NSF 00-2 Grant Proposal Guide

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Grant Proposal Guide NSF 00-2
October 1999
(Replaces NSF 99-2)

National Science Foundation
Office of Budget, Finance & Award Management
4201 Wilson Boulevard
Arlington, VA 22230

         ---------------------------------------------------------
                                August 15, 1999

Dear Colleagues:

We have published an updated version of the NSF Grant Proposal Guide
(GPG) (NSF 00-2) and Proposal Forms Kit (NSF 00-3) that is effective
for proposals submitted on or after October 1, 1999.  This document
supersedes the prior version of the GPG (NSF 99-2) and the Proposal
Forms Kit (NSF 99-3.)

This revision incorporates the following significant changes:

+ issuance of Important Notice No. 123, Working Toward A Paperless
Proposal System, dated September 3,1998,
.  In this Important Notice,
the NSF Director described NSF's vision for the future in electronic
business and outlined the schedule for implementation.  As a reminder,
effective October 1, 2000, all proposals will be required to be
submitted to NSF via FastLane.  Proposers however, must check the
FastLane Web site (see Endnote 1) prior to proposal preparation and
submission to verify whether use of FastLane is required in preparation
of all or part of a proposal;

+ implementation of the National Science Board approved cost sharing
policy;

+ clarification of the importance of the second merit review criterion
in the preparation and review of proposals submitted to NSF;

+ revision of instructions on preparation of the biographical sketch;
and

+ clarification of instructions on submission of collaborative
proposals to NSF.

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

The GPG (including all forms) is available on the NSF Web site at:
http://www.nsf.gov in HTML, Microsoft Word, ASCII text, and Portable
Document Format (PDF).

Please address any questions or comments about the GPG to the Division
of Contracts, Policy & Oversight, Policy Office, on 703-306-1243 or by
e-mail to policy@nsf.gov.

			 Joseph L. Kull
		     Chief Financial Officer

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Endnotes:

1. A listing of NSF programs which require use of FastLane in proposal
submission may be obtained at:
.

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ABOUT THE NATIONAL SCIENCE FOUNDATION

The National Science Foundation (NSF) is an independent Federal agency,
created by the National Science Foundation Act of 1950, as amended (42
USC 1861-75). Th e idea of such a Foundation was an outgrowth of the
important contributions made by science and technology during World War
II.  Its aim is to promote and advance progress in science and
engineering in the United States (US). From those first days, NSF has
had a unique place in the Federal Government: it is responsible for the
overall health of science and engineering across all disciplines.  In
contrast, other Federal agencies support research focused on specific
missions such as health or defense.  The Foundation is also committed
to ensuring the nation's supply of scientists, engineers and science
and engineering educators.

NSF funds research and education in most fields of science and
engineering.  It does this through grants and cooperative agreements to
more than 2,000 colleges , universities, K-12 school systems,
businesses, informal science organizations and other research
institutions throughout the US.  The Foundation accounts for about
one-fourth of Federal support to academic institutions for basic
research.

NSF receives approximately 30,000 proposals each year for research,
education and training projects, of which approximately 10,000 are
funded.  In addition, the Foundation receives several thousand
applications for graduate and post- doctoral fellowships.  NSF grants
are typically awarded to universities, colleges, academic consortia,
non-profit institutions and small businesses.  Th e agency operates no
laboratories itself but does support National Research Centers, user
facilities, certain oceanographic vessels and Antarctic research
stations.  The Foundation also supports cooperative research between
universities and industry, US participation in international scientific
efforts , and educational activities at every academic level.

NSF is structured much like a university, with grants-funding divisions
for the various disciplines and fields of science and engineering and
for science, math , engineering and technology education.  NSF also
uses a variety of management mechanisms to coordinate research in areas
that cross traditional disciplinary boundaries.  The Foundation is
helped by advisors from the scientific community who serve on formal
committees or as ad hoc reviewers of proposals.  This advisory system,
which focuses on both program directions and specific proposals,
involves approximately 50,000 scientists and engineers each year.  NSF
staff members who are experts in a certain field or area make award
recommendations; applicants get unattributed verbatim copies of peer
reviews.

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

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

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

The National Science Foundation has Telephonic Device for the Deaf
(TDD) and Federal Information Relay Service (FIRS) capabilities that
enable individuals with hearing impairments to communicate with the
Foundation about NSF programs, employment or general information.  TDD
may be accessed at 703.306.0090, FIRS at 800.877.8339.

Copies of this Guide (NSF 00-2) or the Proposal Forms Kit (NSF 00-3)
(which is contained as part of NSF 00-2) are available electronically
on the NSF Web site at: in a
variety of formats including:  HTML, Microsoft Word, ASCII text, and
Portable Document Format (PDF).  Paper copies may be ordered from:

NSF Clearinghouse
P.O. Box 218
Jessup, MD 20794-0218

Telephone: 301.947.2722
e-mail: 

All NSF publications should be clear and understandable.  If you have
suggestions on how NSF can improve this or other NSF publications, 
please email: .

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FOREWORD

This Guide provides guidance for the preparation of unsolicited
proposals to NSF.  Some NSF programs have specific program
solicitations  that may modify th e general provisions of this Guide.
Contact with NSF program personnel prior to proposal preparation is
encouraged.

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

General information about NSF programs may be found in the NSF Guide to
Programs.  Additional information about special requirements of
individual NSF programs may be obtained from the appropriate Foundation
program offices.  Information about most program deadlines and target
dates for proposals appears in the NSF Bulletin, an electronic
publication available at:  .  Program deadline and
target date information also appear s in individual program
announcements and solicitations and on relevant NSF Division Web
sites.  A complete listing of all upcoming deadlines, sorted by date
and by program area is available on the NSF Web site at:
.

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

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

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

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

Catalog of Federal Domestic Assistance

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

	47.041 - Engineering Grants
	47.049 - Mathematical and Physical Sciences
	47.050 - Geosciences
	47.070 - Computer and Information Science and Engineering
	47.074 - Biological Sciences
	47.075 - Social, Behavioral and Economic Sciences
	47.076 - Education and Human Resources
	47.078 - Office of Polar Programs

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

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SUMMARY OF SIGNIFICANT CHANGES

o Overall Document - Minor editorial changes have been made throughout
the document to either clarify or enhance the intended meaning of a
sentence/section.  jfmt}fmt: Command not found.  entities that are
funded and how NSF relies on the expertise of the scientific,
engineering and education community in the conduct of our mission.

o Chapter I - Section B, The Proposal, has been updated to inform
propose rs that there is a feature in FastLane which can be used to
mark proprieta ry and privileged information in a proposal.  A caveat
has been added that , while NSF tries to ensure that such material is
not released, NSF is no t liable should this occur.

o Chapter I - Section C, NSF FastLane System, has been
supplemented with several changes.  First, it instructs PIs to contact
their sponsored projects office for the assignment of a FastLane PIN
and general information on how to use the system. Next, a short
explanation of the Federal Commons is given.  FastLane will eventually
be integrated with the Federal Commons and in anticipation of that,
PIN's will be phased out a nd a new password system will be
implemented.

o Chapter I - Section F, How to Submit Proposals, has been
revised to stipulate that:

	+  Effective October 1, 2000, all NSF proposals will be
	required to be submitted via FastLane.  Proposers and grantees
	are encouraged to review Important Notice 123, which outlin es
	the timeline for implementation of NSF's electronic commerce
	plans.

	+ For proposals submitted via FastLane, the signed proposal
		Cover Sheet (NSF Form 1207) must be postmarked within
		five working days after the proposal is submitted and
		forwarded to the address listed in the GPG.

	+ Appendix A should be consulted to find out the required
	number
		of paper copies that should be submitted.

	+ When a proposal is submitted, the proposal number and program
	it has been assigned to can be viewed using various
	FastLane modules.

o       Chapter II - First Paragraph, contains the URL for FastLane
proposal preparation and submission FAQ's.

o       Chapter II - Section D, Sections of the Proposal, has been
supplemented with information on the new barcodes that have been added
to each of th e proposal forms.

o       Chapter II - Section D.1, Cover Sheet for Proposal to the
National Scie nce Foundation, has been clarified to state that
proposers are required to complete the "For Consideration by NSF
Organizational Unit" block and should use Appendix A as a guide in
identifying the correct Program (an d Division) to which the proposal
should be routed.

o       Chapter II - Section D.4, Project Description, has been
supplemented wi th language that permits group proposals to exceed the
15-page Project Description limitation when approval has been obtained
from the NSF program officer prior to submission of the proposal.  In
previous versi ons of the Grant Proposal Guide, this stipulation was
contained in the Grou p and Collaborative Proposals Section.

o       Chapter II - Section D.6, Biographical Sketches, has been
revised and reorganized.  There are five sections, including
"Professional Preparation," "Appointments," "Publications,"
"Collaborators and Other Affiliations" as well as a new section
entitled "Synergistic Activities."

o       Chapter II - Section D.7.l, Cost Sharing, incorporates the
recent Natio nal Science Board (NSB) approved cost sharing policy.
With regard to proposals submitted solely in response to the GPG, only
statutory (1%) cost sharing is required.

o       Chapter II - Section D.12.a, Small Grants for Exploratory
Research (SGER), has been updated to encourage submissionof SGER
proposals via FastLane.

o       Chapter II - Section D.12.b, Collaborative Proposals, has been
restructured to clearly delineate the instructions for submission of
collaborative proposals from two or more organizations.  Such proposals
can be submitted as either one proposal, or as simultaneous submission
of proposals from different organizations.  Detailed instructions on
how t o submit by FastLane or by paper are also included in this
section.  Prior to submission of a collaborative proposal, PIs are
reminded to contact the cognizant NSF program officer.

o       Chapter II - Section D.12.d, Proposals Involving Vertebrate
Animals, has been supplemented with instructions to proposers to
include the date that IACUC review is scheduled to be completed, if it
is not possible to have the review done in advance.

o       Chapter III - Section A, Review Criteria, has a new part added
that reinforces the importance of integrating diversity into NSF's
programs, projects and activities, and addressing the integration of
research and education when   preparing and reviewing NSF proposals.

o       Chapter III - Section B, Administrative Corrections to FastLane
Proposals, has been supplemented with detailed information on this new
feature in FastLane.

o       Chapter III - Section C, Revisions to Proposals made during the
Review Process, has been revised to include examples of what would be
considered a "significant development" on a project.  The language on
reductions in budget or scope of a project has also been revised to be
consistent with the recent NSB approved cost sharing policy.

o       Chapter V - Section F, Human Resources Development, has been
modified to include an updated listing of NSF programs whose purpose is
to increase participation by women, minorities, persons with
disabilities and faculty from minority and/or predominantly
undergraduate institutions.

o       Chapter V - Section K, Small Business Innovation Research
(SBIR) Program, has been updated to include coverage on the new Phase
IIB option.  This option is not available for the Small Business
Technology Transfer (STTR) Program.

o       Chapter VI - Section C, No-Cost Extensions, has been
supplemented to inform readers that all grantee-authorized and
NSF-approved extensions will have to be submitted via FastLane by
January 1, 2000.

o       Chapter VII - Section B, Prior Approval Requirements, has been
updated to inform readers that all prior approval requests will have to
be submitted via FastLane by January 1, 2000.

o       Chapter VII - Section G, Grant Reports, has been revised to
show that, starting October 1, 1999, PI's will be required to use the
electronic project reporting system in the preparation and submission
of reports to the Foundation.

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TABLE OF CONTENTS

I.      Introduction
A.      Overview
	1.      Unsolicited Proposals
	2.      Solicited Proposals
	3.      General
B.      The Proposal
	Proprietary or Privileged Information
C.      NSF FastLane System
D.      Who May Submit Proposals
	Categories of Proposers
E.      When to Submit Proposals
F.      How to Submit Proposals
II.     Instructions for Proposal Preparation
A.      Conformance with Instructions for Proposal Preparation
B.      Special Instructions for Single-Copy Documents
	1.Information About Principal Investigators/Project Direc tors
		and co-Principal Investigators/co-Project Directors
	2.      List of Suggested Reviewers or Reviewers Not to Include
	3.      Certification Page
C.      Format of the Proposal
D.      Sections of the Proposal
	1. Cover Sheet for Proposal to the National Science Foundation
	2.      Project Summary
	3.      Table of Contents
	4.      Project Description
		Results from Prior NSF Support
	5.      References Cited
	6.      Biographical Sketches
	7.      Budget
		a.      Salaries and Wages
			(i)     Policies
			(ii)    Procedures
			(iii)   Confidential Budgetary Information
		b.      Fringe Benefits
		c.      Equipment
		d.      Travel
			(i)     General
			(ii)    Domestic Travel
			(iii)   Foreign Travel
		e.      Participant Support
		f.      Other Direct Costs
			(i)     Materials and Supplies
			(ii)    Publication/Documentation/Dissemination
			(iii)   Consultant Services
			(iv)    Computer Services
			(v)     Subawards
		g.      Total Direct Costs
		h.      Indirect Costs (also known as Facilities &
			Administrative Costs)
		i.      Total Direct and Indirect Costs
		j.      Residual Funds
		k.      Amount of This Request
		l.      Cost Sharing
		m.      Unallowable Costs
			(i)     Entertainment
			(ii)    Meals and Coffee Breaks
			(iii)   Alcoholic Beverages
	8.      Current and Pending Support
	9.      Facilities, Equipment and Other Resources
	10.     Special Information & Supplementary Documentation
	11.     Appendices
	12.     Special Guidelines
			a. Small Grants for Exploratory Research (SGER)
			b.      Collaborative Proposals
			c.      Equipment Proposals
			d.      Proposals Involving Vertebrate Animals
			e.      Proposals Involving Human Subjects
III.    NSF Proposal Processing and Review
A.      Review Criteria
B.      Administrative Corrections to FastLane Proposals
C.      Revisions to Proposals Made During the Review Process
D.      Award Recommendation
E.      Copies of Reviews
IV.     Withdrawals, Returns and Declinations
A.      Withdrawals
B.      Returns
C.      Declinations
D.      Reconsideration
E.      Resubmission
V.      Special Programs
A.      Research Instrumentation/Facilities
B.      Conferences, Symposia and Workshops
C.      International Cooperative Activities
D.      International Travel Grants
E.      Doctoral Dissertation Research
F.      Human Resources Development
G.      Facilitation Awards for Scientists and Engineers with Disabilities
H.      Research Opportunity Awards (ROAs)
I.      Research Experiences for Undergraduates (REUs)
J.      Partnerships for Advanced Computational Infrastructure (PACI)
K.      Small Business Innovation Research (SBIR) Program
L.      Small Business Technology Transfer (STTR) Program
VI.     Award and Continued Support
A.      Standard and Continuing Grants
	Effective/Expiration Dates and Preaward Costs
B.      Additional Support
	1.      Incremental Funding
	2.      Renewal Proposals
		Traditional Renewal
		Accomplishment-Based Renewal (ABR)
	3.      Two-Year Extensions for Special Creativity
	4.      Supplemental Funding
C.      No-Cost Extensions
	1.      Grantee-Authorized Extension
	2.      NSF-Approved Extension
VII.    Grant Administration Highlights
A.      General Requirements
B.      Prior Approval Requirements
C.      Transfer of PI
D.      Equipment
E.      Excess Government Property
F.      Suspension or Termination of Grants
G.      Grant Reports
	1.      Annual and Final Project Reports
	2.      Quarterly and Final Expenditure Reports
H.      Sharing of Findings, Data and Other Research Products
I.      Acknowledgment of Support and Disclaimer
J.      Release of Grantee Proposal Information
K.      Legal Rights to Intellectual Property
L.      Year 2000 Computer Problem
Appendices
A.      Programs Providing Support for Scientific & Engineering Research &
	Education
B.      Checklist for Proposal Preparation
C.      Definitions of Categories of Personnel
Proposal Forms Kit

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CHAPTER I
INTRODUCTION

A.      OVERVIEW

1.      Unsolicited Proposals

The Grant Proposal Guide (GPG) provides guidance for preparation of
unsolicited proposals to NSF.  Proposals submitted in response to NSF
program announcements are considered unsolicited and are prepared in
accordance with GPG formatting and other requirements.  Proposers
should be aware that awards resulting from unsolicited research
proposals are subject to statutory cost sharing.  (See Section II.D.7.l
and Grant Policy Manual (GPM) Section 330.) Unsolicited proposals are
evaluated in accordance with the general evaluation criteria identified
in Chapter III and compete with each other, but less directly than d o
solicited proposals.

2.      Solicited Proposals

NSF also solicits proposals for support in NSF targeted areas through
issuance of specific program solicitations.  Program solicitations are
specifically designated as such, are more definitive than program
announcements and generally describe types of projects the program
wishes to fund.  Competition among proposals is more focused and
special evaluation and selection procedures are often used.  Statutory
cost sharing is not required; however, there may be other cost sharing/
matching requirements.

Note:  The NSF Custom News Service is an information-delivery system
designed to keep potential proposers and other interested parties
apprised of the issuance of new program announcements and solicitations
(as well as other NSF publications and policies) through Internet
e-mail or the user's Web browser.  Subscribers are informed each time
new publications are issued that match their identified interests.  To
subscribe to the Custom News Service, go to NSF's Web site at:
 and click on "Custom News" on the toolbar.

