent to that provided by a standard or continuing grant. Renewal proposals compete with all other pending proposals and should be submitted at least six months before additional funding is required or consistent with an established deadline or target date. In preparing a renewal proposal, proposers should assume that reviewers will not have access to previous proposals. All proposals for renewed support of research projectsfrom academic institutions only must include, as part of Results from Prior NSF Support, information about any contribution of the completed project to the education and development of human resources in science and engineering at the postdoctoral, graduate and undergraduate levels. (see endnote 20) Non-academic organizations are exempt from this requirement. (See Section II.D.4. for more information.) PIs are encouraged to discuss renewal proposals with the Program prior to submission of a proposal. Unless precluded by individual program requirements, PIs can choose either of two formats for a renewal proposal:

o Traditional Renewal. The "traditional" renewal proposal is developed as fully as though the proposer were applying for the first time. It covers all the information required in a proposal for a new project, including results from the prior work. The 15-page limitation on the project description applies.

o Accomplishment-Based Renewal. In an "Accomplishment-Based Renewal" (ABR) proposal, the project description is replaced by copies of no more than six reprints of publications resulting from the research supported by NSF (including research supported by other sources that is closely related to the NSF-supported research) during the preceding three to five year period. Of the six publications, two preprints (accepted for publication) may be included. In addition, a brief summary (not to exceed four pages) of plans for the proposed support period must be submitted. All other information required for NSF proposal submission remains the same. It must be clearly indicated in the proposal and the box for "Accomplishment-Based Renewal" should be checked on the NSF Form 1207. ABR proposals may not be submitted for consecutive renewals.

3. Two-Year Extensions for Special Creativity

A Program Officer may recommend the extension of funding for certain research grants beyond the initial period for which the grant was awarded. The objective of such extensions is to offer the most creative investigators an extended opportunity to attack adventurous, "high- risk" opportunities in the same general research area, but not necessarily covered by the original/current proposal. Awards eligible for such an extension are generally three-year continuing grants. Special Creativity Extensions are initiated by the NSF Program Officer based on progress during the first two years of a three-year grant; PIs will be informed of such action a year in advance of the expiration of the grant. 4. Supplemental Funding In unusual circumstances, small amounts of supplemental funding and up to six months of additional support may be requested to assure adequate completion of the original scope of work. The grantee may submit a request for supplemental funding to the cognizant NSF Program Officer at least two months before funds are needed. Program Officers may make decisions regarding whether or not to recommend a small supplement without merit review of the supplemental request. Requests for larger supplements may require merit review. Such requests should include a brief justification and a budget signed by the PI and the Authorized Organizational Representative. Supplemental funding requests will not be approved for such purposes as defraying costs associated with increases in salaries or additional indirect cost reimbursement. Grantees should contact the cognizant Program Officer prior to submitting a request for supplemental funding. (See GPM 264 for additional information on Supplemental Funding requests.) In addition, limited supplemental funds are available for special NSF programs, such as Facilitation Awards for Scientists and Engineers with Disabilities, Research Opportunity Awards, and Research Experiences for Undergraduates. (See Sections V.G-I and the appropriate program brochures.)

C. NO-COST EXTENSIONS

1. Grantee-Authorized Extension

Grantees may authorize a one-time extension of the expiration date of the grant of up to 12 months if additional time beyond the established expiration date is required to assure adequate completion of the original scope of work within the funds already made available. This one-time extension may not be exercised merely for the purpose of using the unliquidated balances. The grantee shall notify the NSF Grants Officer in writing, providing supporting reasons for the extension and the revised expiration date, at least ten days prior to the expiration date specified in the grant to ensure accuracy of NSF's grant data. For extensions provided by organizations, no amendment will be issued. Grantees are strongly encouraged to use FastLane to transmit their no-cost extension notifications to NSF. FastLane submission provides real-time data accuracy for grantees and NSF. Please note that some NSF Directorates require electronic submission of notification of grantee-authorized extensions via FastLane. Please check the cognizant Directorate or FastLane Web site to see if submission via FastLane is required.

2. NSF-Approved Extension

If additional time beyond the extension provided by the grantee is required and exceptional circumstances warrant, a formal request must be submitted to NSF. Two copies of the request, signed by the PI and the Authorized Organizational Representative, must be received by the cognizant NSF program office at least 45 days before the expiration date of the grant. The request must explain the need for the extension and include an estimate of the unobligated funds remaining and a plan for their use. As indicated above, that unobligated funds may remain at the expiration of the grant is not in itself sufficient justification for an extension. The plan must adhere to the previously approved objectives of the project. Any NSF-approved no-cost extension will be issued by an NSF Grants Officer in the form of an amendment to the grant specifying a new expiration date. Grantees are cautioned not to make new commitments or incur new expenditures after the expiration date in anticipation of a no-cost extension. Grantees are strongly encouraged to use FastLane to transmit their no-cost extension requests to NSF. Please note that some NSF Directorates require electronic submission of requests for NSF-approved no-cost extensions via FastLane. Please check the cognizant Directorate or FastLane Web site to see if submission via FastLane is required.

-------------------------------------------------------------------------------

End notes: ----------

19. Additional coverage on the NSF grant conditions (e.g., GC-1 and FDP) is contained in GPM Section 240. These conditions are also available at grantee organization sponsored projects offices as well as on the NSF Web site at: "http://www.nsf.gov".

