Title : NSF 94-2 Grant Proposal Guide Type : General Publication NSF Org: OD / LPA Date : February 20, 1994 File : nsf942 I. INTRODUCTION TO PREPARATION OF PROPOSALS The Foundation considers proposals submitted by individuals or groups for support in most fields of science and engineering (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. Bioscience 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. However, research in bioengineering, with diagnosis or treatment-related goals, 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 (not proposals for conferences or workshops) to the Biological Sciences Directorate 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; and (2) proposals from beginning investigators (individuals who have not been a principal investigator 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, processing will be assisted by checking the box for "Beginning Investigator" 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, which are at the heart of the research community, the communication of research results, and the competitive merit-review system on the basis of which NSF makes awards. The responsibility for proper attribution and citation rests with authors of a research proposal, all parts of which should be prepared with equal care for this concern. Failure to adhere to such standards can result in disqualification of the proposal. NSF Regulations on Misconduct are contained in the Grant Policy Manual, Section 666, which is available from the Government Printing Office at (202) 783-3238 or by writing to Superintendent of Documents, Government Printing Office, Washington, D. C. 20402. The Foundation encourages proposals with a requested duration of 3 to 5 years, where it is technically and managerially advantageous. A. 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; (4) effect of the activity on the infrastructure of science, engineering, and education in these areas; 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 that reviewers will be able to evaluate the proposal in accordance with the four merit-review criteria established by the National Science Board (see Section III). As a matter of convenience, a checklist is provided at Appendix B, to assure that proposals are complete before submission to NSF. B. WHO MAY SUBMIT Scientists, engineers, and science educators usually initiate research proposals which are submitted by their employing organizations. Before formal submission, the proposal may be discussed with NSF staff. Graduate students are not encouraged to submit research proposals, but should arrange to serve as research assistants to faculty members. However, some NSF divisions accept proposals for Doctoral Dissertation Improvement 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 Section V for information about Special Programs.) Categories of Proposers (1) Universities and colleges: U.S. universities, and two- and four- year colleges (including community- colleges) acting on behalf of their faculty members. (2) Nonprofit, non-academic institutions: Independent museums, observatories, research laboratories, professional societies, and similar organizations in the U.S. that are directly associated with educational or research activities. (3) For-profit organizations: Commercial firms, especially small businesses with strong capabilities in scientific or engineering research or education. (See Section V. J. for specific information on the Small Business Innovation Research (SBIR) program.) An unsolicited proposal from a commercial firm 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 bothK-12 and post- secondary levels. (5) Unaffiliated persons: Scientists, engineers, or science educators in the United States who have no affiliations with organizations that could act as grantee organizations may receive support for meritorious research if they have the capability and use of facilities needed to perform the work, agree to fiscal arrangements satisfactory to the NSF Grants Officer, and otherwise meet the conditions described in this brochure. Unaffiliated proposers should contact the appropriate program before preparing a proposal for submission. (6) Foreign institutions: NSF rarely provides support to foreign institutions. NSF will consider proposals for cooperative projects involving U.S. and foreign institutions, provided support is requested only for the U.S. portion of the collaborative effort. (For further information, contact the Division of International Programs. See Appendix A for telephone numbers.) (7) Other Federal agencies: NSF does not normally support research or education activities by scientists, engineers and science educators employed by other Federal agencies or Federally Funded Research and Development Centers. Preliminary inquiry should be made to the appropriate program before preparing a proposal for submission. C. WHEN TO SUBMIT Proposals to most programs may be submitted at any time. Proposers should allow up to 6 months for review and processing. Some programs set target dates or deadlines for submission of proposals to allow time for their consideration by advisory committees or specially assembled review panels which meet periodically. These target dates and deadlines are published in the NSF Bulletin and in specific program announcements and solicitations. They are also available on STIS. (See Inside Cover for more information on STIS.) Proposals received on or before the target date or postmarked on or before the deadline date will be accepted for review. Inquiry about submission may also be made to the appropriate program office. Every effort is made to reach a decision and inform the proposer promptly. However, until an award is made, NSF is not responsible for any expenditures incurred by the proposing organization. D. WHERE TO SUBMIT Proposals must be addressed EXACTLY as follows: Announcement No or NSF Program__________ NATIONAL SCIENCE FOUNDATION PPU 4201 WILSON BLVD ROOM P60 ARLINGTON VA 22230 The delivery address MUST CLEARLY IDENTIFY THE NSF ANNOUNCEMENT OR SOLICITATION NUMBER under which the proposal is being submitted, if applicable. If unsolicited, enter the Program to which the proposal should be directed. (See Appendix A.) If copies of the proposal are mailed or delivered in more than one package, the number of packages and the NSF announcement/solicitation 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 above address, weekdays between the hours of 7:30 a.m. and 5:30 p.m. Please contact the NSF Mail Room, (703) 306-0657, with any questions regarding the mailing or delivery of proposals. The acknowledgment of receipt of the proposal will contain the NSF proposal number and cognizant NSF program(s) to which the proposal has been assigned. Later communications about the proposal should be addressed to the cognizant Program Officer and identified by the proposal number. For information regarding electronic submission of proposals, contact the Electronic Proposal Submission Project Leader, Division of Information Systems (DIS) via electronic mail to eps@nsf (BITNET) or eps@nsf.gov (Internet) or by telephone at (703) 306-1144, X-4662. II. INSTRUCTIONS FOR PROPOSAL PREPARATION Organizations applying for the first time, or which have not received an NSF award within the preceding 2 years, should refer to the Grant Policy Manual, Section 340, 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 this Section and 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 be returned without further consideration by NSF. Particular attention will be given to proposal length, content and formatting, including the page limit on the Project Description, page limitations on other proposal sections, and the use of Appendices. Any deviations from these instructions must be authorized in advance by NSF. Deviations may be authorized in one of two ways: 1. By the inclusion of specific different requirements in another NSF Announcement or Solicitation. 2. By the written approval of the cognizant NSF Assistant Director 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 or Solicitation number in the appropriate block on the Cover Sheet for Proposal to the National Science Foundation, 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 1. Information About Principal Investigators/ Project Directors (NSF Form 1225) The National Science Foundation 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 Principal Investigators or Co-Principal Investigators 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. 2. Certification Page (Page 2 of the Cover Sheet for Proposal to the National Science Foundation (NSF Form 1207) By signing Page 2 of the Cover Sheet for Proposal to the National Science Foundation, proposers are providing the required certifications. See Section II. C.1 for further information regarding certifications. In addition, proposers may include a single copy of the following: 3. List of Suggested Reviewers or Reviewers Not To Include (optional) Proposers may include, in a cover letter or separate sheet of paper (so that it can be easily removed), 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 a reason why. These lists are optional and may be omitted. The NSF Program Officer handling the proposal decides whether to follow the suggestions, and may contact the proposer for further information. 