Title : NSF 94-79 Research in Undergraduate Institutions Type : Program Guideline NSF Org: EHR Date : June 8, 1994 File : nsf9479 RESEARCH IN UNDERGRADUATE INSTITUTIONS Faculty Research Projects Research Instrumentation Grants Research Opportunity Awards Program Announcement Submission Date Varies With Program National Science Foundation Arlington, Virginia 22230 (Inside Front Cover) The National Science Foundation (NSF) provides awards for research and education in the sciences and engineering. The awardee is wholly responsible for the conduct of such efforts and preparation of the results for publication. The Foundation, therefore, does not assume responsibility for such findings or their interpretation. The Foundation welcomes proposals on behalf of all qualified scientists and engineers, and strongly encourages women, minorities, and persons with disabilities to compete fully in any of the research and research-related programs described in this document. In accordance with Federal statutes and regulations and NSF policies, no person on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, denied the benefits of, or be subjected to discrimination under any program or activity receiving financial assistance from the National Science Foundation. Facilitation Awards for Scientists and Engineers with Disabilities provide funding for special assistance or equipment to enable persons with disabilities (investigators and other staff, including student research assistants) to work on an NSF-supported project. See the program announcement (NSF Publication 91-54), or contact the Coordinator in the Directorate for Education and Human Resources. The telephone number is (703) 306-1636. The Foundation has TDD (Telephonic Device for the Deaf) capability, which enables individuals with hearing impairment to communicate with the Division of Personnel and Management about NSF programs, employment, or general information. The telephone number is (703) 306-0090. How to Obtain NSF Publications. Many NSF publications are available through NSF's electronic dissemination system called STIS (Science and Technology Information System). Full instructions appear in the "STIS Flyer" which is printed elsewhere in this announcement. We recommend strongly that you use the electronic system for fast, convenient access to NSF publications. Copies of NSF publications in printed form are available at no charge, and may be ordered in a number of ways. If you are a user of electronic mail and have access to either BITNET or Internet, you may order publications electronically: BITNET users should address requests to pubs@nsf; Internet users should send requests to pubs@nsf.gov. Printed publications may be ordered by telephone (dial 703/306-1130), or by FAX (703/644-4278). In any request for printed publications, please include the NSF publication number and title, number of copies, your name, and a complete mailing address. Publications should be received within 3 weeks after receipt of request. This program is described in the following categories of the Catalog of Federal Domestic Assistance: 47.041, 47.049, 47.050, 47.070, 47.073, 47.074, 47.075, 47.076, and 47.077. RESEARCH IN UNDERGRADUATE INSTITUTIONS Faculty Research Projects Research Instrumentation Grants Research Opportunity Awards Introduction The National Science Foundation's mandate to ensure the vitality of the Nation's scientific and technological enterprise includes concern for the quality, distribution, and effectiveness of research and of education in science and engineering. The National Science Foundation encourages research by faculty at predominantly undergraduate institutions, where such research contributes to basic knowledge in science and engineering and strengthens the quality of undergraduate training for graduate study and careers in science and engineering. The Research in Undergraduate Institutions (RUI) activity is part of the Foundation's effort to help assure a broad base for science and engineering research, and thereby enhance the scientific and technical training of students in undergraduate institutions. The specific objectives of the RUI program are to: (1) support high quality research by faculty with active involvement of undergraduate students, (2) strengthen the research environment in academic departments that are oriented primarily toward undergraduate instruction, and (3) promote the integration of research and education at predominantly undergraduate institutions. Through RUI, NSF provides support for research and research instrumentation for investigators in non-doctoral departments in predominantly undergraduate institutions. Predominantly undergraduate institutions are defined in terms of the nature of the institution, not solely on the basis of highest degree offered. Included by the definition are two and four-year colleges, masters- level institutions, and smaller doctoral institutions that, institution-wide, did not award a total of more than 20 doctoral degrees during the past two academic years in science and engineering fields supported by NSF. All NSF disciplinary research programs provide faculty support at these institutions in three ways: 1. Research and instrumentation proposals (without the RUI designation) submitted directly to the regular NSF disciplinary programs. 2. Research and instrumentation proposals submitted through the Research in Undergraduate Institutions (RUI) effort to the disciplinary programs. RUI support is limited to faculty in non-doctoral departments within predominantly undergraduate institutions. 3. Research Opportunity Awards (ROAs) for supplementary funding through ongoing NSF research grants to allow faculty at predominantly undergraduate institutions to participate in research activities under the aegis of NSF-supported investigators. Proposals submitted through RUI are accepted in all fields of science and engineering supported by the Foundation.<<*>> RUI proposals are evaluated and funded by NSF programs in the disciplinary areas of the proposed research. Within this context, RUI serves as a vehicle for eligible proposals and is fully integrated into the regular disciplinary programs of the Foundation. In addition to describing the specific research problems to be addressed, RUI proposals must address the expected impact of the proposed research on the research and training environment of the department in an appended RUI Impact Statement (see item þ I below). RUI proposals submitted to the Directorate for Engineering must contain an additional statement on Impact of Proposed Research on the knowledge and technology base. <<* 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 product or invention. Bioscience research with disease-related goals, including work on the etiology, diagnosis, or treatment of physical or mental disease, abnormality, or malfunction in human beings or animals, is normally not supported. Animal models of such conditions or the development or testing of drugs or other procedures for their treatment also are not eligible for support. However, research in bioengineering, with diagnosis- or treatment-related goals, that applies engineering principles to problems in biology and medicine while advancing engineering knowledge is eligible for support. Bioengineering research to aid persons with disabilities is also eligible.