3.      General

The Foundation considers proposals submitted by individuals or groups for
support in most fields of research.  (See Appendix A for programs.)
Interdisciplinary proposals are also eligible for consideration.

NSF does not normally support technical assistance, pilot plant
efforts, research requiring security classification, the development of
products for commercial marketing or market research for a particular
project or invention.  Research with disease-related goals, including
work on the etiology, diagnosis or treatment of physical or mental
disease, abnormality, or malfunction in human beings or animals, is
normally not supported.  Animal models of such conditions or the
development or testing of drugs or other procedures for their treatment
also are not eligible for support.  Research in bioengineering, with
diagnosis or treatment-related goals, however, that applies engineering
principles to problems in biology and medicine while advancing
engineering knowledge is eligible for support.  Bioengineering research
to aid persons with disabilities is also eligible.

Research proposals to the Biological Sciences Directorate (not
proposals for conferences or workshops) cannot be duplicates of
proposals to any other Federal agency for simultaneous consideration.
The only exceptions to this rule are:  (1) when the proposers and
program managers at relevant Federal agencies have previously agreed to
joint review and possible joint funding of the proposal; or (2)
proposals from beginning investigators (individuals who have not been a
principal investigator (PI) (see endnote 2) or co-principal
investigator (co-PI on a Federally funded award with the exception of
doctoral dissertation, postdoctoral fellowship or research planning
grants).  For proposers who qualify under this latter exception, the
box for "Beginning Investigator" should be checked on the Cover Sheet
for Proposal to the National Science Foundation, NSF Form 1207.

NSF expects strict adherence to the rules of proper scholarship and
attribution.  The responsibility for proper attribution and citation
rests with authors of a research proposal; all parts of the proposal
should be prepared with equal care for this concern.  Serious failure
to adhere to such standards can result in findings of misconduct in
science.  NSF policies and rules on Misconduct in Science and
Engineering are discussed in GPM Section 930.

B.      THE PROPOSAL

The proposal should present the (1) objectives and scientific or
educational significance of the proposed work; (2) suitability of the
methods to be employed; (3) qualifications of the investigator and the
grantee organization (see endnote 3) (4) effect of the activity on the
infrastructure of science, engineering and education; and (5) amount of
funding required.  It should present the merits of the proposed project
clearly and should be prepared with the care and thoroughness of a
paper submitted for publication.  Sufficient information should be
provided so that reviewers will be able to evaluate the proposal in
accordance with the two merit review criteria established by the
National Science Board.  (See Chapter III.)  As a matter of
convenience, a checklist is provided as Appendix B, to help assure that
proposals are complete before submission to NSF.

Proprietary or Privileged Information

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

	"The following is (proprietary or confidential)
	information that (name of proposing organization)
	requests not be released to persons outside the
	Government, except for purposes of review and
	evaluation."

The box for "Proprietary and Privileged Information" should be checked
on the proposal Cover Sheet (NSF Form 1207) when the proposal contains
such information.  This feature also may be accomplished for proposals
submitted electronically vi a FastLane.  While NSF will make every
effort to prevent unauthorized access to such material, the Foundation
is not responsible or in any way liable for the release of such
material.

(See also Section VII.J, "Release of Grantee Proposal Information.")

C.      NSF FASTLANE SYSTEM

The NSF FastLane system uses Internet/Web technology to facilitate the
way NSF does business with the research, education, and related
communities.  The NSF FastLane system is available for proposal
preparation; submission and status checking; project reporting; and
post-award administrative activities.  All FastLane functions are
accessed by using a Web browser on the Internet.  There is a link to
FastLane on the NSF Web site, or FastLane can be accessed directly at:
.

Access to proposal and post-award functions is limited to staff from
FastLane- registered organizations and is secured through the use of
Personal Identification Numbers (PINs).  To register an organization,
authorized organizational representatives must complete the
registration form that is available through the Registration
Information hyperlink on the FastLane Web site.  Once an organization
is registered, individual staff should contact the organization's
sponsored projects office (or equivalent) for assignment of a PI N and
information about how to access and use the system for most
grant-related activities.

In the future, the Federal Commons project 
will provide a common interface for grantees in accessing electronic
business functions from a variety of federal grant-funding agencies.
The Foundation is an active participant in the Federal Commons project
and as this project develops, FastLane registration and security will
be integrated with the Federa l Commons.  In anticipation of this, the
FastLane PIN system will be moving to a password system.  At that time,
all references to PINs will be changed to passwords.

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

D.      WHO MAY SUBMIT PROPOSALS

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

Categories of Proposers

Except where a program solicitation establishes more restrictive
eligibility criteria, individuals and organizations in the following
categories may submit proposals:

1.      Universities and colleges - US universities and two- and
four-year colleges (including community colleges) acting on behalf of
their faculty members.

2.      Non-profit, non-academic organizations - Independent museums,
observatories, research laboratories, professional societies and
similar organizations in the US that are directly associated with
educational or research activities.

3.      For-profit organizations - US commercial organizations,
especially small businesses with strong capabilities in scientific or
engineering research or education.  (See Section V.K for specific
information on the Small Business Innovation Research (SBIR) program.)
An unsolicited proposal from a commercial organization may be funded
when the project is of special concern from a national point of view,
special resources are available for the work, or the proposed project
is especially meritorious.  The 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
commercial sector.

4.      State and Local Governments - State educational offices or
organizations and local school districts may submit proposals intended
to broaden the impact, accelerate the pace and increase the
effectiveness of improvements in science, mathematics and engineering
education in both K-12 and post-secondary levels.

5.      Unaffiliated Individuals - Scientists, engineers or educators
in the US and US citizens may be eligible for support, provided that
the individual is not employed by or affiliated with an organization
and:

	o the proposed project is sufficiently meritorious and
	otherwise complies with the conditions of any applicable
	proposal generating document; 


	o the proposer has demonstrated the capability and has ac cess
	to any necessary facilities to carry out the project; and

	o the proposer agrees to fiscal arrangements, which, in the
	opinion of the NSF Grants Office, ensure responsible
	management of Federal funds.

Unaffiliated individuals should contact the appropriate program
before preparing a proposal for submission.

6.      Foreign organizations - NSF rarely provides support to foreign
organizations.  The NSF will consider proposals for cooperative
projects involving US and foreign organizations, provided support is
requested only for the US portion of the collaborative effort.  (For
further information, contact the Division of International Programs,
Appendix A.)

7.      Other Federal agencies - NSF does not normally support research
or education activities by scientists, engineers or educators employed
by Federal agencies or Federally Funded Research and Development
Centers (FFRDCs). A scientist, engineer or educator, however, who has a
joint appointment with a university and a Federal agency (such as a
Veterans Administration Hospital, or with a university and a FFRDC) may
submit proposals through the university and may receive support if
he/she is a bona fide faculty member of the university, although part
of his/her salary may be provided by the Federal agency.  Under unusual
circumstances, other Federal agencies and FFRDCs may submit proposals
directly to NSF.  Preliminary inquiry should be made to the appropriate
program before preparing a proposal for submission.

E.      WHEN TO SUBMIT PROPOSALS

Many NSF programs accept proposals at any time.  Other programs,
however, establish target dates (see endnote 4) or deadlines (see
endnote 5) for submission of proposals to allow time for their
consideration by review panels that meet periodically.  These target
dates and deadlines are published in specific program announcements and
solicitations, which can be obtained from the NSF Clearinghouse at:
 or electronically through the NSF Web site at:
 (see endnote 6).   Unless otherwise stated in a
program announcement, proposals must be received by the specified
date.  A paper proposal received after a deadline, however, may be
acceptable if it carries a legible proof-of-mailing date assigned by
the carrier and the proof-of-mailing date is not later than one week
prior to the deadline date.  If the deadline date falls on a weekend,
it will be extended to the following Monday; if the date falls on a
holiday, it will be extended to the following work day.  The deadline
date will be waived only in extenuating circumstances.  Inquiry about
submission may also be made to the appropriate program.

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

F.      HOW TO SUBMIT PROPOSALS

In September 1998, the NSF Director issued Important Notice 123,
Working Towards a Paperless Proposal and Award System
 that describes NSF's vision
for the future in electronic business and outlines the schedule for
implementation.  As stipulated in this Notice, all proposals will be
required to be submitted via FastLane effective October 1, 2000.  Some
NSF programs may require electronic submission of all or part of a
proposal, including unsolicited proposals prior to this date.  Please
check the FastLane Web site prior to proposal submission for a listing
of programs and program announcements and solicitations that require
submission via FastLane.  NSF recommends that all proposers and grantee
organizations review Important Notice 123 to be aware of the
implementation timelines stipulated in this document.

In the interim, for standard unsolicited proposals, electronic proposal
submission via FastLane is the preferred method and is strongly
encouraged (see endnote 7).   Unless otherwise specified by a program
or in a program announcement or solicitation, however, proposals may
continue to be submitted in paper form.

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

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

1. Electronic submission.  A proposal is considered complete when the
proposal, including the Project Description, has been submitted to
NSF.  If the Project Description is included in the electronic
submission, unless otherwise specified in a program solicitation, the
receipt date will be the date the sponsored projects office transmits
the proposal to NSF.  The signed proposal Cover Sheet (NSF Form 1207)
must be postmarked (or provide a legible proof of mailing date assigned
by the carrier) within five working days following the electronic
submission of the proposal and forwarded to the following address:

National Science Foundation
DIS-FastLane Cover Sheet
4201 Wilson Blvd.
Arlington, VA  22230

A proposal may not be processed until the complete proposal (including 
signed Cover Sheet) has been received by NSF.

2.  Paper submission.  The delivery address must clearly identify the
NSF announcement or solicitation number under which the proposal is
being submitted, if applicable.  If the proposal is not submitted in
response to a specific announcement, proposers should enter the NSF
Program(s), using Appendix A as a guide, to which the proposal should
be directed.  Appendix A also indicates the required number of copies
of proposals to be forwarded to NSF, including the original signed
copy.   NSF will determine which program(s) will evaluate each
proposal.

Unless stated otherwise in a program solicitation, proposals should not
be addressed or sent directly to the cognizant Program Officer.  If
copies of the proposal are mailed or delivered in more than one
package, the number of packages and the NSF announcement or
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 below
address, weekdays, except Federal holidays, between the hours of 8:30
a.m. and 5:00 p.m. ET.  Contact the NSF Mail Room, 703.306.0657, with
any questions regarding the mailing or delivery of proposals.

Proposals must be addressed exactly as follows:

ANNOUNCEMENT/SOLICITATION NO________________
NATIONAL SCIENCE FOUNDATION PPU
4201 WILSON BLVD. ROOM P60
ARLINGTON VA  22230

3.      Acknowledgment of proposal receipt.  The acknowledgment of the
receipt of the proposal will reference both the NSF proposal number and
the cognizant NSF program to which the proposal has been assigned.
Once the proposal is submitted, PIs can access the proposal number via
the "View Submitted Proposal" list in the FastLane proposal preparation
module.

When the proposal is assigned to a NSF program, the cognizant program
information is available through the FastLane "Proposal Status Inquiry"
function for PIs and through the "Recent Proposals" report for
sponsored projects offices.  Communications about the proposal should
be addressed to the cognizant Program Officer with reference to the
proposal number.  Proposers are encouraged to use FastLane to verify
the status of their submission to NSF.

-----------------------------------------------------------------------------
Endnotes:

2. As used in this Guide, the term "Principal Investigator" also includes
the term "Project Director."

3. Unless otherwise specified, the term "organization" refers to all
categories of proposers.

4. Target dates are dates after which proposals will still be reviewed,
although they may miss a particular panel or committee meeting.

5. Deadlines are dates after which proposals usually will not be accepted
for review by NSF.

6. A complete listing of all upcoming deadlines, sorted by date and by
program area is available electronically on the NSF Web site at:
.

7. Detailed instructions for proposal preparation and submission via FastL
ane are available at: .

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

CHAPTER II
INSTRUCTIONS FOR PROPOSAL PREPARATION

Organizations applying for the first time, or which have not received a
NSF award within the preceding two years, should refer to GPM Section
501, for instructions on specific information that may be requested by
NSF or consult the Prospective New Awardee Guide (NSF 99-78) on the NSF
Web site at:.

to facilitate proposal preparation, Frequently Asked Questions (FAQs)
regarding proposal preparation and submission are available
electronically on the NSF Web site at:
.  FAQs regarding FastLane
proposal preparation and submission are available
at:.

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

A. CONFORMANCE WITH INSTRUCTIONS FOR PROPOSAL PREPARATION

It is important that all proposals conform to the instructions provided
in the GPG and in the Proposal Forms Kit.  Conformance is required and
will be strictl y enforced unless a deviation has been approved.
Proposals that are not consistent with these instructions may not be
considered by NSF.  Particular attention is given to proposal length,
content and formatting, including the page limitation on the Project
Description and other proposal sections, such as the use of Appendices
and required content of the Biographical Sketches.

Any deviations from these instructions must be authorized in advance by
NSF.  Deviations may be authorized in one of two ways:

1. through specification of different requirements in a NSF 
solicitation; or

2. by the written approval of the cognizant NSF Assistant
Director/Office head or designee.  Such deviations may be a "blanket
deviation" for a particular program or programs or, in rare instances,
an "individual" deviation for a particular proposal.

Proposers may deviate from these instructions only to the extent
authorized.  Proposals must identify the deviation in one of the
following ways as appropriate: (a) by identifying the program
announcement number in the appropriate block on the NSF Form 1207; or
(b) by identifying the date of the deviation authorization in the
program announcement block on the NSF Form 1207, and including one copy
of the written deviation authorization with the single- copy documents
identified in paragraph B. below.  For proposals submitted via
FastLane, the name, date and title of the NSF official authorizing the
deviatio n should be entered.  Further instructions are available on
the FastLane Web site.

B.      SPECIAL INSTRUCTIONS FOR SINGLE-COPY DOCUMENTS

The following single-copy documents, if applicable, should be attached
to the front of the proposal in the order identified below.

1. Information About Principal Investigators/Project Directors and co-
Principal Investigators/co-Project Directors (NSF Form 1225)

NSF is committed to providing equal opportunities for participation in
its programs and promoting the full use of the Nation's research
resources.  To aid in meeting these objectives, NSF requests
information on the gender, race, ethnicity and disability status of
individuals named as PIs/co-PIs on proposals and awards.  Except for
the required information about current or previous Federal research
support and the name(s) of the PI/co-PI, submission of the information
on the form is voluntary, and individuals who do not wish to provid e
the personal information should check the box provided for that
purpose.  One copy of the form should be submitted for each PI/co-PI
identified on the proposal.  The forms and the information they contain
are accessible by NSF personnel only.

2. List of Suggested Reviewers or Reviewers Not to Include (optional)

Proposers may include, in a cover letter or separate sheet, a list of
suggested reviewers that the proposers believe are especially well
qualified to review th e proposal.  Proposers may also designate
persons they would prefer not review th e proposal, indicating why.
These suggestions are optional.  The cognizant Program Officer handling
the proposal considers the suggestions and may contact the proposer for
further information.

3. Certification Page (Page 2 of the Cover Sheet for Proposal to 
the National Science Foundation, NSF Form 1207)

By signing Page 2 of the NSF Form 1207, PIs and authorized
organizational representatives are providing certain required
certifications.  (See Section II.D.1 for further information regarding
certifications.)  The NSF FastLane system currently cannot be used to
submit this information.  Section F of Chapter I contains further
instructions for proposals submitted via FastLane.

C. FORMAT OF THE PROPOSAL

Every page of the proposal must be numbered at the bottom center.
Proposers however, may select any numbering mechanism for the proposal
(e.g., sections ma y be separately paginated and include both the
section and page number on the bottom of each page, or the entire
proposal may be numbered consecutively).

Proposals must be stapled in the upper-left-hand corner (for copies
other than the original, a simple binding such as a comb binding also
is permitted) and have 2.5 cm margins at the top, bottom and on each
side. The type size must be clear and readily legible, in standard size
which is 10 to 12 points.  (No smaller than 10 point font size will be
accepted.)  If constant spacing is used , there should be no more than
12 characters per 2.5 cm, whereas proportional spacing should provide
no more than an average of 15 characters per 2.5 cm.  While line
spacing (single-spaced, double-spaced, etc.) is at the discretion of
the proposer, established page limits must be followed and there also
must be n o more than 6 lines in a vertical space of 2.5 cm.
(Individual program solicitations may eliminate this proposer option.)
The original signed copy of the proposal should be printed only on one
side of each sheet.  Additional copies may be printed on both sides.

Pages submitted must be of standard size.  Metric A4 (210 mm x 297 mm)
is preferred, however, 8 1/2" x 11"  (216 mm x 279 mm) may be used.
Pages must conform to the formatting instructions (in particular, 2.5
cm margins and type size limitations) described above.