4. Deviation Authorization (If Applicable) See paragraph A. above. C. SECTIONS OF THE PROPOSAL Each section of the proposal must be separately paginated and include both the section and page number on the bottom center of each page (e.g., C-1, C-2). The proposal must be assembled in the following sequence: Section in Proposal Codes: 1 = Use of format required 2 = Use of model format optional Information about Principal Investigators/Project Directors (NSF Form 1225) (original signature copy only) Cover Sheet for Proposal to the National Science Foundation (NSF Form 1207)(page 1 - all copies; page 2 - original signature copy only) List of suggested reviewers, or reviewers not to include (original signature copy only) Deviation Authorizations (original signature copy only) (if applicable) A Project Summary (NSF Form 1358) B Table of Contents (NSF Form 1359) C Project Description (including Results from Prior NSF Support) (NSF Form 1360) D Bibliography (NSF Form 1361) E Biographical Sketch (NSF Form 1362) F Budget (NSF Form 1030)(cumulative and annual budgets, including subcontracts budgets, if any and up to 3 pages of Budget Justification) G Current and Pending Support (NSF Form 1239) H Facilities, Equipment and Other Resources (NSF Form 1363) I Special Information and Supplementary Documentation J Appendices Proposals must be stapled in the upper left-hand corner, but otherwise unbound, and with 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 may be used.) 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. The original signed copy 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. 1. Cover Sheet for Proposal to the National Science Foundation (NSF Form 1207) The required format, Cover Sheet for Proposal to the National Science Foundation, NSF Form 1207, is shown in Section IX, Proposal Forms Kit. Processing will be assisted by completing the block, "For Consideration by NSF Organizational Unit." 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: Awardee Organization Performing Organization Northern Virginia University Northern Virginia University Health Center Southern Virginia University Southern Virginia University Research Foundation The title of the proposed 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 may be awarded for periods up to 5 years. The Foundation encourages proposals with a requested duration of 3 to 5 years, where it is technically and managerially advantageous. Specification of a desired starting date for the project is important and helpful to NSF staff; however, requested effective dates cannot be guaranteed. Should unusual situations, such as long lead time on procurements, create problems regarding the proposed effective date, the investigator should consult the proposing organization's business office. Should any of the listed special aspects apply to a proposal, the appropriate box(es) should be checked. Proposals must be cleared through the organizational officer having responsibility for Government business relations. One copy of the proposal must be signed by the Principal Investigator(s) and an official authorized to commit the organization in business and financial affairs. Other copies may include page 1 of the Cover Sheet only. The proposer must use the proposal Cover Sheet, page 2, to submit the following required certifications: Drug-Free Workplace: By signing page 2 of the proposal Cover Sheet, the proposer is providing the Drug-Free Workplace Certification. Certification for Principal Investigators and Co-Principal Investigators: A certification is required to be completed by Principal Investigators and Co-Principal Investigators regarding statements contained in the proposal, authorship and reporting of the research, and scientific conduct of the project. Certification for Authorized Institutional Representative or Individual Applicant: A certification is required to be completed by the Authorized Institutional Representative or individual proposer which certifies that the statements contained in the proposal are true and complete to the best of his or her knowledge, and that the Institution (or Individual) agrees to accept the obligation to comply with award terms and conditions. Debt/Debarment and Suspension: The Debt and Debarment or Suspension questions are required to be answered by checking, as appropriate, on the Cover Sheet. 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 only required when the proposal exceeds $100,000. If applicable, SF LLL, "Disclosure of Lobbying Activities," and its instructions are included as Appendix G. If submission of the SF LLL is required, processing will be assisted by checking the block for "Disclosure of Lobbying Activities" on the Cover Sheet and including the signed SF LLL behind the single-copy documents identified in II. B. Profit-making organizations must certify as to 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 format, Project Summary, NSF Form 1358, is shown in Section IX, Proposal Forms Kit. The proposal must contain a summary of the proposed activity suitable for publication that is 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 is funded by NSF. 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 format, Table of Contents, NSF Form 1359, is shown in Section IX, Proposal Forms Kit. 4. Project Description -- Proposal Section C (Including Results from Prior NSF Support) A model format, Project Description, NSF Form 1360, is shown in Section IX, Proposal Forms Kit. This format may be used to submit page 1 of the Project Description. Use of this specific format is not required. 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 in Section II. C., above. The Metric Conversion Act of 1975 and Executive Order 12770 of 1991 encourages Federal agencies to use the Metric System (SI) in procurement, grants and other business-related activities. Proposals for grants, cooperative agreements, and contracts submitted to the Foundation are encouraged to use the Metric System of weights and measures. Reports, publications and correspondence relating to proposals are also encouraged to use metric units. 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 investigator's project; and relation to the present state of knowledge in the field, to work in progress by the investigator 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 5 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 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. C. 12) are subject to different page limitations. In preparation of proposals for renewed support, proposers may select either of two formats: the "traditional" approach in which the proposal is documented and endorsed 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 6 reprints of publications resulting from the research supported by NSF during the preceding 3-to-5 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 Principal Investigator(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: 1. The NSF award number, amount and period of support; 2. The title of the project; 3. A 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; 4. List of publications resulting from the NSF award; 5. Brief description of available data, samples, physical collections, and other related research products not described elsewhere; 6. If the proposal is for renewal of a grant, 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 Principal Investigator with prior support may use up to five pages to describe the results. The results from prior support 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 groups underrepresented at present 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. Bibliography -- Proposal Section D A model Bibliography format, NSF Form 1361, is shown in Section IX, Proposal Forms Kit. This format may be used to submit page 1 of the bibliography. While use of this specific format is not mandatory, a bibliography of pertinent literature is required. Citations must be complete (including full name of authors, title and location in the literature). There is no page limitation for this section of the proposal. 6. Biographical Sketches -- Proposal Section E The required format, Biographical Sketch, NSF Form 1362, is shown in Section IX, Proposal Forms Kit. Biographical sketches 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 (see Appendix C for definitions), the proposal may also include information on exceptional qualifications of the individuals 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 5 publications most closely related to proposed acquisition. 7. Budget -- Proposal Section F The required format, Summary Proposal Budget, NSF Form 1030, is shown in Section IX, Proposal Forms Kit. Unless a particular program brochure provides 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 may be used, but 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 is not precluded by specific program guidelines or applicable cost principles. In addition to the forms, the proposal should include up to 3 pages of budget justification. The need for each item should be explained clearly. 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 institutional 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 institutional 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 511). Summer salary for faculty members on academic-year appointments is limited to no more than two-ninths of their regular academic-year salary. This limitation 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. (ii) Procedures The names of the Principal Investigator(s), faculty, and other senior associates 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., 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 institution's regular practices. (See Appendix C for definitions of personnel categories.) 