20. This requirement also applies to renewal proposals submitted in the accomplishment-based renewal format.

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CHAPTER VII GRANT ADMINISTRATION HIGHLIGHTS

The administration of grants is governed by the actual conditions of the grant. (See Section VI.A. for additional information regarding the contents of an NSF grant.) The following information highlights frequently asked grant administration questions. For additional information about the award and administration of NSF grants, proposers and grantees may refer to the NSF Grant Policy Manual (NSF 95-26). Frequently Asked Questions (FAQs) regarding grant administration are available on the Division of Grants & Agreements Web site at: "http://www.nsf.gov/bfa/dga". The grantee organization has primary responsibility for general supervision of all grant activities and for notifying NSF of significant problems relating to misconduct in science and engineering or administrative matters. The PI is responsible for the conduct of the research or educational work, the publication of results, and is expected to provide technical leadership to the project whether or not any salary is provided from grant funds. NSF encourages PIs to communicate the progress of projects supported by NSF to program officers.

A. GENERAL REQUIREMENTS

Grants for financial assistance are subject to certain statutory and other general requirements, such as compliance with the Civil Rights Act of 1964, Title IX of the Education Amendments of 1972, and other laws and regulations prohibiting discrimination; prohibition of misconduct in science and engineering; Drug-Free Workplace requirements; restrictions on lobbying; patent and copyright requirements; cost sharing; and the use of US-flag carriers for international travel. These are identified in the GPM and are summarized in NSF Grant Conditions.

B. PRIOR APPROVAL REQUIREMENTS

Prior written authorization from NSF is required for the following:

(1) transfer of the project effort;

(2) change in objectives or scope;

(3) change in PI; (4) a substantial change in PI effort;

(5) reallocation of funds budgeted for participant support; or

(6) construction activities costing $10,000 or more.

Changes in participant support costs require Program Officer approval; all the other changes listed above require Grants Officer approval. (See also GPM Exhibit III-1, which highlights grantee notifications to and requests for approval from NSF.) Many of the requests for prior approval identified above can be submitted electronically to NSF through use of the FastLane system. Grantees are strongly encouraged to use FastLane to process these types of transactions.

C. TRANSFER OF PI

If a PI plans to leave an organization during the course of a grant, the organization has the prerogative to nominate a replacement PI or request that the grant be terminated. Replacement PIs are subject to NSF approval. In those cases where a particular PI's participation is integral to a given project and the PI's original and new organizations agree, NSF will arrange a transfer of the grant and the assignment of remaining unobligated funds to the PI's new organization. (See GPM Section 312 and GPM Exhibit III-2 for NSF Form 1263, NSF Grant Transfer Request, or on the NSF Web site at: "http://www.nsf.gov/bfa/cpo/forms/start.htm".) Upon transfer of the grant to the new organization, any monetary discrepancies must be resolved between the original and the new grantee. In circumstances where NSF's interests are adversely affected by such discrepancies, it reserves the right to resolve the situation. The NSF FastLane system is not yet available for NSF Grant Transfer Requests.

D. EQUIPMENT

Title to equipment purchased or fabricated by an academic institution or other non-profit organization with NSF grant funds normally vests in the grantee organization. Title to equipment acquired through an NSF grant by a small business or other commercial organization will normally vest in the Government. When title to specialized equipment purchased with grant funds vests in the grantee organization and the PI moves to another non-profit organization, NSF encourages transfer of the equipment to the new organization provided it is not required at the organization holding title, the cost of the transfer (shipping charges, freight, etc.) is not excessive, and the PI continues the project at the new location.

E. EXCESS GOVERNMENT PROPERTY

As a means of providing additional support and conserving supply and equipment funds, NSF may sponsor the transfer of a limited quantity of excess Government-owned scientific equipment to an NSF grantee. To learn more about the NSF Grantee Excess Property Program, grantees should refer to GPM Section 546 or write to:

National Science Foundation

Mission Support Section, DAS, Room 295

4201 Wilson Boulevard

Arlington, VA 22230

Before transfer of excess Government equipment can be authorized, justification must be provided to NSF by the grantee that the equipment will further the objectives of an active NSF grant. The NSF grant numbers should be cited.

F. SUSPENSION OR TERMINATION OF GRANTS

NSF grants may be suspended or terminated in accordance with the procedures contained in the Grant Conditions. Grants may also be terminated by mutual agreement. Termination by mutual agreement shall not affect any commitment of grant funds that, in the judgment of NSF and the grantee, had become firm before the effective date of the termination. (See GPM Section 910.)

G. GRANT REPORTS

1. Annual and Final Project Reports

For all multi-year grants (including both standard and continuing grants), the PI must submit an annual project report to the cognizant Program Officer at least 90 days before the end of the current budget period. (Some programs or awards require more frequent project reports). Within 90 days after expiration of a grant, the PI also is required to submit a final project report. Approximately 30 days before expiration, NSF will send a notice to remind the PI of the requirement to file the final project report. Failure to provide final technical reports delays NSF review and processing of pending proposals for that PI. PIs should examine the formats of the required reports in advance to assure availability of required data. NSF has implemented a new electronic project reporting system, available through FastLane, which permits electronic submission and updating of project reports, including information on: project participants (individual and organizational); activities and findings; publications; and, other specific products and contributions. Reports will continue to be required annually and after the expiration of the grant, but PIs will not need to re-enter information previously provided, either with the proposal or in earlier updates using the electronic system. Effective October 1, 1998, PIs are required to use the new reporting format for annual and final project reports. The NSF Form 1328, Annual NSF Grant Progress Report, and NSF Form 98A, Final Project Report, therefore, have been eliminated. PIs are strongly encouraged to submit reports electronically via the project reporting system in FastLane. For those PIs who cannot access FastLane, paper copies of the new report formats may be obtained from the NSF Clearinghouse (see page i for address information). NSF expects to require electronic submission of all annual and final project reports via FastLane beginning in October, 1999.

