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:
o need to incorporate additional references throughout the document to the NSF FastLane system as well as access to other electronic sources of information, where appropriate; - desire of some NSF Directorates to require use of FastLane in proposal preparation for all proposals - including unsolicited proposals. As a result, proposers must now check the FastLane Web site (see endnote 1) prior to proposal preparation and submission to verify whether use of FastLane is required in preparation of all or part of a proposal;
o need to further protect the privacy of PIs by removing the Social Security Number (SSN) from Page 1 of the Proposal Cover Sheet (the SSN will now be collected on Page 2 of the Cover Sheet which is submitted as a single copy document);
o implementation of revised OMB guidelines on race and ethnicity standards (NSF Form 1225);
o desire to incorporate suggestions for clarifications made by the various NSF customer communities and NSF staff since the last revision of the GPG in October 1997; and
o implementation of the NSF electronic Project Reporting System. This new electronic reporting capability has been added as a new component of FastLane and will permit electronic submission and updating of reports on each of a PI's NSF project(s). As designed, 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 preparation of annual and final project reports.
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: ----------
1. A listing of NSF programs which require use of FastLane in proposal submission may be obtained at:
"https://www.fastlane.nsf.gov/a0/fldeadli.htm".
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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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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:
47.041 - Engineering Grants
47.049 - Mathematical and Physical Sciences
47.050 - Geosciences
47.070 - Computer and Information Science and Engineering
47.074 - Biological Sciences
47.075 - Social, Behavioral and Economic Sciences
47.076 - Education and Human Resources
47.078 - Office of Polar Programs
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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o Overall Document - The entire document has been supplemented with additional coverage on the NSF FastLane system and other electronic sources of information such as the NSF Web site.
o About the National Science Foundation - A notice has been added reminding NSF awardees of their responsibilities regarding the Year 2000 computer problem.
o Foreword - has been revised to provide:
o Information regarding the availability of the new electronic NSF Bulletin; and
o An updated listing of applicable NSF CFDA numbers.
o Chapter I - Paragraph A, Overview, has been modified to include a notice of the availability of the NSF Custom News Service (CNS). The CNS is an information-delivery system designed to keep potential proposers and other interested parties apprised of the issuance of new program announcements through the Internet e-mail system or the user's Web browser.
o Chapter I - Paragraph B, The Proposal, has been supplemented with instructions on treatment of patentable ideas, trade secrets, and privileged or confidential information. This coverage was previously included under II.D.7, Budget.
o Chapter I - Paragraph D, Who May Submit Proposals, has been clarified to recognize that some program announcements place restrictions on the individuals and organizations that are eligible to submit proposals to NSF.
o Chapter I - Paragraph F, How to Submit Proposals, has been revised to stipulate that:
o Some NSF programs and program announcements may require electronic submission of all or part of a proposal, including unsolicited proposals. Proposers are advised to check the FastLane Web site prior to proposal submission to check whether submission via FastLane is required.
o For proposals submitted via FastLane, the signed proposal Cover Sheet (NSF Form 1207) should be forwarded to the address identified on page 3 of the GPG and received by NSF within five working days following proposal submission.
o Chapter II, Instructions for Proposal Preparation, has been supplemented with a Web address for Frequently Asked Questions regarding proposal preparation and submission.
o Chapter II - Paragraph B, Special Instructions for Single-Copy Documents, has been revised to eliminate the statement regarding the inability to use FastLane for the List of Suggested Reviewers or Reviewers Not to Include. This item may now be submitted electronically via FastLane.
o Chapter II - Paragraph B.1, Information About Principal Investigators/Project Directors and co-Principal Investigators/co- Project Directors, has been changed to indicate that the name(s) of the PI(s) is required to be submitted on the new NSF Form 1225. The coverage also specifies that a copy of the form must be submitted for each identified PI/PD and co-PI/co-PD on the proposal.
o Chapter II - Paragraph B.4, Deviation Authorization, has been deleted. All coverage on deviations is now contained in Section II.A.
o Chapter II - Paragraph D.1, Cover Sheet for Proposal to the National Science Foundation, has been revised to:
o add a new block for the proposer to identify any related preproposal number assigned by NSF, in submission of the full proposal; and
o specify which elements of the NSF Form 1207 are for "NSF Use Only" and should not be completed by the proposing organization.
o Chapter II - Paragraph D.4, Project Description, has been revised to:
o supplement the description with increased coverage on the second merit review criterion; and
o delete coverage on submission of Results from Prior NSF Support via the new FastLane Project Reporting system. This capability will be delayed until some undetermined future date.
o Chapter II - Paragraph D.5, References Cited, has been supplemented with a reminder that the "References Cited" section of the proposal should not be used to provide parenthetical information outside of the 15-page project description.
o Chapter II - Paragraph D.7.a.(iii), Confidential Budgetary Information, has been revised to address "Confidential Budgetary Information" in lieu of confidential information impacting the entire proposal. A Web address also has been added to obtain instructions for submission of this information via FastLane.
o Chapter II - Paragraph D.7.d, Travel, has been reorganized to move the material describing travel requirements from paragraph ii to paragraph i since the coverage applies to both domestic and foreign travel.
o Chapter II - Paragraph D.7.f.(v), Subawards, has been updated to specify how to submit signed subaward budgets for proposals that are submitted via FastLane.
o Chapter II - Paragraph D.10, Special Information & Supplementary Documentation, has been supplemented with instructions for submission of Special Information and Supplementary Documentation for proposals that are submitted via FastLane.
o Chapter II - Paragraph D.12.b, Group and Collaborative Proposals, has been supplemented with instructions for submission of collaborative proposals via FastLane.
o Chapter III - a new Paragraph B, Administrative Corrections to FastLane Proposals, has been added to address a new FastLane capability for minor administrative corrections to proposals. This new capability will be available in spring 1999. Detailed instructions for use of this feature will be made available at that time. All the remaining paragraphs in Chapter III have been renumbered accordingly.
o Chapter III - Paragraph C, Revisions to Proposals Made During the Review Process, has been clarified to more clearly describe the role of the NSF Program Officer in negotiation of award budgets.
o Chapter V - Paragraph F, Human Resources Development, has been revised to include an updated listing of NSF programs whose purpose is to increase participation by women, minorities, persons with disabilities and by faculty from minority institutions and predominantly undergraduate institutions.
o Chapter VI - Paragraphs C.1-2, No-Cost Extensions, have been modified to stipulate that some NSF Directorates now require electronic submission of notifications of grantee authorized extensions and requests for NSF approved extensions via FastLane. Prior to submission, grantees should check the cognizant Directorate or FastLane Web page to see if submission via FastLane is required.
o Chapter VII, Grant Administration Highlights, has been supplemented with a Web address for Frequently Asked Questions regarding grant administration.
o Chapter VII - Paragraph C, Transfer of PI, has been updated with language to remind grantees that the NSF FastLane system is not yet available for grant transfer requests.
o Chapter VII - Paragraph G, Grant Reports, has been revised to combine the coverage on Annual and Final Project Reports and to require use of the new electronic report formats effective October 1, 1998. While electronic submission is strongly encouraged, paper copies of the report formats may be obtained from the NSF Clearinghouse.
o Chapter VII - Paragraph L, Year 2000 Computer Problem, has been added to remind NSF awardees of their responsibilities regarding the Year 2000 computer problem.
o Appendix A - Programs Providing Support for Scientific & Engineering Research & Education, has been updated to include the latest listing of NSF programs, numbers of copies of proposals required, and telephone numbers.
o Appendix B - Checklist for Proposal Preparation, has been updated to conform to the requirements contained in this Guide.
o Appendix D - NSF Form 1328, Annual NSF Grant Progress Report, has been deleted. The new format is available electronically via FastLane or in paper form from the NSF Clearinghouse.
o Appendix E - NSF Form 98A, Final Project Report, has been deleted. The new format is available electronically via FastLane or in paper form from the NSF Clearinghouse.
o Proposal Forms Kit has been revised as follows:
o NSF Form 1225, Information About Principal Investigators/Project Directors and co-Principal Investigators/co-Project Directors, has been modified to be consistent with revised OMB guidelines on race and ethnicity standards as well as to request specific information on the disability status of each PI/PD. This form is required to be submitted by each identified PI/PD and co- PI/co-PD on the project.
o NSF Form 1207, Cover Sheet for Proposal to the National Science Foundation, has been revised to:
o Add a new block to identify any related preproposal number assigned by NSF in submission of the full proposal.
o Create separate blocks for "High Degree" and "Year of Degree."
o Move the block for the PI/co-PI Social Security Number to Page 2.
o NSF Form 1359, Table of Contents, has been revised to delete the space provided to identify the applicable NSF Award Number for purposes of submitting results from prior support via the NSF electronic reporting system. This capability will be delayed until some undetermined future date.
o NSF Form 1030, Summary Proposal Budget instructions have been modified to eliminate consultant travel from inclusion in the travel category. Consultant travel should be included in the amount identified in line G.3, Consultant Services.