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 which have negotiated treatment of these costs as "Fringe Benefits" with their cognizant audit 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 formal 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 (see Section VII. J. "Proposals as Public Record"). This statement must include all of the information requested in the Summary Proposal Budget 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. 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. Permanent Equipment (Line D. on the NSF Form 1030) NSF defines equipment as an item of property that has an acquisition cost of $500 or more and an expected service life of two or more years. Items of needed equipment costing $1,000 or more 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, for example, ADP equipment, is not eligible for support unless primarily or exclusively used in the actual conduct of scientific research. d. Travel (Line E. on the NSF Form 1030) (i) Domestic Travel NSF defines domestic travel as travel in the U.S., its possessions, Puerto Rico, and travel to Canada. 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 investigator's ability to perform the work, plan extensions of it, or disseminate its results. Consultants' travel costs may also be requested. (ii) Foreign Travel Travel in the United States and its possessions, to Puerto Rico and Canada is considered domestic. All other travel, including Mexico, is foreign. The proposal should include relevant information, including countries to be visited (also enter names of countries on the NSF Budget Form 1030) and dates of visit, if known, and justification for any foreign travel planned in connection with the project. Allowance for air travel normally will not exceed the cost of round-trip, economy air accommodations. Persons traveling under NSF grants or contracts must travel by U.S. flag carriers, if available (see GPM Section 731). Travel support for dependents may be requested only when all of the following conditions apply: (a) the dependents' travel allowance is consistent with the policies of the organization administering the grant; (b) the investigator is a key person who is essential to the research on a full-time basis; and (c) the investigator's residence away from home and in a foreign country for a continuous period of 6 months or more is essential to the effective performance of the project. e. Participant Support Costs (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 (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 budget form. f. Other Direct Costs (Lines G. 1. through 6. on the NSF Form 1030) Any costs charged to an NSF award must be reasonable and directly allocable to the supported activity. The budget should 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 institution; 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 G.1. 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 Costs/ Documentation/ Dissemination (Line G.2. 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 G.3. on the NSF Form 1030) Anticipated consultant services should be justified and information furnished on each individual's expertise, primary organizational affiliation, 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 daily maximum rate established by the NSF annually. (iv) Computer (ADPE) Services (Line G.4. 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 based on the established computer service rates at the proposing institution should be included. The budget also may request costs, which must be shown to be reasonable, for leasing automatic data- processing equipment. The purchase of computers or associated hardware and software should be requested as items of equipment. (Also see Supercomputer Facilities Support and Access in Section V. I.) (v) Subcontracts (Line G.5. on the NSF Form 1030) Subcontracts should be disclosed in the proposal so that there is a clear delineation of the work to be performed by each organization. There should be a complete budget, in the prescribed NSF format or facsimile, for each subcontract. The total amount for proposed subcontracts should appear as a line item under "Other Direct Costs" in the master 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 for support, to include Lines A through G., should be entered on Line H. h. Indirect Costs (Line I. on the NSF Form 1030) The 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 consult the Cost Analysis/Audit Resolution Branch of NSF's Division of Contracts, Policy & Oversight. An organization may obtain guidelines for submitting rate proposals from that Branch, telephone (703) 306-1244. Within Government guidelines, unless otherwise restricted in a specific program announcement or 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 (see Section V.B. "Conferences, Symposia, and Workshops"); 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.) requested for support by the proposer should be entered on Line J. j. Residual Funds (Line K. on the NSF Form 1030) For incremental funding requests on continuing grants, the amount estimated to be in excess of 20% at the planned amendment effective date should be entered on Line K. If less than 20%, grantees should enter "none". Residual funds should not be reflected in budget categories A through I. Grantees must provide a justification for carryover of funds in excess of 20%. (Not required for participants in the Federal Demonstration Project.) See also GPM 253 for additional coverage. 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 carryover of 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 640), 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 alternative methods: 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"): 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, Summary Proposal Budget. 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, this 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 participation in other projects may not be counted towards meeting the specific cost-sharing requirements of the grant. Line M of the approved award budget will reflect any required specific cost-sharing for the NSF award above the minimum one percent. All cost-sharing amounts are subject to audit. 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 costs (such as tickets to shows or sports events, meals, lodging, rentals, transportation and gratuities) are unallowable. Expenses of awardee employees who are not on travel status, serving as hosts, or otherwise participating at meals that are primarily social occasions involving speakers or consultants are not allowable, even if the costs of the speaker or consultant are allowable. Costs of employees on travel status are limited to those allowed under the governing cost principles for travel expenses (see GPM 514). (ii) Meals and Coffee Breaks No NSF funds may be spent on meals or coffee breaks for intramural meetings of an institution 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, Current and Pending Support, NSF Form 1239, is shown in Section IX, Proposal Forms Kit. The NSF Form 1239 is a model format to report 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 (for example, Federal, state or local government agencies, private foundations, industrial or other commercial organizations) must be listed. The list must include the proposed project and all other projects requiring a portion of time of the Principal Investigator and other senior personnel, even if they receive no salary support from the project(s). The number of person-months 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 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, Facilities, Equipment and Other Resources, NSF Form 1363, is shown in Section IX, Proposal Forms Kit. Information on NSF Form 1363 is used to assess the adequacy of the institutional resources available to perform the effort proposed in the Project Description. Proposers should describe only those resources that are applicable to the effort proposed. The instructions provided on the form should be followed. 10. Special Information and Supplementary Documentation -- Proposal Section I Except in the areas indicated below, special information and supplementary documentation should be included in the proposal as part of the 15-page project description (or as part of the budget justification) where it is relevant to determining the quality of the proposed work. Information in the following areas should be included in Section I of the proposal 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 research administration office or the Grant Policy Manual. Rationale for performance of all or part of the project off-campus or away from organizational headquarters. Documentation of collaborative arrangements of significance to the proposal through letters of commitment. Environmental impact statement for activities that have an actual or potential impact on the environment. 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. Projects involving the following are subject to supplemental documentation: Research in the Antarctic and Greenland. Research in a location designated, or eligible to be designated, a registered historical place. Research involving field experiments with genetically engineered organisms. Research involving the use of human subjects, hazardous materials, vertebrate animals, or endangered species. 