>> This program announcement describes in further detail the RUI effort and summarizes ROA and research equipment programs. Information on research support through the regular disciplinary programs may be obtained from the NSF Guide to Programs. Applicants are encouraged to discuss their research plans with the NSF disciplinary program officers before submitting a formal proposal to the Foundation; to consult the Grant Proposal Guide (GPG) (NSF 94-2); and to obtain and use a Proposal Forms Kit (PFK) (NSF 94-3). NSF programs to which RUI proposals may be submitted are listed in Appendix 3 of this announcement, along with telephone numbers of their program officers. Prospective investigators with specific discipline-related questions are encouraged to contact the program officers in their respective disciplines. General inquiries about RUI or ROA may be made to the RUI/ROA Coordinator, EHR/OAD, Room 805, National Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230 (703/306-1603). Faculty Research Projects and Research Instrumentation Grants Eligibility Criteria There are two facets of eligibility to submit a RUI proposal, institutional and departmental; both must be met. Eligible "predominantly undergraduate" institutions include U.S. two-year, four-year, masters-level, and small doctoral colleges and universities. A. Eligible institutions: 1. Grant baccalaureate degrees in NSF-supported fields, or provide programs of instruction for students pursuing such degrees with institutional transfers (e.g., two-year schools); 2. Have undergraduate enrollment exceeding graduate enrollment; 3. Award no more than 20 PhDs or DScs in all NSF-supportable disciplines during the two academic years preceding proposal submission. Autonomous campuses in a system are considered independently, although they may be submitting their proposals through a central office. It is, therefore, very important that they be identified on the proposal cover sheet. B. Eligible departments (of the principal investigator): 1. Must offer courses that qualify for bachelor's degree credit in NSF-supportable fields; 2. May offer masters degrees, but may not: (a) award a doctorate; or (b) offer doctoral courses and supervise doctoral research, even though the Ph.D. is not technically awarded by that campus. Questions regarding eligibility may be addressed to the RUI Coordinator, EHR/OAD, Room 805, National Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230 (703/306-1603). As in all NSF programs, proposals from women, minority, and physically disabled investigators are strongly encouraged. The principal investigator for a RUI proposal must be employed by, or have a commitment to be employed by, an eligible home institution (i.e., a predominantly undergraduate institution) at the time the proposal is submitted, and during the period of any resulting grant. In addition, the principal investigator must be from an eligible (i.e., non-doctoral) department. Co-principal investigators may be from other institutions, or from doctoral departments. Duplicate Submissions Because RUI proposals are handled by the disciplinary program officers in conjunction with all other proposals in the same research area, duplicate submission of the same proposal--through RUI and to a disciplinary research program--is not permitted. However, submission of a single RUI proposal does not preclude submission of a different proposal for other NSF support. Research proposals to the Biological Sciences Directorate cannot be duplicates of proposals to any other Federal agency for simul- taneous consideration. The only exceptions to this rule are: (1) proposals where the proposers and program officers at relevant Federal agencies have previously agreed to joint review and possible joint funding of the proposal; and (2) proposals from beginning investigators (beginning investigators are individuals who have not been a principal investigator on a Federally funded award with the exception of doctoral dissertation, postdoctoral fellowship, or research planning grants; see GPG for definitions). For proposers who qualify under this exception, processing will be assisted by checking the box for "Beginning Investigator" on the Cover Sheet for Proposal to the National Science Foundation, NSF Form 1207. Proposal Target Dates or Deadlines Proposals must be submitted by the investigator's home institution in accordance with the target dates or deadlines, if any, of the NSF disciplinary program in the proposed research area. Some NSF programs have deadlines or target dates to allow time for consideration by advisory committees or specially assembled review panels which meet periodically. These dates are published in the NSF Bulletin, issued monthly except July and August. Dates for the entire fiscal year appear in the October issue. Copies may be obtained from the Editor, NSF Bulletin, Room 1245, NSF, 4201 Wilson Boulevard, Arlington, VA 22230 (Telephone: 703/306-1070). Inquiries about deadlines may also be made to the appropriate research program officer. RUI Award Duration and Size Awards normally range in duration from one to three years. In previous years, their size has ranged from $5,000 to over $250,000, with many factors, including the nature of the project, number of investigators, and duration, affecting the size. Consultation with the cognizant NSF disciplinary program officer is strongly encour- aged prior to final preparation of a RUI proposal to determine if the proposed budget is within the RUI funding range for the particular program and circumstances. The NSF disciplinary programs will consider RUI proposals with two general thrusts: (1) Faculty Research Projects; and (2) multi- investigator/user Research Instrumentation Grants. RUI proposals are submitted by the principal investigator's home institution to the appropriate NSF disciplinary program (research or research instrumentation), and must meet the specific require- ments of that disciplinary area/instrumentation program (e.g., deadlines). Proposals should be prepared according to guidelines in this program announcement and those described in the NSF brochure, Grant Proposal Guide (GPG) (NSF 94-2), plus any special instructions from the disciplinary program. Single copies of GPG and of the Proposal Forms Kit (PFK) are available at no cost from the Forms and Publications Unit, phone (703) 306-1130, or via e- mail (BITNET: pubs@nsf or Internet: pubs@nsf.gov). RUI proposals differ from proposals for regular research grants in only two ways. They must contain (1) a Certification of RUI Eligibility (see Appendix 2) and (2) a separate RUI Impact Statement in Section I of the proposal (see below). The RUI Impact Statement is discussed below. RUI Faculty Research