2. Quarterly and Final Expenditure Reports

Quarterly and final expenditure information is provided by most grantees through the Federal Cash Transactions Report, SF 272, normally submitted (including a signed certification) by the grantee's financial officer. Awardees are strongly encouraged to electronically submit this information via the Business Office functions in FastLane. Contact the Division of Financial Management for additional information at (703) 306-1283.

H. SHARING OF FINDINGS, DATA AND OTHER RESEARCH PRODUCTS

NSF advocates and encourages open scientific communication. NSF expects significant findings from supported research and educational activities to be promptly submitted for publication with authorship that accurately reflects the contributions of those involved. It expects PIs to share with other researchers, at no more than incremental cost and within a reasonable time, the data, samples, physical collections and other supporting materials created or gathered in the course of the work. It also encourages grantees to share software and inventions, once appropriate protection for them has been secured, and otherwise act to make the innovations they embody widely useful and usable. NSF program management will implement these policies, in ways appropriate to field and circumstances, through the proposal review process; through award negotiations and conditions; and through appropriate support and incentives for data cleanup, documentation, dissemination, storage and the like. Adjustments and, where essential, exceptions may be allowed to safeguard the rights of individuals and subjects, the validity of results and the integrity of collections, or to accommodate legitimate interests of investigators.

I. ACKNOWLEDGMENT OF SUPPORT AND DISCLAIMER

An acknowledgment of NSF support and a disclaimer must appear in publications (including Web pages) of any material, whether copyrighted or not, based on or developed under NSF-supported projects: This material is based upon work supported by the National Science Foundation under Grant No. (grantee should enter NSF grant number). NSF support must also be acknowledged during all news media interviews, including popular media such as radio, television and news magazines. Except for articles or papers published in scientific, technical or professional journals, the following disclaimer should be included: Any opinions, findings, and conclusions or recommendations expressed in this material are those of the author(s) and do not necessarily reflect the views of the National Science Foundation.

J. RELEASE OF GRANTEE PROPOSAL INFORMATION

A proposal that results in an NSF award will be available to the public on request, except for privileged information or material that is personal, proprietary or otherwise exempt from disclosure under law. Appropriate labeling in the proposal aids identification of what may be specifically exempt. (See Section I.B.) Such information will be withheld from public disclosure to the extent permitted by law, including the Freedom of Information Act. Without assuming any liability for inadvertent disclosure, NSF will seek to limit disclosure of such information to its employees and to outside reviewers when necessary for merit review of the proposal, or as otherwise authorized by law. Portions of proposals resulting in grants that contain descriptions of inventions in which either the Government or the grantee owns a right, title, or interest (including a non-exclusive license) will not normally be made available to the public until a reasonable time has been allowed for filing patent applications. NSF will notify the grantee of receipt of requests for copies of funded proposals so the grantee may advise NSF of such inventions described, or other confidential, commercial or proprietary information contained in the proposal. A proposal that does not result in an NSF grant will be retained by NSF for a prescribed time (currently five years), but will be released to the public only with the consent of the proposer or to the extent required by law.

K. LEGAL RIGHTS TO INTELLECTUAL PROPERTY

NSF normally allows grantees to retain principal legal rights to intellectual property developed under its grants. This policy provides incentive for development and dissemination of inventions, software and publications that can enhance their usefulness, accessibility and upkeep. It does not, however, reduce the responsibility of researchers and organizations to make results, data and collections available to the research community.

L. YEAR 2000 COMPUTER PROBLEM

In accordance with Important Notice No. 120 dated June 27, 1997, Subject: Year 2000 Computer Problem, NSF awardees are reminded of their responsibility to take appropriate actions to ensure that the NSF activity being supported is not adversely affected by the Year 2000 problem. Potentially affected items include computer systems, databases, and equipment. The National Science Foundation should be notified if an awardee concludes that the Year 2000 will have a significant impact on its ability to carry out an NSF funded activity. Information concerning Year 2000 activities can be found on the NSF Web site at: "http://www.nsf.gov/oirm/y2k/start.htm".

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APPENDIX A

PROGRAMS PROVIDING SUPPORT FOR SCIENTIFIC AND ENGINEERING RESEARCH AND EDUCATION

For paper submissions, the required number of copies of proposals to be provided, including the original, is specified in parentheses.(see endnote 21) 

 
                                                           Tel. No.


                                                            Area Code (703)


OPP     Office of Polar Programs                                 306-1030
        
        Arctic Sciences Section (15)                             306-1029
        
        Arctic Natural Sciences Program                          306-1029
        
        Arctic Social Sciences Program                           306-1029
        
        Arctic System Science Program                            306-1029
        
        Arctic Research and Policy                               306-1029
        
        Polar Research Support Section                           306-1032
        
        Antarctic Sciences Section (20)                          306-1033
        
        Antarctic Information Program                            306-1031
        
        Aeronomy and Astrophysics Program                        306-1033
        
        Biology and Medicine Program                             306-1033
        
        Geology and Geophysics Program                           306-1033
        
        Glaciology Program                                       306-1033
        
        Ocean and Climate Sciences Program                       306-1033


OIA     Office of Integrative Activities                         306-1040
        
        Major Research Instrumentation Program (10)              306-1040
        
        Science and Technology Centers                           306-1040


BIO      Directorate for Biological Sciences                     306-1400
DBI     Division of Biological Infrastructure (15)               306-1470
                                
        Instrument Related Activities                            306-1469
                
        Research Resources                                       306-1469
        
        Training                                                 306-1469
DEB     Division of Environmental Biology (15)                   306-1480
        
