NSF 09-517: Earth Sciences: Instrumentation and Facilities (EAR/IF)

Program Solicitation
NSF 09-517

Replaces Document(s):
NSF 07-553

 

National Science Foundation Directorate for Geosciences      Division of Earth Sciences

 

Full Proposal Target Date(s):

February 23, 2009

July 08, 2009

Second Wednesday in July, Annually Thereafter

February 10, 2010

Second Wednesday in February, Annually Thereafter

Revision Notes

Summary Of Program Requirements

General Information

Program Title: 

Synopsis of Program:

Cognizant Program Officer(s):

• David Lambert, Program Director, 785 S, telephone: (703) 292-8558, fax: (703) 292-9025, email: dlambert@nsf.gov

• Russell C. Kelz, Program Director, 785 S, telephone: (703) 292-4747, fax: (703) 292-9025, email: rkelz@nsf.gov

• Thomas J. Boyd, Program Director, 785 S, telephone: (703) 292-4742, fax: (703) 292-9025, email: tjboyd@nsf.gov

Applicable Catalog of Federal Domestic Assistance (CFDA) Number(s):

• 47.050 --- Geosciences

Award Information

Anticipated Type of Award:  Standard Grant or Continuing Grant or Cooperative Agreement

Estimated Number of Awards:    35 to  45  

Anticipated Funding Amount:   $7,000,000  for new awards annually, pending availability of funds

Eligibility Information

Organization Limit:

None Specified

PI Limit: 

None Specified

Limit on Number of Proposals per Organization: 

None Specified

Limit on Number of Proposals per PI: 

None Specified

Proposal Preparation and Submission Instructions

A. Proposal Preparation Instructions

• Letters of Intent: Not Applicable

• Preliminary Proposal Submission: Not Applicable

• Full Proposal Preparation Instructions: This solicitation contains information that supplements the standard NSF Proposal and Award Policies and Procedures Guide, Part I: Grant Proposal Guide (GPG) proposal preparation guidelines. Please see the full text of this solicitation for further information

B. Budgetary Information

• Cost Sharing Requirements: Cost Sharing is not required under this solicitation.

• Indirect Cost (F&A) Limitations:  Not Applicable

• Other Budgetary Limitations: Not Applicable

C. Due Dates

• Full Proposal Target Date(s): 

  February 23, 2009

  July 08, 2009

  Second Wednesday in July, Annually Thereafter

  February 10, 2010

  Second Wednesday in February, Annually Thereafter

Proposal Review Information Criteria

Merit Review Criteria:   National Science Board approved criteria. Additional merit review considerations apply. Please see the full text of this solicitation for further information.

Award Administration Information

Award Conditions:   Standard NSF award conditions apply.

Reporting Requirements:   Standard NSF reporting requirements apply.

Agency Contacts

Other Information

I. Introduction

II. Program Description

III. Award Information

IV. Eligibility Information

The categories of proposers eligible to submit proposals to the National Science Foundation are identified in the Grant Proposal Guide, Chapter I, Section E.

Organization Limit: 

None Specified

PI Limit: 

None Specified

Limit on Number of Proposals per Organization: 

None Specified

Limit on Number of Proposals per PI: 

None Specified

V. Proposal Preparation And Submission Instructions

A. Proposal Preparation Instructions

Full Proposal Instructions: Proposals submitted in response to this program solicitation should be prepared and submitted in accordance with the guidelines specified in the NSF Grant Proposal Guide (GPG). The complete text of the GPG is available electronically on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg. Paper copies of the GPG may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-PUBS (7827) or by e-mail from nsfpubs@nsf.gov.  

Special attention should be paid to the following when submitting a proposal to EAR/IF:

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1. Title

The title of the proposal should convey its main topic. Proposals for Acquisition or Upgrade of Research Equipment, Development of New Instrumentation, Analytical Techniques or Software, Support of National or Regional Multi-User Facilities, Development of Cyberinfrastructure for the Earth Sciences (Geoinformatics), and Support for Early Career Investigators should, respectively, have titles beginning with:

"Acquisition of ..."

"Upgrade of ..."

"Development of ..."

"Facility Support: ..."