Projects Proposals for RUI Faculty Research Projects may request support for salaries and wages, research assistantships (focused upon undergraduate students), fringe benefits, travel, materials and supplies, publication costs and page charges, consultant services, equipment needed for individual research projects with a single research focus, field work, research at other institutions, and indirect costs. Eligible costs are discussed more fully in the GPG. For large multi-user instrumentation, see RUI Research Instrumentation Grants below. The costs for smaller dedicated equipment may be included in the budget for Faculty Research Projects. RUI Work at Other Institutions Because a proposal is submitted by the home institution of the prospective principal investigator(s), any ensuing award will be made to that institution. Funds may then be provided by the home institution through billing or via subcontract to another (host) institution to defray incremental costs of supporting the RUI investigator's research. No funds may be requested by the host institution for equipment. An increased need for travel (but not commuting) is recognized, including the possibility of costs for the participation of students from the home institution. Otherwise, eligible costs are essentially the same as for RUI research project proposals at the home institution. When research is to be performed at an institution other than the home institution, a faculty participant at the host institution can be a co-principal investigator or a consultant on the project, depending on arrangements made with that individual and the host institution. A letter documenting the inter-institutional arrangements for the visiting faculty member's research should be included in Section I of the proposal (see below). A summary of the costs (on NSF Budget Form 1030) for which the host institution is to be compensated by subcontract or by billing also should be signed by the authorized representative of the host institution. See GPG for additional detail. Questions concerning subcontracting should be addressed to NSF's Division of Grants and Agreements (703/306-1210). RUI Research Instrumentation Grants Multi-investigator/user proposals (i.e., those involving two or more co-principal investigators) may be submitted under RUI for: (1) purchasing or upgrading instrumentation or equipment needed for conducting the proposed faculty research; and (2) for developing new instrumentation that will extend current capability in terms of sensitivity or resolution, or that will provide new or alternative techniques for detection and observation. Instrumentation/equip- ment requests may be for single items or multiple-component systems. All NSF research directorates will consider research instrumen- tation proposals submitted through RUI. A number of areas have formal instrumentation programs to support multi-user instrumen- tation requests. The specific guidelines for submission of pro- posals under these programs should be consulted for details on dollar limitations, matching funds and other requirements before development of a proposal to be submitted through RUI. Require- ments vary by program. Specialized instrumentation programs are listed in Appendix 4, along with the telephone numbers of their program officers. Proposals for research instrumentation or equipment must describe the specific research project (or projects) to be conducted using the instrumentation. Proposals should describe the instrumentation requested, state why it is essential, and describe the impact of the project and the instrumentation on the department's research environment. The primary criterion for an award is the scientific merit/quality of the proposed research. While the description of individual research projects may be somewhat shorter than in a research proposal, sufficient detail must be provided for reviewers to judge the merit of the problems to be addressed and the methodology proposed. Instrumentation programs at NSF require cost-sharing; submission to these programs under the RUI guidelines and criteria does not exempt the institution from cost-sharing. Matching requirements differ by program, but may range up to one-half of the total cost. Indirect costs are not allowed for grants solely for equipment. Proposal Evaluation Eligible RUI proposals will be evaluated in competition with all other proposals submitted to the Foundation in the same area of research, in accordance with the Foundation's standard merit review procedure for that discipline. However, special RUI reviewer instructions are supplied. The Foundation has established four basic criteria for the evaluation of proposals for support: Research performance competence. This criterion relates to the capability of the investigator(s), the technical soundness of the proposed approach, and adequacy of the institutional resources available. Intrinsic merit of the research. This criterion is used to assess the likelihood that the research will lead to new discoveries or fundamental advances within its field of science or engineering, or have substantial impact on progress in that field or in other scientific and engineering fields. Utility or relevance of the research (as appropriate). This criterion is used to assess the likelihood that the research can contribute to the achievement of a goal that is extrinsic or in addition to that of the research field itself, and thereby serve as the basis for new or improved technology or assist in the solution of societal problems. Effect of research on the infrastructure of science and engineering. This criterion relates to the potential of the proposed research to contribute to better understanding or improvement of the quality, distribution, or effectiveness of the Nation's scientific and engineering research, education, and human resources base. The first three criteria, relating to the technical merit of the projects, are applied in a balanced way to all proposals considered by the Foundation; scientific merit is paramount for all RUI proposals. The Foundation's fourth criterion permits consideration of RUI proposals in terms of their contribution to the infra- structure of science and engineering, including training in the sponsoring department and institution. Reviewers of RUI proposals are asked to consider the RUI Impact Statement contained in the proposal. They will look there and elsewhere in the proposal for indications of such impacts as: increased faculty involvement in the mainstream of disciplinary research; direct student experience in research; enhanced departmental ability to prepare students for entry into graduate study or scientific and engineering careers; and acquisition of research instrumentation that will improve faculty and student research opportunities. Reviewers are also asked to recognize that the publication rate of investigators and the pace of their research may be slower at a predominantly undergraduate institution than at a major research university because of heavier teaching loads; limited