        Ecological Studies                                       306-1479
        
        Systematic and Population Biology                        306-1481
IBN     Division of Integrative Biology & Neuroscience (15)      306-1420
        
        Developmental Mechanisms                                 306-1417
        
        Neuroscience                                             306-1424
        
        Physiology & Ethology                                    306-1421
MCB     Division of Molecular & Cellular Biosciences (15)        306-1440
        
        Biomolecular Structure and Function                      306-1443
        
        Biomolecular Processes                                   306-1441
        
        Cell Biology                                             306-1442
        
        Genetics                                                 306-1439


CISE    Directorate for Computer & Information Science & 
        
        Engineering                                              306-1900
CCR     Division of Computer-Communications Research (10)        306-1910
        
        Theory of Computing                                      306-1914
        
        Numeric, Symbolic and Geometric Computation              306-1912
        
        Computer Systems Architecture                            306-1936
        
        Software Engineering and Languages                       306-1911 
        
        Operating Systems and Compilers                          306-1918

*These programs may require additional information on the proposal cover sheet and may require additional documentation regarding eligibility or other special conditions. Program Announcements are available from the NSF Clearinghouse or the offices listed. Tel. No. Area Code (703) Design Automation 306-1936 Communications 306-1912 Signal Processing Systems 306-1921 IIS Division of Information and Intelligent Systems (10) 306-1930 Special Projects 306-1930 Computation and Social Systems 306-1927 Information and Data Management 306-1926 Robotics and Human Augmentation 306-1928 Human Computer Interaction 306-1928 Knowledge and Cognitive Systems 306-1926 EIA Division of Experimental and Integrative Activities (15) 306-1980 CISE Research Infrastructure/CRLT 306-1981 CISE Instrumentation/Minority Infrastructure/Postdoctoral Associateships/Special Projects 306-1981 Digital Government 306-1980 Science and Technologies Centers/POWRE 306-1980 CISE Educational Innovation/REU/Special Projects 306-1981 Experimental Software Systems 306-1981 Experimental Systems/CARE 306-1981 Challenges in CISE 306-1981 ACIR Division of Advanced Computational Infrastructure & Research (15) 306-1970 Partnerships for Advanced Computational Infrastructure 306-1963 Advanced Computational Research 306-1962 ANIR Division of Advanced Networking Infrastructure & Research (10) 306-1950 Advanced Networking Infrastructure 306-1949 Special Projects in Networking 306-1949 Networking Research 306-1949 EHR Directorate for Education & Human Resources 306-1600 ESR Division of Educational Systemic Reform (15) 306-1690 Statewide Systemic Initiatives Program (SSI) 306-1682 Urban Systemic Initiatives Program (USI) 306-1684 Rural Systemic Initiatives Program (RSI) 306-1684 EPS Experimental Program to Stimulate Competitive Research (EPSCoR) (15) 306-1683 ESIE Division of Elementary, Secondary & Informal Education (14) 306-1620 Teacher Enhancement Program (TE) 306-1613 Presidential Awards for Excellence in Mathematics & Science Teaching (PAEMST) 306-1613 Instructional Materials Development Program (IMD) 306-1614 Advanced Technological Education Program (ATE) 306-1614 Informal Science Education Program (ISE) 306-1616 DUE Division of Undergraduate Education (10) 306-1670 General Information 306-1666 Course, Curriculum & Laboratory Improvement Program (CCLI) 306-1667 Advanced Technological Education Program (ATE) 306-1668 Collaboratives for Excellence in Teacher Preparation Program (CETP) (20) 306-1669 DGE Division of Graduate Education (15) 306-1630 Graduate Research Fellowships Program (GRF) (1) 306-1694 Integrative Graduate Education Research and Training Program (IGRET) (1) 306-1696 Postdoctoral Fellowships in Science, Mathematics, Engineering and Technology Education Program (PFSMETE) (6) 306-1697 NATO Postdoctoral Fellowship Program (5) 306-1697 HRD Division of Human Resource Development* (15) 306-1640 Comprehensive Partnerships for Mathematics and Science Achievement Program (CPMSA) 306-1633 Centers of Research Excellence in Science & Technology Program (CREST) 306-1634 Alliances for Minority Participation Program (AMP) 306-1632 Program for Persons with Disabilities (PPD) 306-1636 Program for Women and Girls (PWG) 306-1637 Professional Opportunities for Women in Research and Education Program (POWRE) 306-1649 Presidential Awards for Excellence in Science, Mathematics and Engineering Mentoring Program (PAESMEM) 306-1640 Minority Graduate Education (MGE) 306-1640 Initiative for Historically Black Colleges & Universities (HBCU) 306-1640 REC Division of Research, Evaluation & Communication (15) 306-1650 Learning and Intelligent Systems Program (LIS)/Technology 306-1651 Research on Education, Policy and Practice Program (REPP) 306-1652 Program Evaluation 306-1653 ENG Directorate for Engineering 306-1300 BES Division of Bioengineering & Environmental Systems (10) 306-1318 Environmental Systems Section 306-1319 Bioengineering & Research to Aid Persons with Disabilities 306-1318 Environmental & Ocean Systems 306-1619 Environmental Remediation 306-1318 CTS Division of Chemical & Transport Systems (10) 306-1370 Chemical Reaction Processes Program 306-1371 Interfacial, Transport & Separation Process Program 306-1371 Fluid, Particulate & Hydraulic Systems Program 306-1371 Thermal Systems Program 306-1371 DMII Division of Design, Manufacture & Industrial Innovation (10) 306-1328 Design & Integration Engineering Program 306-1328 Manufacturing Processes & Equipment Program 306-1328 Operations Research & Production Systems 306-1328 Small Business Technology Transfer Program 