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I. Introduction
A. Overview
1. Unsolicited Proposals
2. Solicited Proposals
3. General
B. The Proposal Proprietary or Privileged Information
C. NSF FastLane System
D. Who May Submit Proposals Categories of Proposers
E. When to Submit Proposals
F. How to Submit Proposals
II. Instructions for Proposal Preparation
A. Conformance with Instructions for Proposal Preparation
B. Special Instructions for Single-Copy Documents
1. Information About Principal Investigators/Project Directors and co-Principal Investigators/co-Project Directors
2. List of Suggested Reviewers or Reviewers Not to Include
3. Certification Page
C. Format of the Proposal
D. Sections of the Proposal
1. Cover Sheet for Proposal to the National Science Foundation
2. Project Summary
3. Table of Contents
4. Project Description Results from Prior NSF Support
5. References Cited
6. Biographical Sketches
7. Budget
a. Salaries and Wages
(i) Policies
(ii) Procedures
(iii) Confidential Budgetary Information
b. Fringe Benefits
c. Equipment
d. Travel
(i) General
(ii) Domestic Travel
(iii) Foreign Travel
e. Participant Support
f. Other Direct Costs
(i) Materials and Supplies
(ii) Publication/Documentation/Dissemination
(iii) Consultant Services
(iv) Computer Services
(v) Subawards
g. Total Direct Costs
h. Indirect Costs (also known as Facilities & Administrative Costs)
i. Total Direct and Indirect Costs
j. Residual Funds
k. Amount of This Request
l. Cost Sharing
m. Unallowable Costs
(i) Entertainment
(ii) Meals and Coffee Breaks
(iii) Alcoholic Beverages
8. Current and Pending Support
9. Facilities, Equipment and Other Resources
10. Special Information & Supplementary Documentation
11. Appendices
12. Special Guidelines
a. Small Grants for Exploratory Research (SGER)
b. Group and Collaborative Proposals
c. Equipment Proposals
d. Proposals Involving Vertebrate Animals
e. Proposals Involving Human Subjects
III. NSF Proposal Processing and Review
A. Review Criteria
B. Administrative Corrections to FastLane Proposals
C. Revisions to Proposals Made During the Review Process
D. Award Recommendation
E. Copies of Reviews
IV. Withdrawals, Returns and Declinations
A. Withdrawals
B. Returns
C. Declinations
D. Reconsideration
E. Resubmission
V. Special Programs
A. Research Instrumentation/Facilities
B. Conferences, Symposia and Workshops
C. International Cooperative Activities
D. International Travel Grants
E. Doctoral Dissertation Research
F. Human Resources Development
G. Facilitation Awards for Scientists and Engineers with Disabilities
H. Research Opportunity Awards (ROAs)
I. Research Experiences for Undergraduates (REUs)
J. Partnerships for Advanced Computational Infrastructure (PACI)
K. Small Business Innovation Research (SBIR) Program
L. Small Business Technology Transfer (STTR) Program
VI. The Award and Continued Support
A. Standard and Continuing Grants Effective/Expiration Dates and Preaward Costs
B. Additional Support
1. Incremental Funding
2. Renewal Proposals Traditional Renewal Accomplishment-Based Renewal (ABR)
3. Two-Year Extensions for Special Creativity
4. Supplemental Funding
C. No-Cost Extensions
1. Grantee-Authorized Extension
2. NSF-Approved Extension
VII. Grant Administration Highlights
A. General Requirements
B. Prior Approval Requirements
C. Transfer of PI
D. Equipment
E. Excess Government Property
F. Suspension or Termination of Grants
G. Grant Reports
1. Annual and Final Project Reports
2. Quarterly and Final Expenditure Reports
H. Sharing of Findings, Data and Other Research Products
I. Acknowledgment of Support and Disclaimer
J. Release of Grantee Proposal Information
K. Legal Rights to Intellectual Property
L. Year 2000 Computer Problem
Appendices
A. Programs Providing Support for Scientific & Engineering Research & Education
B. Checklist for Proposal Preparation
C. Definitions of Categories of Personnel Proposal Forms Kit
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INTRODUCTION
A. OVERVIEW
1. Unsolicited Proposals
The Grant Proposal Guide (GPG) provides guidance for preparation of unsolicited proposals to NSF. Proposals submitted in response to NSF program announcements are considered unsolicited and, unless specified otherwise, are prepared in accordance with GPG formatting and other requirements. Proposers should note that awards resulting from unsolicited research proposals are subject to statutory cost sharing. (See Section II.D.7.l and Grant Policy Manual (GPM) Section 330.) In addition, some program announcements may contain other cost sharing/matching requirements. Unless the program announcement identifies other specific criteria, unsolicited proposals are evaluated pursuant to general evaluation criteria identified in Chapter III and compete with each other, but less directly than do solicited proposals.
2. Solicited Proposals
NSF also solicits proposals for support in NSF targeted areas through issuance of specific program solicitations. Program solicitations are specifically designated as such, are more definitive than program announcements and generally describe types of projects the program wishes to fund. Competition among proposals is more focused, and special evaluation and selection procedures are often used. Statutory cost sharing is not required; however, there may be other cost sharing/ matching requirements.
Note: The NSF Custom News Service is an information-delivery system designed to keep potential proposers and other interested parties apprised of the issuance of new program announcements and solicitations (as well as other NSF publications and policies) through Internet e-mail or the user's Web browser. Subscribers are informed each time new publications are issued that match their identified interests. To subscribe to the Custom News Service, go to NSF's Web site at:
and click on "Custom News" on the toolbar.3. General
The Foundation considers proposals submitted by individuals or groups for support in most fields of research. (See Appendix A for programs.) Interdisciplinary proposals are also eligible for consideration.
NSF does not normally support technical assistance, pilot plant efforts, research requiring security classification, the development of products for commercial marketing or market research for a particular project or invention. Research with disease-related goals, including work on the etiology, diagnosis or treatment of physical or mental disease, abnormality, or malfunction in human beings or animals, is normally not supported. Animal models of such conditions or the development or testing of drugs or other procedures for their treatment also are not eligible for support. Research in bioengineering, with diagnosis or treatment-related goals, however, that applies engineering principles to problems in biology and medicine while advancing engineering knowledge is eligible for support. Bioengineering research to aid persons with disabilities is also eligible.
Research proposals to the Biological Sciences Directorate (not proposals for conferences or workshops) cannot be duplicates of proposals to any other Federal agency for simultaneous consideration. The only exceptions to this rule are: (1) when the proposers and program managers at relevant Federal agencies have previously agreed to joint review and possible joint funding of the proposal; or (2) proposals from beginning investigators (individuals who have not been a principal investigator (PI) (see endnote 3) or co-principal investigator (co- PI) on a Federally funded award with the exception of doctoral dissertation, postdoctoral fellowship or research planning grants). For proposers who qualify under this latter exception, the box for "Beginning Investigator" should be checked on the Cover Sheet for Proposal to the National Science Foundation, NSF Form 1207.
