A. introduction




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A. INTRODUCTION

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


The Kit contains the forms necessary for preparation of unsolicited proposals. While these forms are generally applicable, some NSF programs use specific program announcements which may require additional forms for submission of proposals to NSF or which may modify the general guidance in the GPG.
Please give careful attention to the requirements established in the GPG and the instructions provided on each form. Proposals that do not meet such requirements may be returned without further consideration by NSF. Of particular importance are the page limitations, format and content requirements that are identified on the forms and/or established throughout the GPG. Proposers should ensure that, where required, the submitted documents are signed and dated. A properly prepared proposal will facilitate the administrative processing and merit review that must occur before an award can be made.

B. FORMS PROVIDED



Codes: A=Use of format required

B=Use of format optional
The NSF Proposal Forms Kit includes one copy of each of the following forms:


  • NSF Form 1225, Information About Principal Investigators/Project Directors (PI/PD) and co-Principal Investigators/co-Project DirectorsA

  • NSF Form 1207, Cover Sheet for Proposal to the National Science FoundationA

  • NSF Form 1359, Table of ContentsA

  • NSF Form 1030, Summary Proposal BudgetA

  • NSF Form 1239, Current and Pending SupportB

  • NSF Form 1363, Facilities, Equipment and Other ResourcesB



C. FORM PREPARATION INSTRUCTIONS

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




  • NSF Form 1225, Information About Principal Investigators/Project Directors (PI/PD) and co-Principal Investigators/co-Project Directors, Page 5

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

  • NSF Form 1359, Table of Contents, Page 8

  • NSF Form 1030, Summary Proposal Budget, Page 9

  • NSF Form 1239, Current and Pending Support, Page 13

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

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




  • Project Summary, Page 7

  • Project Description, Page 8

  • References Cited, Page 9

  • Biographical Sketches, Page 9



  1. FORMS ACCEPTANCE POLICY

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


Computer-generated facsimiles Computer-generated facsimiles may be substituted for any of the forms contained in the Kit. The categories or information requested, however, should not be rearranged or altered.
Photocopies Forms may be reproduced but must be clear and readable. NSF two-sided forms may be copied and submitted either on one two-sided sheet of paper or on single separate sheets of paper.
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: <http://www.fastlane.nsf.gov>.
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 PIN and information about how to access and use the system for most grant-related activities.


In the future, the Federal Commons project www.fedcommons.gov> 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 Federal 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: <http://www.fastlane.nsf.gov>.

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 week prior to the deadline date. If the deadline date falls on a weekend, it will be extended to the following Monday; if the date falls on a holiday, it will be extended to the following work day. The deadline date will be waived only in extenuating circumstances. Inquiry about submission may also be made to the appropriate program. For information about receipt of proposals submitted electronically, see Section F.
F. How to Submit Proposals
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.1 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 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” 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.
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: .


INFORMATION ABOUT PRINCIPAL INVESTIGATORS/PROJECT DIRECTORS (PI/PD) and

co-PRINCIPAL INVESTIGATORS/co-PROJECT DIRECTORS


Submit ONE copy of this form for each PI/PD and co-PI/PD identified on the proposal. The form(s) should be attached to the original proposal as specified in GPG Section II.B. Submission of this information is voluntary and is not a precondition of award. The information will not be disclosed to external peer reviewers. DO NOT INCLUDE THIS FORM WITH ANY OF THE OTHER COPIES OF YOUR PROPOSAL AS THIS MAY COMPROMISE THE CONFIDENTIALITY OF THE INFORMATION.






PI/PD Name:      

Gender:  Male  Female

Ethnicity: (Choose one response)  Hispanic or Latino  Not Hispanic or Latino
Race:  American Indian or Alaska Native

(Select one or more)  Asian

 Black or African American

 Native Hawaiian or Other Pacific Islander

 White

Disability Status:  Hearing Impairment

(Select one or more)  Visual Impairment

 Mobility/Orthopedic Impairment

 Other      



 None

Citizenship: (Choose one)  U.S. Citizen  Permanent Resident  Other non-U.S. Citizen

Check here if you do not wish to provide any or all of the above information (excluding PI/PD name): 

REQUIRED: Check here if you are currently serving (or have previously served) as a PI, co-PI or PD
on any federally funded project.





Ethnicity Definition:

Hispanic or Latino. A person of Mexican, Puerto Rican, Cuban, South or Central American, or other Spanish culture or origin, regardless of race.

Race Definitions:

American Indian or Alaska Native. A person having origins in any of the original peoples of North and South America (including Central America), and who maintains tribal affiliation or community attachment.
Asian. A person having origins in any of the original peoples of the Far East, Southeast Asia, or the Indian subcontinent including, for example, Cambodia, China, India, Japan, Korea, Malaysia, Pakistan, the Philippine Islands, Thailand, and Vietnam.
Black or African American. A person having origins in any of the black racial groups of Africa.
Native Hawaiian or Other Pacific Islander. A person having origins in any of the original peoples of Hawaii, Guam, Samoa, or other Pacific Islands.
White. A person having origins in any of the original peoples of Europe, the Middle East, or North Africa.