306-1391 Small Business Innovation Research Program 306-1391 Office of Small Business Research Development 306-1330 Office of Small & Disadvantaged Business Utilization 306-1330 ECS Division of Electrical & Communications Systems (10) 306-1339 Engineering Systems Program 306-1339 Quantum Electronics, Waves & Beams Program 306-1339 Solid-State & Microstructures Program 306-1339 Communications & Computational Systems Program 306-1339 EEC Division of Engineering Education and Centers (15) 306-1380 Engineering Research Centers Program 306-1381 Industry/University Cooperative Research Centers Program 306-1383 Human Resources Program 306-1384 Engineering Education Program 306-1382 CMS Division of Civil & Mechanical Systems (10) 306-1360 Mechanics & Materials Program 306-1361 Structures, Geomechanics & Building Systems Program 306-1361 Dynamic Systems & Control Program 306-1361 Surface Engineering & Tribology Program 306-1361 Structural Systems & Construction Processes 306-1361 Large Structural & Building Systems 306-1361 Geomechanical/Geotechnology and Geoenvironmental Systems 306-1361 Hazard Mitigation Section 306-1362 Earthquake Hazard Mitigation Program 306-1362 Natural & Technological Hazard Mitigation Program 306-1362 GEO Directorate for Geosciences 306-1500 ATM Division of Atmospheric Sciences (10) 306-1520 UCAR & Lower Atmospheric Facilities Oversight Section 306-1521 Lower Atmosphere Research Section 306-1523 Physical Meteorology Program 306-1524 Atmospheric Chemistry Program 306-1522 Mesoscale Dynamic Meteorology Program 306-1526 Climate Dynamics Program 306-1527 Paleoclimate Program 306-1527 Large Scale Dynamic Meteorology Program 306-1528 Upper Atmosphere Research Section 306-1518 Aeronomy Program 306-1529 Magnetospheric Physics Program 306-1519 Solar Terrestrial Research Program 306-1530 Upper Atmospheric Facilities 306-1531 EAR Division of Earth Sciences (20) 306-1550 Research Projects Section 306-1553 Geology & Paleontology Program 306-1551 Tectonics Program 306-1552 Petrology & Geochemistry Program 306-1554 Hydrologic Sciences Program 306-1549 Special Projects Section 306-1553 Geophysics Program 306-1556 Education & Human Resources Program 306-1557 Continental Dynamics Program 306-1559 Instrumentation & Facilities Program 306-1558 OCE Division of Ocean Sciences (15) 306-1580 Oceanographic Centers & Facilities Section 306-1576 Instrumentation & Technical Services Program 306-1578 Ship Operations Program 306-1577 Ocean Drilling Program 306-1581 Ocean Sciences Research Section 306-1582 Biological Oceanography Program 306-1587 Chemical Oceanography Program 306-1589 Physical Oceanography Program 306-1583 Marine Geology & Geophysics Program 306-1586 Oceanographic Technology and Interdisciplinary Coordination Program 306-1584 MPS Directorate for Mathematical & Physical Sciences 306-1800 AST Division of Astronomical Sciences (12) 306-1820 Education and Human Resources & Special Programs 306-1819 Electromagnetic Spectrum Management Unit 306-1823 National Optical Astronomy Observatories 306-1828 National Astronomy & Ionosphere Center 306-1822 National Radio Astronomy Observatory 306-1829 Extragalactic Astronomy & Cosmology Program 306-1827 Science & Technology Center 306-1821 Planetary Astronomy Program 306-1826 Stellar Astronomy & Astrophysics Program 306-1825 Galactic Astronomy Program 306-1826 Advanced Technologies & Instrumentation Program 306-1828 CHE Division of Chemistry (12) 306-1840 Chemical Instrumentation 306-1849 Organic Dynamics 306-1857 Organic Synthesis 306-1851 Theoretical & Computational Chemistry Program 306-1844 Experimental Physical Chemistry Program 306-1856 Inorganic, Bioinorganic & Organometallic Program 306-1842 Analytical & Surface Chemistry Program 306-1852 Special Projects Office 306-1850 DMR Division of Materials Research (10) 306-1810 Materials Research Science & Engineering Centers 306-1815 National Facilities & Instrumentation 306-1817 Condensed Matter Physics 306-1818 Materials Theory 306-1834 Metals, Ceramics & Electronic Materials 306-1835 Solid-State Chemistry & Polymers 306-1839 DMS Division of Mathematical Sciences (10) 306-1870 Applied Mathematics 306-1877 Classical Analysis 306-1879 Modern Analysis 306-1887 Algebra & Number Theory 306-1875 Topology & Foundations 306-1886 Infrastructure 306-1874 Statistics & Probability 306-1885 Geometric Analysis Program 306-1881 Computational Mathematics Program 306-1878 PHY Division of Physics (10) 306-1890 Special Programs 306-1809 Atomic, Molecular & Optical Physics 306-1807 Elementary Particle Physics 306-1894 Theoretical Physics 306-1889 Nuclear Physics 306-1806 Gravitational Physics 306-1899 SBE Directorate for Social, Behavioral & Economic Sciences 306-1700 INT Division of International Programs (10) 306-1710 Africa, Near East and South Asia Program 306-1707 East Asia and Pacific Program 306-1704 Americas Program 306-1706 Eastern Europe Program 306-1703 Western Europe Program 306-1702 Japan and Korea Program 306-1701 International Science and Engineering Issues Office 306-1711 NSF Tokyo Office (81-33) 224-5505 NSF Europe Office (33-14) 312-2108 SBR Division of Social, Behavioral and Economic Research (18) 306-1760 Geography and Regional Sciences 306-1754 Archaeology, Archaeometry & Systematic Collections 306-1759 Cultural Anthropology 306-1758 Physical Anthropology 306-1758 Linguistics 306-1731 Human Cognition and Perception 306-1732 Social Psychology 306-1728 Economics 306-1753 Decision, Risk & Management Science 306-1757 Transformations to Quality Organizations (TQO) 306-1757 Political Science 306-1761 Law and Social Science 306-1762 Sociology 306-1756 Methodology, Measurement, and Statistics 306-1729 Science and Technology Studies 306-1743 Societal Dimensions of Engineering, Science & Technology 306-1742 Cross-Disciplinary Activities 306-1733 SRS Division of Science Resources Studies (10) 306-1780 Research & Development Statistics Program 306-1772 Human Resources Statistics Program 306-1774 Science & Engineering Indicators Program 306-1777 Integrated Studies Program 306-1776 Information Services Group 306-1773