NSF expects strict adherence to the rules of proper scholarship and attribution. The responsibility for proper attribution and citation rests with authors of a research proposal; all parts of the proposal should be prepared with equal care for this concern. Serious failure to adhere to such standards can result in findings of misconduct in science. NSF policies and rules on Misconduct in Science and Engineering are discussed in GPM Section 930.
B. THE PROPOSAL
The proposal should present the
(1) objectives and scientific or educational significance of the proposed work;
(2) suitability of the methods to be employed;
(3) qualifications of the investigator and the grantee organization(see endnote 4);
(4) effect of the activity on the infrastructure of science, engineering and education; and
(5) amount of funding required.
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 following is (proprietary or confidential) information that (name of proposing organization) requests not be released to persons outside the Government, except for purposes of review and evaluation."
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:
1. Universities and colleges - US universities and two- and four- year colleges (including community colleges) acting on behalf of their faculty members.
2. Non-profit, non-academic organizations - Independent museums, observatories, research laboratories, professional societies and similar organizations in the US that are directly associated with educational or research activities.
3. For-profit organizations - US commercial organizations, especially small businesses with strong capabilities in scientific or engineering research or education. (See Section V.K for specific information on the Small Business Innovation Research (SBIR) program.) An unsolicited proposal from a commercial organization may be funded when the project is of special concern from a national point of view, special resources are available for the work, or the proposed project is especially meritorious. NSF is interested in supporting projects that couple industrial research resources and perspectives with those of universities. Therefore, it especially welcomes proposals for cooperative projects involving both universities and the private sector.
4. State and Local Governments - State educational offices or organizations and local school districts may submit proposals intended to broaden the impact, accelerate the pace and increase the effectiveness of improvements in science, mathematics and engineering education in both K-12 and post-secondary levels.
5. Unaffiliated Individuals - Scientists, engineers or educators in the US and US citizens may be eligible for support, provided that the individual is not employed by or affiliated with an organization and:
o the proposed project is sufficiently meritorious and otherwise complies with the conditions of any relevant program announcement;
o the proposer has demonstrated the capability and has access to any necessary facilities to carry out the project; and
o the proposer agrees to fiscal arrangements which, in the opinion of the NSF Grants Officer, ensure responsible management of Federal funds. Unaffiliated individuals should contact the appropriate program before preparing a proposal for submission.
6. Foreign organizations - NSF rarely provides support to foreign organizations. NSF will consider proposals for cooperative projects involving US and foreign organizations, provided support is requested only for the US portion of the collaborative effort. (For further information, contact the Division of International Programs, Appendix A.)
7. Other Federal agencies - NSF does not normally support research or education activities by scientists, engineers or educators employed by Federal agencies or Federally Funded Research and Development Centers (FFRDCs). A scientist, engineer or educator, however, who has a joint appointment with a university and a Federal agency (such as a Veterans Administration Hospital, or with a university and a FFRDC) may submit proposals through the university and may receive support if he/she is a bona fide faculty member of the university, although part of his/her salary may be provided by the Federal agency. Under unusual circumstances, other Federal agencies and FFRDCs may submit proposals directly to NSF. Preliminary inquiry should be made to the appropriate program before preparing a proposal for submission.
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:
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) should be forwarded to the following address and received by NSF within five working days following proposal submission. (see endnote 9)
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 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. 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 FastLane to verify the status of their submission to NSF.
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End notes: ----------
3. As used in this Guide, the term "Principal Investigator" also includes the term "Project Director."
4. Unless otherwise specified, the term "organization" refers to all categories of proposers.
5. Target dates are cutoff dates after which proposals will still be reviewed, although they may miss a particular panel or committee meeting.
6. Deadlines are cutoff dates after which proposals usually will not be accepted for review by NSF.
7. A complete listing of all upcoming deadlines, sorted by date and by program area is available electronically on the NSF Web site at: "http://www.nsf.gov/home/deadline/deadline.htm".
8. Detailed instructions for proposal preparation and submission via FastLane are available at: "https://www.fastlane.nsf.gov/a1/newstan.htm".
9. Program announcements may provide different instructions for submission of the signed Cover Sheet. In these cases, the guidance in the program announcement should be followed.
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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.
A. CONFORMANCE WITH INSTRUCTIONS FOR PROPOSAL PREPARATION
It is important that all proposals conform to the instructions provided in the GPG and in the Proposal Forms Kit. Conformance is required and will be strictly enforced unless a deviation has been approved. Proposals that are not consistent with these instructions may not be considered by NSF. Particular attention is given to proposal length, content and formatting, including the page limitation on the Project Description and other proposal sections, such as the use of Appendices and required content of the Biographical Sketches.
Any deviations from these instructions must be authorized in advance by NSF. Deviations may be authorized in one of two ways:
1. through specification of different requirements in an NSF Announcement; or
2. by the written approval of the cognizant NSF Assistant Director/Office Head or designee. Such deviations may be a "blanket deviation" for a particular program or programs or, in rare instances, an "individual" deviation for a particular proposal.
Proposers may deviate from these instructions only to the extent authorized. Proposals must identify the deviation in one of the following ways as appropriate: (a) by identifying the program announcement number in the appropriate block on the NSF Form 1207; or (b) by identifying the date of the deviation authorization in the program announcement block on the NSF Form 1207, and including one copy of the written deviation authorization with the single-copy documents identified in paragraph B. below. For proposals submitted via FastLane, the name, date and title of the NSF official authorizing the deviation should be entered. Further instructions are available on the FastLane Web site.
B. SPECIAL INSTRUCTIONS FOR SINGLE-COPY DOCUMENTS
The following single-copy documents, if applicable, should be attached to the front of the proposal in the order identified below.
1. Information About Principal Investigators/Project Directors and co-Principal Investigators/ co-Project Directors (NSF Form 1225)
NSF is committed to providing equal opportunities for participation in its programs and promoting the full use of the Nation's research resources. To aid in meeting these objectives, NSF requests information on the gender, race, ethnicity and disability status of individuals named as PIs or co-PIs on proposals and awards. Except for the required information about current or previous Federal research support and the name(s) of the PI/co-PI, submission of the information on the form is voluntary, and individuals who do not wish to provide the personal information should check the box provided for that purpose. One copy of the form should be submitted for each PI/co-PI identified on the proposal. The forms and the information they contain are accessible by NSF personnel only.
2. List of Suggested Reviewers or Reviewers Not to Include (optional)
Proposers may include, in a cover letter or separate sheet, a list of suggested reviewers that the proposers believe are especially well qualified to review the proposal. Proposers may also designate persons they would prefer not review the proposal, indicating why. These suggestions are optional. The cognizant Program Officer handling the proposal considers the suggestions and may contact the proposer for further information.
3. Certification Page (Page 2 of the Cover Sheet for Proposal to the National Science Foundation, NSF Form 1207)
By signing Page 2 of the NSF Form 1207, PIs and authorized organizational representatives are providing certain required certifications. (See Section II.D.1 for further information regarding certifications.) The NSF FastLane system currently cannot be used to submit this information. Section F of Chapter I contains further instructions for proposals submitted via FastLane.
C. FORMAT OF THE PROPOSAL
Every page of the proposal must be numbered at the bottom center. Proposals must be stapled in the upper-left-hand corner (for copies other than the original, a simple binding such as a comb binding also is permitted) and have 2.5 cm margins at the top, bottom and on each side. The type size must be clear and readily legible, in standard size which is 10 to 12 points. (No smaller than 10 point font size will be accepted.) If constant spacing is used, there should be no more than 12 characters per 2.5 cm, whereas proportional spacing should provide no more than an average of 15 characters per 2.5 cm. While line spacing (single-spaced, double-spaced, etc.) is at the discretion of the proposer; established page limits must be followed and there also must be no more than 6 lines in a vertical space of 2.5 cm. (Individual program announcements may eliminate this proposer option.) The original signed copy of the proposal should be printed only on one side of each sheet. Additional copies may be printed on both sides. Appendix A indicates the required number of copies of proposals, including the original signed copy.
Pages submitted must be of standard size. Metric A4 (210 mm x 297 mm) is preferred, however, 8 1/2" x 11" (216 mm x 279 mm) may be used. Pages must conform to the formatting instructions (in particular, 2.5 cm margins and type size limitations) described above.