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 Research Opportunity Awards or Facilitation Awards for Scientists and Engineers with Disabilities. 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 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 "old" research topics; multi-disciplinary work, particularly crossing NSF program boundaries; research having a severe urgency with regard to availability of or access to data, facilities or specialized equipment; or efforts of similar character likely to catalyze rapid and innovative advances. The project description should be brief (2-to-5 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 Principal and Co- Principal Investigators only, and should list no more than five significant publications or other research projects. This type of proposal will not be subject to external merit-review and the award amount will be substantially less than a given program's average 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. Processing of SGER proposals will be assisted by checking the box for "Small Grant for Exploratory Research" on the Cover Sheet for Proposal to the National Science Foundation, NSF Form 1207. Investigators are strongly encouraged to contact the NSF program(s) most germane to the proposal topic before submitting an SGER proposal to determine whether the proposed work meets the guidelines described above and SGER funding is likely to be available, or whether the idea should be considered for initial submission as a fully-reviewed proposal. (See Appendix A for programs.) b. Group Proposals A group proposal is a proposal that is submitted by 3 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 the Foundation, although several investigators may be designated as Co-Principal Investigators. 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 institution 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. Processing will be assisted by checking the box for "Group Proposal" on the Cover Sheet for Proposal to the National Science Foundation, 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, the proposal can be submitted by only one of them. It should describe clearly the role to be played by the other organizations and specify the managerial arrangements contemplated. In some instances, simultaneous submission of related proposals from each organization might be appropriate, in which case parallel awards would be made. Investigators wishing to submit group proposals that might exceed the 15- page limit on the project description because of the number of investigators 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 description (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 combined departments; (4) an institution; (5) any components of an institution; or (6) a region. One individual should be designated as Principal Investigator. Investigators may be working in related areas or their research may be multidisciplinary. Note: Many organizations within NSF have formal instrumentation programs with customized 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 a regular grant proposal, and should emphasize the intrinsic research or educational 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 and explain why it cannot be used. This includes comparable government-owned equipment that is on-site. Equipment proposals should discuss arrangements for maintenance and operation, including: Biographical sketch of the person(s) who will have overall responsibility for maintenance and operation, and a brief statement of qualifications, if the sketch does not make them 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 Brief description of other support services available, particularly related equipment, and the annual budget for their operation, maintenance, and administration. The terms of a grant require that special-purpose equipment having a unit acquisition cost of more than $10,000 and 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 normally compete with proposals for research or education projects. Some instrumentation programs have special guidelines for support of equipment that may include special cost-sharing or other requirements. See individual program solicitations or announcements for specific requirements. d. Proposals to the Directorate for Engineering Proposals for consideration by the Directorate for Engineering should, within the 15-page project description, include a separate section that describes the impact of the proposed research. This section should discuss potential new discoveries or advances that are expected as a result of the research and the specific contributions the proposed work will make toward expanding or developing the knowledge and technology base. Reviewers will be asked to provide specific comments on this aspect of the research. The likelihood that the proposed research will lead to new discoveries or fundamental advances in the knowledge or technology base will be an important criterion on which Engineering program staff will base the decision on whether or not to support a particular proposal. e. 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. Processing will be assisted by checking the box for "Vertebrate Animals" on the Cover Sheet for Proposal to the National Science Foundation, NSF Form 1207. All proposals involving vertebrate animals must have approval from the organization's Institutional Animal Care and Use Committee (IACUC) before funding. NSF recommends inclusion of this approval form with the submission of the proposal. III. PROPOSAL PROCESSING & REVIEW Proposals received by the Proposal Processing Unit are assigned to the appropriate NSF program for acknowledgment and review. All proposals are reviewed carefully by a scientist, engineer or science educator serving as an NSF Program Officer, and usually by 3 to 10 other individuals 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. Some Program Officers 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 for conformance with Foundation policy. 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. The possibility of submitting the 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 breakthroughs or other developments. When a decision has been made, verbatim copies of reviews, excluding the names of the reviewers, and summaries of review panel deliberations, if any, are mailed to the Principal Investigator/Project Director. 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. Proposers are cautioned that only an appointed Grants Officer may make commitments or obligations on behalf of the Government or authorize the expenditure of funds. No commitment on the part of the Government to fund preparation of a proposal or to support research or education should be inferred from technical or budgetary discussions with an NSF program officer. A Principal Investigator or institution 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. The National Science Board established the following criteria for the selection of research (including projects to improve the teaching and learning of science and engineering) projects by the National Science Foundation: "In order to provide for the fair and equitable selection of the most meritorious research projects for support, the Foundation has established criteria for their review and evaluation. These criteria are intended to be applied to all research proposals in a balanced and judicious manner, in accordance with the objectives and content of each proposal. Four criteria for the selection of research projects by the National Science Foundation are listed below, together with the elements that constitute each criterion. "(1) Research performance competence -- This criterion relates to the capability of the investigator(s), the technical soundness of the proposed approach, and the adequacy of the institutional resources available." "(2) Intrinsic merit of the research -- This criterion is used to assess the likelihood that the research will lead to new discoveries or fundamental advances within its field of science or engineering, or have substantial impact on progress in that field or in other scientific and engineering fields." "(3) Utility or relevance of the research -- This criterion is used to assess the likelihood that the research can contribute to the achievement of a goal that is extrinsic or in addition to that of the research field itself, and thereby serve as the basis for new or improved technology or assist in the solution of societal problems." "(4) Effect of the research on the infrastructure of science and engineering -- This criterion relates to the potential of the proposed research to contribute to better understanding or improvement of the quality, distribution or effectiveness of the Nation's scientific and engineering research, education, and manpower base." "Criteria (1), (2) and (3) constitute an integral set and are applied in a balanced way to all research and science education proposals in accordance with the objectives and content of each proposal. Criterion (1), performance competence, is essential to the evaluation of the quality of every proposal. It covers the investigator's record of past research accomplishments, including, where significant, communication of findings and sharing of data and other research products. The relative weight given Criteria (2) and (3) depends on the nature of the proposed work; Criterion (2), intrinsic merit, is emphasized in the review of basic research proposals, while Criterion (3), utility or relevance, is emphasized in the review of applied research proposals. Criterion (3) also relates to major goal-oriented activities that the Foundation carries out, such as those directed at improving the knowledge base underlying science and technology policy, furthering international cooperation in science and engineering, and addressing areas of national need." "Criterion (4), effect on the infrastructure of science and engineering, permits the evaluation of proposals in terms of their potential for improving the scientific and engineering enterprise and its education activities in ways other than those encompassed in the first three criteria. Included under this criterion are questions relating to scientific, engineering and education personnel, including participation of women, minorities and individuals with disabilities; the distribution of resources with respect to institutions and geographical area; stimulation of high-quality activities in important but underdeveloped fields; support of research initiation for investigators without previous Federal research support as a Principal Investigator or Co-Principal Investigator; and interdisciplinary approaches to research or education in appropriate areas. Criterion (4) does not apply to commercial organizations." Any specific criteria that apply to individual programs, while falling within the general criteria presented in this section, are contained in relevant program announcements or solicitations. Proposals that involve cooperative activities with former Warsaw Pact countries may also be subject to internal U.S. Government review for potential national security concerns. IV. DECLINATIONS AND WITHDRAWALS 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 Principal Investigator and the authorized institutional representative. If funding for the proposal is accepted from another sponsor, NSF will send a withdrawal confirmation letter to the Principal Investigator and the authorized institutional official without waiting for the official withdrawal request. NSF does not normally return the copies of withdrawn proposals to the proposer. The Foundation retains a file copy. Copies of reviews received by the Foundation before a proposal is withdrawn will be provided to the investigator. B. DECLINATIONS An investigator whose proposal for NSF support has been declined will receive information and an explanation of the reasons for declination from the cognizant Program Officer. If that explanation does not satisfy the investigator, he/she may request additional information from the cognizant Program Officer. C. RECONSIDERATION If the explanation provided above does not satisfy the investigator, he/she may request that the cognizant NSF Assistant Director reconsider the action to determine whether the proposal received review that was fair and reasonable, both substantively and procedurally. The request for reconsideration must be in writing and must be received within 90 days of the date of the declination letter. If the proposing institution is still not satisfied after reconsideration by the responsible Assistant Director, it may, within 60 days of the determination by the Assistant Director, request further reconsideration by the NSF Deputy Director. An investigator whose proposal has been returned because it is inappropriate for consideration by NSF may also request reconsideration of this determination. D. RESUBMISSION A declined proposal may be resubmitted only after it has undergone substantial revision. Resubmittals that have not clearly taken into account the major comments resulting from the prior NSF review may be returned without further review. The Foundation will treat the revised proposal as a new one subject to the standard review procedures. V. SPECIAL PROGRAMS A. RESEARCH INSTRUMENTATION/FACILITIES The Academic Research Infrastructure Program provides support for general research equipment and facilities. The purpose of the program is to improve the Nation's research infrastructure through focused investment in the acquisition or development of major research instrumentation and revitalization of facilities used for research and research training. For more information, see the program solicitation or contact the Office of Science and Technology Infrastructure. Also, the Foundation occasionally provides assistance for the acquisition of specialized facilities. Examples include supercomputers, oceanographic research vessels, major controlled-environment facilities, and specialized biological and social science facilities. All NSF programs will consider proposals that include funds for facilities construction, renovation or improvements where required for the proposed research, in competition with other proposals received. It is, however, Foundation policy that the principal responsibility for providing facilities for research and education rests with the proposing institutions. Preliminary inquiry should be made before preparing a formal proposal. B. CONFERENCES, SYMPOSIA, AND WORKSHOPS The Foundation 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 advanced graduate students to new research and education techniques. The Foundation encourages the convening in the United States of major international conferences and assemblies of international 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 proposal (which complies with the page and font size instructions in Section II. C.) for support of a conference, symposium, or workshop must include: Summary of one page or less indicating the objectives of the project. (Project Summary, NSF Form 1358, Section IX, Proposal Forms Kit, may be used to submit this information.) Statement of the need for such a gathering and a list of topics. Recent meetings on the same subject, including dates and places. Names of the chairperson and members of organizing committees and their institutional affiliations. Information on the location and probable date(s) of the meeting, and the method of announcement or invitation. stimated total budget for the conference together with an itemized statement of the amount of support requested from the Foundation. The budget may include participant support for transportation (when appropriate), per diem costs, stipends, and other conference-related costs. Participant support costs must be excluded from the indirect cost base. Support requested or available from other Federal agencies and other sources. 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. For additional coverage on allowability of costs associated with meetings and conferences, proposers should consult Section 522 of the Grant Policy Manual. 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 U.S. investigators and their foreign colleagues in joint activities of mutual interest and benefit. Grants may be made for the U.S. portion of the costs of the initial phases of cooperative research, joint seminars and workshops, planning visits, and programs to enhance the international perspectives of the next generation of U.S. scientists and engineers, through 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, NSF 91. (For a list of telephone numbers and program contacts by region, see Appendix A.) D. INTERNATIONAL TRAVEL GRANTS Proposals for travel support for U.S. participation in international scientific and engineering meetings held abroad are handled by the NSF organizational unit with program responsibility for the area of research interest. Group travel awards are encouraged as the primary means of support for international travel. A university, professional society or other non-profit institution may apply for funds to enable it to coordinate and support U.S. participation in one or more international scientific meetings abroad. Group travel grants may include as compensation for the grantee a flat rate of $50 per traveler for general administrative costs of preparing announcements, evaluating proposals, and handling travel arrangements customarily associated with this type of project. (See GPM 730 International Considerations). Group travel awardees are required to retain supporting documentation that funds were spent in accordance with the original intent of the proposal. Such documentation may be required in final reports and is subject to audit. Awards to individuals will be considered only in those circumstances where a group travel grant or a supplement to an existing award is not possible or appropriate. Individual travel grants will not be made for meetings supported by group travel awards. Some Directorates and Divisions encourage group travel grants exclusively; individual travel grant proposals may be returned without review. Inquiries concerning policies and guidelines should be referred to the NSF Program with responsibility for the area of research interest. E. DOCTORAL DISSERTATION RESEARCH The Foundation awards grants in support of doctoral dissertation research in some disciplines, primarily field research in the environmental, behavioral and social sciences. Support may be sought through those disciplinary programs and, in cases involving research abroad, through the Division of International Programs. Proposals are submitted by the thesis advisor or concerned faculty member on behalf of the graduate student. Further information can be obtained from the cognizant program office. F. HUMAN RESOURCES DEVELOPMENT The