--------------------------------------------------------------------------------

End notes: ----------

21. Detailed instructions for electronic proposal submission via FastLane are available at:

"https://www.fastlane.nsf.gov/a1/newstan.htm".

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APPENDIX B CHECKLIST FOR PROPOSAL PREPARATION

Codes:

1 = Use of format required*

2 = Use of format optional

3 = Use instructions provided in Grant Proposal Guide for completion of this section of the proposal

Complete proposals help expedite review and processing. To assure that research and other proposals submitted to the Foundation are complete, an administrative check should be made before mailing.

[ ] Is all or part of the proposal required to be submitted via FastLane?**

[ ] Information About Principal Investigators/Project Directors, NSF Form 1225 (one copy only) 1

[ ] List of suggested reviewers, or reviewers not to include (one copy only) (optional)

[ ] Cover Sheet for Proposal to the National Science Foundation, Certification Page, NSF Form 1207 (one copy only),1 Page 2

[ ] All required signatures (Principal Investigator, co-Principal Investigator(s), and Authorized Organizational Representative)

[ ] Deviation Authorization (one copy only, if applicable)

[ ] NSF LLL, Disclosure of Lobbying Activities (one copy only, if applicable)

[ ] Cover Sheet for Proposal to the National Science Foundation, Page 1, NSF Form 12071

[ ] Program Announcement/Solicitation No./Closing Date. If the proposal is not submitted in response to a specific program announcement, proposers must enter "NSF 99-2"

[ ] Specific NSF program(s) identified

[ ] For renewal proposal, previous award number entered

[ ] Related preproposal number entered, if applicable

[ ] Organization's DUNS number included

[ ] Appropriate boxes on Cover Sheet checked

[ ] Project Summary3

[ ] Table of Contents, NSF Form 13591

[ ] Project Description, including Results from Prior NSF Support3

[ ] Human-resource information (required for renewal proposals from academic institutions only)

[ ] References Cited3

[ ] Biographical Sketches3

[ ] Summary Proposal Budget, cumulative and annual, NSF Form 10301

[ ] Budget Justification (not to exceed three pages)

[ ] Cost sharing amount, if applicable

[ ] Current and Pending Support, NSF Form 12392

[ ] Facilities, Equipment and Other Resources, NSF Form 13632

[ ] Special Information and Supplementary Documentation (letters of commitment, eligibility statements, etc.) as required

[ ] Animal Care and Use Statement, if available at the time of proposal submission***

[ ] Human Subjects Certification, if available at the time of proposal submission****

[ ] Special provisions for research in Greenland or Antarctica

[ ] Required number of copies of the proposal, including the original signed copy (See Appendix A.)

[ ] Proposal packages addressed exactly as shown on page 4

*See Proposal Forms Kit, for NSF's Forms Acceptance Policy.

**Some NSF programs may require electronic submission of all or part of a proposal, including unsolicited proposals. Please check the FastLane Web site

https://www.fastlane.nsf.gov/a0/fldeadli.htm

prior to proposal submission for a listing of programs and program announcements that require submission via FastLane.

***Statement that indicates that the proposal has been reviewed and approved by the Institutional Animal Care and Use Committee and that assures the grantee will comply with the Public Health Service Policy on Humane Care and Use of Laboratory Animals by Awardee Institutions. If statement is submitted with the proposal, include in Section I. After proposal submission, send to cognizant program office.

****Statement that indicates that the proposal has been approved and will be subject to continuing review by the Institutional Review Board and that an approved assurance for the institution in conformance with the Common Rule (Federal Policy for the Protection of Human Subjects, 45 CFR ¤690) is appropriately filed with a Federal agency. If statement is submitted with the proposal, include in Section I. After proposal submission, send to cognizant program office.