D.  SECTIONS OF THE PROPOSAL

Proposers may select any numbering mechanism for the proposal (e.g.,
sections may be separately paginated and include both the section and
page number on the bottom center of each page, or the entire proposal
may be numbered consecutively.)  The proposal must be assembled in the
following sequence:

Codes:
1 =  Use of format required (see endnote 8)
2 =  Use of format optional
3 =  Use instructions provided in GPG for preparation of this section

Note:  NSF is in the process of recording all the contents of a
proposal in electronic format.  Therefore the various forms contained
in the Proposal Forms Kit now include barcodes as part of the form.
All paper proposals submitted to NSF must include the bar codes
provided on each NSF required format.

Barcodes are not relevant to proposals prepared via FastLane.

Section in Proposal

* Cover Sheet for Proposal to the National Science Foundation 
    (NSF Form 1207) (page 1 - all copies; page 2 - original signature copy 
    only - see Section II.B.3)(code 1)
 A Table of Contents (NSF Form 1359) (code 1)
 B Project Summary (code 3)
 C Project Description (including Results from Prior NSF Support) (code 3)
 D References Cited (code 3)
 E Biographical Sketches (code 3)
 F Summary Proposal Budget (NSF Form 1030) (cumulative and annual budgets,
    including subaward budget(s), if any, and up to three pages of Budget
    Justification) (code 1)
 G Current and Pending Support (NSF Form 1239) (code 2)
 H Facilities, Equipment and Other Resources (NSF Form 1363) (code 2)
 I Special Information and Supplementary Documentation (code 3)
 J Appendices (Include only if approved in advance of proposal 
    submission by NSF Assistant Director/Office Head, or designee, 
    or by program solicitation)

1. Cover Sheet for Proposal to the National Science Foundation

The required format for the Cover Sheet for Proposal to the National
Science Foundation (NSF Form 1207) is shown in the Proposal Forms Kit.
One copy of the proposal must be signed by the PI(s) and an official
authorized to commit the organization in business and financial
affairs.  Other copies may include page 1 of the NSF Form 1207 only.

Proposers are required to enter the applicable program announcement or
solicitation number and closing date in the block entitled, "Program
Announcement/Solicitation No./Closing Date."  If the proposal is not
submitted in response to a specific program announcement or
solicitation, proposers must enter "NSF 00-2."  Compliance with this
requirement is critical to determining the relevant proposal processing
guidelines.  Using Appendix A as a guide, proposers also are required
to enter the NSF Program(s) (and associated Division) to which the
proposal should be directed in the block entitled, "For Consideration
by NSF Organizational Unit."

A block is included for the proposer to enter its organization's Data
Universal Numbering System (DUNS) number.  The DUNS number is a
nine-digit number assigned by Dun and Bradstreet Information
Services.  If the proposer does not have a DUNS number, it should
contact Dun and Bradstreet by telephone directly at 800.333.0505 to
obtain one.  A DUNS number will be provided immediately by telephone at
no charge.

Should the project be performed at a place other than where the award
is to be made, that should be identified in the block entitled, "Name
of Performing Organization."  Examples are as follows:

Grantee Organization          Performing Organization

Northern Virginia University  Northern Virginia University Health Center

Southern Virginia University  Southern Virginia University Research 
                                    Foundation

The title of the project should be brief, scientifically or technically
valid, intelligible to a scientifically or technically literate reader,
and suitable for use in the public press.  The NSF may edit the title
of a project before making an award.

Some NSF program solicitations require submission of both a preproposal
and full proposal as part of the proposal process.  A block has been
added to identify, in submission of the full proposal, any related
preproposal number assigned by NSF.

The proposed duration for which support is requested should be
consistent with the nature and complexity of the proposed activity.
Grants are normally awarded for up to three years but may be awarded
for periods up to five years.  The Foundation encourages PIs to request
awards for durations of three to five year s when such durations are
necessary for completion of the proposed work and when such durations
are technically and managerially advantageous.  Specification of a
desired starting date for the project is important and helpful to NSF
staff; however, requests for specific effective dates may not be met.
Except in special situations, requested effective dates should allow at
least six months for NSF review, processing and decision.  Should
unusual situations (e.g., a long lead time for procurement) create
problems regarding the proposed effectiv e date, the PI should consult
his/her organization's sponsored projects office.

Should any of the listed items on page 1 apply to a proposal, the 
appropriate box(es) should be checked.

The following blocks on page 1 are for NSF USE ONLY and should be left
blank by the proposer: NSF Proposal Number; Date Received; Number of
Copies; Division Assigned; Fund Code; and File Location.

The proposer must sign page 2 of the NSF Form 1207 to submit the
following required certifications (see Page 2 of the NSF Form 1207 for
important considerations regarding completion of the required
certifications):

Certification for Principal Investigators and Co-Principal
Investigators: The P I (and co-PIs) are required to complete
certifications regarding statements contained in the proposal,
authorship and reporting of the research and scientific conduct of the
project.  The signature(s) of the PI (and co-PIs) (including date of
signature(s)) are required.

Certification for Authorized Organizational Representative or
Individual Applicant:  The Authorized Organizational Representative
(AOR) is required to complete certifications regarding the accuracy and
completeness of statements contained in the proposal; as well as to
certify that the organization (or individual) agrees to accept the
obligation to comply with award terms and conditions.  The AOR's
signature (including date of signature) is required.  It is the
proposing organization's responsibility to assure that only properly
authorized individuals sign in this capacity.

Certification Regarding Conflict of Interest: A certification is also
included that requires an organizational representative to certify that
the institution has implemented and is enforcing a written policy on
conflicts of interests consistent with the provisions of Grant Policy
Manual, Section 510; that, to th e best of his/her knowledge, all
financial disclosures required by the conflict o f interest policy were
made; and that conflicts of interests, if any, were or, prior to the
institution's expenditure of any funds under the award, will be,
satisfactorily managed, reduced or eliminated in accordance with the
institution's (see endnote 9) conflict of interest policy.  Conflicts
that cannot be satisfactorily managed, reduced or eliminated must be
disclosed to NSF.Drug-Free Workplace: The AOR (or individual applicant)
is providing the Drug-Free Workplace Certification by signing page 2.

Debt/Debarment and Suspension:  The AOR is required to complete the
Debt and Debarment or Suspension questions by checking the appropriate
boxes.

Certification Regarding Lobbying:  The certification on Lobbying
Restrictions, entitled Certification for Contracts, Grants, Loans and
Cooperative Agreements, is included in full text on page 2 of the Cover
Sheet.  This certification is required when the proposal exceeds
$100,000.  Only if, pursuant to paragraph 2 of the certification,
submission of the "Disclosure of Lobbying Activities," SF LLL, is
required, should the box for "Disclosure of Lobbying Activities" be
checked on the Cover Sheet.  The signed SF LLL, when applicable, should
be included behind the single-copy documents identified in Section
II.B.  A copy o f this form may be obtained from the Policy Office at
703.306.1243 or by e-mail to: .

Profit-making organizations must certify their status by completing
each of the appropriate submitting organization boxes on the Cover
Sheet, using the following guidelines:

a. A small business must be organized for profit, independently owned
and operated (not a subsidiary of or controlled by another firm), have
no more than 500 employees, and not be dominant in its field.  The
appropriate box should also be checked when the proposal involves a
cooperative effort between an academic institution and a small
business.  

b. A minority business must be: (i) at least 51 percent owned by one or
more minority or disadvantaged individuals or, in the case of a
publicly owned business, have at least 51 percent of the voting stock
owned by one or more minority or disadvantaged individuals; and (ii)
one whose management and daily business operations are controlled by
one or more such individuals.

c. A woman-owned business must be at least 51 percent owned by a woman
or women , who also control and operate it.  "Control" in this context
means exercising th e power to make policy decisions.  "Operate" in
this context means being actively involved in the day-to-day
management.

2. Project Summary - Proposal Section A

The proposal must contain a summary of the proposed activity suitable
for publication, not more than one page in length.  It should not be an
abstract of the proposal, but rather a self-contained description of
the activity that woul d result if the proposal were funded.  The
summary should be written in the third person and include a statement
of objectives, methods to be employed and the potential impact of the
project on advancing knowledge, science and mathematics education,
and/or human resource development.  It should be informative to othe r
persons working in the same or related fields and, insofar as possible,
understandable to a scientifically or technically literate lay reader.

3. Table of Contents - Proposal Section B

The required format for the proposal Table of Contents (NSF Form 1359)
is included in the Proposal Forms Kit.  A Table of Contents is
automatically generated for proposals submitted via FastLane.

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

All proposals to NSF will be reviewed utilizing the merit review
criteria described in greater length in Chapter III.

The main body of the proposal should be a clear statement of the work
to be undertaken and should include: objectives for the period of the
proposed work and expected significance; relation to longer-term goals
of the PI's project; and relation to the present state of knowledge in
the field, to work in progres s by the PI under other support and to
work in progress elsewhere.  The statement should outline the general
plan of work, including the broad design of activities to be
undertaken, an adequate description of experimental methods an d
procedures and, if appropriate, plans for preservation, documentation,
and sharing of data, samples, physical collections and other related
research products.

The statement should also indicate any broader impacts of the proposed
activity , addressing the following: indicate how the project will
integrate research and education by advancing discovery and
understanding while at the same time promoting teaching, training, and
learning; discuss any ways in which the proposed activity will broaden
the participation of underrepresented groups; if relevant, discuss how
the project will enhance the infrastructure for research and/or
education, such as facilities, instrumentation, networks, and
partnerships; indicate how the results of the project will be
disseminated broadly to enhance scientific and technological
understanding; and, identify potential benefits of the proposed
activity to society at large.

Any substantial collaboration with individuals not included in the
budget shoul d 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 NS F Support, which is limited to five
pages) may not exceed 15-pages.  Visual materials, including charts,
graphs, maps, photographs and other pictorial presentations are
included in the 15-page limitation.  Conformance to the 15- page
limitation will be strictly enforced and may not be exceeded unless a
deviation has been specifically authorized.  (Section II.A contains
information on deviations.)

PIs wishing to submit a group proposal (a proposal that is submitted by
3 or more investigators and combines into one administrative mechanism
several projects that ordinarily would be funded separately) that might
exceed the 15- page limitation should discuss that possibility with the
cognizant program officer prior to submission, or examine the relevant
divisional Web page (see endnote 10).   (See section II.12.b. for
additional instructions on preparation and submission of collaborative
proposals.)

A proposal for renewed support, may be either a "traditional" proposal
in which the proposed work is documented and described as fully as
though the proposer were applying for the first time; or, an
"Accomplishment-Based Renewal" (ABR) proposal, in which the project
description is replaced by copies of no more tha n six reprints of
publications resulting from the re-search supported by NSF during the
preceding three to five year period, plus a brief summary of plans for
the proposed support period.  (See Section VI.B.2 for additional
information on preparation of Renewal Proposals.)

The Metric Conversion Act of 1975, as amended, and Executive Order
12770 of 1991 encourage Federal agencies to use the Metric System (SI)
in procurement, grants and other business-related activities.
Proposers are encouraged to use the Metric System of weights and
measures in proposals submitted to the Foundation.  Grantees are also
encouraged to use metric units in reports, publications and
correspondence relating to proposals and awards.

Results from Prior NSF Support

If the PI (or any co-PI identified on the proposal) has received NSF
funding in the past five years, information on the prior award is
required.  If the proposer has received more than one prior award
(excluding amendments), the proposer should report on the award most
closely related to the proposal.  The following information should be
provided:

 a. the NSF award number, amount and period of support;
 b. the title of the project;
 c. summary of the results of the completed work, including, for a
      research project, any contribution to the development of human
      resources in science and engineering;
 d. publications resulting from the NSF award;
 e. brief description of available data, samples, physical collections
      and other related research products not described elsewhere; and
 f. if the proposal is for renewed support, a description of the
      relation of the completed work to the proposed work.

Reviewers will be asked to comment on the quality of the prior work
described i n this section of the proposal.  Please note that a PI with
prior support may use up to five pages to describe the results.
Results may be summarized in fewer than five pages, which would give
the proposer the balance of the 15 pages for the Project Description.

Proposals for renewed support of research projects, for academic
institutions only, must include information on human resources
development at the postdoctoral, graduate and undergraduate levels.
This may involve, but is not limited to, the role of research in
student training, course preparation and seminars (particularly for
undergraduates).  Special accomplishments in the development of
professional scientists and engineers from underrepresented groups
should be described.  Graduate students who participated in the
research should be identified by name.  This requirement does not apply
to non-academic organizations.

5. References Cited - Proposal Section D

Reference information is required.  Each reference must include the
names of al l authors in the same sequence in which they appear in the
publication, the article title, book or journal title, volume number,
page numbers and year of publication.  Proposers should be especially
careful to follow accepted scholarly practices in providing citations
for source materials relied upon whe n preparing any section of the
proposal.  While there is no established page limitation, this section
should include bibliographic citations only and should not be used to
provide parenthetical information outside of the 15-page project
description.

6. Biographical Sketches - Proposal Section E

Biographical sketches are limited to two pages each and are required
for all senior project personnel.  (See Appendix C for definition of
Senior Personnel.) The following information must be provided:

a. Professional Preparation.  A list of the individual's undergraduate
and graduate education and postdoctoral training as indicated below:

Undergraduate Institution(s)      Major           Degree & Year
Graduate Institution(s)           Major           Degree & Year
Postdoctoral Institution(s)       Area            Inclusive Dates (years)

b. Appointments. A list, in reverse chronological order, of all the
individual's academic/professional appointments beginning with the
current appointment.

c. Publications.  (i) A list of up to 5 publications most closely
related to the proposed project.  (ii) A list of up to 5 other
significant publications, whether or not related to the proposed
project.  Each reference must include:

+ the names of all authors (in the same sequence in which they appear in
   the publication);
+ the article (or book or journal) title;
+ volume number;
+ page numbers;
+ year of publication; and
+ Web site address if available electronically

For unpublished manuscripts, list only those submitted or accepted for
publication (along with most likely date of publication).  Patents,
copyrights and software systems developed may be substituted for
publications.  Additional lists of publications, invited lectures,
etc., should not be included.  Only th e list of 10 will be used in the
review of the proposal.

d. Synergistic Activities.  A list of up to five examples that
demonstrate the broader impact of the individual's professional and
scholarly activities that focus on the integration and transfer of
knowledge as well as its creation
.
Examples could include, among others: innovations in teaching and
training (e.g., development of curricular materials and pedagogical
methods); contributions to the science of learning; development and/or
refinement of research tools; computation methodologies, and algorithms
for problem-solving; development of databases to support research and
education; broadening the participation of groups underrepresented in
science, mathematics, engineering and technology; and service on
national boards and committees.

e. Collaborators & Other Affiliations.

(i) Collaborators. A list of all persons in alphabetical order
(including, where possible, their current organizational affiliations)
who are currently or who have been collaborators or co-authors with the
individual on a project, book, article, report, abstract or paper
during the 48 months preceding the submission of this proposal.
Include collaborators on this proposal.  If there are no collaborators,
this should be so indicated.

(ii) Graduate and Post Doctoral Advisors. A list of the names of the
individual's own graduate advisor(s) and principal postdoctoral
sponsor(s), and their current organizational affiliations.

(iii) Thesis Advisor and Postgraduate-Scholar Sponsor.  A list of all
persons (including, where possible, their organizational affiliations),
over the last five years with whom the individual has had an
association as thesis advisor or postgraduate-scholar sponsor. The
total number of graduate students advised and postdoctoral scholars
sponsored should also be identified.

The information in part e of the biographical sketch is used to help
identify potential conflicts or bias in the selection of reviewers.

For the personnel categories listed below, the proposal also may
include information on exceptional qualifications that merit
consideration in the evaluation of the proposal.

a. Postdoctoral associates
b. Other professionals
c. Students (research assistants)

For equipment proposals, the following should be provided for each
auxiliary user:

a. Short biographical sketch
b. List of up to five publications most closely related to the proposed
     acquisition.

7. Budget - Proposal Section F

The required format for the Summary Proposal Budget (NSF Form 1030) is
shown in the Proposal Forms Kit.  In addition to the material provided
below, further instructions for completion of the budget (including
areas that require justification) are contained on the back of the NSF
Form 1030.  Locally produce d versions of the form may be used, but
changes or substitutions should not be made in prescribed budget
categories.  Unless a particular program solicitation stipulates
otherwise, each proposal must contain a budget for each year of support
requested and a cumulative budget for the full term of requested NSF
support.  The proposal may request funds under any of the categories
listed so long as the item and amount are considered necessary to
perform the proposed work and are not precluded by specific program
guidelines or applicable cost principles.  In addition to the forms,
the proposal may include up to three pages of budget justification for
the entire period of support.


a. Salaries and Wages (Lines A and B on NSF Form 1030)

(i)     Policies

As a general policy, NSF recognizes that salaries of faculty members
and other personnel associated directly with the project constitute
appropriate direct costs and may be requested in proportion to the
effort devoted to the project.