Foundation supports a range of cross-directorate activities to increase participation by women, minorities, persons with disabilities, and by faculty from minority institutions and predominantly undergraduate institutions. Programs which have a strong focus on underrepresented communities are as follows: Research in Undergraduate Institutions Visiting Professorships for Women Research Planning Grants and Career Advancement Awards for Women Scientists and Engineers Faculty Awards for Women Experimental Projects for Women and Girls Model Projects for Women and Girls Information Dissemination Activities for Women and Girls Minority Research Initiation Research Improvement in Minority Institutions Minority Research Centers of Excellence Research Assistantships for Minority High School Students Alliances for Minority Participation Research Careers for Minority Scholars Research Opportunity Awards Facilitation Awards for Scientists and Engineers with Disabilities Information Dissemination Activities for Persons with Disabilities Model Projects for Persons with Disabilities Experimental Projects for Persons with Disabilities Career Access Summer Science Camps Partnerships for Minority Student Achievement Comprehensive Regional Centers for Minorities In some cases, additional information may be required as part of a proposal. Brochures describing these activities are available from the Forms and Publications Unit or general information may be obtained from the NSF Information Center at (703) 306-1234. G. RESEARCH OPPORTUNITY AWARDS AND FACILITATION AWARDS FOR SCIENTISTS AND ENGINEERS WITH DISABILITIES Faculty from institutions with limited research opportunities, and investigators or students with disabilities, may participate in ongoing NSF- sponsored research through Research Opportunity Awards for faculty and Facilitation Awards for Scientists and Engineers with Disabilities. The procedures for the two programs are described below. 1. Research Opportunity Awards (ROAs) A faculty member at an institution with limited research opportunities may arrange to work with an investigator at another institution who holds or is applying for an NSF research grant. If supplemental funds are required to cover additional costs, the Principal Investigator should make preliminary contact with the cognizant Program Officer. The formal ROA request letter, endorsed by the institution and addressed to the program office, should be received at least 3 months before funds will be needed. It must include: a description of the arrangements and the work to be performed by the ROA visitor; a statement of the contribution of this work to the NSF project and to the visitor's future research and home institution; a budget (NSF Form 1030) with appropriate explanatory information; a biographical sketch of the visitor, and any additional information, as specified by the Program Officer. 2. Facilitation Awards for Scientists and Engineers with Disabilities Facilitation Awards for Scientists and Engineers with Disabilities encourage participation in NSF Programs by scientists and engineers (investigators or other staff, postdoctoral associates, student research assistants, and awardees and honorable mention recipients for Graduate and Minority Graduate Fellowships) with disabilities. This effort provides funds for equipment or assistance specifically required for performance of research on an NSF-supported project. Requests for support may be included in new proposals submitted to any NSF program or in requests for supplements to existing grants. H. RESEARCH EXPERIENCES FOR UNDERGRADUATES (REUs) These awards provide opportunities for talented undergraduate students to participate in active research in mathematics, science and engineering. Awards typically will be of two types: Sites--Grants to initiate and support undergraduate research participation sites. These projects could be carried out during the summer months, the academic year or both. The Foundation expects that an appropriate number of students will be involved, and proposals involving fewer than 4 to 6 students are discouraged. Supplements--to ongoing NSF research awards provide research training experiences for one or two additional undergraduates. Funds will normally be available for up to two students, but exceptions will be considered for training additional minority and women students, and students with physical disabilities. See the program announcement for more information. I. SUPERCOMPUTER FACILITIES SUPPORT AND ACCESS The Foundation supports National Supercomputer Centers for use by scientists and engineers as a research tool. Researchers who need supercomputer time should submit their requests directly to the individual supercomputer centers. Requests will be reviewed by a local allocation committee for each center. The allocation committees usually meet on a quarterly basis. The NSF Supercomputer Access brochure provides guidance for submitting requests for supercomputer time. J. SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM The Small Business Innovation Research (SBIR) Program is a highly competitive three-phase process which provides eligible small businesses with opportunities to propose innovative ideas that meet specific research and Research and Development (R&D) needs of the Federal Government. Phase I is a 6-month feasibility research project which establishes eligibility for Phase II. Phase II is the principal research effort, normally for 24-months, which enables the investigator and his/her team to demonstrate the potential for commercial development. Phase III, the development activity, is to be conducted with non-Federal funds by the small business concern to pursue commercial application of the research funded in Phases I and II. For more detailed information regarding the SBIR Program, proposers should consult the annual issuance of the NSF SBIR solicitation. K. SMALL BUSINESS TECHNOLOGY TRANSFER PILOT (STTR) PROGRAM The Small Business Technology Transfer Pilot (STTR) Program encourages technology transfer through jointly conducted research between small business concerns and nonprofit research institutions. The program follows a 3-phase process as in SBIR. Proposals must be submitted by the nonprofit research institution, and the proposed research must be responsive to the program focus described in the annual STTR Program solicitation. Phase I is a 12-month feasibility research project which establishes eligibility for Phase II. Phase II is a 24-month effort to continue the research effort from Phase I. Phase III, the development activity, is to pursue commercial applications from the Government funded research with non- Federal funds. For more detailed information regarding the STTR Program, proposers should consult the NSF STTR solicitation. VI. THE AWARD AND CONTINUED SUPPORT A. STANDARD AND CONTINUING GRANTS The Foundation awards two types of grants: Standard Grants, in which NSF agrees to provide a specific level of support for a specified period of time with no statement of NSF intent to provide additional future support without submission of another proposal (see below). AND Continuing Grants, in which NSF agrees to provide a specific level of support for a specified period of time, usually a year, with a statement of intent to provide additional support of the project for additional periods provided funds are available and the results achieved warrant further support. Notification of an award is by a letter signed by a Foundation Grants Officer, addressed to the organization to which the grant is made. An NSF award consists of: (1) the award letter, which includes any special provisions applicable to the award and any numbered amendments thereto; (2) the budget, which indicates the amounts, by categories of expense, on which the Foundation has based its support; (3) the proposal referenced in the award letter; (4) the general conditions applicable to the award, such as Grant General Conditions (NSF GC-1) or Federal Demonstration Project Terms and Conditions; and (5) any NSF brochure, program guide, announcement or other NSF issuance that may be incorporated by reference in the award letter. Copies of the award letter and general conditions are provided for the Principal Investigator and the organization's business office. Electronic mail notification is also used to transmit Foundation award documentation to institutions that have electronic mail capabilities and have requested such notification from the Budget Division, NSF Office of Budget, Finance, and Award Management. The grant period begins on the effective date specified in the grant letter or, in its absence, the date of the grant letter, and runs until the expiration date indicated. Unless the grantee is a participant in the Federal Demonstration Project, the expiration date may include a 6-month "flexibility period," for which no additional funds are provided, but during which expenditures may be charged against the grant. Expenditures incurred within the 90 day period preceding the effective date of the grant may be authorized by the grantee organization. Such expenditures however, are made at the grantee's risk. Expenditures after the scheduled expiration date of the grant may be made only to honor documented commitments made on or before the expiration date. Principal Investigators should consult their business offices for details. B. ADDITIONAL SUPPORT 1. Incremental Funding Incremental funding for continuing grants within the total