D. SECTIONS OF THE PROPOSAL
Proposers may select any numbering mechanism for the proposal (e.g., sections may be separately paginated and include both the section and page number on the bottom center of each page, or the entire proposal may be numbered consecutively). Proposals submitted via FastLane are automatically paginated. The proposal must be assembled in the following sequence:
Codes:
^1 = Use of format required (see endnote 10)
^2 = Use of format optional
^3 = Use instructions provided in GPG for preparation of this section
Section in Proposal
o Cover Sheet for Proposal to the National Science Foundation (NSF Form 1207) (page 1 - all copies; page 2 - original signature copy only - see Section II.B.3)^1
A Project Summary^3
B Table of Contents (NSF Form 1359)^1
C Project Description (including Results from Prior NSF Support)^3
D References Cited^3
E Biographical Sketches^3
F Budget (NSF Form 1030)(cumulative and annual budgets, including subaward budget(s), if any, and up to three pages of Budget Justification)^1
G Current and Pending Support (NSF Form 1239)^2
H Facilities, Equipment and Other Resources (NSF Form 1363)^2
I Special Information and Supplementary Documentation^3
J Appendices (Include only if approved in advance of proposal submission by NSF Assistant Director/Office Head, or designee, or by program announcement)
1. Cover Sheet for Proposal to the National Science Foundation
The required format for the Cover Sheet for Proposal to the National Science Foundation (NSF Form 1207) is shown in the Proposal Forms Kit. One copy of the proposal must be signed by the PI(s) and an official authorized to commit the organization in business and financial affairs. Other copies may include page 1 of the NSF Form 1207 only. Proposers must identify the applicable program announcement number and closing date in the block entitled, "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." Compliance with this requirement is critical to determining the relevant proposal processing guidelines. Failure to submit this information may delay processing. Using Appendix A as a guide, proposers must also enter the NSF Program(s) to which the proposal should be directed in the block entitled, "For Consideration by NSF Organizational Unit."
A block is included for the proposer to enter its organization's Data Universal Numbering System (DUNS) number. The DUNS number is a nine-digit number assigned by Dun and Bradstreet Information Services. If the proposer does not have a DUNS number, it should contact Dun and Bradstreet directly at 800-333- 0505 to obtain one. A DUNS number will be provided immediately by telephone at no charge.
Should the project be performed at a place other than where the award is to be made, that should be identified in the block entitled, "Name of Performing Organization." Examples are as follows:
Grantee Organization Performing Organization
Northern Virginia University Northern Virginia University Health Center
Southern Virginia University Southern Virginia University Research Foundation
The title of the project should be brief, scientifically or technically valid, intelligible to a scientifically or technically literate reader, and suitable for use in the public press. SF may edit the title of a project before making an award.
Some NSF program announcements require submission of both a preproposal and full proposal as part of the proposal process. A new block has been added to identify, in submission of the full proposal, any related preproposal number assigned by NSF.
The proposed duration for which support is requested should be consistent with the nature and complexity of the proposed activity. Grants are normally awarded for up to three years but may be awarded for periods up to five years. The Foundation encourages PIs to request awards for durations of three to five years when such durations are necessary for completion of the proposed work and when such durations are technically and managerially advantageous. Specification of a desired starting date for the project is important and helpful to NSF staff; however, requests for specific effective dates may not be met. Except in special situations, requested effective dates should allow at least six months for NSF review, processing and decision. Should unusual situations (e.g., a long lead time for procurement) create problems regarding the proposed effective date, the PI should consult his/her organization's sponsored projects office.
Should any of the listed items on page 1 apply to a proposal, the appropriate box(es) should be checked.
The following blocks on page 1 are for NSF USE ONLY and should be left blank by the proposer:
NSF Proposal Number;
Date Received;
Number of Copies;
Division Assigned;
Fund Code;
and File Location.
The proposer must sign page 2 of the NSF Form 1207 to submit the following required certifications (see Page 2 of the NSF Form 1207 for important considerations regarding completion of the required certifications):
Certification for Principal Investigators and Co-Principal Investigators: The PI (and co-PIs) are required to complete certifications regarding statements contained in the proposal, authorship and reporting of the research and scientific conduct of the project. The signature(s) of the PI (and co-PIs) (including date of signature(s)) are required.
Certification for Authorized Organizational Representative or Individual Applicant: The Authorized Organizational Representative (AOR) is required to complete certifications regarding the accuracy and completeness of statements contained in the proposal; as well as to certify that the organization (or individual) agrees to accept the obligation to comply with award terms and conditions. The AOR's signature (including date of signature) is required. It is the proposing organization's responsibility to assure that only properly authorized individuals sign in this capacity.
Certification Regarding Conflict of Interest: A certification is also included that requires an organizational representative to certify that the institution has implemented and is enforcing a written policy on conflicts of interests consistent with the provisions of Grant Policy Manual, Section 510; that, to the best of his/her knowledge, all financial disclosures required by the conflict of interest policy were made; and that conflicts of interests, if any, were or, prior to the institution's expenditure of any funds under the award, will be, satisfactorily managed, reduced or eliminated in accordance with the institution's(see endnote 11) conflict of interest policy. Conflicts that cannot be satisfactorily managed, reduced or eliminated must be disclosed to NSF.
Drug-Free Workplace: The AOR (or individual applicant) is providing the Drug-Free Workplace Certification by signing page 2.
Debt/Debarment and Suspension: The AOR is required to complete the Debt and Debarment or Suspension questions by checking the appropriate boxes.
Certification Regarding Lobbying: The certification on Lobbying Restrictions, entitled Certification for Contracts, Grants, Loans and Cooperative Agreements, is included in full text on page 2 of the Cover Sheet. This certification is required when the proposal exceeds $100,000. Only if, pusuant to paragraph 2 of the certification, submission of the "Disclosure of Lobbying Activities," SF LLL, is required, should the box for "Disclosure of Lobbying Activities" be checked on the Cover Sheet. The signed SF LLL, when applicable, should be included behind the single- copy documents identified in Section II.B. A copy of this form may be obtained from the Policy Office at (703) 306-1243 or by e-mail to policy@nsf.gov.
Profit-making organizations must certify their status by completing each of the appropriate submitting organization boxes on the Cover Sheet, using the following guidelines:
a. A small business must be organized for profit, independently owned and operated (not a subsidiary of or controlled by another firm), have no more than 500 employees, and not be dominant in its field. The appropriate box should also be checked when the proposal involves a cooperative effort between an academic institution and a small business.
b. A minority business must be:
(i) at least 51 percent owned by one or more minority or disadvantaged individuals or, in the case of a publicly owned business, have at least 51 percent of the voting stock owned by one or more minority or disadvantaged individuals; and
(ii) one whose management and daily business operations are controlled by one or more such individuals.
c. A woman-owned business must be at least 51 percent owned by a woman or women, who also control and operate it. "Control" in this context means exercising the power to make policy decisions. "Operate" in this context means being actively involved in the day-to-day management.
2. Project Summary -- Proposal Section A
The proposal must contain a summary of the proposed activity suitable for publication, not more than one page in length. It should not be an abstract of the proposal, but rather a self-contained description of the activity that would result if the proposal were funded. The summary should be written in the third person and include a statement of objectives, methods to be employed and the potential impact of the project on advancing knowledge, science and mathematics education, and/or human resource development. It should be informative to other persons working in the same or related fields and, insofar as possible, understandable to a scientifically or technically literate lay reader.
3. Table of Contents -- Proposal Section B
The required format for the proposal Table of Contents (NSF Form 1359) is included in the Proposal Forms Kit. A Table of Contents is automatically generated for proposals submitted via FastLane.
4. Project Description -- Proposal Section C
(Including Results from Prior NSF Support) All proposals to NSF will be reviewed utilizing the merit review criteria described in greater length in Chapter III.
The main body of the proposal should be a clear statement of the work to be undertaken and should include: objectives for the period of the proposed work and expected significance; relation to longer-term goals of the PI's project; and relation to the present state of knowledge in the field, to work in progress by the PI under other support and to work in progress elsewhere.