availability of support personnel, facilities and equipment; as well as the involvement of undergraduate, rather than graduate students, in the research activities. The description of the environment in which the principal investigator works should be so written as to permit the reviewers to take such factors into account. Evaluation of research instrumentation proposals may consider such additional factors as: the instrumentation needed for the research proposed; the expected extent of usage of the instrumentation and the number of investigators and students benefiting; the institution's financial commitment toward purchase and its commitment for operation and maintenance. Other criteria vary among disciplines, and are noted in the specific program announcements. Proposal Preparation and Format Applicants are strongly encouraged to discuss their proposals with the cognizant NSF program officers before submission. (See Appendix 3 for a list of NSF programs with telephone numbers.) General inquiries, as well as those about guidelines and eligibility, may be made to the RUI Coordinator (703/306-1603). Proposals submitted in response to this program announcement should be prepared and submitted in accordance with the general guidelines provided in GPG and should also adhere to the following special instructions. [The procedure for obtaining authorization for deviations from these instructions appears in Section II.A. of GPG.] Each copy of the proposal -- except as noted below -- should contain: þ Information about Principal Investigators/Project Directors. (Use NSF Form 1225, found in GPG or PFK). Submit only ONE copy of this form with your proposal. Attach it on top of the Cover Sheet of the proposal copy that bears original signatures. Information on this form is confidential and is used for statistical purposes only, but it is Congressionally-required. The Foundation is not responsible for removing surplus copies of Form 1225 inappropriately included with proposal copies which go to reviewers. þ The Cover Sheet. (Use NSF Form 1207, found in GPG or PFK; page 1 of 2 is to be included in all proposal copies). Indicate clearly the NSF research program and/or division to which the proposal is directed in the top left box of the form. A list of these can be found in Appendix 3. In the box just below the top left box (Program Announcement/ Solicitation No./Closing Date), type "RUI NSF 94-79"/(insert closing date). Instrumentation proposals should be titled "RUI: Acquisition of (general name of instrument)." þ The Certification Page. (Use NSF Form 1207, found in GPG or PFK; page 2 of 2 is to be included only in the copy that bears the original signatures). If a host institution is involved, its authorized organizational representative must also sign the certification page. (See I., below, for additional certification required.) þ A. The Project Summary. (Use NSF Form 1358, found in GPG or PFK) (not to exceed one page). This summary is used by the Foundation to inform the public about projects supported and therefore should be addressed to the informed lay reader. It should be a self-contained description of the research that would result if the project is funded, including its objectives, methods to be employed, and the significance of the research. þ B. Table of Contents. (Use NSF Form 1359, found in GPG or PFK). Note that pages are to be numbered consecutively within each Section, e.g., C-1, C-2, C-3, etc. þ C. Project Description. (NSF Form 1360, found in GPG or PFK, is optional for Page C-1 and other pages of this proposal section.) This narrative description, not to exceed 15 pages in length (including tables, figures, and other visual supplements), is the principal part of a proposal. It is a detailed statement of the work to be undertaken and is the basis for determining the technical merit of the proposal. If applicable, the Project Description must contain a statement of Results from Prior NSF Support (see below). If the proposal is submitted to NSF's Directorate for Engineering, the required statement on Impact of Proposed Research (limit, two pages) is to be included within the 15-page Project Description. This statement should discuss briefly potential discoveries or advances that are expected as a result of the research, and the specific contributions the proposed work will make toward expanding or developing the knowledge and technology base. Research Instrumentation proposals submitted through RUI must describe the research planned by each of the primary users of the equipment. In addition, the proposal should describe the instrumentation requested, the need for it, the value of the instrumentation to the submitting department or group, the rationale for its selection, institutional cost-sharing plans, and the plan for maintenance and operation. Results from Prior NSF Support. If either the Principal Investigator or the Co-Principal Investigator has received an NSF award for research or research instrumentation within the last 5 years, a section entitled Results from Prior NSF Support must be included in the Project Description. This section must describe the earlier project and its outcome(s) in sufficient detail to permit reviewers to reach an informed conclusion regarding the value of the results achieved. Care should be taken in preparing this section because peer reviewers will be asked to comment on the quality of the prior work described. The following information on the prior award most relevant to this proposal is required (amendments to an award are not considered separate awards): þ The NSF award number, amount, and period of support. þ The title of the project. þ A summary of the results of the completed project. (To facilitate review, this summary must not exceed two pages in length.) þ A list of publications resulting from the NSF award. (Do not submit copies of such papers with the proposal.) þ If the proposal is for renewal of a grant, a description of the relation of the completed work to the proposed work is required as is information on human-resources development. This may involve, but is not limited to, the role of the research in student training, course preparation, and seminars. Special accomplishments in the development of professional scientists and engineers from underrepresented groups should be described. A brief description of the status of students supported under the previous grant is optional. þ D. Bibliography. (Use of NSF Form 1361, found in GPG or PFK, is optional). A bibliography of pertinent research literature is required. þ E. Biographical Sketches (Curriculum Vitae) (Use NSF Form 1362, found in GPG or PFK, for the first page of each sketch; any second pages required should be headed BIOGRAPHICAL SKETCH and should show the correct pagination at the bottom center of each page. A biographical sketch including a list of publications (not to exceed two pages total) for each of the key personnel Principal Investigator, any Co-Principal Investigator, and other professionals) should be provided. (Do