duration of the project is based on Foundation staff review of Progress Reports and proposed budget (if required) and does not require submission of a new proposal. For each increment, one copy of the NSF Form 1328, Annual NSF Grant Progress Report, addressed to the cognizant program office, with a copy to the Authorized Institutional Representative, must be received by the Foundation at least 3 months before the end of the period currently being funded. The certification on the NSF Form 1328 must be signed. (See Appendix D for NSF Form 1328.) Requests should include: Brief summary of progress to date and work to be performed during the succeeding period; Statement of funds estimated to remain unobligated- -if more than 20%--at the end of the period for which NSF currently is providing support (not required for participants in the Federal Demonstration Project); Proposed budget for the ensuing year in the NSF format, only if the original award letter did not indicate specific incremental amounts or if adjustments to a planned increment exceeding the greater of 10% or $10,000 are being requested; Current information about other research support of senior personnel, if changed from the previous submission; Any other significant information pertinent to the type of project supported by NSF or as specified by the terms and conditions of the grant; A statement describing any contribution of the project to the area of education and human-resource development (if changed from any previous submission); and Updated information on animal care and use, Institutional Biohazard Committee and Human Subject Certification, if changed substantially from those originally proposed and approved. 2. Renewal Proposals Proposals for additional funding for a support period subsequent to that provided by a standard or continuing grant compete with all other pending proposals and should be submitted either at least 6 months before additional funding is required or consistent with an established deadline or target date. In preparing a renewal proposal, proposers should assume that reviewers will not have access to the previous proposals. All proposals for renewed support of research projects from academic institutions only must include, as part of Results from Prior NSF Support, information about any contribution of the completed project to the education and development of human resources in science and engineering at the postdoctoral, graduate and undergraduate levels. Commercial organizations and non-profit organizations are exempt from this requirement. Unless precluded by individual program requirements, Principal Investigators can choose either of two formats for a renewal proposal: The "traditional" renewal proposal is documented and endorsed as fully as though the proposer were applying for the first time. It covers all the information required in a proposal for a new project, including results from the prior work. The 15-page limitation on project description applies. In an "Accomplishment-Based Renewal (ABR)" proposal, the project description is replaced by copies of no more than 6 reprints of publications resulting from the research supported by NSF (including research supported by other sources that is closely related to the NSF-supported research) during the preceding 3-to- 5-year period. Of the 6 publications, 2 preprints (accepted for publication) may be included. In addition, a brief (not to exceed 4 pages) summary of plans for the proposed support period must be submitted. All other information required for NSF proposal submission remains the same. It must be clearly indicated in the proposal and on the Cover Sheet for Proposal to the National Science Foundation, NSF Form 1207, that it is being submitted as an Accomplishment- Based Renewal. ABR proposals may not be submitted for consecutive renewals. 3. Two-Year Extensions for Special Creativity A Program Officer may recommend the extension of funding for certain research grants beyond the initial period for which the grant was awarded. The objective of such extensions is to offer the most creative investigators increased opportunity to attack adventurous, "high-risk" opportunities in the same general research area, but not necessarily directly related to those pursued under the existing grant. The category of awards eligible for such extensions is normally limited to three-year continuing grants. Special Creativity Extensions are initiated by the NSF Program Officer based on progress during the first 2 years of a 3-year grant; Principal Investigators will be informed of such action a year in advance of the expiration of the grant. 4. Supplemental Funding If funds provided by a grant are insufficient to complete the original scope of work, the grantee may submit a request for supplemental funding to the cognizant NSF Program Officer at least 2 months before funds are needed. Such requests should include a brief justification and a budget signed by the Principal Investigator and the authorized institutional representative. Supplemental funding will not be approved for such purposes as defraying costs associated with increases in salaries or additional indirect-cost reimbursement. In addition, limited supplemental funds are available for special NSF programs, such as Research Experiences for Undergraduates, Research Opportunity Awards and Facilitation Awards for Scientists and Engineers with Disabilities. (See Sections V. G. and H. and the appropriate program brochures.) C. NO-COST EXTENSIONS A one-time extension of the grant expiration date for up to 12 months may be provided by the grantee organization prior to the expiration date of the grant. The grantee must provide written notice of the extension, giving the new expiration date, to the cognizant NSF grants officer at the time of the extension. If additional time beyond the extension provided by the institution is required and exceptional circumstances warrant, a formal request must be submitted to NSF. Two copies of the request, signed by the Principal Investigator and an authorized Institutional Representative, must be received by the cognizant program office at least 45 days before the expiration date of the grant. The request must explain the need for the extension and include an estimate of the unobligated funds remaining and a plan for their use. The plan must adhere to the original or amended objectives of the project. That unobligated funds remain at the expiration of the award is not in itself sufficient justification for an extension. An approved no-cost extension will be issued by an NSF Grants Officer in the form of an amendment to the grant specifying a new expiration date. For extensions provided by institutions, no amendment will be issued. VII. GRANT ADMINISTRATION HIGHLIGHTS The administration of research and science education grants is governed by the conditions of the grant. (See Section VI. A. for additional information regarding the contents of an NSF grant). The Grant Policy Manual explains these and other administrative requirements. The following information on grant administration deals with questions that investigators often raise. The grantee organization has primary responsibility for general supervision of all grant activities and for notifying NSF of significant problems related to scientific misconduct or administrative matters. The Principal Investigator is responsible for the conduct of the scientific or educational work and the publication of its results, and is expected to provide technical leadership to the project whether or not any salary is provided from grant funds. NSF encourages communications between Program Officers and Principal Investigators on the progress of projects supported by NSF. A. GENERAL REQUIREMENTS Grants for financial assistance are subject to certain statutory and other general requirements, such as compliance with the Civil Rights Act of 1964, Title IX of the Education Amendments of 1972, and other laws and regulations prohibiting discrimination; prohibition of scientific misconduct and other Principal Investigator and authorized institutional representative certifications; Drug-Free Workplace requirements; restrictions on lobbying; patent and copyright requirements; cost- sharing; and the use of U.S.