NSF regards research as one of the normal functions of faculty members
at institutions of higher education.  Compensation for time normally
spent on research within the term of appointment is deemed to be
included within the faculty member's regular organizational salary.
Grant funds may not be used to augment the total salary or rate of
salary of faculty members during the period covered by the term of
faculty appointment or to reimburse faculty members for consulting or
other time in addition to a regular full-time organizational salary
covering the same general period of employment.  Exceptions may be
considered under certain NSF science and engineering education program
solicitations for weekend and evening classes or for administrative
work done a s overload.  (See GPM Section 611.)

Summer salary for faculty members on academic-year appointments is
limited to no more than two-ninths of their regular academic-year
salary.  This limit include s 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 b e shown under "calendar months."  For such
persons, "summer salary" is normally inappropriate under a NSFgrant.

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 academi c institution.

In most circumstances, particularly for institutions of higher
education, salaries of administrative or clerical staff are included as
part of indirect costs (F&A).  Salaries of administrative or clerical
staff may be requested as direct costs, however, for a project
requiring an extensive amount of administrative or clerical support and
where these costs can be readily and specifically identified with the
project with a high degree of accuracy.  The circumstances for
requiring direct charging of these services should be clearly described
in the budget justification.  Such costs, if not clearly justified, may
be deleted by NSF.

(ii) Procedures

The names of the PI(s), faculty, and other senior personnel and the
estimated number of full-time-equivalent academic-year, summer, or
calendar-year person- months for which NSF funding is requested should
be listed.  For postdoctoral associates and other professionals, each
position must be listed, with the number of full-time-equivalent
person-months and rate of pay (hourly, monthly o r annual).  For
graduate and undergraduate students, secretarial, clerical, technical,
etc., whose time will be charged directly to the project, only the
total number of persons and total amount of salaries per year in each
category is required.  Salaries requested must be consistent with the
organization's regular practices.

The budget may request funds for support of graduate or undergraduate
research assistants to help carry out the proposed research.
Compensation classified as salary payments should be requested in the
salaries and wages category.  Any direct costs requested for tuition
remission should be listed under "Other Direct Costs".

(iii) Confidential Budgetary Information

The proposing organization may request that salary data on senior
personnel not be released to persons outside the Government during the
review process.  In this case, the item for senior personnel salaries
in the proposal may appear as a single figure and the person-months
represented by that amount omitted.  If this option is exercised,
however, senior personnel salaries and person-months must be itemized
in a separate statement, a single copy of which should accompany the
proposal.  This statement must include all of the information requested
on the NSF Form 1030 for each person involved.  NSF will not forward
the detailed information to reviewers and will hold it privileged to
the extent permitted by law.  The information on senior personnel
salaries will be used as the basis for determining the salary amounts
shown in the grant budget.  The bo x for "Pro-prietary and Privileged
Information" should be checked on the NSF Form 1207 when the proposal
contains confidential budgetary information.  This feature also may be
accomplished for proposals submitted electronically via FastLane (see
endnote 11).

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

If the grantee's usual accounting practices provide that its
contributions to employee benefits (social security, retirement, etc.)
be treated as direct costs, NSF grant funds may be requested to defray
such expenses as a direct cost, but only in proportion to salaries and
wages requested in the budget.

c. Equipment (Line D on NSF Form 1030)

Equipment is defined as an item of property that has an acquisition
cost of $5,000 or more (unless the organization has established lower
levels) and an expected service life of more than one year.  Items of
needed equipment should be listed individually by description and
estimated cost, including tax, and adequately justified.  Allowable
items will ordinarily be limited to research equipment and apparatus
not already available for the conduct of the work.  General purpose
equipment, such as a personal computer, is not eligible for support
unless primarily or exclusively used in the actual conduct of scientifi
c research.  (See Section II.D.7.f.(iv).)

d. Travel (Line E on NSF Form 1030)

(i)     General

Travel and its relation to the proposed activities should be
specified.  Funds may be requested for field work, attendance at
meetings and conferences, and other travel associated with the proposed
work, including subsistence.  In order to qualify for support,
however, attendance at meetings or conferences must enhance the PI's
ability to perform the work, plan extensions of it, or disseminate its
results.

Allowance for air travel normally will not exceed the cost of
round-trip, economy air fares. (See also GPM Section 614.)  Persons
traveling under NSF grants must travel by US-flag carriers, if
available.

(ii)    Domestic Travel

For budget purposes, domestic travel includes travel in the US, its
possessions, Puerto Rico, and travel to Canada and Mexico.

(iii)   Foreign Travel

For budget purposes, travel outside the areas specified above is
considered foreign.  The proposal should include relevant information,
including countries to be visited (also enter names of countries on the
NSF Form 1030) dates of visit, if known, and justification for any
foreign travel planned in connection with the project.

Travel support for dependents of key project personnel may be 
requested only when all of the following conditions apply:

    a. the individual is a key person who is essential to the 
         research on a full-time basis;

    b. the individual's residence away from home and in a foreign
    country is for a continuous period of six months or more and is
    essential to the effective performance of the project; and

    c. the dependent's travel allowance is consistent with the policies
    of the organization administering the grant.

e.   Participant Support (Line F on NSF Form 1030)

This budget category refers to costs of transportation, per diem,
stipends and other related costs for participants or trainees (but not
employees) in connection with NSF-sponsored conferences, meetings,
symposia, training activities and workshops.  (See Section V.B.)
Generally, indirect costs (F&A) are not allowed on participant support
costs.  The number of participants to be supported should be entered in
the parentheses on the NSF Form 1030.  These costs should also be
justified in the budget justification section of the proposal.

f. Other Direct Costs (Lines G1 through 6 on       NSF Form 1030)

Any costs charged to a NSFgrant must be reasonable and directly
allocable to the supported activity.  The budget should identify and
itemize other anticipated direct costs not included under the headings
above, including materials and supplies, publication costs, computer
services and consultant services.  Examples include aircraft rental,
space rental at research establishments away from the grantee
organization, minor building alterations, payments to human subjects,
service charges, tuition remission, and construction of equipment or
systems not available off the shelf.  Reference books and periodicals
may be charged to the grant only if they are specifically required for
the project.

(i)     Materials and Supplies (Line G1 on NSF Form 1030)

The budget should indicate the general types of expendable materials
and supplies required, with their estimated costs.  The breakdown
should be more detailed when the cost is substantial.

(ii) Publication/Documentation/Dissemination (Line G2 on NSF Form 1030)

The budget may request funds for the costs of documenting, preparing,
publishin g 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 cost s for prior or early
publication); necessary illustrations; cleanup, documentation, storage
and indexing of data and data bases; development, documentation and
debugging of software; and storage, preservation, documentation,
indexing, etc., of physical specimens, collections or fabricated
items.

(iii) Consultant Services (Line G3 on NSF Form 1030)

Anticipated consultant services should be justified and information
furnished o n each individual's expertise, primary organizational
affiliation, normal daily compensation rate, and number of days of
expected service.  Consultants' travel costs, including subsistence,
may also be included.  Payment for a consultant's services, exclusive
of expenses, may not exceed the consultant's normal rate or the daily
maximum rate established annually by NSF, whichever is less (see
endnote 12).

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

The cost of computer services, including computer-based retrieval of
scientific , technical and educational information, may be requested.
A justification based on the established computer service rates at the
proposing organization should be included.  (See also Partnerships for
Advanced Computational Infrastructure in Section V.J.)  The budget also
may request costs, which must be shown to be reasonable, for leasing of
automated data processing equipment.  Special purpos e computers or
associated hardware and software, other than general purpose PCs,
should be requested as items of equipment and justified in terms of
their necessity for the activity proposed.

(v) Subawards (see endnote 13) (Line G5 on NSF Form 1030)

Except for the procurement of such items as commercially available
supplies, materials, equipment or general support services allowable
under the grant, no significant part of the research or substantive
effort under a NSF grant may be contracted or otherwise transferred to
another organization without prior NSF authorization.  The intent to
enter into such arrangements should be disclosed in the proposal.  At a
minimum, the disclosure shall include a clear descriptio n of the work
to be performed, the basis for selection of the subawardee (except for
collaborative/joint arrangements), and a separate budget in the
prescribed NSF format for each subaward, signed by an authorized
representative of the organization receiving the subaward.
Collaborative/joint arrangements may include closely related and
coordinated activities at another organization; a joint activity by
several organizations or a consortium; group proposals from multiple
organizations, etc.  The total amount for proposed subawards, not
included elsewhere, should be entered on Line G5 in the Summary
Proposal Budget for the project.  For proposals submitted via FastLane,
budgets signed by the authorized organizational representative of the
subawardee organization must be forwarded to the proposing organization
and accompany the signed Proposal Cover Sheet (NSF Form 1207).

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

The total amount of direct costs requested by the proposer, to include
Lines A through G, should be entered on Line H.

h. Indirect Costs (also known as Facilities and Administrative Costs (F&A)
for Colleges and Universities) (Line I on NSF Form 1030)

The applicable indirect cost rate(s) negotiated by the organization
with the cognizant Federal negotiating agency must be used in computing
indirect costs (F&A) for a proposal.  If an organization has no
established indirect cost rate , it should contact the Cost
Analysis/Audit Resolution Branch of NSF's Division o f Contracts,
Policy and Oversight.  An organization may obtain guidelines for
submitting rate proposals from that Branch, telephone 703.306.1244.
These guidelines also are available electronically at the following Web
site at:  .

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

+ solely for the support of travel, equipment, construction of
	facilities, or doctoral dissertations;
+ for participant support costs;
+ to foreign grantees; and
+ to individuals (i.e., Fellowship awards).

i. Total Direct and Indirect Costs (F&A) (Line J on NSF Form 1030)

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

j.      Residual Funds (Line K on NSF Form 1030)

This line is used only for budgets for incremental funding requests on
continuing grants.  Grantees should provide a rationale for residual
funds in excess of 20% as part of the annual project report.

k.      Amount of This Request (Line L on NSF Form 1030)

The total amount of funds requested by the proposer will be the same as
the amount entered on Line J unless the Foundation disapproves the
carry-over of residual funds.  If disapproved, Line L will be equal to
Line J minus Line K.

l.      Cost Sharing (Line M on NSF Form 1030)

In accordance with Congressional requirements (see GPM 330), NSF
requires that each grantee share in the cost of research projects
resulting from unsolicited proposals.  The grantee may meet the
statutory cost sharing requirement by choosing either of two
alternatives:

1. by cost sharing a minimum of one percent on the project; or
2. by cost sharing a minimum of one percent on the aggregate costs of
	all NSF-supported projects requiring cost sharing.

The statutory cost sharing referenced above is not required for grants
that provide funds solely for the following purposes (not considered to
be support o f "research"), although such awards may be subject to
other cost sharing requirements identified in a specific solicitation:

1.      international travel;
2.      construction, improvement or operation of facilities;
3.      acquisition of research equipment;
4.      ship operations;
5.      education and training;
6.      publication, distribution and translation of scientific data 
          and information;
7.      symposia, conferences and workshops; and
8.      special studies authorized or required by Subsections 3a(5) 
          through 3a(7) of the NSF Act, as amended.

For research proposals submitted solely in response to the Grant
Proposal Guide , only the statutory cost sharing amount (1%) is
required.  Such amounts should not be entered on Line M of the Summary
Proposal Budget (NSF Form 1030).  If organizational or other
commitments in excess of NSF's statutory requirement ar e voluntarily
included in the proposal, the amount of these contributions should be
included on Line M of the NSF Form 1030.  The sources and amounts
should be included in the budget justification.  Any amount listed on
Line M will be a condition of the award, should an award be made.

Proposals submitted in response to NSF solicitations may be subject to
additional cost sharing requirements.  Proposers are advised that all
cost sharing commitments, if incorporated into the award, are subject
to audit.

The estimated value of any in-kind contributions should be included on
Line M.  An explanation of the source, nature, amount and availability
of any proposed cost sharing should also be provided in the budget
justification (see endnote 14).  It should be noted that contributions
counted as cost sharing toward projects of another Federal agency may
not be counted towards meeting the specific cost sharing requirements
of the NSF grant. Failure to provide the level of cost sharing
reflected in the approved grant budget may result in termination of the
NSF grant, disallowance of grant costs and/or refund of gran t funds to
NSF.

m.      Unallowable Costs

Proposers should be familiar with the complete list of unallowable
costs that i s 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 cost s directly associated with such activities (such as tickets to
shows or sports events, meals, lodging, rentals, transportation and
gratuities) are unallowable.

Expenses of grantee employees who are not on travel status are
unallowable.  This includes cases where they serve as hosts or
otherwise participate at meals that are primarily social occasions
involving speakers or consultants.  Costs o f employees on travel
status are limited to those allowed under the governing cost
principles for travel expenses.  (See GPM Section 614.)

(ii)    Meals and Coffee Breaks

No NSF funds may be spent on meals or coffee breaks for intramural
meetings of an organization or any of its components, including, but
not limited to, laboratories, departments and centers.

(iii)   Alcoholic Beverages

No NSF funds may be spent on alcoholic beverages.

8.      Current and Pending Support - Proposal Section G

A model format to provide Current and Pending Support information (NSF
Form 1239) is shown in the Proposal Forms Kit.  Use of this format is
optional; however, the categories of information included on the NSF
Form 1239 must be provided.  This section of the proposal calls for
required information on all current and pending support for ongoing
projects and proposals, including subsequent funding in the case of
continuing grants.  All current project support from whatever source
(e.g., Federal, State or local government agencies , private
foundations, industrial or other commercial organizations) must be
listed.  The proposed project and all other projects or activities
requiring a portion of time of the PI and other senior personnel should
be included, even i f they receive no salary support from the
project(s).  The total award amount for the entire award period covered
(including indirect costs) should be shown as well as the number of
person-months per year to be devoted to the project, regardless of
source of support.  Similar information must be provided for all
proposals already submitted or submitted concurrently to other possible
sponsors, including NSF.

If the project now being submitted has been funded previously by a
source other than NSF, the information requested in the paragraph above
should be furnished for the last period of funding.

If the proposal is also being submitted to other possible sponsors, all
of them must be listed.  Concurrent submission of a proposal to other
organizations wil l not prejudice its review by NSF.  Note the
Biological Sciences Directorate exception to this policy identified on
page 1.

9.      Facilities, Equipment and Other Resources - Proposal Section H

A model format to provide Facilities, Equipment and Other Resources
information (NSF Form 1363) is included in the Proposal Forms Kit.  Use
of this format is optional.  This section of the proposal is used to
assess the adequacy of the organizational resources available to
perform the effort proposed.  Proposers should describe only those
resources that are directly applicable.

10. Special Information and Supplementary Documentation - 
     Proposal Section I

Except as specified below, special information and supplementary
documentation should be part of the Project Description (or part of the
budget justification) if it is relevant to determining the quality of
the proposed work.  Information in the following areas should be
included in Section I and not counted as part of the 15-page Project
Description limitation.  This Special Information and Supplementary
Documentation Section is not considered an appendix.  Specific guidance
on the need for additional documentation may be obtained from the
organization's sponsored projects office or in the references cited
below.

o Rationale for performance of all or part of the project off-campus
   away from organizational headquarters.  (GPM Section 633)
o Documentation of collaborative arrangements of significance to the
    proposal through letters of commitment.  (GPG II.D.4)
o Environmental impact statement for activities that have an actual or
    potential impact on the environment.  (GPM Section 830)  Where
    apllicable, the box for "National Environmental Policy Act" should
    be checked on the NSF Form 1207.
o Work in foreign countries.  Some governments require nonresidents to
    obtain official approval to carry out investigations within their
    borders and coastal waters under their jurisdiction.  PIs are
    responsible for obtaining the required authorizations and for
    adising NSF that they have been obtained or requested.  Advance
    coordination should minimize disruption of the research.  (GPM
    Section 763)
o Research in the Antarctic and Greenland.  (Contact the NSF Office of
    Polar Programs (OPP) for additional information; see Appendix A for
    phone numbers.)
o Research in a location designated, or eligible to be designated, a
    registered historic place.  (GPM Section 840)  Where applicable, the
    box for "Historic Places" should be checked on the NSF Form 1207.
o Research involving field experiments with genetically engineered
    organisms.  (GPM Section 712)
o Documentation regarding research involving the use of human
    subjects, hazardous materials, vertebrate animals, or endangered
    species.  (GPM Section 710, GPG II.D.12.d and e)
o Projects that involve technology utilization/transfer activities,
    that require a management plan, or that involve special reports or
    final products.
o Projects containing a special component, such as Facilitation Awards
    for Scientists and Engineers with Disabilities or Research
    Opportunity Awards.  (GPG V.G. and H.)
o Research in Undergraduate Institutions.  (See program announcement
    for information.)

In addition, Section I should alert NSF officials to unusual
circumstances that require special handling, including, for example,
proprietary or other privileged information in the proposal, matters
affecting individual privacy, required intergovernmental review under
E.O. 12372 (Intergovernmental Review of Federal Programs) for
activities that directly affect State or local governments, or possible
national security implications.

For proposals submitted via FastLane, special information or
supplementary documentation should be included at the end of the
Project Description Portable Document Format (PDF) file (see endnote
15).