The statement should outline the general plan of work, including the broad design of activities to be undertaken, an adequate description of experimental methods and procedures and, if appropriate, plans for preservation, documentation, and sharing of data, samples, physical collections and other related research products. The statement should also indicate any broader impacts of the proposed activity, addressing the following: indicate how the project will integrate research and education by advancing discovery and understanding while at the same time promoting teaching, training, and learning; discuss any ways in which the proposed activity will broaden the participation of underrepresented groups; if relevant, discuss how the project will enhance the infrastructure for research and/or education, such as facilities, instrumentation, networks, and partnerships; indicate how the results of the project will be disseminated broadly to enhance scientific and technological understanding; and, identify potential benefits of the proposed activity to society at large.
Any substantial collaboration with individuals not included in the budget should be described and documented with a letter from each collaborator, which should be provided as supplementary documentation and included in Proposal Section I. Brevity will assist reviewers and Foundation staff in dealing effectively with proposals. Therefore, the Project Description (including Results from Prior NSF Support, which is limited to five pages) may not exceed 15 pages. Visual materials, including charts, graphs, maps, photographs and other pictorial presentations are included in the 15-page limitation. Conformance to the 15-page limitation will be strictly enforced and may not be exceeded unless a deviation has been specifically authorized. (Section II.A contains information on deviations.) Group Proposals (see Section II.D.12.b.) may be subject to different page limitations.
A proposal for renewed support, may be either a "traditional" proposal in which the proposed work is documented and described as fully as though the proposer were applying for the first time; or, an "Accomplishment-Based Renewal" (ABR) proposal, in which the project description is replaced by copies of no more than six reprints of publications resulting from the research supported by NSF during the preceding three to five year period, plus a brief summary of plans for the proposed support period. (See Section VI.B.2 for additional information on preparation of Renewal Proposals.)
The Metric Conversion Act of 1975, as amended, and Executive Order 12770 of 1991 encourage Federal agencies to use the Metric System (SI) in procurement, grants and other business-related activities. Proposers are encouraged to use the Metric System of weights and measures in proposals submitted to the Foundation. Grantees are also encouraged to use metric units in reports, publications and correspondence relating to proposals and awards.
Results from Prior NSF Support
If the PI (or any co-PI identified on the proposal) has received NSF funding in the past five years, information on the prior award is required. If the proposer has received more than one prior award (excluding amendments), the proposer should report on the award most closely related to the proposal. The following information should be provided:
a. the NSF award number, amount and period of support;
b. the title of the project;
c. summary of the results of the completed work, including, for a research project, any contribution to the development of human resources in science and engineering;
d. publications resulting from the NSF award;
e. brief description of available data, samples, physical collections and other related research products not described elsewhere; and
f. if the proposal is for renewed support, a description of the relation of the completed work to the proposed work.
Reviewers will be asked to comment on the quality of the prior work described in this section of the proposal. Please note that a PI with prior support may use up to five pages to describe the results. Results may be summarized in fewer than five pages, which would give the proposer the balance of the 15 pages for the Project Description.
Proposals for renewed support of research projects, for academic institutions only, must include information on human resources development at the postdoctoral, graduate and undergraduate levels. This may involve, but is not limited to, the role of research in student training, course preparation and seminars (particularly for undergraduates). Special accomplishments in the development of professional scientists and engineers from underrepresented groups should be described. Graduate students who participated in the research should be identified by name. This requirement does not apply to non-academic organizations.
5. References Cited -- Proposal Section D
Reference information is required. Each reference must include the names of all authors in the same sequence in which they appear in the publication, the article title, book or journal title, volume number, page numbers and year of publication. Proposers should be especially careful to follow accepted scholarly practices in providing citations for source materials relied upon when preparing any section of the proposal.
While there is no established page limitation, this section should include bibliographic citations only and should not be used to provide parenthetical information outside of the 15-page project description.
6. Biographical Sketches -- Proposal Section E
Biographical sketches are limited to two pages each and are required for all senior personnel. (See Appendix C for definition of Senior Personnel.) The following information must be provided:
a. Vitae, listing professional and academic essentials and mailing address;
b. List of up to 5 publications most closely related to the proposed project and 5 other significant publications, including those accepted for publication. Patents, copyrights or software systems developed may be substituted for publications. Additional lists of publications, invited lectures, etc., should not be included. Only the list of 10 will be used in merit review.
c. A list of ALL persons (including their organizational affiliation), in alphabetical order, who have collaborated on a project or a book, article, report or paper within the last 48 months, including collaborators on the proposal and persons listed in the publications. If there are no collaborators, this should be so indicated.
d. A list of persons (including their organizational affiliation), over the last five years with whom the individual has had an association as thesis advisor or postdoctoral scholar sponsor. A summary of the total number of graduate students advised and postdoctoral scholars sponsored should also be included.
e. The names and institutions of the individual's own graduate and postgraduate advisors.
The information in c, d, and e is used to help identify potential conflicts or bias in the selection of reviewers.
For the personnel categories listed below, the proposal also may include information on exceptional qualifications that merit consideration in the evaluation of the proposal.
a. Postdoctoral associates
b. Other professionals
c. Students (research assistants)
For equipment proposals, the following should be provided for each auxiliary user:
a. Short biographical sketch
b. List of up to five publications most closely related to the proposed acquisition.
7. Budget -- Proposal Section F
The required format for the Summary Proposal Budget (NSF Form 1030) is shown in the Proposal Forms Kit. In addition to the material provided below, further instructions for completion of the budget (including areas that require justification) are contained on the back of the NSF Form 1030. Locally produced versions of the form may be used, but changes or substitutions should not be made in prescribed budget categories. Unless a particular program announcement stipulates otherwise, each proposal must contain a budget for each year of support requested and a cumulative budget for the full term of requested NSF support. The proposal may request funds under any of the categories listed so long as the item and amount are considered necessary to perform the proposed work and are not precluded by specific program guidelines or applicable cost principles. In addition to the forms, the proposal may include up to three pages of budget justification for the entire period of support.
a. Salaries and Wages (Lines A and B on NSF Form 1030)
(i) Policies
As a general policy, NSF recognizes that salaries of faculty members and other personnel associated directly with the project constitute appropriate direct costs and may be requested in proportion to the effort devoted to the project.
NSF regards research as one of the normal functions of faculty members at institutions of higher education. Compensation for time normally spent on research within the term of appointment is deemed to be included within the faculty member's regular organizational salary. Grant funds may not be used to augment the total salary or rate of salary of faculty members during the period covered by the term of faculty appointment or to reimburse faculty members for consulting or other time in addition to a regular full- time organizational salary covering the same general period of employment. Exceptions may be considered under certain NSF science and engineering education program announcements for weekend and evening classes or for administrative work done as overload. (See GPM Section 611.)
Summer salary for faculty members on academic-year appointments is limited to no more than two-ninths of their regular academic-year salary. This limit includes summer salary received from all NSF- funded grants.
These same principles apply to other types of organizations, such as research institutes. Since their employment periods are usually annual, salary should be shown under "calendar months." For such persons, "summer salary" is normally inappropriate under an NSF grant.
Sometimes an independent institute or laboratory proposes to employ college or university faculty members on a part-time basis. In such cases, the general intent of the policies above apply, so that an individual's total income will not be augmented in ways that would not be possible under a grant to an academic institution.
In most circumstances, particularly for institutions of higher education, salaries of administrative or clerical staff are included as part of indirect costs (F&A). Salaries of administrative or clerical staff may be requested as direct costs, however, for a project requiring an extensive amount of administrative or clerical support and where these costs can be readily and specifically identified with the project with a high degree of accuracy. The circumstances for requiring direct charging of these services should be clearly described in the budget justification. Such costs, if not clearly justified, may be deleted by NSF.