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APPENDIX C DEFINITIONS OF CATEGORIES OF PERSONNEL

The personnel categories listed on parts A and B of the proposal budget (NSF Form 1030) are defined as follows: A. Senior Personnel (1-5) (co) Principal Investigator(s) * the individual(s) designated by the grantee and approved by NSF who will be responsible for the scientific or technical direction of the project. If more than one, the first one listed will have primary responsibility for the project and the submission and signing of reports. Faculty Associate (faculty member) * an individual other than the Principal Investigator(s) considered by the performing institution to be a member of its faculty or who holds an appointment as a faculty member at another institution, and who will participate in the project being supported. B. Other Personnel 1. Postdoctoral Associate * an individual who received a Ph.D., M.D., D.Sc. or equivalent degree less than five years ago, who is not a member of the faculty at the performing institution, and who is not reported under Senior Personnel above. 2. Other Professional * a person who may or may not hold a doctoral degree or its equivalent, who is considered a professional and is not reported as a Principal Investigator, faculty associate, postdoctoral associate or student. Examples of persons included in this category are doctoral associates not reported under B1, professional technicians, physicians, veterinarians, system experts, computer programmers and design engineers. 3. Graduate Student (research assistant) * a part-time or full-time student working on the project in a research capacity who holds at least a bachelor's degree and is enrolled in a degree program leading to an advanced degree. 4. Undergraduate Student * a student who is enrolled in a degree program (part-time or full-time) leading to a bachelor's or associate's degree. 5.&6. These categories include persons working on the project in a non-research capacity, such as secretaries, clerk-typists, draftsmen, animal caretakers, electricians and custodial personnel regardless of whether they hold a degree or are involved in degree work. Any personnel category for which NSF funds are requested should indicate, in the parentheses provided on the NSF Form 1030, the number of persons expected to receive some support from those funds and, where called for in the budget format, person-months to the nearest tenth.

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Proposal Forms Kit NSF 99-3 October 1998 (Replaces NSF 98-3)

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PROPOSAL FORMS KIT

A. INTRODUCTION

This Proposal Forms Kit supplements the Grant Proposal Guide (GPG), the NSF Guide that provides guidance for the preparation of unsolicited proposals to NSF. An unsolicited proposal is prepared by a Principal Investigator and submitted by an organization on its own initiative and not in response to a formal written solicitation from NSF. Contact with appropriate NSF program personnel is encouraged to help determine if preparation of a formal proposal is appropriate. The Kit contains the forms necessary for preparation of unsolicited proposals. While these forms are generally applicable, some NSF programs use specific program announcements which may require additional forms for submission of proposals to NSF or which may modify the general guidance in the GPG. Please give careful attention to the requirements established in the GPG and the instructions provided on each form. Proposals that do not meet such requirements may be returned without further consideration by NSF. Of particular importance are the page limitations, format and content requirements that are identified on the forms and/or established throughout the GPG. Proposers should ensure that, where required, the submitted documents are signed and dated. A properly prepared proposal will facilitate the administrative processing and merit review that must occur before an award can be made.

B. FORMS PROVIDED

Codes:

The NSF Proposal Forms Kit includes one copy of each of the following forms: _ NSF Form 1207, Cover Sheet for Proposal to the National Science Foundation A _ NSF Form 1359, Table of ContentsA _ NSF Form 1030, Summary Proposal Budget A _ NSF Form 1239, Current and Pending Support B _ NSF Form 1363, Facilities, Equipment and Other Resources B

C. FORM PREPARATION INSTRUCTIONS

Each form is self-explanatory or provides specific completion instructions; additional information is located in the GPG as follows:

_ NSF Form 1207, Cover Sheet for Proposal to the National Science Foundation, Page 6

_ NSF Form 1359, Table of Contents, Page 7

_ NSF Form 1030, Summary Proposal Budget, Page 9

_ NSF Form 1239, Current and Pending Support, Page 12

_ NSF Form 1363, Facilities, Equipment and Other Resources, Page 13

Follow the instructions in the GPG regarding completion of the following sections of the proposal:

_ Project Summary, Page 7

_ Project Description, Page 7

_ References Cited, Page 8

_ Biographical Sketches, Page 8

D. FORMS ACCEPTANCE POLICY NSF Proposal Forms Kit

_ Paper copy forms provided in the Proposal Forms Kit may be used. Additional copies of this Kit, in paper and electronic medium, are available as indicated in Section G below.

Computer-generated facsimiles _ Computer-generated facsimiles may be substituted for any of the forms contained in the Kit. The categories or information requested, however, should not be rearranged or altered.

Photocopies _ Forms may be reproduced but must be clear and readable. NSF two-sided forms may be copied and submitted either on one two-sided sheet of paper or on single separate sheets of paper. FastLane _ The NSF FastLane system uses Internet/Web technology to facilitate the way NSF does business with the research, education, and related communities. The NSF FastLane system is available for proposal preparation, submission, status check, project reporting and post-award administrative activities. Its functions may be accessed by using Web browsers that support file upload and forms capabilities (e.g., Netscape Navigator 3.0+ or Microsoft Internet Explorer 4.01+.) Access to proposal and post-award functions is limited to staff from Fast- Lane registered organizations and is secured through the use of Personal Identification Numbers (PINs). To register an organization, authorized organizational representatives must complete the registration form that can be accessed through the Registration Information hyperlink on the FastLane Web site. Once an organization is registered, PINs for individual staff are available from the organization's sponsored projects office.

E. WHEN TO SUBMIT PROPOSALS Many NSF programs accept proposals any time. Other programs, however, establish target dates or deadlines for submission of proposals to allow time for their consideration by review panels which meet periodically. These target dates and deadlines are published in specific program announcements, which can be obtained from the NSF Clearinghouse at: pubs@nsf.gov or electronically through the NSF Web site at: "http://www.nsf.gov". Lists of deadlines and target dates also are available electronically on the NSF Web site. Unless otherwise specified in a program announcement, proposals must be received by the specified date. A proposal received after a deadline, however, may be acceptable if it carries a legible proof-of- mailing date assigned by the carrier and the proof-of-mailing date is not later than one week prior to the deadline date. If the deadline date falls on a weekend, it will be extended to the following Monday; if the date falls on a holiday, it will be extended to the following work day. The deadline date will be waived only in extenuating circumstances. Inquiry about submission may also be made to the appropriate program. For information about receipt of proposals submitted electronically, see Section F.