 "Geoinformatics: ..."

 "Early Career: ..."

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2. Project Description

Proposals for Acquisition or Upgrade of Research Equipment must include a description of the research projects of the principal investigator(s) and other non-casual users for which the equipment will be used. The description of the research projects and the equipment should be comprehensive enough to allow reviewers to evaluate the merit of the research and the extent to which the equipment is essential and appropriate.  

Proposals for Development of New Instrumentation, Analytical Techniques or Software  must include a description of the instrument design, technique, or code development that is sufficiently detailed for reviewers to evaluate its technical capabilities and potential benefit to research in the Earth sciences.

Proposals for Support of National or Regional Multi-User Facilities must include a description of the technical capabilities of the facility and the impact that these capabilities will make on the science. The size and nature of the science community that will make principal use of the facility should also be described, along with any evidence of that community's desire to pool resources in support of the facility.

Proposals for Development of Cyberinfrastructure for the Earth Sciences (Geoinformatics) must demonstrate that a community of Earth scientists is actively interested in and will utilize the new capability. Investigators should also demonstrate how Geoinformatics platforms will contribute to advancing research, education and diversity in the Earth sciences. Investigators should consider the degree to which the proposed development is integrated, or can be easily integrated, in larger existing community information infrastructure (network) for the Earth sciences and beyond, and the breadth of the proposed facility’s or project’s impact on the Earth science community.

Proposals for Support for Early Career Investigators should follow guidelines above provided for proposals submitted to the Acquisition or Upgrade of Research Equipment opportunity.  In addition, proposals including a request for support of a full-time research technician must include a description of the laboratory and/or field responsibilities that will be assumed by the technician as well as the anticipated breakdown of the time distribution of their assignments. 

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3. Maintenance and Operation

Proposals for Acquisition or Upgrade of Research Equipment, Support of National or Regional Multi-User Facilities, and Support for Early Career Investigators must include a section describing the provisions for maintenance and operation of relevant laboratory or field equipment. This section should describe how and by whom the requested instrumentation is to be operated and maintained.  If the instrument(s) being requested is/are for replacement of similar existing analytical equipment, available data on user charges and related income, machine downtime, cost of instrument service contacts or available technical support should be discussed.    Details regarding user scheduling decision procedures, relevant safety provisions and plans for user training should also be included.  Plans for data acquisition and archival that conform to relevant NSF/EAR data policies should also be discussed (see https://www.nsf.gov/geo/ear/EAR_data_policy_204.pdf).  Biosketches should be included for relevant technical support personnel, whether or not NSF/EAR funding is requested for their support.

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4. Inventory of Existing Equipment and Technician Positions

Proposals for Acquisition or Upgrade of Research Equipment must list all comparable items of equipment to which the applicants have access at the submitting organization or elsewhere.

Existing and relevant technical support personnel in the department and their source of funding should be described and relevant biosketches included. 

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5. Support of Outreach Activities

Proposals submitted to the EAR/IF Program may request up to $10,000 in support of outreach activities related to the funding request to engage audiences that otherwise will not have access to the instrumentation and/or data generated.  Budgetary requests for such activities may appear over multiple categories on the NSF Budget Form but the total should not exceed $10,000.  The budget justification section should summarize all planned outreach expenditures and their total separately from other line item justifications.

Proposers are reminded to identify the program solicitation number (NSF 09-517) in the program solicitation block on the NSF Cover Sheet For Proposal to the National Science Foundation. Compliance with this requirement is critical to determining the relevant proposal processing guidelines. Failure to submit this information may delay processing.

B. Budgetary Information

Cost Sharing:   Cost sharing is not required under this solicitation.

Budget Preparation Instructions:  

The maximum request for Acquisition or Upgrade of Research Equipment and Development of New Instrumentation, Analytical techniques or software proposals is $750,000.  The maximum request for upgrade of research group computing facilities is $75,000.  Proposals that request support in excess of the maximums allowable will be returned without review.

The budget section of proposals for Acquisition or Upgrade of Research Equipment should indicate the current price and any discounts available for the total equipment package requested, itemized by major components. Relevant manufacturers quotes must be included in the supplementary documents section of the proposal. Proposals submitted without manufacturer price quotes will be returned without review.  

