CHAPTER II

CHAPTER II

INSTRUCTIONS FOR PROPOSAL PREPARATION

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

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 limit on the Project Description and other proposal sections, the use of Appendices and required format for 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/Solicitation; or

2. by the written approval of the cognizant NSF Assistant Director (AD) 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/solicitation number in the appropriate block on the NSF Form 1207; or (b) by identifying the date of the deviation authorization in the program announcement/solicitation 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.

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.

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 NSF Program Officer handling the proposal considers the suggestions and may contact the proposer for further information.

2. Information About Principal Investigators/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, 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. The forms and the information they contain are accessible by NSF personnel only.

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.)

4. Deviation Authorization (If Applicable)

See paragraph A. above.

C. FORMAT OF THE PROPOSAL

Proposals must be stapled in the upper left-hand corner, but otherwise unbound, 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. Line spacing (single-spaced, double- spaced, etc.) is at the discretion of the proposer; however, established page limits must be followed. (Individual program announcements/solicitations may eliminate this proposer option.) The original signed copy should be printed only on one side of each sheet, except for the NSF Form 1207 (which is a double-sided form). Additional copies of the proposal 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). The proposal must be assembled in the following sequence:

Section in

Proposal

Codes:

1 = Use of format required

2 = Use of model format optional

· Cover Sheet for Proposal to the National Science Foundation (NSF Form 1207)K (page 1 - all copies; page 2 - original signature copy only - see Section II.B.3)1

A Project Summary (NSF Form 1358)1

B Table of Contents (NSF Form 1359)1

C Project Description (including Results from Prior NSF Support) (NSF Form 1360)2

D References Cited (NSF Form 1361)2

E Biographical Sketch (NSF Form 1362)1

F Budget (NSF Form 1030)(cumulative and annual budgets, including subawards budgets, if any, and up to three pages of Budget Justification/Explanation)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

J Appendices (Include only if approved in advance of proposal submission by NSF AD, or designee, or program announcement/solicitation)

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

The required format for the NSF Form 1207 is shown in Chapter IX, Proposal Forms Kit. Using Appendix A as a guide, proposers should enter the NSF Program(s) to which the proposal should be directed in the block entitled, "For Consideration by NSF Organizational Unit." Proposers must identify the applicable program announcement/solicitation number and closing date in the block, "Program Announcement/Solicitation No./Closing Date." If the proposal is not submitted in response to a specific program announcement/solicitation, proposers must enter "Grant Proposal Guide, NSF 95-27". Compliance with this requirement is critical to determining the relevant proposal processing guidelines. Failure to submit this information may delay processing.

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. NSF may edit the title of a project before making an award.

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(s) should consult his/her sponsored program office.

Should any of the listed items apply to a proposal, the appropriate box(es) should be checked.

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.

The proposer must use page 2 of the NSF Form 1207 to submit the following required certifications:

Certification for Principal Investigators and Co-Principal Investigators: The PIs 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.

Drug-Free Workplace: The proposer is providing the Drug-Free Workplace Certification by signing page 2.

Certification for Authorized Organizational Representative or Individual Applicant: The Authorized Organizational Representative or individual proposer is required to certify that the statements contained in the proposal are true and complete to the best of his/her knowledge, and that the Organization (or Individual) agrees to accept the obligation to comply with award terms and conditions.

A new certification has been added that requires an institutional representative to certify that the institution has implemented and is enforcing a written policy on conflicts of interest 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 conflict of interest policy or disclosed to NSF. This certification is required for all proposals submitted on or after October 1, 1995.

Debt/Debarment and Suspension: Proposers are 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, pursuant 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 by phoning (703) 306-1243 or by e-mail at: 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 required Project Summary, NSF Form 1358, is included in Chapter IX, Proposal Forms Kit. 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 significance of the proposed activity to the advancement of knowledge. 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 Table of Contents, NSF Form 1359, is included in Chapter IX, Proposal Forms Kit.

4. Project Description -- Proposal Section C (Including Results from Prior NSF Support)

The Project Description, NSF Form 1360, is included in Chapter IX, Proposal Forms Kit. This specific format is not required.

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.