(ii) Procedures
The names of the PI(s), faculty, and other senior personnel and the estimated number of full-time-equivalent academic-year, summer, or calendar-year person-months for which NSF funding is requested should be listed. For postdoctoral associates and other professionals, each position must be listed, with the number of full- time-equivalent person-months and rate of pay (hourly, monthly or annual). For graduate and undergraduate students, secretarial, clerical, technical, etc., whose time will be charged directly to the project, only the total number of persons and total amount of salaries per year in each category is required. Salaries requested must be consistent with the organization's regular practices.
The budget may request funds for support of graduate or undergraduate research assistants to help carry out the proposed research. Compensation classified as salary payments should be requested in the salaries and wages category. Any direct costs requested for tuition remission should be listed under "Other Direct Costs".
(iii) Confidential Budgetary Information
The proposing organization may request that salary data on senior personnel not be released to persons outside the Government during the review process. In this case, the item for senior personnel salaries in the proposal may appear as a single figure and the person-months represented by that amount omitted. If this option is exercised, however, senior personnel salaries and person- months must be itemized in a separate statement, a single copy of which should accompany the proposal. This statement must include all of the information requested on the NSF Form 1030 for each person involved. NSF will not forward the detailed information to reviewers and will hold it privileged to the extent permitted by law. The information on senior personnel salaries will be used as the basis for determining the salary amounts shown in the grant budget. The box for "Proprietary and Privileged Information" should be checked on the NSF Form 1207 when the proposal contains confidential budgetary information. This feature also may be accomplished for proposals submitted electronically via FastLane. (see endnote 12)
b. Fringe Benefits (Line C on NSF Form 1030)
If the grantee's usual accounting practices provide that its contributions to employee benefits (social security, retirement, etc.) be treated as direct costs, NSF grant funds may be requested to defray such expenses as a direct cost, but only in proportion to salaries and wages requested in the budget.
c. Equipment (Line D on NSF Form 1030)
Equipment is defined as an item of property that has an acquisition cost of $5,000 or more (unless the organization has established lower levels) and an expected service life of more than one year. Items of needed equipment should be listed individually by description and estimated cost, including tax, and adequately justified. Allowable items will ordinarily be limited to research equipment and apparatus not already available for the conduct of the work. General purpose equipment, such as a personal computer, is not eligible for support unless primarily or exclusively used in the actual conduct of scientific research. (See Section II.D.7.f.(iv).)
d. Travel (Line E on NSF Form 1030)
(i) General
Travel and its relation to the proposed activities should be specified.
Funds may be requested for field work, attendance at meetings and conferences, and other travel associated with the proposed work, including subsistence. In order to qualify for support, however, attendance at meetings or conferences must enhance the PI's ability to perform the work, plan extensions of it, or disseminate its results.
Allowance for air travel normally will not exceed the cost of round- trip, economy air fares. (See also GPM Section 614.) Persons traveling under NSF grants must travel by US-flag carriers, if available.
(ii) Domestic Travel
For budget purposes, domestic travel includes travel in the US, its possessions, Puerto Rico, and travel to Canada and Mexico.
(iii) Foreign Travel
For budget purposes, travel outside the areas specified above is considered foreign. The proposal should include relevant information, including countries to be visited (also enter names of countries on the NSF Form 1030) dates of visit, if known, and justification for any foreign travel planned in connection with the project. Travel support for dependents of key project personnel may be requested only when all of the following conditions apply:
a. the individual is a key person who is essential to the research on a full-time basis;
b. the individual's residence away from home and in a foreign country is for a continuous period of six months or more and is essential to the effective performance of the project; and
c. the dependent's travel allowance is consistent with the policies of the organization administering the grant.
e. Participant Support (Line F on NSF Form 1030)
This budget category refers to costs of transportation, per diem, stipends and other related costs for participants or trainees (but not employees) in connection with NSF-sponsored conferences, meetings, symposia, training activities and workshops. (See Section V.B.) Generally, indirect costs (F&A) are not allowed on participant support costs. The number of participants to be supported should be entered in the parentheses on the NSF Form 1030. These costs should also be justified in the budget justification section of the proposal.
f. Other Direct Costs (Lines G1 through 6 on NSF Form 1030)
Any costs charged to an NSF grant must be reasonable and directly allocable to the supported activity. The budget should identify and itemize other anticipated direct costs not included under the headings above, including materials and supplies, publication costs, computer services and consultant services. Examples include aircraft rental, space rental at research establishments away from the grantee organization, minor building alterations, payments to human subjects, service charges, tuition remission, and construction of equipment or systems not available off the shelf. Reference books and periodicals may be charged to the grant only if they specifically relate to the project.
(i) Materials and Supplies (Line G1 on NSF Form 1030)
The budget should indicate the general types of expendable materials and supplies required, with their estimated costs. The breakdown should be more detailed when the cost is substantial.
(ii) Publication/Documentation/Dissemination (Line G2 on NSF Form 1030)
The budget may request funds for the costs of documenting, preparing, publishing or otherwise making available to others the findings and products of the work conducted under the grant. This generally includes the following types of activities: reports, reprints, page charges or other journal costs (except costs for prior or early publication); necessary illustrations; cleanup, documentation, storage and indexing of data and data bases; development, documentation and debugging of software; and storage, preservation, documentation, indexing, etc., of physical specimens, collections or fabricated items.
(iii) Consultant Services (Line G3 on NSF Form 1030)
Anticipated consultant services should be justified and information furnished on each individual's expertise, primary organizational affiliation, normal daily compensation rate, and number of days of expected service. Consultants' travel costs, including subsistence, may also be included. Payment for a consultant's services, exclusive of expenses, may not exceed the consultant's normal rate or the daily maximum rate established annually by NSF, whichever is less. (see endnote 13)
(iv) Computer Services (Line G4 on NSF Form 1030)
The cost of computer services, including computer-based retrieval of scientific, technical and educational information, may be requested. A justification based on the established computer service rates at the proposing organization should be included. (See also Partnerships for Advanced Computational Infrastructure in Section V.J.) The budget also may request costs, which must be shown to be reasonable, for leasing of automated data processing equipment. Special purpose computers or associated hardware and software, other than general purpose PCs, should be requested as items of equipment and justified in terms of their necessity for the activity proposed.
(v) Subawards (see endnote 14) (Line G5 on NSF Form 1030)
Except for the procurement of such items as commercially available supplies, materials, equipment or general support services allowable under the grant, no significant part of the research or substantive effort under an NSF grant may be contracted or otherwise transferred to another organization without prior NSF authorization. The intent to enter into such arrangements should be disclosed in the proposal. At a minimum, the disclosure shall include a clear description of the work to be performed, the basis for selection of the subawardee (except for collaborative/joint arrangements), and a separate budget in the prescribed NSF format for each subaward, signed by an authorized representative of the organization receiving the subaward. Collaborative/joint arrangements may include closely related and coordinated activities at another organization; a joint activity by several organizations or a consortium; group proposals from multiple organizations, etc. The total amount for proposed subawards, not included elsewhere, should be entered on Line G5 in the Summary Proposal Budget for the project. For proposals submitted via FastLane, budgets signed by the authorized organizational representative of the subawardee organization must be forwarded to the proposing organization and accompany the signed Proposal Cover Sheet (NSF Form 1207).
g. Total Direct Costs (Line H on NSF Form 1030)
The total amount of direct costs requested by the proposer, to include Lines A through G, should be entered on Line H.
h. Indirect Costs (also known as Facilities and Administrative Costs (F&A) for Colleges and Universities) (Line I on NSF Form 1030)
The applicable indirect cost rate(s) negotiated by the organization with the cognizant Federal negotiating agency must be used in computing indirect costs (F&A) for a proposal. If an organization has no established indirect cost rate, it should contact the Cost Analysis/Audit Resolution Branch of NSF's Division of Contracts, Policy and Oversight. An organization may obtain guidelines for submitting rate proposals from that Branch, telephone (703) 306- 1244. These guidelines also are available electronically at the following Web site: "http://www.nsf.gov/bfa/cpo/oversite/indirect.htm".