EAR/IF does not support instrument service contracts.  Proposals that request support for instrument service contracts will be returned without review.

Personnel costs directly attributable to Development of New Instrumentation, Analytical techniques or software, or to Support of National or Regional Multi-User Facilities may be requested.

Personnel costs will not be supported through grant proposals for Acquisition or Upgrade of Research Equipment.  An exception includes proposals submitted to the Support for Early Career Investigators opportunity. The inclusion of technical support on such proposals is limited to three years duration with a declining schedule of maximum annual funding  for the total of salary, fringe benefits and related indirect costs as follows:  Year 1 = $80,000, Year 2 = $60,000, Year 3 = $40,000.  The budget justification should demonstrate how the requested NSF support will result in a new full-time technical position.

C. Due Dates

• Full Proposal Target Date(s): 

  February 23, 2009

  July 08, 2009

  Second Wednesday in July, Annually Thereafter

  February 10, 2010

  Second Wednesday in February, Annually Thereafter

D. FastLane Requirements

Proposers are required to prepare and submit all proposals for this program solicitation through use of the NSF FastLane system. Detailed instructions regarding the technical aspects of proposal preparation and submission via FastLane are available at: http://www.fastlane.nsf.gov/a1/newstan.htm. For FastLane user support, call the FastLane Help Desk at 1-800-673-6188 or e-mail fastlane@nsf.gov. The FastLane Help Desk answers general technical questions related to the use of the FastLane system. Specific questions related to this program solicitation should be referred to the NSF program staff contact(s) listed in Section VIII of this funding opportunity.

Submission of Electronically Signed Cover Sheets. The Authorized Organizational Representative (AOR) must electronically sign the proposal Cover Sheet to submit the required proposal certifications (see Chapter II, Section C of the Grant Proposal Guide for a listing of the certifications). The AOR must provide the required electronic certifications within five working days following the electronic submission of the proposal. Further instructions regarding this process are available on the FastLane Website at: https://www.fastlane.nsf.gov/fastlane.jsp.

VI. NSF Proposal Processing And Review Procedures   

Proposals received by NSF are assigned to the appropriate NSF program where they will be reviewed if they meet NSF proposal preparation requirements. All proposals are carefully reviewed by a scientist, engineer, or educator serving as an NSF Program Officer, and usually by three to ten other persons outside NSF who are experts in the particular fields represented by the proposal. These reviewers are selected by Program Officers charged with the oversight of the review process. Proposers are invited to suggest names of persons they believe are especially well qualified to review the proposal and/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. Submission of such names, however, is optional. Care is taken to ensure that reviewers have no conflicts of interest with the proposal.

A. NSF Merit Review Criteria

All NSF proposals are evaluated through use of the two National Science Board (NSB)-approved merit review criteria: intellectual merit and the broader impacts of the proposed effort. In some instances, however, NSF will employ additional criteria as required to highlight the specific objectives of certain programs and activities.

The two NSB-approved merit review criteria are listed below. The criteria include considerations that help define them. These considerations are suggestions and not all will apply to any given proposal. While proposers must address both merit review criteria, reviewers will be asked to address only those considerations that are relevant to the proposal being considered and for which the reviewer is qualified to make judgements.

NSF staff also will give careful consideration to the following in making funding decisions:

Integrating Diversity into NSF Programs, Projects, and Activities
Broadening opportunities and enabling the participation of all citizens -- women and men, underrepresented minorities, and persons with disabilities -- is 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.

Additional Review Criteria:

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In addition to the general NSF merit review criteria (intellectual merit/broader impacts), criteria considered in the evaluation of all proposals submitted to EAR/IF include:

• the intrinsic merit of the research that will benefit from the equipment, technique, cyberinfrastructure, or multi-user facility;
• the number of investigators who will substantially benefit from the equipment, technique, cyberinfrastructure, or multi-user facility, and the strength of their research programs;
• the degree to which the equipment, technique, cyberinfrastructure or multi-user facility is appropriate and essential for the intended research;
• the degree to which core research projects supported by the Division of Earth Sciences will benefit from the proposed equipment, technique, cyberinfrastructure or multi-user facility

An additional criterion considered in the evaluation of proposals submitted to EAR/IF for Acquisition or Upgrade of Research Equipment includes:

• the ability to operate and maintain complex equipment during its expected lifetime.