11.     Appendices - Proposal Section J

All information necessary for the review of a proposal should be
contained in Sections A through I of the proposal.  Appendices may not
be included unless a deviation has been authorized.  Section II.A.
contains information on deviations.

12.     Special Guidelines

a.      Small Grants for Exploratory Research (SGER)

Proposals (only one copy required) for small-scale, exploratory,
high-risk research in the fields of science, engineering and education
normally supported by NSF may be submitted to individual programs.
Such research is characterized as:

o       preliminary work on untested and novel ideas;
o       ventures into emerging research ideas;
o       application of new expertise or new approaches to "established"
	research topics;
o       having a severe urgency with regard to availability of, or access to
	data, facilities or specialized equipment, including quick-response
	research on natural disasters and similar unanticipated events; or
o       efforts of similar character likely to catalyze rapid and innovative
	advances.

Investigators are strongly encouraged to contact the NSF program(s)
most german e to the proposal topic before submitting an SGER
proposal.  This will facilitate determining whether the proposed work
meets the guidelines described above and availability and
appropriateness for SGER funding, or whether the work is more
appropriate for submission as a fully reviewed proposal.  (See Appendix
A for programs.)  SGER proposal preparation and submission are fully
supported throug h FastLane and NSF strongly encourages the submission
of SGER proposals through this mechanism.

The project description should be brief (two to five pages) and include
clear statements as to why the proposed research should be considered
particularly exploratory and high risk, the nature and significance of
its potential impact on the field and why an SGER grant would be a
suitable means of supporting the work.

Brief biographical information is required for the PI and co-PI(s)
only, and should list no more than five significant publications
orother research products.  The box for "Small Grant for Exploratory
Research" should be checked on the Cover Sheet, NSF Form 1207.

These proposals will be subject to internal NSF merit review only.
Renewed funding of SGER awards may be requested only through submission
of a non-SGER proposal, which will be subject to full merit review.

Under a three-year experiment, effective until October 1, 2000, the
maximum SGE R award amount will not exceed $100,000.  Although the
maximum award amount is $100,000, the award amount usually will be
substantially less than a given program's average award amount.  The
project's duration will normally be one year, but may be up to two
years.

For participating directorates and at the discretion of the Program
Officer, with the concurrence of the Division Director, a small
fraction of especially promising SGER awards may be extended for a
period of six additional months and supplemented with up to $50,000 in
additional funding (see endnote 16).  The SGER award extensions will be
possible for awards of two-year initial duration as well as for those
of shorter initial duration.  Requests for extensions should be
submitted one to two months before the expiration date of the initial
award.  A project report and outline of proposed research, not to
exceed five pages, should be included.

b.      Collaborative Proposals

A collaborative proposal is one in which investigators from two or more
organizations wish to collaborate on a unified research project.
Collaborative proposals may be submitted to NSF in one of two methods:
as a single proposal, in which a single award is being requested (with
subawards administered by the lead organization); or by simultaneous
submission of proposals from different organizations, with each
organization requesting a separate award.  In either case, the lead
organization's proposal should contain all of the requisite sections as
a single package to be provided to reviewers.  All collaborative
proposals should clearly describe the roles to be played by the other
organizations, specify the managerial arrangements, and explain the
advantages of the multi-organizational effort within the project
description. PIs are strongly encouraged to contact the cognizant NSF
Program Officer prior to submission of a collaborative proposal.

(i)     Submission of a single proposal

The single proposal method allows investigators from two or more
institutions who have developed an integrated research project to
submit a single, focused proposal.  A single investigator bears primary
responsibility for the administration of the grant and discussions with
NSF, and, at the discretion of the organizations involved,
investigators from any of the participating institutions may be
designated as co-PIs.

By submission of the proposal, the organization has determined that the
proposed activity is administratively manageable.  NSF may request a
revised proposal, however, if it considers that the project is so
complex that it will be too difficult to review or administer as
presented. (See GPG Section II.D.7.f.(v) for additional instructions on
preparation of this type of proposal.)

(ii)    Simultaneous submission of proposals from different organizations

In many instances, simultaneous submission of proposals that contain
the same project description from each organization might be
appropriate.  For these proposals, the project title must begin with
the words "Collaborative Research:  "

Note:  Until FastLane is fully implemented there are two ways to submit
simultaneous collaborative proposals.  One is the traditional paper
process and the other is electronically via FastLane.  Some NSF
programs may require electronic submission of all or part of a
proposal.  Please check the FastLane Web site prior to proposal
submission for a listing of programs and program announcements and
solicitations that require submission via FastLane.

Instructions for paper and electronic submission are specified below:

Paper Submission

For purposes of NSF review and processing, a complete package should be
submitted, including the Cover Sheets, biographical sketches and
statements of current and pending support for individuals designated as
senior project personnel,  budgets and budget justifications, and
Facilities Equipment and Other Resources for each organization.  A
single copy of the project summary, project description and references
cited also should be submitted.  One organization must take the lead,
submitting the original from that organization plus the required number
of copies for use in the review process.  The other organization(s)
need only submit their original copy of the complete proposal to NSF.

Electronic Submission

The lead organization submission will include a cover sheet, project
summary, project description, references cited, biographical sketches,
budgets and budge t justification, current and pending support, and
facilities, equipment and other resources for their organization.
Non-lead organization submissions will include all of the above for
their organization except the project summary, project description, and
references cited which are the same for all collaborating
organizations. The proposal submission will be combined for printing or
electronic viewing by FastLane.

To submit the collaborative proposal, the following two step process must be
completed:

(i)     Before the lead organization submits their proposal, each
non-lead organization must provide to the lead organization the
temporary proposal ID generated by FastLane when the non-lead proposal
is being created.  The lead organization must then enter each non-lead
organization(s) temporary proposal I D into the FastLane lead proposal
by using the "Link Collaborative Proposals" option found on the
FastLane "Form Preparation" screen. This provides an electronic link to
all of the non-lead proposals for printing.

(ii)    To facilitate the lead organization's role in submitting the
proposal, each non-lead organization must also provide their proposal
number (assigned on proposal submission), to the lead organization.
The lead organization should then include a list of these collaborative
proposal numbers with its signed Cover Sheet (NSF Form 1207).

c.      Equipment Proposals

Proposals for specialized equipment may be submitted by an organization
for:  (1) individual investigators; (2) groups of investigators within
the same department; (3) several departments; (4) organization(s)
participating in a collaborative or joint arrangement; (5) any
components of an organization; or (6) a region.  One individual should
be designated as PI.  Investigators may be working in closely related
areas or their research may be multidisciplinary.Note:  Many
organizations within NSF have formal instrumentation programs that may
include special guidelines such as cost sharing or other requirements.
It is important to use the applicable guideline s in these
competitions.  The appropriate program should be consulted.

Instrumentation and equipment proposals should follow the format of
research proposals.  Each potential major user should describe the
project(s) for which the equipment will be used.  These descriptions
should be succinct, not necessarily as detailed as in an individual
research proposal, and should emphasize the intrinsic merit of the
activity and the importance of the equipment to it.  A brief summary
will suffice for auxiliary users.

Equipment to be purchased, modified or constructed should be described
in sufficient detail to allow comparison of its capabilities with the
needs of the proposed activities.  Equipment proposals should also
describe comparable equipment already at the proposing organization(s)
and explain why it cannot be used.  This includes comparable
government-owned equipment that is on-site.

Equipment proposals should discuss arrangements for acquisition,
maintenance an d operation, including:

o       overall acquisition plan;
o       biographical sketch of the person(s) who will have overall
	responsibility for maintenance and operation and a brief statement
	of qualifications, if not obvious; description of the physical
	facility, including floor plans or other appropriate information,
	where the equipment will be located;
o       statement of why the equipment is severable or non-severable from
	the physical facility;
o       annual budget for operation and maintenance of the proposed
	equipment, indicating source of funds, and particularly related
	equipment; and
o       brief description of other support services available and
	the annual budget for their operation, maintenance and
	administration.

The terms of a grant require that special-purpose equipment purchased
or leased with grant funds be subject to reasonable inventory controls,
maintenance procedures and organizational policies that enhance its
multiple or shared use on other projects, if such use does not
interfere with the work for which the equipment was acquired.

If the government retains title, those items must be included in the
annual inventory submitted to the NSF Property Administrator.
Equipment proposals should include the information described above
within the 15-page project description.  These proposals normally
compete with proposals for research or education projects.  For
additional information on other NSF opportunities in this area, see
Section V.A. on the Major Research Instrumentation Program (MRI).

d.      Proposals Involving Vertebrate Animals

For proposals involving the use of vertebrate animals, sufficient
information should be provided within the 15-page project description
to allow for evaluation of the choice of species, number of animals to
be used, and any necessary exposure of animals to discomfort, pain or
injury.  All projects involving vertebrate animals must have approval
from the organization's Institutional Animal Care and Use Committee
(IACUC) before issuance of an NSF award.  The box for "Vertebrate
Animals" should be checked on the NSF Form 1207 with the IACUC approval
date (if available) identified in the space provided.

If the IACUC has not reviewed the proposed work, the proposer should
include th e date at which the review is scheduled to be completed.

e.      Proposals Involving Human Subjects

Projects involving research with human subjects must ensure that
subjects are protected from research risks in conformance with the
Common Rule (Federal Policy for the Protection of Human Subjects, 45
CFR 690).  All projects involving human subjects must either: (1) have
a pproval from the organization's Institutional Review Board (IRB)
before issuance of a NSF award; or (2) identif y the applicable
subsection exempting the proposal from IRB review, as establishe d in
section 101(b) of the Common Rule.  The box for "Human Subjects" should
be checked on the NSF Form 1207 with the IRB approval date (if
available) or exemption subsection from the Common Rule identified in
the space provided.

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Endnotes:

8. See Proposal Forms Kit for NSF's Forms Acceptance Policy.

9. For consistency with the DHHS conflict of interest policy, in lieu
of "organization," NSF is using the term "institution" which includes
all categories of proposers.

10. In general, group proposals that contain up to ten pages of overall
project description (including overall progress under the appropriate
prior award) plus up to five pages (per person) of individual project
descriptions (including description of progress under prior awards)
will be acceptable.

11. See FastLane proposal preparation instructions at:
 for further instructions.

12. The current maximum consultant daily rate is available at:
.

13. The term "subaward" also includes contracts, subcontracts and other
arrangements.

14. Section .23 of OMB Circular A-110 prescribes criteria and
procedures for the allowability of cash and in-kind contributions in
satisfying cost sharing and matching requirements.

15. See the FastLane Web site at:
 for further instructions.

16. The Biological Sciences and Education and Human Resources
Directorates will not participate in the extension or supplementation
of SGER awards.

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CHAPTER III
NSF PROPOSAL PROCESSING & REVIEW

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

A.      REVIEW CRITERIA

The National Science Board approved revised criteria for evaluating
proposals a t its meeting on March 28, 1997 (NSB 97-72).  The criteria
are designed to be useful and relevant across NSF's many different
programs, however, NSF will employ special criteria as required to
highlight the specific objectives of certain programs and activities.

The merit review criteria are listed below.  Following each criterion
are potential considerations that the reviewer may employ in the
evaluation.  These are suggestions and not all will apply to any given
proposal.  Each reviewer will be asked to address only those that are
relevant to the proposal and for which he/she is qualified to make
judgments.

Criterion 1: What is the intellectual merit of the proposed activity?

How important is the proposed activity to advancing knowledge and
understanding within its own field or across different fields? How well
qualified is the proposer (individual or team) to conduct the project?
(If appropriate, the reviewer will comment on the quality of prior
work.)  To what extent does the proposed activity suggest and explore
creative and original concepts?  How well conceived and organized is
the proposed activity?  Is there sufficient access t o resources?

Criterion 2: What are the broader impacts of the proposed activity?

How well does the activity advance discovery and understanding while
promoting teaching, training, and learning?  How well does the proposed
activity broaden the participation of underrepresented groups (e.g.,
gender, ethnicity, disability, geographic, etc.)?  To what extent will
it enhance the infrastructure for research and education, such as
facilities, instrumentation, networks, and partnerships?  Will the
results be disseminated broadly to enhanc e scientific and
technological understanding?  What may be the benefits of the proposed
activity to society?

PIs should address the following elements in their proposal to provide
reviewer s with the information necessary to respond fully to the
above-described NSF merit review criteria.  NSF staff will give these
elements careful consideration in making funding decisions.

Integration of Research and Education

One of the principal strategies in support of NSF's goals is to foster
integration of research and education through the programs, projects
and activities it supports at academic and research institutions.
These institutions provide abundant opportunities where individuals may
concurrently assume responsibilities as researchers, educators, and
students, and where all can engage in joint efforts that infuse
education with the excitement of discovery and enrich research through
the diversity of learning perspectives.

Integrating Diversity into NSF Programs, Projects, and Activities

Broadening opportunities and enabling the participation of all citizens
-- wome n and men, underrepresented minorities, and persons with
disabilities -- are essential to the health and vitality of science and
engineering.  NSF is committed to this principle of diversity and deems
it central to the programs, projects, and activities it considers and
supports.

B.      ADMINISTRATIVE CORRECTIONS TO   FASTLANE PROPOSALS

NSF recognizes that minor, non-content-related errors might occur in
proposal development and that these errors may not be discovered until
after the proposal submission to NSF.  To enable organizations to
correct such errors, FastLane provides a 60-minute "grace period," that
begins immediately following proposal submission.  This grace period
does not extend the proposal deadline (e.g., if a proposal deadline is
5:00 p.m. proposer's local time, the proposal must be submitted by 5:00
p.m., and administrative corrections are allowed until 6:00 p.m.,
proposer local time).  During this grace period, authorized sponsored
project office personnel are allowed to make administrative corrections
to Cove r Sheet (NSF Form 1207) and Budget (NSF Form 1030) data.  These
corrections do no t include changes to identified PIs, co-PIs, or other
senior project personnel.  Access to the Administrative Corrections
utility is through the "Submit Proposals to NSF" function on the
FastLane Web site at:  .

C.      REVISIONS TO PROPOSALS MADE DURING THE REVIEW PROCESS

In the event of a significant development (e.g., research findings,
changed circumstances, unavailability of PI or other key personnel,
etc.) that might materially affect the outcome of the review of a
pending proposal, the proposer should contact the ProgramOfficer to
whom the proposal is assigned to discuss the issue. Submitting
additional information must not be used as a means of circumventing
page limitations or stated deadlines.

Before recommending whether or not NSF should support a particular
project, the NSF Program Officer may, subject to certain constraints
outlined below, engage in discussions with the proposing PIs.

Negotiating budgets generally involves discussing a lower or higher
amount of total support for the proposed project.  The NSF Program
Officer may suggest reducing or eliminating costs for specific budget
items that are clearly unnecessary or unreasonable for the activities
to be undertaken, especially whe n the review process supports such
changes; however, this would generally not include faculty salaries,
salary rates, fringe benefits, or tuition.  Note:  indirect cost rates
are not subject to negotiation.  The NSF Program Officers may discuss
with PIs the "bottom line" award amount, i.e., the total NSF fundin g
that will be recommended for a project.  NSF Program Officers may not
renegotiate cost sharing or other institutional commitments.

When such discussions result in a budget reduction of 10% or more from
the amount originally proposed, a corresponding reduction should be
made in the scope of the project, unless the NSF Program Officer, PI
and organization clearly agree that the project as proposed can be
carried out at a lesser level of support from NSF with no expectation
of any uncompensated organizational contribution beyond that formally
reflected as cost sharing.  It is anticipated that FastLane capability
for submission of this information will be available later this fiscal
year.

Such reductions in scope or agreement to carry out the project as
originally proposed must be signed by the PI and the Authorized
Organizational Representative (AOR) and be submitted to the NSF Program
Officer.  By signing and submitting this modification to the proposal,
the PI and AOR are certifying the accuracy and completeness of the
information provided.

D.      AWARD RECOMMENDATION

After scientific, technical and programmatic review and consideration
of appropriate factors, the NSF Program Officer recommends to the
cognizant Division Director whether the proposal should be declined or
recommended for award.  Normally, final programmatic approval is at the
division level.  Becaus e of the large volume of proposals, this review
and consideration process may tak e up to six months.  Large or
particularly complex proposals may require additional review and
processing time.  If the program recommendation is for an award and
final division or other programmatic approval is obtained, then the
recommendation goes to the Division of Grants and Agreements for review
of business, financial and policy implications and the processing and
issuance of a grant or other agreement.  The Division of Grants and
Agreements generally make s awards to academic institutions within 30
days after the program division makes its recommendation.  Grants being
made to organizations that have not received a NSF award within the
preceding two years, or involving special situations (such as
coordination with another Federal agency or a private funding source),
cooperative agreements, and other unusual arrangements may require
additional review and processing time.

Proposers are cautioned that only an appointed Grants Officer in the
Division o f Grants and Agreements may make commitments, obligations or
awards on behalf of NSF or authorize the expenditure of funds.  No
commitment on the part of NSF or the Government should be inferred from
technical or budgetary discussions with a NSFProgram Officer.  A PI or
organization that makes financial or personnel commitments in the
absence of a grant or cooperative agreement signed by the NS F Grants
Officer does so at its own risk.