F. HOW TO SUBMIT PROPOSALS

For standard unsolicited proposals, electronic proposal submission via the NSF FastLane system is the preferred method and is strongly encouraged. Some NSF programs may require electronic submission of all or part of a proposal, including unsolicited proposals. Please check the FastLane Web site prior to proposal submission for a listing of programs and program announcements that require submission via FastLane. Unless otherwise specified by a program or in a program announcement, proposals may continue to be submitted in paper form. A proposal needs to be submitted only once to NSF, even if review by multiple programs is envisioned by the proposer. The submission of duplicate or substantially similar proposals concurrently for review by more than one program without prior NSF approval may result in the return of the redundant proposals. (See Section GPG IV.B. for further information on proposal return.) The following are specific instructions regarding the submission and receipt of electronic and paper proposals to NSF:

1. Electronic submission.

A proposal is considered complete when the proposal, including the Project Description, has been submitted to NSF. If the Project Description is included in the electronic submission, unless otherwise specified in a program announcement, the receipt date will be the date the sponsored projects office transmits the proposal to NSF. The signed proposal Cover Sheet (NSF Form 1207) must be forwarded to the following address and received by NSF within five working days following proposal submission. National Science Foundation DIS-FastLane Cover Sheet 4201 Wilson Blvd. Arlington, VA 22230 A proposal may not be processed until the complete proposal (including signed Cover Sheet) has been received by NSF.

2. Paper submission.

The delivery address must clearly identify the NSF Announcement Number under which the proposal is being submitted, if applicable. If the proposal is not submitted in response to a specific announcement, proposers should enter the NSF Program(s), using Appendix A of this document as a guide, to which the proposal should be directed. NSF will determine which program(s) will evaluate each proposal. Unless stated otherwise in a program announcement, proposals should not be addressed or sent directly to the cognizant Program Officer. If copies of the proposal are mailed or delivered in more than one package, the number of packages and the NSF Announcement number, if applicable, should be marked on the outside of each package. Proposals must be sent prepaid, not collect. Proposals sent by special messenger or courier should be delivered to the below address, weekdays, except Federal holidays, between the hours of 8:30 a.m. and 5:00 p.m. ET. Please contact the NSF Mail Room, (703) 306-0657, with any questions regarding the mailing or delivery of proposals. Proposals must be addressed exactly as follows:

ANNOUNCEMENT/SOLICITATION NO _________________

NATIONAL SCIENCE FOUNDATION

PPU NSF PROGRAM _______________________________________

4201 WILSON BLVD.

ROOM P60

ARLINGTON VA 22230

3. Acknowledgment of proposal receipt.

The acknowledgment of the receipt of the proposal will reference both the NSF proposal number and the cognizant NSF program to which the proposal has been assigned. Communications about the proposal should be addressed to the cognizant Program Officer with reference to the proposal number. Proposers are encouraged to use the NSF FastLane system described in GPG Section I.C. to verify the status of their submission to NSF.

G. ADDITIONAL COPIES OF THIS PROPOSAL FORMS KIT

Additional copies of the Proposal Forms Kit (NSF 99-3) or the GPG (NSF 99-2), which contains the Proposal Forms Kit, may be ordered from:

NSF Clearinghouse

P.O. Box 218

Jessup, MD 20794-0218

Telephone: 301-947-2722

e-mail: pubs@nsf.gov

The GPG or the Proposal Forms Kit may be obtained by accessing documents NSF 99-2 or NSF 99-3 electronically on the NSF Web site at:

"http://www.nsf.gov".

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End notes: ----------

1. Detailed information about the FastLane system is available from the FastLane Web site at: "http://www.fastlane.nsf.gov".

2. Instructions for proposal preparation and submission via FastLane are available at: "https://www.fastlane.nsf.gov/a1/newstan.htm".

3. Program announcements and solicitations may provide different instructions for submission of the signed Cover Sheet. In these cases, the guidance in the program announcement or solicitation should be followed.

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PRIVACY ACT AND PUBLIC BURDEN STATEMENTS

The information requested on proposal forms and project reports is solicited under the authority of the National Science Foundation Act of 1950, as amended. The information on proposal forms will be used in connection with the selection of qualified proposals; and project reports submitted by awardees will be used for program evaluation and reporting within the Executive Branch and to Congress. The information requested may be disclosed to qualified reviewers and staff assistants as part of the proposal review process; to proposer institutions/grantees to provide or obtain data regarding the proposal review process, award decisions, or the administration of awards; to government contractors, experts, volunteers and researchers and educators as necessary to complete assigned work; to other government agencies needing information as part of the review process or in order to coordinate programs; and to another Federal agency, court or party in a court or Federal administrative proceeding if the government is a party. Information about Principal Investigators may be added to the Reviewer file and used to select potential candidates to serve as peer reviewers or advisory committee members. See Systems of Records, NSF-50, "Principal Investigator/Proposal File and Associated Records," 63 Federal Register 267 (January 5, 1998), and NSF- 51, "Reviewer/Proposal File and Associated Records," 63 Federal Register 268 (January 5, 1998). Submission of the information is voluntary. Failure to provide full and complete information, however, may reduce the possibility of receiving an award. Public reporting burden for this collection of information is estimated to average 120 hours per response, including the time for reviewing instructions. Send comments regarding this burden estimate and any other aspect of this collection of information, including suggestions for reducing this burden, to: Mary Lou Higgs Acting Reports Clearance Officer Information Dissemination Branch Division of Administrative Services National Science Foundation Arlington, VA 22230

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