An additional criterion considered in the evaluation of proposals submitted to EAR/IF for Support of National or Regional Multi-User Facilities includes:

• the ability to provide access to a facility intended to serve a national or regional research community.

Additional review criteria considered in the evaluation of proposals submitted to EAR/IF for Development of Cyberinfrastructure for the Earth Sciences (Geoinformatics) include:

• A description of the value of the geoinformatics platform in the context of a missing capability required by the earth science field, and specific examples of how the use of the geoinformatics platform will have a transformative impact on earth science research and education.
• A clear description of how the proposed geoinformatics approach compares to alternative or existing approaches (including commercial solutions).
• A compelling discussion of the need for this platform development and the potential use of the platform by the broader earth science community.
• A project plan with milestones and tangible metrics to measure the success of the platform development.
• A plan to make use of a build and test service such as NMI, or an NSF designated alterative, to support software development and testing if appropriate.  Details of the NMI Build and Test facility can be found at:  http://nmi.cs.wisc.edu/.

B. Review and Selection Process

Proposals submitted in response to this program solicitation will be reviewed by Ad hoc Review and/or Panel Review.

Reviewers will be asked to formulate a recommendation to either support or decline each proposal. The Program Officer assigned to manage the proposal's review will consider the advice of reviewers and will formulate a 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. NSF is striving to be able to tell applicants whether their proposals have been declined or recommended for funding within six months. The time interval begins on the deadline or target date, or receipt date, whichever is later.  The interval ends when the Division Director accepts the Program Officer's recommendation.

A summary rating and accompanying narrative will be completed and submitted by each reviewer. In all cases, reviews are treated as confidential documents. Verbatim copies of reviews, excluding the names of the reviewers, are sent to the Principal Investigator/Project Director by the Program Officer.  In addition, the proposer will receive an explanation of the decision to award or decline funding.

In all cases, after programmatic approval has been obtained, the proposals recommended for funding will be forwarded 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. Proposers are cautioned that only a Grants and Agreements Officer may make commitments, obligations or awards on behalf of NSF or authorize the expenditure of funds. No commitment on the part of NSF should be inferred from technical or budgetary discussions with a NSF Program Officer. A Principal Investigator or organization that makes financial or personnel commitments in the absence of a grant or cooperative agreement signed by the NSF Grants and Agreements Officer does so at their own risk.

VII. Award Administration Information

A. Notification of the Award

Notification of the award is made to the submitting organization by a Grants Officer in the Division of Grants and Agreements. Organizations whose proposals are declined will be advised as promptly as possible by the cognizant NSF Program administering the program. Verbatim copies of reviews, not including the identity of the reviewer, will be provided automatically to the Principal Investigator. (See Section VI.B. for additional information on the review process.)

B. Award Conditions

An NSF award consists of: (1) the award letter, which includes any special provisions applicable to the award and any numbered amendments thereto; (2) the budget, which indicates the amounts, by categories of expense, on which 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 award conditions, such as Grant General Conditions (GC-1); * or Research Terms and Conditions * and (5) any announcement or other NSF issuance that may be incorporated by reference in the award letter. Cooperative agreements also are administered in accordance with NSF Cooperative Agreement Financial and Administrative Terms and Conditions (CA-FATC) and the applicable Programmatic Terms and Conditions. NSF awards are electronically signed by an NSF Grants and Agreements Officer and transmitted electronically to the organization via e-mail.

*These documents may be accessed electronically on NSF's Website at
https://www.nsf.gov/awards/managing/award_conditions.jsp?org=NSF. Paper copies may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-7827 or by e-mail from nsfpubs@nsf.gov.

More comprehensive information on NSF Award Conditions and other important information on the administration of NSF awards is contained in the NSF Award & Administration Guide (AAG) Chapter II, available electronically on the NSF Website at
https://www.nsf.gov/publications/pub_summ.jsp?ods_key=aag.