E.      COPIES OF REVIEWS

When a decision has been made (whether an award or a declination),
verbatim copies of reviews, excluding the names of the reviewers, and
summaries of revie w panel deliberations, if any, are provided to the
PI.  Proposers may also reques t and obtain any other releasable
material in NSF's file on their proposal.  Everything in the file
except information that directly identifies either reviewers or other
pending or declined proposals is usually releasable to the proposer.

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CHAPTER IV
WITHDRAWALS, RETURNS & DECLINATIONS

A.      WITHDRAWALS

A proposal may be withdrawn at any time before a final decision is
made.  Both the PI and the Authorized Organizational Representative
must sign a request for withdrawal.  NSF will send confirmation of
withdrawal requests.  NSF must be notified if any funding for the
proposed project is received from another sourc e or sponsor.  If it is
brought to NSF's attention that funding for a proposal to NSF has been
accepted from another sponsor, NSF will send a withdrawal confirmation
letter to the PI and the Authorized Organizational Representative
without waiting for the official withdrawal request.

NSF does not normally return the copies of withdrawn proposals to the
proposer but does retain a file copy.  Copies of reviews received by
NSF before a proposal is withdrawn will be provided to the PI.

NSF provides copies of withdrawal, return, declination, reconsideration
or resubmission information to both the PI and the Authorized
Organizational Representative.

B.      RETURNS

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

C.      DECLINATIONS

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

D.      RECONSIDERATION

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

E.      RESUBMISSION

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

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CHAPTER V
SPECIAL PROGRAMS

A.      RESEARCH INSTRUMENTATION/FACILITIES

The Major Research Instrumentation Program (MRI) assists in the
acquisition or development of major research instrumentation by US
institutions that is, in general, too costly for support through other
NSF programs.  The MRI program is designed to improve the condition of
scientific and engineering equipment for research and research training
in our Nation's academic institutions.  This program seeks to improve
the quality and expand the scope of research and research training in
science and engineering, and to foster the integration of research and
education by providing instrumentation for research-intensive learning
environments.  For more information, see the program solicitation or
contact the Office of Integrative Activities.  (See Appendix A.)

In addition, NSF occasionally provides assistance for the acquisition
of specialized facilities.  Examples include supercomputers,
oceanographic researc h vessels, polar research facilities and national
astronomy centers.

Most NSF programs will consider proposals that include funds for
facility construction, renovation or improvements where required for
the proposed research, in competition with other proposals received.
It is, however, NSF policy that the principal responsibility for
providing facilities for research and education rests with the
proposing organizations.  Preliminary inquiry should be made before
preparing a formal proposal.  (See Section VII.D for additional
information on equipment.)

B.      CONFERENCES, SYMPOSIA AND WORKSHOPS

NSF supports conferences, symposia and workshops in special areas of
science an d engineering that bring experts together to discuss recent
research or education findings or to expose other researchers or
students to new research and education techniques.  NSF encourages the
convening in the US of major international conference, symposia and
workshops.  Conferences will be supporte d 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.  Conference s or meetings, including
the facilities in which they are held, funded in whole o r in part with
NSF funds, must be accessible to participants with disabilities.

A conference, symposium or workshop proposal (that complies with the
page and font size instructions in Section II.C) must be assembled in
the following sequence:

o       Cover Sheet for Proposal to the National Science Foundation (NSF
	Form 1207)
o       Summary of one page or less indicating the objectives of the
	project.
o       Statement of the need for such a gathering and a list of
	topics.
o       Recent meetings on the same subject, including dates and locations.
o       Names of the chairperson and members of organizing committees and
	their organizational affiliations.
o       Information on the location and probable date(s) of the meeting and
	the method of announcement or invitation.
o       Statement of how the meeting will be organized and conducted, how
	the results of the meeting will be disseminated and how the meeting
	will contribute to the enhancement and improvement of scientific,
	engineering and/or educational activities.
o       Estimated total budget for the conference, together with an itemized
	statement of the amount of support requested from NSF.  The budget
	may include participant support for transportation (when
	appropriate), per diem costs, stipends, publication and other
	conference-related costs.  Participant support costs must be
	excluded from the indirect cost base.  (See Section II.D.7.e.) (NSF
	Form 1030, Summary Proposal Budget, should be used to submit the
	budgetary information.)
o       Support requested or available from other Federal agencies and other
	sources. (NSF Form 1239, Current and Pending Support, may be used to
	submit this information.)

For additional coverage on allowability of costs associated with meetings and
conferences, proposers should consult GPM Section 625.

C.      INTERNATIONAL COOPERATIVE ACTIVITIES

In addition to the international projects funded and managed by the
disciplinar y divisions, the Division of International Programs (INT)
provides support for bilateral and regional cooperative science and
engineering projects to foster and facilitate cooperation between US
investigators and their foreign colleague s in joint activities of
mutual interest and benefit.  Grants may be made for the US portion of
the costs of the initial phases of cooperative research, joint seminars
and workshops, planning visits, programs to enhance the international
perspectives of the next generation of US scientists and engineers, and
for fellowships, summer programs and research participation.
Information on proposal requirements and award selection procedures is
contained in the Progra m Announcement of the Division of International
Programs.  The box for "International Cooperative Activities" should be
checked and the countries identified on the NSF Form 1207.  (For
telephone numbers and program contacts b y region, see Appendix A,
under listings for SBE Directorate.)  The program announcement is
available electronically on the Division of International Programs Web
site at: .  Investigators
planning to add a new international dimension to an existing NSF
supported project are encouraged to explore the possibility of an
INT-funded supplement t o their on-going NSF award.

D.      INTERNATIONAL TRAVEL GRANTS

Proposals for travel support for US participation in international
scientific and engineering meetings held abroad are handled by the NSF
organizational unit with program responsibility for the area of
research interest.

Group travel awards are encouraged as the primary means of support for
international travel.  A university, professional society or other
non-profit organization may apply for funds to enable it to coordinate
and support US participation in one or more international scientific
meeting(s) abroad.  Group travel grants may include as compensation for
the grantee a flat rate of $50 pe r traveler for general administrative
costs of preparing announcements, evaluatin g proposals and handling
travel arrangements customarily associated with this typ e of project.
(See GPM Section 765.)  Group travel grantees are required to retain
supporting documentation that funds were spent in accordance with the
original intent of the proposal.  Such documentation may be required in
final reports and is subject to audit.

E.      DOCTORAL DISSERTATION RESEARCH

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

F.      HUMAN RESOURCES DEVELOPMENT

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

o       Professional Opportunities for Women in Research and Education
o       Research Planning Grants and Career Advancement Awards for Minority
	Scientists and Engineers
o       Program for Persons with Disabilities
o       Centers for Research Excellence in Science and Technology
o       Louis Stokes Alliances for Minority Participation
o       Research Opportunity Awards
o       Facilitation Awards for Scientists and Engineers with Disabilities
o       Faculty Early Career Development
o       Presidential Awards for Excellence in Science, Mathematics and
	Engineering Mentoring
o       Program for Gender Equity
o       Model Institutions for Excellence
o       Minority Postdoctoral Research Fellowships and Supporting Activities
	in Biological, Social, Behavioral & Economic Sciences
o       Minority Graduate Education
o       Historically Black Colleges & Universities Undergraduate Program
	(HBCU-UP)
o       Undergraduate Mentoring in Environmental Biology

In some cases, additional information may be required as part of a
proposal.  Program announcements describing these activities are
available on the NSF Web site at:  or from the NSF
Clearinghouse.  General information may be obtained from the NSF
Information Center at 703.306.1234.

G.      FACILITATION AWARDS FOR SCIENTISTS AND ENGINEERS WITH DISABILITIES

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

H.      RESEARCH OPPORTUNITY AWARDS (ROAs)

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

I.      RESEARCH EXPERIENCES FOR UNDERGRADUATES (REUs)

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

o       Sites - grants to initiate and support undergraduate research
	participation sites.  These projects could be carried out during the
	summer months, the academic year or both.  NSF expects that an
	appropriate number of students will be involved, and proposals
	involving fewer than four to six students are discouraged.
o       Supplements - to ongoing NSF research grants provide research-
	training experiences for one or two additional undergraduates.
	Funds will normally be available for up to two students, but
	exceptions will be considered for training additional minority and
	women students and students with disabilities.

See the program announcement for more information.

J.      PARTNERSHIPS FOR ADVANCED COMPUTATIONAL INFRASTRUCTURE (PACI)

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

K.      SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

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

L.      SMALL BUSINESS TECHNOLOGY TRANSFER (STTR) PROGRAM

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

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CHAPTER VI
AWARD & CONTINUED SUPPORT

A.      STANDARD AND CONTINUING GRANTS

NSF awards two types of grants:

Standard Grants, in which NSF agrees to provide a specific level of
support for a specified period of time with no statement of NSF intent
to provide additiona l future support without submission of another
proposal, and

Continuing Grants, in which NSF agrees to provide a specific level of
support for an initial specified period of time, usually a year, with a
statement of intent to provide additional support of the project for
additional periods, provided funds are available and the results
achieved warrant further support.

Notification of a NSF grant is by a letter signed by a NSF Grants
Officer, addressed to the Grantee Organization.  A NSF grant consists
of: (1) the award letter, which includes any special provisions
applicable to the grant and any numbered amendments thereto; (2) the
budget, which indicates the amounts, by categories of expense, on which
NSF has based its support (or otherwise communicates any specific
approvals or disapprovals of proposed expenditures); (3) the proposal
referenced in the award letter; (4) the applicable grant conditions
(see endnote 17),  such as Grant General Conditions (NSF GC-1) or
Federal Demonstration Partnership (FDP) Terms and Conditions and (5)
any NSF brochure, program guide, announcement/solicitation or other NSF
issuance that may be incorporated by reference in the award letter.
Electronic mail notification is the preferred way to transmit NSF
grants to organizations that have electronic mail capabilities and have
requested such notification from the Division of Grants and
Agreements.

Effective/Expiration Dates and Preaward Costs.  The grant period begins
on the effective date specified in the award letter or, in its absence,
the date of th e award letter and runs until the expiration date
indicated.  Expenditures incurred within the 90-day period preceding
the effective date of the grant may be authorized by the grantee
organization.  Such expenditures, however, are mad e at the grantee's
risk.  Expenditures after the scheduled expiration date of the grant
may be made only to honor documented commitments made on or before the
expiration date.  PIs should consult their business offices for
details.

B.      ADDITIONAL SUPPORT

1.      Incremental Funding

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

2.      Renewal Proposals

Renewal proposals are requests for additional funding for a support
period subsequent to that provided by a standard or continuing grant.
Renewal proposals compete with all other pending proposals and should
be submitted at least six months before additional funding is required
or consistent with an established deadline or target date.  In
preparing a renewal proposal, proposer s should assume that reviewers
will not have access to 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 an d development of human resources in science and
engineering at the postdoctoral, graduate and undergraduate levels (see
endnote 18).  Non-academic organizations are exempt from this
requirement.  (See Section II.D.4. for more information.)

PIs are encouraged to discuss renewal proposals with the Program prior
to submission of a proposal.  Unless precluded by individual program
requirements, PIs can choose either of the following two formats for
preparation of a renewal proposal.  Both of these formats can be
submitted via FastLane.

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

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

3.      Two-Year Extensions for Special Creativity

A Program Officer may recommend the extension of funding for certain
research grants beyond the initial period for which the grant was
awarded for a period o f up to two-years.  The objective of such
extensions is to offer the most creativ e investigators an extended
opportunity to attack adventurous, "high-risk" opportunities in the
same general research area, but not necessarily covered by the
original/current proposal.  Awards eligible for such an extension are
generally three-year continuing grants.

Special Creativity Extensions are initiated by the NSF Program Officer
based on progress during the first two years of a three-year grant; PIs
will be informed of such action a year in advance of the expiration of
the grant.

4.      Supplemental Funding

In unusual circumstances, small amounts of supplemental funding and up
to six months of additional support may be requested to assure adequate
completion of the original scope of work.  The grantee may submit a
request for supplemental funding to the cognizant NSF Program Officer
at least two months before funds are needed.  Program Officers may make
decisions regarding whether or not to recommend a small supplement
without merit review of the supplemental request.  Requests for larger
supplements may require merit review.  Such requests should include a
brief justification and a budget signed by the PI and the Authorized
Organizational Representative.  Supplemental funding requests will not
be approved for such purposes as defraying costs associated with
increases in salaries or additional indirect cost reimbursement.
Grantees should contact th e cognizant Program Officer prior to
submitting a request for supplemental funding.  (See GPM 264 for
additional information on Supplemental Funding requests.)

Requests for supplemental funding may be submitted electronically via
the FastLane Notification and Request module.  To submit supplemental
funding requests via FastLane, PIs should select the "Other" Request
Option, provide th e requested information, and then forward to their
Sponsored Projects Office (or equivalent) upon completion.  Upon review
and concurrence, the authorized organizational official will then
submit the request to NSF for approval.  A paper copy of the NSF Form
1030 (Summary Proposal Budget Form) signed by both the PI and
Authorized Organizational Representative should be forwarded to NSF and
postmarked within five working days following submission of the
supplementa l funding request.  Please note that some NSF Directorates
require electronic submission of supplemental funding requests.  Please
check the cognizant Directorate or FastLane Web site to see if
submission via FastLane is required.

In addition, limited supplemental funds are available for special NSF
programs, such as Facilitation Awards for Scientists and Engineers with
Disabilities, Research Opportunity Awards, and Research Experiences for
Undergraduates.  (See Sections V.G-I and the appropriate program
brochures.)

C.      NO-COST EXTENSIONS

1.      Grantee-Authorized Extension

Grantees may authorize a one-time extension of the expiration date of
the grant of up to 12 months if additional time beyond the established
expiration date is required to assure adequate completion of the
original scope of work within the funds already made available.  This
one-time extension may not be exercised merely for the purpose of using
the unliquidated balances.  The grantee shall notify the NSF Grants
Officer in writing, providing supporting reasons for the extension and
the revised expiration date, at least ten days prior to the expiration
date specified in the grant to ensure accuracy of NSF's grant data.
For extensions provided by organizations, no amendment will be issued.
Effectiv e January 1, 2000, all grantee-authorized extensions must be
submitted via the FastLane system.  In the interim, grantees are
strongly encouraged to use FastLane to transmit their no-cost extension
notifications to NSF.  FastLane submission provides real-time data
accuracy for grantees and NSF.  Please note that some NSF Directorates
already require electronic submission of notificatio n of
grantee-authorized extensions via FastLane.  Please check the cognizant
Directorate or FastLane Web site to see if submission via FastLane is
required.

2.      NSF-Approved Extension

If additional time beyond the extension provided by the grantee is
required and exceptional circumstances warrant, a formal request must
be submitted to NSF.  The cognizant NSF program office must receive two
copies of the request, signed by the PI and the Authorized
Organizational Representative, at least 45 days before the expiration
date of the grant.  The request must explain the need for the extension
and include an estimate of the unobligated funds remaining and a plan
for their use.  As indicated above, that unobligated funds may remain
at the expiration of the grant is not in itself sufficient
justification for an extension.  The plan must adhere to the previously
approved objectives of the project.  Effective January 1, 2000, all
requests for NSF-approved extensions must be submitted via the FastLane
system.  In the interim, grantees are strongly encouraged to use
FastLane to transmit their no-cost extension request s to NSF.  Please
note that some NSF Directorates already require electronic submission
of requests for NSF-approved no-cost extensions via FastLane.  Pleas e
check the cognizant Directorate or FastLane Web site to see if
submission via FastLane is required. Any NSF-approved no-cost extension
will be issued by a NS F Grants Officer in the form of an amendment to
the grant specifying a new expiration date.  Grantees are cautioned not
to make new commitments or incur new expenditures after the expiration
date in anticipation of a no-cost extension.

-----------------------------------------------------------------------------
Endnotes:

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

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

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

CHAPTER VII
GRANT ADMINISTRATION HIGHLIGHTS

The administration of grants is governed by the actual conditions of
the grant.  (See Section VI.A. for additional information regarding the
contents of a NSF grant.)  The following information highlights
frequently asked grant administration questions.

For additional information about the award and administration of NSF
grants, proposers and grantees may refer to the NSF Grant Policy Manual
(NSF 95-26).  Frequently Asked Questions (FAQs) regarding grant
administration are available on the Division of Grants & Agreements Web
site at:.

The grantee organization has primary responsibility for general
supervision of all grant activities and for notifying NSF of
significant problems relating to misconduct in science and engineering
or administrative matters.  The PI is responsible for the conduct of
the research or educational work, the publicatio n of results, and is
expected to provide technical leadership to the project whether or not
any salary is provided from grant funds.

NSF encourages PIs to communicate the progress of projects supported by
NSF to program officers.