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. 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 limit. Conformance to the 15-page limit will be strictly enforced and may not be exceeded unless the deviation has been specifically authorized. Section II. A. contains information on deviations. Group Proposals (see Section II.D.12) are subject to different page limits.

In preparation of proposals for renewed support, proposers may submit under the "traditional" approach 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.)

Results from Prior NSF Support

If the PI(s) 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 (amendments to an award are not considered separate awards), the proposer should provide the information requested for 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 commercial or other non-profit organizations.

5. References Cited -- Proposal Section D

The References Cited, NSF Form 1361, is shown in Chapter IX, Proposal Forms Kit. Use of this specific form is optional, but reference information is required. Citations must be complete (including full name of authors, title and location in the literature). There is no page limit for this section of the proposal.

6. Biographical Sketches -- Proposal Section E

The required Biographical Sketch, NSF Form 1362, is shown in Chapter IX, Proposal Forms Kit. Biographical sketches are limited to two pages and are required for all senior personnel. (See Appendix C for definition of Senior Personnel.) The instructions provided on the form must be followed.

For the personnel categories listed below, the proposal may also 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

proposed acquisition.

7. Budget -- Proposal Section F

The required Summary Proposal Budget, NSF Form 1030, is shown in Chapter IX, Proposal Forms Kit. Unless a particular program announcement/solicitation 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. Locally produced versions of the form may be used, but changes or substitutions should not be made in prescribed budget categories. 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 should include up to three pages of budget justification/explanation.

a. Salaries and Wages (Lines A and B on the 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/solicitations 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. However, salaries of administrative or clerical staff may be requested as direct costs 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/explanation.

(ii) Procedures

The names of the PI(s), faculty, and other senior personnel and the estimated number of 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 normally be listed under "Other Direct Costs" except for organizations that have negotiated treatment of these costs as "Fringe Benefits" with their cognizant Federal negotiating agency.

(iii) Confidential 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, two copies 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.

Proposals may also contain patentable information or data, trade secrets, privileged or confidential commercial or financial information, disclosure of which may harm the proposer. 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 NSF Form 1207 when the proposal contains such information. (See also Section VII.J. "Release of Grantee Proposal Information.")

b. Fringe Benefits (Line C on the 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 the 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 the NSF Form 1030)

(i) General

Allowance for air travel normally will not exceed the cost of round-trip, economy air accommodations. (See also GPM Section 614)

(ii) Domestic Travel

For budget purposes, domestic travel includes travel in the U.S., its possessions, Puerto Rico, and travel to Canada and Mexico. Travel and its relation to the proposed activities should be specified. Funds may be requested for field work, attendance at meetings and conferences, other travel associated with the proposed work and 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. Consultants' travel costs may also be requested.

(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. Persons traveling under NSF grants must travel by U.S.-flag carriers, if available.

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 the 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 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/explanation section of the proposal.

f. Other Direct Costs (Lines G1 through 6 on the 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. Other examples are: aircraft rental; space rental at research establishments away from the grantee organization; minor building alterations; payments to human subjects; service charges; 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 the NSF Form 1030)

The budget should indicate in general terms the type 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 the 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 the 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 and per diem allowances (or meals provided in lieu of per diem) should be listed separately under travel in the budget. 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.

(iv) Computer Services (Line G4 on the NSF Form 1030)

The cost of computer services, including computer-based retrieval of scientific, technical and educational information, may be requested. A justification/explanation based on the established computer service rates at the proposing organization should be included. (See also Supercomputer Facilities Support and Access 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 (Line G5 on the NSF Form 1030)

Excluding the procurement of items such 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 submission. 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. Collaborative/joint arrangements may include closely related and coordinated activities at another organization; a joint activity by several organizations or a consortia; 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.

g. Total Direct Costs (Line H on the 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 (Line I on the NSF Form 1030)

The appropriate, applicable indirect cost rate(s) negotiated by the organization with the cognizant Federal negotiating agency must be used in computing indirect costs 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.