Within Government guidelines, unless otherwise indicated in a specific program announcement, it is NSF policy that grantees are entitled to reimbursement from grant funds for indirect costs (F&A) allocable to the NSF share of allowable direct costs of a project, except grants:
o solely for the support of travel, equipment, construction of facilities, or doctoral dissertations;
o for participant support costs;
o to foreign grantees; and
o to individuals (i.e., Fellowship awards).
i. Total Direct and Indirect Costs (F&A) (Line J on NSF Form 1030)
The total amount of direct and indirect costs (F&A) (sum of Lines H and I) should be entered on Line J.
j. Residual Funds (Line K on NSF Form 1030)
This line is used only for budgets for incremental funding requests on continuing grants. Grantees should provide a rationale for residual funds in excess of 20% as part of the annual project report.
k. Amount of This Request (Line L on NSF Form 1030)
The total amount of funds requested by the proposer will be the same as the amount entered on Line J unless the Foundation disapproves the carry-over of residual funds. If disapproved, Line L will be equal to Line J minus Line K.
l. Cost Sharing (Line M on NSF Form 1030)
In accordance with Congressional requirements (see GPM 330), NSF requires that each grantee share in the cost of research projects resulting from unsolicited proposals. The grantee may meet the statutory cost sharing requirement by choosing either of two alternatives:
1. by cost sharing a minimum of one percent on the project; or
2. by cost sharing a minimum of one percent on the aggregate costs of all NSF-supported projects requiring cost sharing.
The statutory cost sharing referenced above is not required for grants that provide funds solely for the following purposes (not considered to be support of "research"), although such awards may be subject to other cost sharing requirements identified in a specific announcement:
1. international travel;
2. construction, improvement or operation of facilities;
3. acquisition of research equipment;
4. ship operations;
5. education and training;
6. publication, distribution and translation of scientific data and information;
7. symposia, conferences and workshops; and
8. special studies authorized or required by Subsections 3a(5) through 3a(7) of the NSF Act, as amended.
The minimum one percent statutory cost sharing requirement discussed above need NOT be entered on Line M of the NSF Form 1030. Proposers, however, should include on Line M any significant cost sharing that exceeds the statutorily required (1%) amount, especially if it is the proposer's intent that it be taken into consideration in the merit review of the proposal. Since such volunteered cost sharing may be a consideration in NSF's decision to fund the proposal, such voluntary cost sharing will become a condition of the award.
The estimated value of any in-kind contributions should be included on Line M. An explanation of the source, nature, amount and availability of any proposed
cost sharing should also be provided in the budget justification.
(see endnote
15)
It should be noted that contributions counted as cost sharing toward projects
of another Federal agency may not be counted towards meeting the specific cost
sharing requirements of the NSF grant.
All cost sharing amounts are subject to
audit.
Failure to provide the level of cost sharing reflected in the approved
grant budget may result in termination of the NSF grant, disallowance of grant
costs and/or refund of grant funds to NSF.
Proposers should be familiar with the complete list of unallowable costs that is
contained in the applicable cost principles. Because of their sensitivity, the
following categories of unallowable costs are highlighted:
(i) Entertainment
Costs of entertainment, amusement, diversion and social activities and any costs
directly associated with such activities (such as tickets to shows or sports
events, meals, lodging, rentals, transportation and gratuities) are unallowable.
Expenses of grantee employees who are not on travel status are unallowable.
This includes cases where they serve as hosts or otherwise participate at meals
that are primarily social occasions involving speakers or consultants. Costs of
employees on travel status are limited to those allowed under the governing cost
principles for travel expenses. (See GPM Section 614.)
(ii) Meals and Coffee Breaks
No NSF funds may be spent on meals or coffee breaks for intramural meetings of
an organization or any of its components, including, but not limited to,
laboratories, departments and centers.
(iii) Alcoholic Beverages
No NSF funds may be spent on alcoholic beverages.
8. Current and Pending Support -- Proposal Section G
A model format to provide Current and Pending Support information (NSF Form 1239) is shown in the Proposal Forms Kit. Use of this format is optional; however, the categories of information included on the NSF Form 1239 must be provided. This section of the proposal calls for required information on all current and pending support for ongoing projects and proposals, including subsequent funding in the case of continuing grants. All current project support from whatever source (e.g., Federal, State or local government agencies, private foundations, industrial or other commercial organizations) must be listed. The proposed project and all other projects or activities requiring a portion of time of the PI and other senior personnel should be included, even if they receive no salary support from the project(s). The total award amount for the entire award period covered (including indirect costs) should be shown as well as the number of person-months per year to be devoted to the project, regardless of source of support. Similar information must be provided for all proposals already submitted or submitted concurrently to other possible sponsors, including NSF.
If the project now being submitted has been funded previously by a source other than NSF, the information requested in the paragraph above should be furnished for the last period of funding.
If the proposal is also being submitted to other possible sponsors, all of them must be listed. Concurrent submission of a proposal to other organizations will not prejudice its review by NSF. Note the Biological Sciences Directorate exception to this policy identified on page 1.
9. Facilities, Equipment and Other Resources -- Proposal Section H
A model format to provide Facilities, Equipment and Other Resources information (NSF Form 1363), is included in the Proposal Forms Kit. Use of this format is optional. This section of the proposal is used to assess the adequacy of the organizational resources available to perform the effort proposed. Proposers should describe only those resources that are directly applicable.
10. Special Information and Supplementary Documentation -- Proposal Section I
Except as specified below, special information and supplementary documentation should be part of the 15-page Project Description (or part of the budget justification) if it is relevant to determining the quality of the proposed work. Information in the following areas should be included in Section I and not counted as part of the 15-page Project Description limitation. This Special Information and Supplementary Documentation Section is not considered an appendix. Specific guidance on the need for additional documentation may be obtained from the organization's sponsored projects office or in the references cited below.
o Rationale for performance of all or part of the project off-campus or away from organizational headquarters. (GPM Section 633)
o Documentation of collaborative arrangements of significance to the proposal through letters of commitment. (GPG II.D.4)
o Environmental impact statement for activities that have an actual or potential impact on the environment. (GPM Section 830) Where applicable, the box for "National Environmental Policy Act" should be checked on the NSF Form 1207.
o Work in foreign countries. Some governments require nonresidents to obtain official approval to carry out investigations within their borders and coastal waters under their jurisdiction. PIs are responsible for obtaining the required authorizations and for advising NSF that they have been obtained or requested. Advance coordination should minimize disruption of the research. (GPM Section 763)
o Research in the Antarctic and Greenland. (Contact the NSF Office of Polar Programs (OPP) for additional information; see Appendix A for phone numbers.)
o Research in a location designated, or eligible to be designated, a registered historic place. (GPM Section 840) Where applicable, the box for "Historic Places" should be checked on the NSF Form 1207.
o Research involving field experiments with genetically engineered organisms. (GPM Section 712)
o Research involving the use of human subjects, hazardous materials, vertebrate animals, or endangered species. (GPM Section 710, GPG II.D.12.d and e)
o Projects that involve technology utilization/transfer activities, that require a management plan, or that involve special reports or final products.
o Projects containing a special component, such as Facilitation Awards for Scientists and Engineers with Disabilities or Research Opportunity Awards. (GPG V.G. and H.)
o Research in Undergraduate Institutions. (See program announcement for information.)
In addition, Section I should alert NSF officials to unusual circumstances that require special handling, including, for example, proprietary or other privileged information in the proposal, matters affecting individual privacy, required intergovernmental review under E.O. 12372 (Intergovernmental Review of Federal Programs) for activities that directly affect State or local governments, or possible national security implications.
For proposals submitted via FastLane, special information or supplementary documentation should be included at the end of the Project Description Portable Document Format (PDF) file. (see endnote 16)
11. Appendices -- Proposal Section J
All information necessary for the review of a proposal should be contained in Sections A through I of the proposal. Appendices may not be included unless a deviation has been authorized. Section II.A. contains information on deviations.
12. Special Guidelines
a. Small Grants for Exploratory Research (SGER)
Proposals (only one copy required) for small-scale, exploratory, high-risk research in the fields of science, engineering and education normally supported by NSF may be submitted to individual programs. Such research is characterized as:
o preliminary work on untested and novel ideas;
o ventures into emerging research ideas;
o application of new expertise or new approaches to "established" research topics;
o having a severe urgency with regard to availability of, or access to data, facilities or specialized equipment, including quick-response research on natural disasters and similar unanticipated events; or
o efforts of similar character likely to catalyze rapid and innovative advances.