A.      GENERAL REQUIREMENTS

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

B.      PRIOR APPROVAL REQUIREMENTS

Prior written authorization from NSF is required for the following:
(1) transfer of the project effort; (2) change in objectives or scope;
(3) change i n PI; (4) a substantial change in PI effort; (5)
reallocation of funds budgeted for participant support; or (6)
construction activities costing $10,000 or more
.
Changes in participant support costs require Program Officer approval;
all the other changes listed above require Grants Officer approval.
(See also GPM Exhibit III-1, which highlights grantee notifications to
and requests for approval from NSF.)  Many of the requests for prior
approval identified above can be submitted electronically to NSF
through use of the FastLane system.  Grantees are strongly encouraged
to use FastLane to process these types of transactions.  Effective
January 1, 2000, such requests must be submitted electronically via the
FastLane system.

C.      TRANSFER OF PI

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

D.      EQUIPMENT

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

E.      EXCESS GOVERNMENT PROPERTY

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

	National Science Foundation
	Mission Support Section, DAS, Room 295
	4201 Wilson Boulevard
	Arlington, VA  22230

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

F.      SUSPENSION OR TERMINATION OF GRANTS

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

G.      GRANT REPORTS

1.      Annual and Final Project Reports

For all multi-year grants (including both standard and continuing
grants), the PI must submit an annual project report to the cognizant
Program Officer at least 90 days before the end of the current budget
period.  (Some programs or awards require more frequent project
reports).

Within 90 days after expiration of a grant, the PI also is required to
submit a final project report.  Approximately 30 days before
expiration, NSF will send a notice to remind the PI of the requirement
to file the final project report.  Failure to provide final technical
reports delays NSF review and processing of pending proposals for that
PI.  PIs should examine the formats of the required reports in advance
to assure availability of required data.

In October, 1998, NSF implemented a new electronic project reporting
system, available through FastLane, which permits electronic submission
and updating of project reports, including information on: project
participants (individual and organizational); activities and findings;
publications; and, other specific products and contributions.
Effective October 1, 1999, PIs are required to use the electronic
project reporting system for preparation and submission of annua l and
final project reports.

2.      Quarterly and Final Expenditure Reports

Quarterly and final expenditure information is provided by grantees
through the Federal Cash Transactions Report, SF 272.  The report is
normally submitted by the grantee's financial officer through the
Business Office functions in FastLane.  Contact the Division of
Financial Management for additional information at 703.306.1283.

H.      SHARING OF FINDINGS, DATA AND OTHER     RESEARCH PRODUCTS

NSF advocates and encourages open scientific communication.  NSF
expects significant findings from supported research and educational
activities to be promptly submitted for publication with authorship
that accurately reflects the contributions of those involved.  It
expects PIs to share with other researchers, at no more than
incremental cost and within a reasonable time, the data, samples,
physical collections and other supporting materials created or gathered
in the course of the work.  It also encourages grantees to share
software and inventions, once appropriate protection for them has been
secured, and otherwise act to make the innovations they embody widely
useful and usable.

NSF program management will implement these policies, in ways
appropriate to field and circumstances, through the proposal review
process; through award negotiations and conditions; and through
appropriate support and incentives for data cleanup, documentation,
dissemination, storage and the like.  Adjustments and, where essential,
exceptions may be allowed to safeguard the rights of individuals and
subjects, the validity of results and the integrity of collections, or
to accommodate legitimate interests of investigators.

I.      ACKNOWLEDGMENT OF SUPPORT AND DISCLAIMER

An acknowledgment of NSF support and a disclaimer must appear in
publications (including Web pages) of any material, whether copyrighted
or not, based on or developed under NSF-supported projects:

This material is based upon work supported by the National Science
Foundation under Grant No. (grantee should enter NSF grant number).

NSF support must also be acknowledged during all news media interviews,
including popular media such as radio, television and news magazines.

Except for articles or papers published in scientific, technical or
professiona l journals, the following disclaimer should be included:

Any opinions, findings, and conclusions or recommendations expressed in
this material are those of the author(s) and do not necessarily reflect
the views of the National Science Foundation.

J.      RELEASE OF GRANTEE PROPOSAL INFORMATION

A proposal that results in a NSFaward will be available to the public
on request, except for privileged information or material that is
personal, proprietary or otherwise exempt from disclosure under law.
Appropriate labelin g in the proposal aids identification of what may
be specifically exempt.  (See Section I.B.)  Such information will be
withheld from public disclosure to the extent permitted by law,
including the Freedom of Information Act.  Without assuming any
liability for inadvertent disclosure, NSF will seek to limit disclosure
of such information to its employees and to outside reviewers when
necessary for merit review of the proposal, or as otherwise authorized
by law.

Portions of proposals resulting in grants that contain descriptions of
inventions in which either the Government or the grantee owns a right,
title, o r interest (including a non-exclusive license) will not
normally be made availabl e to the public until a reasonable time has
been allowed for filing patent applications.  NSF will notify the
grantee of receipt of requests for copies of funded proposals so the
grantee may advise NSF of such inventions described, or other
confidential, commercial or proprietary information contained in the
proposal.

A proposal that does not result in a NSF grant will be retained by NSF
for a prescribed time (currently five years), but will be released to
the public only with the consent of the proposer or to the extent
required by law.

K.      LEGAL RIGHTS TO INTELLECTUAL PROPERTY

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

L.      YEAR 2000 COMPUTER PROBLEM AND RESPONSIBILITIES
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appropriate actions to ensure that the activity being supported by NSF is not
adversely affected by the Year 2000 problem. Potentially affected items include
computer systems, databases, and equipment. The National Science Foundation
should be notified if an awardee concludes that the Year 2000 will have a
significant impact on its ability to carry out a NSF funded activity.
Information concerning Year 2000 activities can be found on the NSF Web site at
:
.

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

APPENDIX A
PROGRAMS PROVIDING SUPPORT FOR SCIENTIFIC AND ENGINEERING RESEARCH & EDUCATION

For paper submissions, the required number of copies of proposals to be
provided, including the original, is specified in parentheses.  No
additional copies of proposals need to be submitted for FastLane
submissions.

*These programs may require additional information on the proposal
cover sheet and may require additional documentation regarding
eligibility or other special conditions.  Program Announcements are
available from the NSF Clearinghouse or the offices listed.

								
Tel. No.
								
Area Code (703)

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

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

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

CISE Directorate for Computer&Information Science&Engineering 306-1900
CCR  Division of Computer-Communications Research (10)       306-1910
Theory of Computing                                             306-1914
Numeric, Symbolic and Geometric Computation             306-1912
Computer Systems Architecture                                   306-1936
Operating Systems and Compilers                         306-1918
Design Automation
306-1936
Communications                                                  306-1912
Signal Processing Systems                                       306-1914
IIS     Division of Information and Intelligent Systems (10)    306-1930
Special Projects                                                306-1930
Computation and Social Systems                          306-1927
Information and Data Management                         306-1926
Robotics and Human Augmentation                         306-1928
Human Computer Interaction                                      306-1928
Knowledge and Cognitive Systems                         306-1926
EIA     Division of Experimental and Integrative
Activities (15)                                                 306-1980
CISE Research Infrastructure                                    306-1981
CISE Instrumentation/Minority Infrastructure/
Special Projects                                           306-1981
Digital Government                                              306-1981
Science and Technologies Centers/POWRE                  306-1981
CISE Educational Innovation/REU/Special Projects        306-1981
Experimental Systems/CARE                                       306-1981
CISE Challenges/Next Generation Software                        306-1981
Postdoctoral Associateship/CRLT                         306-1981
ACIR    Division of Advanced Computational Infrastructure
& Research (15)                                                 306-1970
Partnerships for Advanced Computational
Infrastructure                                                  306-1963
Advanced Computational Research                         306-1962
ANIR    Division of Advanced Networking Infrastructure
& Research (10)                                                 306-1950
Advanced Networking Infrastructure                              306-1949
Special Projects in Networking Research                 306-1949
Networking Research                                             306-1949

EHR     Directorate for Education & Human Resources             306-1600
ESR     Division of Educational Systemic Reform (15)            306-1690
Statewide Systemic Initiatives Program (SSI)            306-1682
Urban Systemic Program (USP)                                    306-1684
Rural Systemic Initiatives Program (RSI)                        306-1684
EPS     Experimental Program to Stimulate Competitive
Research (EPSCoR) (15)                                          306-1683
ESIE    Division of Elementary, Secondary & Informal
Education (14)                                                  306-1620
Teacher Enhancement Program (TE)                                306-1613
Presidential Awards for Excellence in Mathematics
& Science Teaching (PAEMST)                                     306-0042
Instructional Materials Development Program (IMD)       306-1614
Advanced Technological Education Program (ATE)          306-1614
Informal Science Education Program (ISE)                        306-1616
DUE     Division of Undergraduate Education (10)                306-1670
Course, Curriculum & Laboratory Improvement Program
(CCLI)                                                          306-1681
Advanced Technological Education Program (ATE)          306-1668
Collaboratives for Excellence in Teacher Preparation
Program (CETP) (20)                                             306-1669
NSF Graduate Teaching Fellows in K-12 Education         306-1670
Computer Science, Engineering and Mathematics
Scholarships                                                    306-1670
DGE     Division of Graduate Education (15)                     306-1630
Graduate Research Fellowships Program (GRF) (1)         306-1694
Integrative Graduate Education Research and Training
Program (IGERT) (1)                                             306-1696
Postdoctoral Fellowships in Science, Mathematics,
Engineering and Technology Education Program
(PFSMETE) (6)                                                   306-1697
NATO Postdoctoral Fellowship Program (5)                        306-1697
HRD     Division of Human Resource Development* (15)            306-1640
Centers of Research Excellence in Science
& Technology Program (CREST)                                    306-1634
Louis Stokes Alliances for Minority Participation
Program (AMP)                                                   306-1632
Program for Persons with Disabilities (PPD)             306-1636
Program for Gender Equity (PGE)                         306-1637
Professional Opportunities for Women in Research
and Education Program (POWRE)                                   306-1649
Presidential Awards for Excellence in Science,
Mathematics and Engineering Mentoring Program
(PAESMEM)
306-1640
Minority Graduate Education (MGE)                               306-1640
Historically Black Colleges & Universities (HBCU)       306-1640
REC     Division of Research, Evaluation & Communication (15)   306-1650
Research
306-1652
Program Evaluation                                              306-1653

ENG     Directorate for Engineering                             306-1300
BES     Division of Bioengineering & Environmental
Systems (15)                                                    306-1320
Biotechnology                                                   306-1320
Biochemical Engineering                                         306-1320
Biomedical Engineering                                          306-1320
Research  to Aid Persons with Disabilities              306-1320
Environmental Engineering                                       306-1320
Environmental Technology                                        306-1320
CTS     Division of Chemical & Transport Systems (10)           306-1370
Chemical Reaction Processes                                     306-1371
Interfacial, Transport, & Separation Processes          306-1371
Fluid, Particulate, & Hydraulic Systems                 306-1371
Thermal Systems                                                 306-1371
CMS     Division of Civil & Mechanical Systems (10)             306-1360
Construction and Infrastructure                                 306-1360
Dynamics and Control                                            306-1360
Geotechnical I and II                                           306-1360
Mechanics                                    306-1360
Materials                                    306-1360
Surface Engineering                                             306-1360
Structures I and II                                             306-1360
DMII    Division of Design, Manufacture,
& Industrial Innovation (10)                                    306-1330
Design & Integration Engineering                                306-1330
Manufacturing Processes & Equipment                             306-1330
Operations Research & Production Systems                        306-1330
Small Business Technology Transfer                              306-1391
Small Business Innovation Research                              306-1391
Office of Small Business Research Development           306-1330
Office of Small & Disadvantaged Business Utilization    306-1330
ECS     Division of Electrical & Communications Systems (10)    306-1339
Electronics, Photonics, and Device Technologies         306-1339
Control, Networks, and Computational Intelligence       306-1339
Integrative Systems                                             306-1339
EEC     Division of Engineering Education and Centers (15)      306-1380
Engineering Research Centers                                    306-1380
Industry/University Cooperative Research Centers        306-1380
Human Resources                                                 306-1380
Engineering Education                                           306-1380

GEO     Directorate for Geosciences                             306-1500
ATM     Division of Atmospheric Sciences (10)                   306-1520
UCAR & Lower Atmospheric Facilities Oversight Section   306-1521
Lower Atmosphere Research Section                               306-1523
Physical Meteorology Program                            306-1524
Atmospheric Chemistry Program                           306-1522
Mesoscale Dynamic Meteorology Program                   306-1526
Climate Dynamics Program                                        306-1527
Paleoclimate Program                                            306-1527
Large Scale Dynamic Meteorology Program                         306-1528
Upper Atmosphere Research Section                               306-1518
Aeronomy Program                                                306-1529
Magnetospheric Physics Program                          306-1519
Solar Terrestrial Research Program                              306-1530
Upper Atmospheric Facilities                                    306-1531
EAR     Division of Earth Sciences (20)                         306-1550
Research Projects Section                                       306-1553
Geology & Paleontology Program                          306-1551
Tectonics Program
306-1552
Petrology & Geochemistry Program                                306-1554
Hydrologic Sciences Program                                     306-1549
Special Projects Section                                        306-1553
Geophysics Program                                              306-1556
Education & Human Resources Program                             306-1557
Continental Dynamics Program                                    306-1559
Instrumentation & Facilities Program                    306-1558
OCE     Division of Ocean Sciences (15)                         306-1580
Oceanographic Centers & Facilities Section              306-1576
Instrumentation & Technical Services Program            306-1578
Ship Operations Program                                         306-1577
Ocean Drilling Program                                          306-1581
Ocean Sciences Research Section                         306-1582
Biological Oceanography Program                         306-1587
Chemical Oceanography Program                                   306-1589
Physical Oceanography Program                                   306-1583
Marine Geology & Geophysics Program                             306-1586
Oceanographic Technology and Interdisciplinary
Coordination Program                                            306-1584

MPS     Directorate for Mathematical & Physical Sciences        306-1800
AST     Division of Astronomical Sciences (12)                  306-1820
Education and Human Resources & Special Programs        306-1819
Electromagnetic Spectrum Management Unit                        306-1823
National Optical Astronomy Observatories                        306-1828
National Astronomy & Ionosphere Center                  306-1822
National Radio Astronomy Observatory                    306-1829
Extragalactic Astronomy & Cosmology Program             306-1827
Science & Technology Center                                     306-1821
Planetary Astronomy Program                                     306-1826
Stellar Astronomy & Astrophysics Program                        306-1825
Galactic Astronomy Program                                      306-1826
Advanced Technologies & Instrumentation Program         306-1828
CHE     Division of Chemistry (12)                              306-1840
Chemical Instrumentation                                        306-1849
Organic Dynamics
306-1847
Organic Synthesis
306-1851
Theoretical & Computational Chemistry Program           306-1844
Experimental Physical Chemistry Program                 306-1856
Inorganic, Bioinorganic & Organometallic Program        306-1842
Analytical & Surface Chemistry Program                  306-1852
Special Projects Office                                         306-1840
DMR     Division of Materials Research (10)                     306-1810
Materials Research Science & Engineering Centers        306-1815
National Facilities & Instrumentation                   306-1817
Condensed Matter Physics                                        306-1818
Materials Theory
306-1834
Metals, Ceramics & Electronic Materials                 306-1835
Solid-State Chemistry & Polymers                                306-1839
DMS     Division of Mathematical Sciences (10)                  306-1870
Applied Mathematics                                             306-1872
Analysis
306-1879
Algebra & Number Theory                                         306-1876
Topology & Foundations                                          306-1881
Infrastructure                                                  306-1874
Statistics & Probability                                        306-1885
Geometric Analysis Program                                      306-1881
Computational Mathematics Program                               306-1878
PHY     Division of Physics (10)                                306-1890
Special Programs
306-1809
Atomic, Molecular & Optical Physics                             306-1807
Elementary Particle Physics                                     306-1894
Theoretical Physics                                             306-1889
Nuclear Physics                                                 306-1806
Gravitational Physics                                           306-1899

SBE     Directorate for Social, Behavioral & Economic Sciences 306-1700
INT     Division of International Programs (10)                 306-1710
Africa, Near East and South Asia Program                        306-1707
East Asia and Pacific Program                                   306-1704
Americas Program 306-1706
Eastern Europe Program                                          306-1703
Western Europe Program                                          306-1702
Japan and Korea Program                                         306-1701
International Science and Engineering Issues Office     306-1711
NSF Tokyo Office (81-33) 224-5505
NSF Europe Office (33-14) 312-2108
BCS     Division of Behavioral & Cognitive Sciences (18)        306-1760
Geography and Regional Sciences                         306-1754
Archaeology, Archaeometry & Systematic Collections      306-1759
Cultural Anthropology                                           306-1758
Physical Anthropology                                           306-1758
Linguistics
306-1731
Human Cognition and Perception                          306-1732
Social Psychology
306-1728
Child Learning and Development                          306-1732
SES     Division of Social & Economic Sciences (18)             306-1760
Economics                                              306-1753
Decision, Risk & Management Science                             306-1757
Innovation & Organizational Change                              306-1757
Political Science                                   306-1761
Law and Social Science                                          306-1762
Sociology                                           306-1756
Methodology, Measurement, and Statistics                        306-1729
Science and Technology Studies                          306-1743
Societal Dimensions of Engineering, Science
& Technology                                                    306-1742
Cross-Disciplinary Activities                                   306-1733
SRS     Division of Science Resources Studies (10)              306-1780
Information Services Group                                      306-1773
Human Resources Statistics Program                              306-1774
Research & Development Statistics Program                       306-1772
Science & Engineering Indicators Program                        306-1777
Integrated Studies Program                                      306-1776