not include biographical sketches for more than twelve representative participating mentors and other professionals.) In accordance with GPG, each of the key personnel should include as Part B a list of up to five publications most relevant to the work proposed and up to five other significant publications. This list of publications may include those involving undergraduate authors; an asterisk should be used to identify undergraduate students who served as co-authors. [Alternatively, an additional listing of up to ten publications involving undergraduate authors may be included separately.] Items in press may be included. The information on collaborators required by NSF Form 1362 Parts C and D will help avoid potential conflicts of interest in the merit review process. þ F. Project Budget. Use a separate Form 1030 (found in GPG or PFK with detailed instructions) for each year of the project, for the cumulative budget, and for any subcontracts. A general description of allowable budget items is included in GPG. Because of variations among NSF programs, applicants are strongly encouraged to review GPG carefully, and then to discuss allowable costs with the program officer in the area of the proposed research. Matching-fund requirements for research instrumentation awards are generally one-third or more of the total cost of the instrument(s), depending upon the established practices of the specific NSF instrumentation program. Research Instrumentation Grants proposals should show the amount requested from NSF on the cover page and the summary budget forms. Indirect costs are not allowed for research instrumentation. þ Budget Justification (not to exceed 3 pages). A budget explanation should be attached, explaining and justifying major cost items or unusual situations/inclusions. þ G. Current and Pending Support. (Use of NSF Form 1239, found in GPG or PFK, is optional.) List (all sources) current and pending research support for each of the key personnel. Note: The Principal Investigator (and any Co-Principal Investigator) must have submitted NSF Form 98A (Final Project Report) for all completed NSF-funded projects. þ H. Facilities, Equipment, and Other Resources. (Use of NSF Form 1363, found in GPG or PFK, is optional.) Describe briefly such resources as are applicable to the effort proposed. The information provided is used by reviewers to assess the adequacy of the institutional resources available for performance of the work proposed in the Project Description (proposal Section C). þ I. Special Information and Supplementary Documentation. Except as indicated below and in the GPG description of proposal Section I, all information necessary for the review of a RUI proposal should be contained in the 15-page project description and the accompanying bibliography, biographical sketch(es), and budget justification. For RUI proposals, the following are specific exceptions: þ Page I-1 (see Appendix 2 of this Program Announcement) is to be the Certification of RUI Eligibility. By signing this page, the authorized institutional representative certifies that the home institution is eligible for the program and that the submitting department is non- doctoral. þ Pages I-2A, I-2B, et seq. (not to exceed four pages, through I-2D), are to contain the RUI Impact Statement. All RUI proposals must include a statement describing the expected impact of the proposed research activity on both the research environment of the principal investigator's department and on the ability of that department to prepare students for entry into advanced degree programs and careers in science and engineering. An enhanced departmental environment (including acquisition of research instrumentation that will improve faculty and student research opportunities) may be reflected in direct student experience and training in research, and in increased involvement of the faculty in the mainstream of research in their disciplines, which in turn leads to improved student preparation. The RUI Impact Statement should highlight, in addition, the record of the department and institution for training undergraduates for science and engineering careers. In proposals for multi-investigator/user RUI Research Instrumentation Grants, each individual research project should be identified by the investigator's name. þ Additional pages in Section I of the proposal (Pages I-nos.) should contain letters describing arrangements and commitments, and any other relevant items. Persons preparing proposals for RUI Research Instrumentation Grants, should consult the appropriate disciplinary program officer for any specific requirements. þ J. Appendices. All information necessary for the review of a proposal should be contained in Sections A through I of the proposal. In those instances where additional information is deemed necessary, the proposer should contact the appropriate Program Officer to obtain explicit approval and then follow the instructions for Deviation Authorization in GPG Section II.A. Only under unusual circumstances will such additional proposal content be allowed. The checklist in Appendix 1 of this Program Announcement lists what should be included in a RUI proposal. It should be used instead of the checklist appearing in GPG Appendix B. Proposal Submission The number of copies of proposals submitted must correspond to the requirements of the disciplinary program, as shown in Appendix 3 (and in GPG). Submit proposals to: Announcement No. NSF 94-79 NATIONAL SCIENCE FOUNDATION PPU 4201 Wilson Blvd Room P60 Arlington VA 22230 Award Administration Notification of the award is made to the submitting institution by the Foundation's grants officer. Organizations whose proposals are declined will be advised as promptly as possible by the NSF division administering the program. Verbatim copies of reviews, not including the identity of the reviewer, will be provided automatically to the Principal Investigator(s). Grants awarded as a result of this announcement are administered in accordance with the terms and conditions of NSF GC-1, Grant General Conditions, or FDP-II, Federal Demonstration Project General Terms and Conditions, depending on the grantee organi- zation. [Copies of these documents are available at no cost from the NSF Forms and Publications Unit, phone (703) 306-1130, or via e-mail (BITNET: pubs@nsf, or Internet: pubs@nsf.gov). More compre- hensive information is contained in the NSF Grant Policy Manual (NSF 88-47, Rev. July 1989), for sale through the Superintendent of Documents, Government Printing Office, Washington, DC 20402.] Further highlights of grant administration will be found in Section VII of the GPG. Research Opportunity Awards Background Research Opportunity Awards (ROAs) enable faculty members at predominantly undergraduate institutions with limited research opportunities to participate in research under the aegis of NSF- supported investigators at other institutions. A Research Oppor- tunity Award is intended to increase the visitor's research capa- bility and effectiveness, improve