-flag carriers for international travel. These are identified in the GPM and are summarized in Grant General Conditions and the Federal Demonstration Project General Terms and Conditions and NSF Agency-Specific Requirements. The appropriate terms and conditions will accompany notification of award. B. PRIOR APPROVAL REQUIREMENTS Prior written approval from NSF is required for transferring a significant part of the research or substantive effort; making a major change in objectives or scope; making a change in Principal Investigator or person-months of effort; making rearrangements or alterations (construction activities) costing $10,000 or more, and transferring funds from participant support. Changes in participant support costs require Program Officer approval; all the other changes listed above require Grants Officer approval. C. TRANSFER OF PRINCIPAL INVESTIGATOR When a Principal Investigator plans to leave an institution during the course of an award, the institution has the prerogative to nominate a replacement Principal Investigator or request that the award be terminated and closed out. Replacement Principal Investigators are subject to NSF approval. In those cases where a particular Principal Investigator's participation is integral to a given project and the Principal Investigator's original and new institutions agree, NSF will facilitate a transfer of the grant and the assignment of remaining unobligated funds to the Principal Investigator's new institution (see Appendix E for NSF Form 1263, "NSF Grant Transfer Request"). D. EQUIPMENT Title to equipment purchased or fabricated by an academic institution or other nonprofit organization with NSF grant funds normally vests in the grantee institution. Special situations may require that title be vested in the Government or that NSF reserve the right to require the grantee to transfer title to the Government or a third party on expiration of the grant. Title to equipment acquired through an NSF grant by a small business or other commercial firm will normally vest in the Government. When title to specialized equipment purchased with grant funds vests in the grantee institution and the Principal Investigator moves to another nonprofit institution, NSF encourages transfer of the equipment to the new institution provided it is not required at the institution holding title, the cost of the transfer (shipping charges, freight, etc.) is not excessive and the Principal Investigator continues the project at the new location. E. EXCESS GOVERNMENT PROPERTY As a means of providing additional support and conserving supply and equipment funds, the Foundation may sponsor the transfer of a limited quantity of excess Government-owned scientific equipment to an NSF grantee. To learn more about the NSF Grantee Excess Property Program, grantees should refer to Section 740 of the Grant Policy Manual or write to: National Science Foundation Property Section, DAS, Room 295 4201 Wilson Boulevard Arlington, VA 22230 The NSF grant numbers to which the correspondence refers should be cited. Before transfer of excess Government equipment can be authorized, justification must be provided to the Foundation by the grantee that the equipment will further the objectives of an active NSF grant. F. SUSPENSION OR TERMINATION OF GRANTS Foundation grants may be suspended or terminated in accordance with the procedures contained in the Grant General Conditions or the Federal Demonstration Project General Terms and Conditions. Grants may also be terminated by mutual agreement. Termination by mutual agreement shall not affect any commitment of grant funds that, in the judgment of the Foundation and the grantee, had become firm before the effective date of the termination. G. GRANT REPORTS 1. Annual Progress Reports For all multi-year grants, the Principal Investigator is required to submit the NSF Form 1328, Annual NSF Grant Progress Report, to the cognizant NSF Program Officer, with a copy to the Authorized Institutional Representative. The report should briefly summarize activity during the past year, identify any significant research developments, describe any problems encountered, and provide current information about other research support of senior personnel, if changed from the information previously submitted. The report should also include any other significant information pertinent to the type of project supported by NSF or as specified by the terms and conditions of the grant. Reprints of publications should be provided as soon as they are available. The Annual NSF Grant Progress Report Form Certification must be signed. (See Appendix D.) 2. Final Reports Within 90 days after the expiration of a grant, the investigator is required to submit a NSF Form 98A, Final Project Report to the NSF Program Officer, with a copy to the Authorized Institutional Representative. NSF will send Form 98A along with a postage-paid, self-addressed envelope to each Principal Investigator approximately 30 days prior to the expiration date of a grant. The Final Report Certification must be signed. The Final Project Report should contain the technical information needed by the Foundation for purposes of program management and informing the public about the results of the activities it supports. The report also requests information on the gender, race, ethnicity, citizenship and disability status of individuals supported under the grant. Failure to submit all parts of this report on time may delay future funding for the Principal Investigator and the grantee organization (See Appendix F for copy of the NSF Form 98A). It is suggested that investigators examine the form in advance to plan appropriate tracking mechanisms. Final expenditure information is provided by grantees through the quarterly Federal Cash Transactions Report (SF 272), normally submitted by the grantee's financial officer. H. SHARING OF FINDINGS, DATA AND OTHER RESEARCH PRODUCTS The National Science Foundation advocates and encourages open scientific communication. The NSF expects significant findings from research and educational activities it supports to be promptly submitted for publication with authorship that accurately reflects the contributions of those involved. It expects investigators to share with other researchers, at no more than incremental cost and within a reasonable time, the data, samples, physical collections and other supporting materials created or gathered in the course of the work. It also encourages awardees to share software and inventions, once appropriate protection for them has been secured, or otherwise act to make the innovations they embody widely useful and usable. NSF program management will implement these policies, in ways appropriate to field and circumstances, through the proposal review process; through award negotiations and conditions, and through appropriate support and incentives for data cleanup, documentation, dissemination, storage and the like. Adjustments and, where essential, exceptions may be allowed to safeguard the rights of individuals and subjects, the validity of results, and the integrity of collections, or to accommodate legitimate interests of investigators. I. ACKNOWLEDGMENT OF SUPPORT AND DISCLAIMER An acknowledgment of NSF support and a disclaimer must appear in publications of any material, whether copyrighted or not, based on or developed under NSF-supported projects: This material is based upon work supported by the National Science Foundation under Grant No. (grantee should enter NSF grant number). Except for articles or papers published in scientific, technical or professional journals, the following disclaimer should be included: Any opinions, findings, and conclusions or recommendations expressed in this material are those of the author(s) and do not necessarily reflect the views of the National Science Foundation. J. PROPOSALS AS PUBLIC RECORD A proposal that results in an NSF grant becomes part of the record of the transaction and will be available to the public, except in cases of information or material that the Foundation and the grantee mutually agree to be of a privileged nature. Such information or material will be held in confidence to the extent permitted by law, including the Freedom of Information Act. Without assuming any liability for inadvertent disclosure, NSF will seek to limit dissemination of such information to its employees and, when necessary for evaluation of the proposal, to outside reviewers. Accordingly, any privileged information should be in a separate, accompanying statement bearing a legend such as: "Following is (proprietary) (specify) information that (name of proposing organization) requests not be released to persons outside the Government, except for purposes of evaluation." Appropriate labeling in the proposal aids identification of what may be specifically prohibited from disclosure by statute. A proposal that does not result in an NSF grant will be retained by the Foundation but will be released to the public only with the consent of the proposer or to the extent required by law. Portions of proposals resulting in awards that contain descriptions of inventions in which either the Government or the grantee owns or may own a right, title or interest (including a non-exclusive license) will not normally be made available to the public until after a reasonable time has been allowed for filing a patent application. It is the policy of the Foundation to notify the grantee of receipt of requests for copies of funded proposals so that the grantee may advise the Foundation of such inventions described in the proposal. K. LEGAL RIGHTS TO INTELLECTUAL PROPERTY NSF normally allows awardees to retain principal legal rights to intellectual property developed under its awards. This policy provides incentive for development and dissemination of inventions, software and publications that can enhance their usefulness, accessibility, and upkeep. It does not, however, reduce the responsibility of researchers and institutions to make results, data and collections available to the research community. VIII. APPENDICES Engineering Research and Education" \l2 }{tc "Appendix A: Programs Providing Support for Scientific and Engineering Research and Education" \l2 } {tc "Appendix B: Checklist for Proposal Preparation" \l2 } {tc "Appendix C: Definitions of Categories of Personnel" \l2 } {tc "Appendix D. Annual NSF Grant Progress Report (NSF Form 1328)" \l2} {tc "Appendix E: NSF Grant Transfer Request (NSF Form 1263)" \l2 } {tc "Appendix F. Final Project Report (NSF Form 98A) " \l2 } {tc "Appendix G. Disclosure of Lobbying Activities (SF LLL)" \l2 } {tc "IX: Grant Proposal Forms Kit" } {PAGE|5} {PAGE|1} {PAGE|13} {PAGE|22}