C. Reporting Requirements

For all multi-year grants (including both standard and continuing grants), the Principal Investigator 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.

Failure to provide the required annual or final project reports will delay NSF review and processing of any future funding increments as well as any pending proposals for that PI. PIs should examine the formats of the required reports in advance to assure availability of required data.

PIs are required to use NSF's electronic project-reporting system, available through FastLane, for preparation and submission of annual and final project reports.  Such reports provide information on activities and findings, project participants (individual and organizational) publications; and, other specific products and contributions.  PIs will not be required to re-enter information previously provided, either with a proposal or in earlier updates using the electronic system.  Submission of the report via FastLane constitutes certification by the PI that the contents of the report are accurate and complete.

VIII. Agency Contacts

General inquiries regarding this program should be made to:

• David Lambert, Program Director, 785 S, telephone: (703) 292-8558, fax: (703) 292-9025, email: dlambert@nsf.gov

• Russell C. Kelz, Program Director, 785 S, telephone: (703) 292-4747, fax: (703) 292-9025, email: rkelz@nsf.gov

• Thomas J. Boyd, Program Director, 785 S, telephone: (703) 292-4742, fax: (703) 292-9025, email: tjboyd@nsf.gov

For questions related to the use of FastLane, contact:

• FastLane Help Desk, telephone: 1-800-673-6188; e-mail: fastlane@nsf.gov.

• Brian E. Dawson, Information Technology Specialist, 705 N, telephone: (703) 292-4727, fax: (703) 292-9042, email: bdawson@nsf.gov

IX. Other Information

The NSF Website provides the most comprehensive source of information on NSF Directorates (including contact information), programs and funding opportunities. Use of this Website by potential proposers is strongly encouraged. In addition, National Science Foundation Update is a free e-mail subscription service designed to keep potential proposers and other interested parties apprised of new NSF funding opportunities and publications, important changes in proposal and award policies and procedures, and upcoming NSF Regional Grants Conferences. Subscribers are informed through e-mail when new publications are issued that match their identified interests. Users can subscribe to this service by clicking the "Get NSF Updates by Email" link on the NSF web site.

Grants.gov provides an additional electronic capability to search for Federal government-wide grant opportunities. NSF funding opportunities may be accessed via this new mechanism. Further information on Grants.gov may be obtained at http://www.grants.gov.

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). The Act states the purpose of the NSF is "to promote the progress of science; [and] to advance the national health, prosperity, and welfare by supporting research and education in all fields of science and engineering."

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 organizations throughout the US. The Foundation accounts for about one-fourth of Federal support to academic institutions for basic research.

NSF receives approximately 40,000 proposals each year for research, education and training projects, of which approximately 11,000 are funded. In addition, the Foundation receives several thousand applications for graduate and postdoctoral fellowships. The 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 and engineering efforts, and educational activities at every academic level.

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. See Grant Proposal Guide Chapter II, Section D.2 for instructions regarding preparation of these types of proposals.

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) 292-5090 and (800) 281-8749, FIRS at (800) 877-8339.

The National Science Foundation Information Center may be reached at (703) 292-5111.

The National Science Foundation promotes and advances scientific progress in the United States by competitively awarding grants and cooperative agreements for research and education in the sciences, mathematics, and engineering. To get the latest information about program deadlines, to download copies of NSF publications, and to access abstracts of awards, visit the NSF Website at https://www.nsf.gov Location: 4201 Wilson Blvd. Arlington, VA 22230 For General Information (NSF Information Center): (703) 292-5111 TDD (for the hearing-impaired): (703) 292-5090 To Order Publications or Forms:   Send an e-mail to: nsfpubs@nsf.gov or telephone: (703) 292-7827 To Locate NSF Employees: (703) 292-5111

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 and 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 or other entities needing information regarding applicants or nominees as part of a joint application review process, or in order to coordinate programs or policy; and to another Federal 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," 69 Federal Register 26410 (May 12, 2004), and NSF-51, "Reviewer/Proposal File and Associated Records, " 69 Federal Register 26410 (May 12, 2004). 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 to, an information collection unless it displays a valid Office of Management and Budget (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