research and teaching at his or her home institution, as well as enhance the NSF-funded research of the host principal investigator (PI). Science teachers (middle and high school) with a keen interest in research also are eligible to participate. Most frequently, ROA activities are summer exper- iences. Arrangements for support are made within the existing framework of the Foundation's disciplinary programs: ROAs are made at the discretion of the program officer whose budget provides the funding. Arranging ROA Collaborations Faculty members or teachers interested in becoming ROA visiting researchers make their own arrangements with NSF-supported investi- gators at universities or laboratories that have been awarded or are currently applying for a Foundation research grant. Alter- natively, the PI of an ongoing NSF research grant may initiate an ROA collaboration. (NSF disciplinary program officers may be able to suggest names of grantees working on specific projects or in a particular geographic area, or may know of potential ROA visiting researchers.) The prospective visiting ROA researcher should contact the NSF-supported PI at the host institution to discuss a research plan and budget. The ROA visiting scientist becomes a temporary employee of the grantee (host) institution at which the PI holds an appointment (and to which the award is made). The nature of the research responsibility, the duration of the ROA visit, the rate of pay, and other arrangements with respect to such employment, are matters to be negotiated between the host institution, the PI, the prospective visiting scientist, and his/her home institution, as appropriate. Formal application must be made by the host institution of the NSF-supported PI who wishes to employ a faculty member or teacher from another institution under an ROA collaboration. There are three ways this may be done: A: As part of a new NSF proposal; B: As a supplement to an ongoing NSF award; C: By rearranging the project budget in an ongoing award, without requesting supplemental funding from NSF. Proposals and Submissions In case C: Where the PI rearranges the original budget of an on- going award to cover ROA expenses without supplemental funds and the scope of the project is unchanged, notification to NSF is the only requirement. In case B: Arrangements for supplemental ROA support to an existing award should be discussed with the cognizant disciplinary program officer and tentative approval obtained prior to submission of the request letter and accompanying documents (one copy only, submitted directly to the program officer). In cases A and B, the following are required: þ Cover Sheet and Certification Page (NSF Form 1207): Check ROA box on page 1. þ Description (brief): Proposed ROA arrangements; nature of the work to be performed by the ROA visitor; contribution of this work to the NSF research project; impact of the ROA experience upon the visitor's research activity and home institution. þ NSF Budget (NSF Form 1030): A (New proposal): ROA total listed under item G-6 (Other) on the summary budget form; cost itemization shown on separate ROA budget form (Form 1030), with budget explanation page if needed. B (Supplement): Additional expenses of the visiting researcher, with budget explanation page if needed. The ROA portion of the project budget, whether for a new proposal or a supplement, is to be developed cooperatively by the PI and prospective ROA visiting researcher. þ Biographical Sketch of the prospective ROA visiting researcher. þ Any additional requirements specified by the cognizant program officer. Eligible Costs and Duration Except for major instrumentation or equipment, any item acceptable for inclusion under a regular grant application (as detailed in Section II.C.7 of NSF's Grant Proposal Guide, GPG; NSF 94-2) usually may be included in a ROA budget. Duration of support generally ranges from two to twelve months. Most NSF programs limit support to moderate amounts ($10,000-15,000). In some disciplines, these awards are limited to summer salary and essential supplies. Deadlines A: If the request is part of a new proposal to the NSF, target dates or deadlines for the disciplinary program must be observed. B: There are no deadlines for supplemental funding; however, supplement requests generally should be submitted at least three months before funds will be needed -- before February 1 in order to be considered for that summer or the following academic year. C: There are no deadlines for funding an ROA by rearrangement of the budget of an on-going NSF-supported project. Review and Processing A: The review of new proposals takes approximately six months; the Foundation's standard review procedures are followed (see GPG). B: Supplements to existing awards usually require about three months for internal review and processing. Each request is judged on its own merits and is handled on an ad hoc basis by the supervising program officer for the existing award. Consideration is given to the capability of the investigators, the technical soundness of the proposed effort, the contribution of the ROA activity to the ongoing research project, and its potential impact upon the ROA visitor's individual capability and home institution. OTHER NSF PUBLICATIONS OF INTEREST NSF Guide to Programs (issued annually) describes briefly all Foundation programs. A copy may be obtained by calling or writing: Forms and Publications Unit, Room P15, National Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230 (703/306-1130). Program announcements with information about specific programs, and listings of NSF awards in specific disciplines, may be obtained from the cognizant program officers (see Appendix 3). Program announcements also may be secured from the Publications Unit (See Inside Front Cover). * * * * * APPENDICES FOLLOWING Appendix 1. Checklist for Proposal Submission Appendix 2. Certification of RUI Eligibility Appendix 3. NSF Disciplinary Research Programs Appendix 4. NSF Instrumentation Programs APPENDIX 1. CHECKLIST FOR PROPOSAL SUBMISSION Research in Undergraduate Institutions þ 1. List of suggested reviewers, or reviewers not to be included (OPTIONAL). (ONE copy to be attached on top of the Cover Sheet of the proposal copy that bears original signatures.) þ 2. Information about PIs/PDs (NSF Form 1225). (ONE copy to be attached on top of the Cover Sheet of the proposal copy that bears original signatures.) þ 3. Cover Sheet (NSF Form 1207, page 1 of 2). (To be included in all proposal copies.) Review for completeness, including appropriate boxes checked. þ 4. Certification Page (NSF Form 1207, page 2 of 2). (ONE copy to be included in the proposal copy that bears original signatures.) Review for presence of all required signatures (principal investigator, co-principal investigator, and authorized institutional representative). þ 5. IF APPLICABLE: Check Cover Page block "Disclosure of Lobbying Activities," and submit completed Standard Form LLL (ONE copy to be included in the proposal copy that bears