WHY THIS INFORMATION IS BEING REQUESTED:
The Federal Government has a continuing commitment to monitor the operation of its review and award processes to identify
and address any inequities based on gender, race, ethnicity, or disability of its proposed PIs/PDs. To gather information
needed for this important task, the proposer should submit a single copy of this form for each identified PI/PD with each proposal. Submission of the requested information is voluntary and will not affect the organization’s eligibility for an award. However, information not submitted will seriously undermine the statistical validity, and therefore the usefulness, of information received from others. Any individual not wishing to submit some or all the information should check the box provided for this purpose. (The exceptions are the PI/PD name and the information about prior Federal support, the last question above.)
Collection of this information is authorized by the NSF Act of 1950, as amended, 42 U.S.C. 1861, et seq. Demographic data allows NSF to gauge whether our programs and other opportunities in science and technology are fairly reaching and benefiting everyone regardless of demographic category; to ensure that those in under-represented groups have the same knowledge of and access to programs and other research and educational opportunities; and to assess involvement of international investigators in work supported by NSF. The information may be disclosed to government contractors, experts, volunteers and researchers to complete assigned work; and to other government agencies in order to coordinate and assess programs. The information 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).
N
SF Form 1225 (10/99)



COVER SHEET FOR PROPOSAL TO THE NATIONAL SCIENCE FOUNDATION





































PROGRAM ANNOUNCEMENT/SOLICITATION NO./CLOSING DATE/If not in response to a program announcement/solicitation enter NSF 00-2

FOR NSF USE ONLY

     

NSF PROPOSAL NUMBER

     




FOR CONSIDERATION BY NSF ORGANIZATIONAL UNIT(S) (Indicate the most specific unit known, i.e., program, division, etc.)





     




DATE RECEIVED

NUMBER OF COPIES

DIVISION ASSIGNED

FUND CODE

DUNS # (Data Universal Numbering System)

FILE LOCATION













     




EMPLOYER IDENTIFICATION NUMBER (EIN) OR

SHOW PREVIOUS AWARD NO. IF THIS IS

IS THIS PROPOSAL BEING SUBMITTED TO ANOTHER FEDERAL

TAXPAYER IDENTIFICATION NUMBER (TIN)

 A RENEWAL



AGENCY? YES  NO  IF YES, LIST ACRONYM(S)

     

 AN ACCOMPLISHMENT-BASED RENEWAL



     

     




     







NAME OF ORGANIZATION TO WHICH AWARD SHOULD BE MADE

ADDRESS OF AWARDEE ORGANIZATION, INCLUDING 9 DIGIT ZIP CODE

     

     

AWARDEE ORGANIZATION CODE (IF KNOWN)

     

     

     

NAME OF PERFORMING ORGANIZATION, IF DIFFERENT FROM ABOVE

ADDRESS OF PERFORMING ORGANIZATION, IF DIFFERENT, INCLUDING 9 DIGIT ZIP CODE

     

     

PERFORMING ORGANIZATION CODE (IF KNOWN)

     

     

     

IS AWARDEE ORGANIZATION (Check All That Apply)




(See GPG II.D.1 For Definitions)  FOR-PROFIT ORGANIZATION SMALL BUSINESS MINORITY BUSINESS WOMAN-OWNED BUSINESS









TITLE OF PROPOSED PROJECT      





REQUESTED AMOUNT
     
$

PROPOSED DURATION (1-60 MONTHS)
     
months

REQUESTED STARTING DATE

     


SHOW RELATED PREPROPOSAL NO.,

IF APPLICABLE



     




CHECK APPROPRIATE BOX(ES) IF THIS PROPOSAL INCLUDES ANY OF THE ITEMS LISTED BELOW







BEGINNING INVESTIGATOR (GPG I.A.3)


 VERTEBRATE ANIMALS (GPG II.D.12) IACUC App. Date

     

 DISCLOSURE OF LOBBYING ACTIVITIES (GPG II.D.1)


 HUMAN SUBJECTS (GPG II.D.12)

 PROPRIETARY & PRIVILEGED INFORMATION (GPG I.B, II.D.7)

Exemption Subsection    or IRB App. Date

     

 NATIONAL ENVIRONMENTAL POLICY ACT (GPG II.D.10)

 INTERNATIONAL COOPERATIVE ACTIVITIES: COUNTRY/COUNTRIES

 HISTORIC PLACES (GPG II.D.10)





     

 SMALL GRANT FOR EXPLOR. RESEARCH (SGER) (GPG II.D.12)


 FACILITATION FOR SCIENTISTS/ENGINEERS WITH DISABILITIES (GPG V.G.)



 RESEARCH OPPORTUNITY AWARD (GPG V.H)













PI/PD DEPARTMENT

PI/PD POSTAL ADDRESS







     

     

PI/PD FAX NUMBER

     







     

     
















NAMES (TYPED)

High Degree

Yr of Degree

Telephone Number

Electronic Mail Address
















PI/PD NAME




























     

     

     

     

     
















CO-PI/PD




























     

     

     

     

     
















CO-PI/PD




























     

     

     

     

     
















CO-PI/PD




























     

     

     

     

     
















CO-PI/PD




























     

     

     

     

     

NSF Form 1207 (10/99) Page 1 of 2




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