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

APPENDIX B
CHECKLIST FOR PROPOSAL PREPARATION

Codes:

1 = Use of format required*
2 = Use of format optional
3 = Use instructions provided in Grant Proposal Guide for completion of this
section of the proposal

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

[    ]  Is all or part of the proposal required to be submitted via
	FastLane?**
[    ]  Information About Principal Investigators/Project Directors, NSF
	Form 1225 (one copy only) (code 1)
[    ]  List of suggested reviewers, or reviewers not to include (one copy
	only) (optional)
[    ]  Cover Sheet for Proposal to the National Science Foundation,
	Certification Page, NSF Form 1207 (one copy only), (code 1) Pag
e 2
[    ]  All required signatures (Principal Investigator, co-Principal
		Investigator(s), and Authorized Organizational Represen
tative)
[    ]  Deviation Authorization (one copy only, if applicable)
[    ]  SF LLL, Disclosure of Lobbying Activities (one copy only, if
	applicable)
[    ]  Cover Sheet for Proposal to the National Science Foundation, Page 1,
	NSF Form 1207 (code 1)
[    ]  Program Announcement/Solicitation No./Closing Date.  If the proposal
	is not submitted in response to a specific program
	announcement, proposers must enter "NSF 00-2"
[    ]  Specific NSF program(s) identified
[    ]  For renewal proposal, previous award number entered
[    ]  Related preproposal number entered, if applicable
[    ]  Organization's DUNS number included
[    ]  Appropriate boxes on Cover Sheet checked
[    ]  Project Summary (code 3)
[    ]  Table of Contents, NSF Form 1359 (code 1)
[    ]  Project Description, including Results from Prior NSF Support
	(code 3)
[    ]  Human-resource information (required for renewal proposals
		from academic institutions only)
[    ]  References Cited (code 3)
[    ]  Biographical Sketches (code 3)
[    ]  Summary Proposal Budget, cumulative and annual, NSF Form 1030
	(code 1)
[    ]  Budget Justification (not to exceed three pages)
[    ]  Cost sharing amount, if applicable
[    ]  Current and Pending Support, NSF Form 1239 (code 2)
[    ]  Facilities, Equipment and Other Resources, NSF Form 1363 (code 2)
[    ]  Special Information and Supplementary Documentation (letters of
	commitment, eligibility statements, etc.) as required
[    ]  Animal Care and Use Statement, if available at the time of
		proposal submission***
[    ]  Human Subjects Certification, if available at the time of
		proposal submission****
[    ]  Special provisions for research in Greenland or Antarctica
[    ]  Required number of copies of the proposal, including the original
	signed copy (See Appendix A)
[    ]  Proposal packages addressed exactly as shown in Chapter 1


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

**Some NSF programs  may require electronic submission of all or part
of a proposal, including unsolicited proposals.  Please check the
FastLane Web site at: 
prior to proposal submission for a listing of programs and program
announcements that require submission via FastLane.

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

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

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

APPENDIX C
DEFINITIONS OF CATEGORIES OF PERSONNEL

The personnel categories listed on parts A and B of the proposal budget 
(NSF Form 1030) are defined as follows:

A.      Senior Personnel

(1-5)   (co) Principal Investigator(s) - the individual(s) designated
by the grantee and approved by NSF who will be responsible for the
scientific or technical direction of the project.  If more than one,
the first one listed wil l have primary responsibility for the project
and the submission and signing of reports.

Faculty Associate (faculty member) - an individual other than the
Principal Investigator(s) considered by the performing institution to
be a member of its faculty or who holds an appointment as a faculty
member at another institution, and who will participate in the project
being supported.

B.      Other Personnel

1.      Postdoctoral Associate - an individual who received a Ph.D.,
M.D., D.Sc.  or equivalent degree less than five years ago, who is not
a member of the faculty at the performing institution, and who is not
reported under Senior Personnel above.

2.      Other Professional - a person who may or may not hold a
doctoral degree or its equivalent, who is considered a professional and
is not reported as a Principal Investigator, faculty associate,
postdoctoral associate or student.  Examples of persons included in
this category are doctoral associates not reported under B1,
professional technicians, physicians, veterinarians, system experts,
computer programmers and design engineers.

3.      Graduate Student (research assistant) - a part-time or
full-time student working on the project in a research capacity who
holds at least a bachelor's degree and is enrolled in a degree program
leading to an advanced degree.

4.      Undergraduate Student - a student who is enrolled in a degree
program (part-time or full-time) leading to a bachelor's or associate's
degree.

5.& 6. These categories include persons working on the project in a
non-research capacity, such as secretaries, clerk-typists, draftsmen,
animal caretakers, electricians and custodial personnel regardless of
whether they hold a degree o r are involved in degree work.

Any personnel category for which NSF funds are requested should
indicate, in the parentheses provided on the NSF Form 1030, the number
of persons expected to receive some support from those funds and, where
called for in the budget format, person-months to the nearest tenth.

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

PRIVACY ACT AND PUBLIC BURDEN STATEMENTS

The information requested on proposal forms and project reports is
solicited under the authority of the National Science Foundation Act of
1950, as amended.  The information on proposal forms will be used in
connection with the selection of qualified proposals; and project
reports submitted by awardees will be used for program evaluation and
reporting within the Executive Branch and to Congress.  The information
requested may be disclosed to qualified reviewers an d staff assistants
as part of the proposal review process; to proposer
institutions/grantees to provide or obtain data regarding the proposal
review process, award decisions, or the administration of awards; to
government contractors, experts, volunteers and researchers and
educators as necessary to complete assigned work; to other government
agencies needing information as par t of the review process or in order
to coordinate programs; and to another Federa l agency, court or party
in a court or Federal administrative proceeding if the government is a
party.  Information about Principal Investigators may be added to the
Reviewer file and used to select potential candidates to serve as peer
reviewers or advisory committee members.  See Systems of Records,
NSF-50, "Principal Investigator/Proposal File and Associated Records,"
63 Federal Register 267 (January 5, 1998), and NSF-51,
"Reviewer/Proposal File and Associated Records, " 63 Federal Register
268 (January 5, 1998).  Submission of the information is voluntary.
Failure to provide full and complete information , however, may reduce
the possibility of receiving an award.

An agency may not conduct or sponsor, and a person is not required to
respond t o an information collection unless it displays a valid OMB
control number.  The OMB control number for this collection is
3145-0058.  Public reporting burden for this collection of information
is estimated to average 120 hours per response, including the time for
reviewing instructions.  Send comments regarding the burden estimate
and any other aspect of this collection of information, including
suggestions for reducing this burden, to:

Suzanne H. Plimpton
Reports Clearance Officer
Division of Administrative Services
National Science Foundation
Arlington, VA  22230

YEAR 2000 REMINDER

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

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

			    Proposal
			     Forms
			      Kit

			    NSF 00-3
			  October 1999
		       (Replaces NSF 99-3)

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

A.      INTRODUCTION

This Proposal Forms Kit supplements the Grant Proposal Guide (GPG), the
NSF Guide that provides guidance for the preparation of unsolicited
proposals to NSF.  An unsolicited proposal is prepared by a Principal
Investigator and submitted by an organization on its own initiative and
not in response to a formal written solicitation from NSF.  Contact
with appropriate NSF program personnel is encouraged to help determine
if preparation of a formal proposal i s appropriate.

The Kit contains the forms necessary for preparation of unsolicited
proposals.  While these forms are generally applicable, some NSF
programs use specific program announcements which may require
additional forms for submission of proposals to NSF or which may modify
the general guidance in the GPG.

Please give careful attention to the requirements established in the
GPG and th e instructions provided on each form.  Proposals that do not
meet such requirements may be returned without further consideration by
NSF.  Of particular importance are the page limitations, format and
content requirements that are identified on the forms and/or
established throughout the GPG.  Proposers should ensure that, where
required, the submitted documents are signe d and dated.  A properly
prepared proposal will facilitate the administrative processing and
merit review that must occur before an award can be made.

B.      FORMS PROVIDED

Codes:
A = Use of format required
B = Use of format optional

The NSF Proposal Forms Kit includes one copy of each of the
following forms:

o       NSF Form 1225, Information About Principal Investigators/Project
	Directors (PI/PD) and co-Principal Investigators/co-Project
	Directors (code A)
o       NSF Form 1207, Cover Sheet for Proposal to the National
	Science Foundation (code A)
o       NSF Form 1359, Table of Contents (code A)
o       NSF Form 1030, Summary Proposal Budget (code A)
o       NSF Form 1239, Current and Pending Support (code B)
o       NSF Form 1363, Facilities, Equipment and Other Resources (code B)

C.      FORM PREPARATION INSTRUCTIONS

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

o       NSF Form 1225, Information About Principal Investigators/Project
	Directors (PI/PD) and co-Principal Investigators/co-Project
	Directors, Page 5
o       NSF Form 1207, Cover Sheet for Proposal to the National Science
	Foundation, Page 6
o       NSF Form 1359, Table of Contents, Page 8
o       NSF Form 1030, Summary Proposal Budget, Page 9
o       NSF Form 1239, Current and Pending Support, Page 13
o       NSF Form 1363, Facilities, Equipment and Other Resources, Page 13

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

o       Project Summary, Page 7
o       Project Description, Page 8
o       References Cited, Page 9
o       Biographical Sketches, Page 9

D.      FORMS ACCEPTANCE POLICY

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

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

Photocopies - Forms may be reproduced but must be clear and readable.
NSF two- sided forms may be copied and submitted either on one
two-sided sheet of paper or on single separate sheets of paper.

Note:  NSF is in the process of recording all the contents of a
proposal in electronic format.  Therefore the various forms contained
in the Proposal Forms Kit now include barcodes as part of the form.
All paper proposals submitted to NSF must include the bar codes
provided on each NSF required format.

Barcodes are not relevant to proposals prepared via FastLane.

FastLane - The NSF FastLane system uses Internet/Web technology to
facilitate the way NSF does business with the research, education, and
related communities.  The NSF FastLane system is available for proposal
preparation; submission and status checking; project reporting; and
post-award administrative activities.  All FastLane functions are
accessed by using a web browser on the Internet.  There is a link to
FastLane on the NSF Web site, or FastLane can be accessed directly at:
.

Access to proposal and post-award functions is limited to staff from
FastLane- registered organizations and is secured through the use of
Personal Identification Numbers (PINs).  To register an organization,
authorized organizational representatives must complete the
registration form that is available through theRegistration Information
hyperlink on the FastLane Web site.  Once an organization is
registered, individual staff should contact the organization's
sponsored projects office (or equivalent) for assignment of a PI N and
information about how to access and use the system for most
grant-related activities.

In the future, the Federal Commons project 
will provide a common interface for grantees in accessing electronic
business functions from a variety of federal grant-funding agencies.
The Foundation is an active participant in the Federal Commons project
and as this project develops, FastLane registration and security will
be integrated with the Federa l Commons.  In anticipation of this, the
FastLane PIN system will be moving to a password system.  At that time,
all references to PINs will be changed to passwords.

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

E.      WHEN TO SUBMIT PROPOSALS

Many NSF programs accept proposals any time. Other programs, however,
establish target dates or deadlines for submission of proposals to
allow time for their consideration by review panels which meet
periodically.  These target dates and deadlines are published in
specific program announcements or solicitations, which can be obtained
from the NSF Clearinghouse at:  or electronically through
the NSF Web site at: .  Lists of deadlines and
target dates also are available electronically on the NSF Web site.

Unless otherwise specified in a program announcement or solicitation,
proposals must be received by the specified date.  A proposal received
after a deadline, however, may be acceptable if it carries a legible
proof-of-mailing date assigned by the carrier and the proof-of-mailing
date is not later than one wee k prior to the deadline date.  If the
deadline date falls on a weekend, it will b e extended to the following
Monday; if the date falls on a holiday, it will be extended to the
following work day.  The deadline date will be waived only in
extenuating circumstances.  Inquiry about submission may also be made
to the appropriate program.  For information about receipt of proposals
submitted electronically, see Section F.

F. HOW TO SUBMIT PROPOSALS

In September 1998, the NSF Director issued Important Notice 123,
Working Toward s a Paperless Proposal and Award System
 that describes NSF's vision
for the future in electronic business and outlines the schedule for
implementation.  As stipulated in this Notice, all proposals will be
required to be submitted via FastLane effective October 1, 2000.  Some
NSF programs may require electronic submission of all or part of a
proposal, including unsolicited proposals prior to this date.  Please
check the FastLane Web site prior to proposal submission for a listing
of programs and program announcements and solicitations that require
submission via FastLane.  NSF recommends that all proposers and grantee
organizations review Important Notice 123 to be aware of the
implementation timelines stipulated in this document.

In the interim, for standard unsolicited proposals, electronic proposal
submission via FastLane is the preferred method and is strongly
encouraged (see endnote 1).   Unless otherwise specified by a program
or in a program announcement or solicitation, however, proposals may
continue to be submitted i n paper form.

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

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

1. Electronic submission.  A proposal is considered complete when the
proposal, including the Project Description, has been submitted to
NSF.  If the Project Description is included in the electronic
submission, unless otherwise specified in a program solicitation, the
receipt date will be the date the sponsored projects office transmits
the proposal to NSF.  The signed proposal Cover Sheet (NSF Form 1207)
must be postmarked (or provide a legible proof of mailing date assigned
by the carrier) within five working days following the electronic
submission of the proposal and forwarded to the following address:

National Science Foundation
DIS-FastLane Cover Sheet
4201 Wilson Blvd.
Arlington, VA  22230

A proposal may not be processed until the complete proposal (including signed
Cover Sheet) has been received by NSF.

2. Paper submission.  The delivery address must clearly identify
the NSF announcement or solicitation number under which the proposal is
being submitted , if applicable.  If the proposal is not submitted in
response to a specific announcement, proposers should enter the NSF
Program(s), using Appendix A as a guide, to which the proposal should
be directed.  Appendix A also indicates the required number of copies
of proposals to be forwarded to NSF, including the original signed
copy.   NSF will determine which program(s) will evaluate each
proposal.

Unless stated otherwise in a program solicitation, proposals should not
be addressed or sent directly to the cognizant Program Officer.  If
copies of the proposal are mailed or delivered in more than one
package, the number of packages and the NSF announcement or
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 address
listed below, weekdays, except Federal holidays, between the hours of
8:30 a.m. and 5:00 p.m. ET.  Contact the NSF Mail Room, 703.306.0657,
with any questions regarding the mailing or delivery of proposals.

Proposals must be addressed exactly as follows:

ANNOUNCEMENT/SOLICITATION NO________________
NATIONAL SCIENCE FOUNDATION PPU
4201 WILSON BLVD. ROOM P60
ARLINGTON VA  22230

3.      Acknowledgment of proposal receipt.  The acknowledgment of the
receipt of the proposal will reference both the NSF proposal number and
the cognizant NSF program to which the proposal has been assigned.
Once the proposal is submitted, PIs can access the proposal number via
the "View Submitted Proposal" list in the FastLane proposal preparation
module.

When the proposal is assigned to a NSF program, the cognizant program
information is available through the FastLane "Proposal Status Inquiry"
functio n for PIs and through the "Recent Proposals" report for
sponsored projects offices.  Communications about the proposal should
be addressed to the cognizan t Program Officer with reference to the
proposal number.  Proposers are encourage d to use FastLane to verify
the status of their submission to NSF.

G.      ADDITIONAL COPIES OF THIS PROPOSAL
FORMS KIT

Additional copies of the Proposal Forms Kit (NSF 00-3) or the GPG (NSF 00-2),
which contains the Proposal Forms Kit, may be ordered from:

NSF Clearinghouse
P.O. Box 218
Jessup, MD  20794-0218

Telephone: 301.947.2722
e-mail: 

The GPG or the Proposal Forms Kit may be obtained by accessing documents NSF 00
-
2 or NSF 00-3 electronically on the NSF Web site at: .

-----------------------------------------------------------------------------
Endnotes:
1.  Detailed instructions for proposal preparation and submission via FastL
ane are available at: .

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

ABOUT THE NATIONAL SCIENCE FOUNDATION

NSF funds research and education in most fields of science and
engineering.  Grantees are wholly responsible for conducting their
project activities and preparing the results for publication.  Thus,
the Foundation does not assume responsibility for such findings or
their interpretation.

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

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

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

We want all of our communications to be clear and understandable.  If
you have suggestions on how we can improve this document or other NSF
publications, please email plainlanguage@nsf.gov.


Your comments and suggestions are appreciated.

To cite this page:
NSF 00-2 Grant Proposal Guide
<http://www.physics.ohio-state.edu>
[]
Edited by: wilkins@mps.ohio-state.edu on