original signatures). See GPG Appendix G for SF LLL and Instructions. þ 6. IF Item J., below, is checked: ONE copy of Deviation Authorization to be included in the proposal copy that bears original signatures. The remaining items in this list are to be included in all copies of the proposal. þ A. Project Summary (NSF Form 1358) (Not to exceed one page) þ B. Table of Contents (NSF Form 1359) þ C. Project Description, including, if applicable, Results from Prior NSF Support (Not to exceed 15 pages in length) (Use of NSF Form 1360 is optional). þ If required (limit two pages): Statement on Impact of Proposed Research (Proposals to Engineering Directorate, only) þ D. Bibliography (Use of NSF Form 1361 is optional). þ E. Biographical Sketches (Not to exceed two pages in length for each key professional; use NSF Form 1362 for first page of each sketch). þ F. Project Budget--NSF Form 1030 (Cumulative budget page plus separate budget page for each year). þ Budget Justification (Not to exceed 3 pages in length). þ G. Current and Pending Support (Use of NSF Form 1239 is optional). þ H. Facilities, Equipment, and Other Resources (Follow instructions on NSF Form 1363; use of Form 1363 itself is optional). þ I. Special Information and Supplementary Documentation þ Page I-1: Certification of RUI Eligibility (Copy Appendix 2 of this Program Announcement). þ Pages I-2A, I-2B, et seq.: RUI Impact Statement (Not to exceed four pages, through I-2D). þ Pages I-nos. (in sequence): Letters describing arrangements and commitments, and any other relevant items; in proposals for RUI Research Instrumentation Grants, specific items required by program officer. þ Pages I-nos.: þ Human Subjects Certification, if required; þ Special provisions for research in Greenland or Antarctica, if required; þ Animal Care and Use statement, if required.<<*>> <<* Statement that proposal has been reviewed and approved by Institutional Animal Care and Use Committee and that assures grantee will comply with the Public Health Service Policy on Humane Care and Use of Laboratory Animals by Awardee Institutions.>> þ J. Appendices. Additional information included with program officer approval. Requires Deviation Authorization, Item 6 above. þ In hand: number of copies required by disciplinary program. þ If required: Residual Funds Statement, cost-sharing amount. þ Ready to mail: package of proposals addressed exactly as shown on page 6 (no punctuation). APPENDIX 2 CERTIFICATION OF RUI ELIGIBILITY [This certification, executed by an Authorized Institutional Representative, should appear as Page 1 of Proposal Section I (i.e., as Page I-1).] By submission of this proposal, the institution hereby certifies, as evidenced by the signature below, that the proposal is from a department that offers courses leading to a bachelor's or master's degree, but does not offer a doctorate, or doctoral courses and the supervision of doctoral research, and is located on a campus where the total number of doctorates awarded in fields supported by NSF did not exceed 20 in the two academic years preceding the proposal submission. AUTHORIZED INSTITUTIONAL REPRESENTATIVE ________________________________ ______________________________ Name/Title (Typed) Signature _________________________ Date APPENDIX 3 NSF DISCIPLINARY RESEARCH PROGRAMS Required number of proposals in parentheses. Telephone numbers are in Area Code 703. DIRECTORATE FOR BIOLOGICAL SCIENCES Division of Biological Instrumentation and Resources (15) 306-1470 Instrument Development for Biological Research 306-1472 Multi-User Biological Equipment 306-1472 Special Projects Program 306-1470 Division of Environmental Biology (15) 306-1480 Ecological Studies 306-1479 Ecology Ecosystems Studies Long-Term Projects in Environmental Biology 306-1483 Biotic Surveys and Inventories Long-Term Ecosystem Research Long-Term Studies in Environmental Biology Research Collections in Systematics and Ecology Systematic & Population Biology 306-1481 Population Biology Systematics Division of Integrative Biology & Neuroscience (15) 306-1420 Developmental Mechanisms Animal Development 306-1417 Plant & Microbial Development 306-1417 Neuroscience Behavioral Neuroscience 306-1416 Computational Neuroscience 306-1416 Developmental Neuroscience 306-1423 Neuroendocrinology 306-1423 Neuronal & Glial Mechanisms 306-1424 Sensory Systems 306-1424 Physiology & Behavior Animal Behavior 306-1419 Ecological & Evolutionary Physiology 306-1421 Integrative Animal Biology 306-1421 Integrative Plant Biology 306-1422 Division of Molecular and Cellular Biosciences (15) 306-1440 Biochemistry & Molecular Structure & Function Metabolic Biochemistry 306-1443 Molecular Biochemistry 306-1443 Molecular Biophysics 306-1444 Cell Biology Cellular Organization 306-1442 Signal Transduction & Regulation 306-1442 Genetics and Nucleic Acids Biochemical Genetics 306-1439 Eukaryotic Genetics 306-1439 Microbial Genetics 306-1441 DIRECTORATE FOR COMPUTER & INFORMATION SCIENCE & ENGINEERING Division of Advanced Scientific Computing (15) 306-1970 Division of Computer & Computation Research (10) 306-1910 Computer Systems 306-1914 Numeric, Symbolic, & Geometric Computation 306-1912 Operating Systems & Systems Software 306-1912 Programming Language and Compilers 306-1912 Software Engineering 306-1911 Theory of Computing 306-1911 Division of Information, Robotics, and Intelligent Systems (10) 306-1930 Database & Expert Systems 306-1926 Information Technology & Organizations 306-1927 Interactive Systems 306-1928 Knowledge Models & Cognitive Systems 306-1926 Robotics & Machine Intelligence 306-1928 Division of Microelectronic Information Processing Systems (10) 306-1940 Circuits & Signal Processing 306-1935 Design, Tools, & Test 306-1936 Experimental Systems 306-1936 Microelectronic Systems Architecture 306-1935 Systems Prototyping & Fabrications 306-1936 Division of Networking & Communications Research & Infrastructure (10) 306-1950 Collaborative Activities 306-1949 Networking & Communications Research 306-1948 NSFNet 306-1949 Office of Cross-Disciplinary Activities (20) 306-1980 CISE Cross-Directorate Activities 306-1981 CISE Educational Infrastructure 306-1980 CISE Institutional Infrastructure 306-1980 CISE Research Instrumentation 306-1980 CISE Special Projects 306-1981 DIRECTORATE FOR EDUCATION AND HUMAN RESOURCES Division of Human Resource Development (15) Program for Persons with Disabilities 306-1636 Program for Women in Science & Engineering 306-1637 Division of Research, Evaluation, and Dissemination (15) Applications of Advanced Technologies 306-1651 Research Activities 306-1656 Research in Teaching & Learning 306-1652 DIRECTORATE FOR ENGINEERING (10) Division of Bioengineering and Environmental Systems (10) Biochemical Engineering 306-1319 Bioengineering 306-1318 Biomedical Engineering 306-1318 Biotechnology 306-1319 Environmental Systems 306-1318 Ocean Systems 306-1318 Research to Aid Persons with Disabilities 306-1318 Division of Civil and Mechanical Systems (10) Dynamic Systems and Control 306-1361 Earthquake Hazard