Within Government guidelines, unless otherwise indicated in a specific program announcement/solicitation, it is NSF policy that grantees are entitled to reimbursement from grant funds for indirect costs allocable to the NSF share of allowable direct costs of a project, except grants:

· solely for the support of travel, equipment, construction of facilities or doctoral dissertations;

· for participant support costs; · to foreign grantees; and

· to individuals (i.e., Fellowship awards.)

i. Total Direct and Indirect Costs (Line J on the NSF Form 1030)

The total amount of direct and indirect costs (addition of Lines H and I) should be entered on Line J.

j. Residual Funds (Line K on the 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 progress report. (See NSF Form 1328.)

k. Amount of This Request (Line L on the 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 the 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/solicitation:

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.

If the program announcement/solicitation requires specific cost-sharing or if the proposer promises to cost-share in an amount in excess of the one-percent minimum indicated above, the total amount must be entered on Line M of the NSF Form 1030. The estimated value of any in-kind contributions should be included and an explanation of the source, nature, amount and availability of any proposed cost-sharing should also be provided. 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.

Line M of the NSF approved grant budget will reflect any required specific cost-sharing for the NSF grant if above the minimum one-percent. All cost-sharing amounts are subject to audit. A failure to provide such cost-sharing may result in grant costs being questioned and required to be refunded to NSF and may constitute a violation of the terms of the grant so serious as to provide grounds for debarment or suspension.

m. Unallowable Costs

Proposers should be familiar with the complete list of unallowable costs which 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

Current and Pending Support, NSF Form 1239, is shown in Chapter IX, Proposal Forms Kit. The NSF Form 1239 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 number of person-months per year to be devoted to the projects must be stated, 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

Facilities, Equipment and Other Resources, NSF Form 1363, is included in Chapter IX, Proposal Forms Kit. Use of this format is not required. Information on NSF Form 1363 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/explanation) where 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 limit. 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 research administration office or in the references cited below.

·Rationale for performance of all or part of the project off-campus or away from organizational headquarters. (GPM Section 633),

· Documentation of collaborative arrangements of significance to the proposal through letters of commitment. (GPG II.D.4)

· 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.

· 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. Investigators 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)

· Research in the Antarctic and Greenland. (Contact the NSF Office of Polar Programs (OPP) for additional information, see Appendix A for phone numbers.)

· Research in a location designated, or eligible to be designated, a registered historical place. (GPM Section 840) Where applicable, the box for "Historical Places" should be checked on the NSF Form 1207.

· Research involving field experiments with genetically engineered organisms. (GPM Section 712)

· Research involving the use of human subjects, hazardous materials, vertebrate animals, or endangered species. ( GPM Section 710, GPG II.D.12.e and f)

· Projects that involve technology utilization/transfer activities, that require a management plan, or that involve special reports or final products.

· Projects containing a special component, such as Facilitation Awards for Scientists and Engineers with Disabilities or Research Opportunity Awards. (GPG V.G. and H.)

· Research in Undergraduate Institutions. (See program announcement/solicitation 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.

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 (one copy only) 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:

· preliminary work on untested and novel ideas;

· ventures into emerging research areas;

· application of new expertise and new approaches to " established" research topics;

· research 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

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 include no more than five significant publications or other research products.

These proposals will not be subject to external merit review and the award amount will be substantially less than a given program's average award amount. In any event, the amount will not exceed $50,000. The project's duration will normally be one year, but may be up to two years. Renewed funding may be requested only through submission of a non-SGER proposal, which will be subject to full merit review. The box for "Small Grant for Exploratory Research" should be checked on the NSF Form 1207.

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 SGER funding is likely to be available or whether the work is more appropriate for submission as a fully reviewed proposal. (See Appendix A for programs.)

b. Group 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-PI(s). 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. However, NSF may request a revised proposal 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. In some instances, simultaneous submission of related proposals from each organization might be appropriate, in which case parallel awards would be made.

PIs wishing to submit group proposals that might exceed the 15-page limit on the project description should discuss that possibility with the appropriate 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.

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 with special guidelines. It is important to use the applicable guidelines in these competitions. Consult with the appropriate program.

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:

· overall acquisition plan;

· biographical sketch of the person(s) who will have overall responsibility for maintenance and operation and a brief statement of qualifications, if not obvious;

· description of the physical facility, including floor plans or other appropriate information, where the equipment will be located;

· statement of why the equipment is severable or non-severable from the physical facility;

· annual budget for operation and maintenance of the proposed equipment, indicating source of funds; and