Investigators are strongly encouraged to contact the NSF program(s) most germane to the proposal topic before submitting an SGER proposal. This will facilitate determining whether the proposed work meets the guidelines described above and availability and appropriateness for SGER funding, or whether the work is more appropriate for submission as a fully reviewed proposal. (See Appendix A for programs.) SGER proposals may be submitted electronically via FastLane.
The project description should be brief (two to five pages) and include clear statements as to why the proposed research should be considered particularly exploratory and high risk, the nature and significance of its potential impact on the field and why an SGER grant would be a suitable means of supporting the work.
Brief biographical information is required for the PI and co-PI(s) only, and should list no more than five significant publications or other research products. The box for "Small Grant for Exploratory Research" should be checked on the Cover Sheet, NSF Form 1207.
These proposals will be subject to internal NSF merit review only. Renewed funding of SGER awards may be requested only through submission of a non-SGER proposal, which will be subject to full merit review.
Under a three-year experiment, effective until October 1, 2000, the maximum SGER award amount will not exceed $100,000. Although the maximum award amount is $100,000, the award amount usually will be substantially less than a given program's average award amount. The project's duration will normally be one year, but may be up to two years.
For participating directorates and at the discretion of the Program Officer, with the concurrence of the Division Director, a small fraction of especially promising SGER awards may be extended for a period of six additional months and supplemented with up to $50,000 in additional funding.(see endnote 17) The SGER award extensions will be possible for awards of two-year initial duration as well as for those of shorter initial duration. Requests for extensions should be submitted one to two months before the expiration date of the initial award. A project report and outline of proposed research, not to exceed five pages, should be included.
b. Group and Collaborative Proposals
A group proposal is a proposal that is submitted by three or more investigators and combines into one administrative mechanism several projects that ordinarily would be funded separately. A single individual bears primary responsibility for the administration of the grant and discussions with NSF, although several investigators may be designated as co-PIs. These grants support groups of scientists or engineers who themselves judge that the effectiveness of their work would be enhanced by group funding.
In submission of a group proposal, the organization has determined that the proposed activity is administratively manageable. NSF may request a revised proposal, however, if it considers that the project is so complex that it will be too difficult to review or administer. The box for "Group Proposal" should be checked on the NSF Form 1207. In addition, group proposals should be indicated as such in a cover letter accompanying the proposal and in the project description.
Where multiple organizations are involved in collaborative or joint arrangements, the proposal may be submitted by only one of them. It should clearly describe both the role to be played by the other organizations, specify the managerial arrangements, and explain the advantages of the multi-organizational effort.
PIs wishing to submit group proposals that might exceed the 15-page limitation on the project description should discuss that possibility with the cognizant Program Officer prior to submission. In general, group proposals that contain up to ten pages of overall project description (including overall progress under the appropriate prior award) plus up to five pages per person of individual project descriptions (including description of progress under prior awards) will be acceptable.
In some instances, however, simultaneous submission of related proposals from each organization might be appropriate, in which case parallel awards would be made. In such cases, the project title should begin with the words "Collaborative Research:". For purposes of NSF review and processing, a complete package should be submitted, including the cover sheets for all organizations, biographical sketches for all PIs, statements of current and pending support, and budgets and budget justifications for each organization. One institution must take the lead, submitting the original from that institution plus the required number of copies for use in the review process. The other institution(s) need only submit their original copy to NSF. For proposals submitted via FastLane, the non-lead organization(s) should inform the lead organization of their NSF proposal numbers that are generated by their FastLane submission(s). The lead proposer should then include a list of these collaborative proposal numbers with its signed Cover Sheet (NSF Form 1207).
c. Equipment Proposals
Proposals for specialized equipment may be submitted by an organization for:
(1) individual investigators;
(2) groups of investigators within the same department; (3) several departments;
(4) organization(s) participating in a collaborative or joint arrangement;
(5) any components of an organization; or
(6) a region.
One individual should be designated as PI. Investigators may be working in closely related areas or their research may be multidisciplinary.
Note: Many organizations within NSF have formal instrumentation programs which may include special guidelines such as cost sharing or other requirements. It is important to use the applicable guidelines in these competitions. The appropriate program should be consulted.
Instrumentation and equipment proposals should follow the format of research proposals. Each potential major user should describe the project(s) for which the equipment will be used. These descriptions should be succinct, not necessarily as detailed as in an individual research proposal, and should emphasize the intrinsic merit of the activity and the importance of the equipment to it. A brief summary will suffice for auxiliary users. Equipment to be purchased, modified or constructed should be described in sufficient detail to allow comparison of its capabilities with the needs of the proposed activities.
Equipment proposals should also describe comparable equipment already at the proposing organization(s) and explain why it cannot be used. This includes comparable government-owned equipment that is on-site. Equipment proposals should discuss arrangements for acquisition, maintenance and operation, including:
o overall acquisition plan;
o biographical sketch of the person(s) who will have overall responsibility for maintenance and operation and a brief statement of qualifications, if not obvious;
o description of the physical facility, including floor plans or other appropriate information, where the equipment will be located;
o statement of why the equipment is severable or non-severable from the physical facility;
o annual budget for operation and maintenance of the proposed equipment, indicating source of funds, and particularly related equipment; and
o brief description of other support services available and the annual budget for their operation, maintenance and administration.
The terms of a grant require that special-purpose equipment purchased or leased with grant funds be subject to reasonable inventory controls, maintenance procedures and organizational policies that enhance its multiple or shared use on other projects, if such use does not interfere with the work for which the equipment was acquired. If the government retains title, those items must be included in the annual inventory submitted to the NSF Property Administrator. Equipment proposals should include the information described above within the 15-page project description.
These proposals normally compete with proposals for research or education projects. For additional information on other NSF opportunities in this area, see Section V.A. on the Major Research Instrumentation Program (MRI).
d. Proposals Involving Vertebrate Animals
For proposals involving the use of vertebrate animals, sufficient information should be provided within the 15-page project description to allow for evaluation of the choice of species, number of animals to be used, and any necessary exposure of animals to discomfort, pain or injury. All projects involving vertebrate animals must have approval from the organization's Institutional Animal Care and Use Committee (IACUC) before issuance of an NSF award. The box for "Vertebrate Animals" should be checked on the NSF Form 1207 with the IACUC approval date (if available) identified in the space provided.
e. Proposals Involving Human Subjects
Projects involving research with human subjects must ensure that subjects are protected from research risks in conformance with the Common Rule (Federal Policy for the Protection of Human Subjects, 45 CFR ¤690). All projects involving human subjects must either: (1) have approval from the organization's Institutional Review Board (IRB) before issuance of an NSF award; or (2) identify the applicable subsection exempting the proposal from IRB review, as established in section 101(b) of the Common Rule. The box for "Human Subjects" should be checked on the NSF Form 1207 with the IRB approval date (if available) or exemption subsection from the Common Rule identified in the space provided.
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End notes: ----------
10. See Proposal Forms Kit for NSF's Forms Acceptance Policy.
11. For consistency with the DHHS conflict of interest policy, in lieu of "organization," NSF is using the term "institution" which includes all categories of proposers.
12. See FastLane proposal preparation instructions at:
https://www.fastlane.nsf.gov/a1/newstan.htm
for further instructions.
13. The current maximum consultant daily rate is available at: "http://www.nsf.gov/bfa/cpo/policy/ques.htm".
14. The term "subaward" also includes contracts, subcontracts and other arrangements.
15. Section .23 of OMB Circular A-110 prescribes criteria and procedures for the allowability of cash and in-kind contributions in satisfying cost sharing and matching requirements.
16. See the FastLane Web site at:
https://www.fastlane.nsf.gov/a1/newstan.htm
for further instructions.
17. The Biological Sciences and Education and Human Resources Directorates will not participate in the extension or supplementation of SGER awards.
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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 TR