Mitigation 306-1362 Mechanics and Materials 306-1361 Natural and Technological Hazards Mitigation 306-1362 Structures, Geomechanics, & Building Systems 306-1361 Surface Engineering and Tribology 306-1361 Division of Chemical & Transport Systems (10) Chemical Reaction Processes 306-1371 Fluid, Particulate and Hydraulic Systems 306-1371 Interfacial Transport & Separation Processes 306-1371 Thermal Systems 306-1371 Division of Design, Manufacture, and Industrial Innovation (10) Design and Integration Engineering 306-1328 Industry-University Liaison Program 306-1391 Management of Technological Innovation 306-1391 Manufacturing Processes and Equipment 306-1328 Operations Research and Production Systems 306-1328 Small Business Innovation Research 306-1391 Division of Electrical and Communications Systems (10) Communications and Computational Systems 306-1339 Engineering Systems 306-1339 Quantum Electronics, Waves and Beams 306-1339 Solid-State and Microstructures 306-1339 Division of Engineering Education and Centers (10) Combined Research-Curriculum Development 306-1383 Engineering Education and Coalitions 306-1380 Engineering Research Centers 306-1381 Human Resource Development 306-1384 Industry/University Cooperative Research Centers 306-1383 Manufacturing Education and Training (TRP) 306-1380 State/Industry University Cooperative Research Centers 306-1383 DIRECTORATE FOR GEOSCIENCES Division of Atmospheric Sciences (10) Aeronomy 306-1529 Atmospheric Chemistry 306-1522 Lower Atmospheric Facilities 306-1521 Upper Atmospheric Facilities 306-1531 Climate Dynamics 306-1527 Large-Scale Dynamic Meteorology 306-1528 Magnetospheric Physics 306-1519 Mesoscale Dynamic Meteorology 306-1526 Physical Meteorology 306-1524 Solar Terrestrial Research 306-1519 Division of Earth Sciences (20) Continental Dynamics 306-1559 Education and Human Resources 306-1557 Geology & Paleontology 306-1551 Geophysics 306-1556 Hydrologic Sciences 306-1549 Instrumentation & Facilities 306-1558 Petrology and Geochemistry 306-1553 Special Projects 306-1553 Tectonics 306-1552 Division of Ocean Sciences (20) Biological Oceanography 306-1587 Chemical Oceanography 306-1589 Marine Geology and Geophysics 306-1586 Ocean Drilling 306-1581 Oceanographic Technology 306-1579 Physical Oceanography 306-1583 DIRECTORATE FOR MATHEMATICAL & PHYSICAL SCIENCES Division of Astronomical Sciences (10) 306-1820 Advanced Technologies & Instrumentation 306-1828 Education, Human Resources, & Special Programs 306-1819 Extragalactic Astronomy & Cosmology 306-1821 Galactic Astronomy 306-1826 Planetary Astronomy 306-1826 Stellar Astronomy and Astrophysics 306-1827 Division of Chemistry (12) 306-1840 Analytical & Surface Chemistry 306-1841 Chemical Instrumentation 306-1849 Experimental Physical Chemistry 306-1856 Inorganic, Bioinorganic & Organometallic 306-1842 Organic Dynamics 306-1850 Organic Synthesis 306-1851 Special Projects 306-1847 Theoretical & Computational 306-1844 Division of Materials Research (10) 306-1810 Ceramics 306-1836 Condensed Matter Physics 306-1818 Electronic Materials 306-1837 Instrumentation for Materials Research 306-1817 Materials Research Science & Engineering Centers 306-1815 Materials Theory 306-1834 Metals 306-1835 National Facilities 306-1817 Polymers 306-1839 Solid-State Chemistry 306-1838 Division of Mathematical Sciences (10) 306-1870 Algebra & Number Theory 306-1875 Applied Mathematics 306-1882 Classical Analysis 306-1879 Computational Mathematics 306-1878 Geometric Analysis 306-1881 Modern Analysis 306-1887 Special Projects (includes equipment) 306-1883 Statistics & Probability 306-1884 Topology & Foundations 306-1886 Division of Physics (10) 306-1890 Atomic, Molecular, and Optical 306-1807 Elementary Particle 306-1895 Gravitational 306-1899 Nuclear 306-1806 Special Programs 306-1809 Theoretical 306-1889 OFFICE OF POLAR PROGRAMS (A unit in the Office of the Director) (15) Polar Aeronomy & Astrophysics 306-1033 Polar Biology & Medicine 306-1033 Polar Earth Sciences 306-1033 Polar Glaciology 306-1033 Polar Ocean & Meteorology 306-1033 DIRECTORATE FOR SOCIAL, BEHAVIORAL, AND ECONOMIC SCIENCES Division of Social, Behavioral, and Economic Research (18) Archaeology and Archaeometry 306-1759 Cultural Anthropology 306-1758 Geography and Regional Science 306-1754 Physical Anthropology 306-1758 Human Cognition & Perception 306-1732 Linguistics 306-1731 Social Psychology 306-1728 Decision, Risk, and Management Science 306-1757 Economics 306-1753 Ethics and Values Studies 306-1743 Research on Science and Technology 306-1742 Science and Technology Studies 306-1743 Law and Social Science 306-1762 Methodology, Measurement, and Statistics 306-1729 Political Science 306-1761 Sociology 306-1756 Division of International Programs (10) 306-1710 APPENDIX 4 NSF Research Equipment Programs (As of June 1994) Program Title Telephone (in Area Code 703) NSF Academic Research Infrastructure Program (Instrumentation Development and Acquisition) 306-1040 NSF Small Business Innovation Research 306-1391 BIO Equipment and Facilities for Research at Biological Field Stations and Marine Laboratories 306-1472 Instrument Development for Biological Research and Multi-user Biological Equipment 306-1472 CISE Instrumentation Grants for Research in Computer and Information Science and Engineering 306-1980 ENG Engineering Research Equipment 306-1384 EHR Instrumentation and Laboratory Improvement 306-1667 GEO Atmospheric Sciences <(none)> 306-1520 Earth Sciences Instrumentation and Facilities 306-1558 Oceanographic Technology Program 306-1578 MPS Chemistry Research Instrumentation 306-1849 Scientific Computing Research Equipment for the Mathematical Sciences 306-1880 Instrumentation for Materials Research 306-1817 SBE Social, Behavioral, and Economic Science Instrumentation <(none)> 306-1759 (Inside back cover) Privacy Act and Public Burden Statements The information requested on the application materials is solicited under the authority of the National Science Foundation Act of 1950, as amended. It will be used in connection with the selection of qualified proposals and may be used and disclosed to qualified reviewers and staff assistants as part of the review process and to other government agencies. See Systems of Records, NSF-50, Principal Investigator/Proposal File and Associated Records and NSF-51, Reviewer/Proposals File and Associated Records, 56 Federal Register 54907 (October 23, 1991). Submission of the information is voluntary. Failure to provide full and complete information, however, may reduce the possibility of your receiving an award. 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 this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to: Herman G. Fleming Reports Clearance Officer Division of Contracts, Policy, and Oversight National Science Foundation 4201 Wilson Boulevard Arlington, VA 22230 and to: Office of Management and Budget Paperwork Reduction Project (3145-0058) Washington, DC 20503 (Outside Back Cover) OMB 3145-0058 PT 34, 18 KW 1000000, 0600000, 0400000 NSF 94-79 (Replaces NSF 89-60)