NASA Research Announcement Special Notice for Commerce Business Daily (CBD) This is a NASA Research Announcement (NRA) as specified in FAR 6.102 (d) (2) and will be released May 24, 1994. The National Aeronautics and Space Administration is soliciting Supporting Research and Technology (SR&T) proposals in cosmic, heliospheric, solar, magnetospheric, ionospheric, mesospheric, and thermospheric physics. Participation in these programs is open to all categories of organizations including educational institutions, industry, nonprofit institutions, NASA Centers, and other Government agencies. Notices of intent to propose are due June 24, 1994, and proposals are due August 23, 1994. Request NRA 94-OSS-08 from: Space Physics SR&T Program, Space Physics Division, Code SS, NASA Headquarters, Washington, DC 20546-0001; or contact Dr. J. D. Bohlin (202/358-0880). OMB Approval No. 2700-0042 SPACE PHYSICS SUPPORTING RESEARCH AND TECHNOLOGY AND SUBORBITAL PROGRAMS NASA Research Announcement Soliciting Proposals for Basic Research submitted on or before August 23, 1994 NRA 94-OSS-08 Issued: May 24, 1994 Notice of Intent Due: June 24, 1994 Proposals Due: August 23, 1994 Office of Space Science National Aeronautics and Space Administration Washington, DC 20546-0001 NASA RESEARCH ANNOUNCEMENT SPACE PHYSICS SUPPORTING RESEARCH AND TECHNOLOGY AND SUBORBITAL PROGRAMS Table of Contents PAGE Space Physics Supporting Research AND Technology (SR&T) and Suborbital Programs..............................................1-3 Table 1. Summary of Space Physics Programs for FY 1995 3 Appendix A. Description of the Space Physics Supporting Research and Technology (SR&T) and Suborbital Programs ........................A-1 to -21 1. Introduction.....................................................A-1 2. Goals and Objectives.............................................A-1 3. Background.......................................................A-2 4. Research Opportunity.............................................A-3 4.1 New and Renewal Proposals...................................A-3 4.2 Limitations on Objectives of Proposals......................A-4 5. Proposal Preparation and Submission..............................A-4 5.1 General Provisions..........................................A-4 5.2 Notice of Intent to Propose.................................A-5 5.3 Specific Proposal Preparation Information.................. A-6 5.4 Guidance Specific to Proposals from U.S. Institutions.. A-7 5.5 Additional Guidelines for Non-U.S. Proposals ............. A-8 5.6 Guidelines for Proposals from Multiple Institutions.... A-9 6. Proposal Evaluation and Selection...............................A-10 6.1 Evaluation Criteria........................................A-10 6.2 Evaluation and Selection Procedures........................A-10 7. Data Policy.....................................................A-10 8. Schedule for NRA................................................A-11 9. Science Discipline SR&T Programs................................A-11 9.1 Cosmic and Heliospheric Physics............................A-11 9.2 Solar Physics..............................................A-12 9.3 Magnetospheric Physics.....................................A-14 9.4 Ionospheric, Thermospheric, Mesospheric Physics............A-15 10. Suborbital Program in Magnetospheric, Ionospheric, Thermospheric, Mesospheric (MITM) Physics.......................A-16 10.1 General Scope..............................................A-16 10.2 Special Programmatic Policies..............................A-16 10.3 Proposals for Suborbital Campaigns.........................A-18 10.4 Flight Schedules...........................................A-18 10.5 Funding Guidelines.........................................A-18 11. Space Physics Educational Outreach (SPEO) Program...............A-19 11.1 Background and Program Definition..........................A-19 11.2 Supplement Preparation and submission......................A-20 13.3 Supplement Evaluation and Selection........................A-21 Appendix B. Guidelines for Responding to NASA Research Announcements ..................................B-1 to B-7 Appendix C. Proposal Prefatory Material.....................C-1 to B-8 Cover Sheet......................................................C-2 Proposal Summary.................................................C-3 Yearly Budgets and Personnel Summary.............................C-4 Current and Pending Research Support.............................C-5 Certification Regarding Debarment, Suspension, and Other Responsibility Matters................................C-6 Certification Regarding Drug-Free Workplace Requirements................................................C-7 Certification Regarding Lobbying.................................C-8 Appendix D. NASA Mailing List Update...............................D-1 SPACE PHYSICS SUPPORTING RESEARCH AND TECHNOLOGY (SR&T) AND SUBORBITAL PROGRAMS This NASA Research Announcement (NRA) solicits proposals for basic research investigations in the subdisciplines of space physics as administered by the Space Physics Division of the Office of Space Science (OSS). The science discipline areas of interest are cosmic and heliospheric physics, solar physics, magnetospheric physics, and ionospheric-thermospheric-mesospheric (ITM) physics. The purpose of this NASA research opportunity is to enable the relevant science communities to maintain their expertise at the theoretical and experimental frontiers of their respective fields in order to propose for and participate in NASA's space physics flight missions. It is the purpose of this program to support only those proposals that have clearly demonstrated relevance to NASA's interests. Specific programs in space physics open to proposals through this NRA are the Supporting Research and Technology (SR&T) programs, including opportunities for suborbital (rocket and balloon) programs. Each of these programs is treated in detail in separate sections in Appendix A of this Announcement. In addition, special attention is directed to the Space Physics Educational Outreach (SPEO) program that is now offered on a continuing basis as a supplement to any of the SR&T research programs. The SPEO program is open to investigators who already hold an ongoing grant in this program as well as those who wish to submit new proposals. Participation in these programs is open to all categories of organizations including educational institutions, industry, nonprofit institutions, NASA Centers, and other Government agencies. Selection for funding will be based with equal priority on science and technical merit as determined by peer review, relevance to NASA programs in space physics, and cost. Funding for selected proposals will derive from NASA's budget for Fiscal Year (FY) 1995 beginning October 1, 1994. As of this writing, this budget is still being considered for authorization and appropriation through the Federal budgetary process. Therefore, the Government's obligation to make awards under this NRA is contingent upon the receipt of proposals that the Government determines are acceptable for award and the availability of appropriated funds from which awards can be made. Table 1 summarizes the Program elements discussed in detail in Appendix A, which provides technical and programmatic information specific to this NRA. Appendix B contains standard guidance for the preparation and the evaluation of proposals. Appendix C provides model formats for summary information that must preface each proposal. The following summary information applies: ¥ Program identifier: NRA 94-OSS-08. ¥ Date of Announcement issue: May 24, 1994. ¥ Due date for Notice of Intent to propose: June 24, 1994. ¥ Date for proposal submission: August 23, 1994. ¥ Selections announced: November 1994. ¥ Initiation of new grants: January 1995. ¥ Required proposal copies: Signed original manuscript plus 10 copies. ¥ Address for submission of both Notice of Intent and proposal: NASA Space Physics Program Office SR&T NRA Suite 400 400 Virginia Avenue, SW Washington, DC 20024 USA. ¥ Selecting official: Director Space Physics Division Office of Space Science. ¥ Contact for additional information: Dr. J. David Bohlin Space Physics Division Code SS NASA Headquarters Washington, DC 20546-0001 Phone: (202) 358-0880 Facsimile: (202) 358-3987 E-mail: jbohlin@gm.ossa.hq.nasa.gov Your interest and cooperation in this program are appreciated. Signed Wesley T. Huntress, Jr. Associate Administrator for Space Science Enclosures NRA APPENDIX A DESCRIPTION OF THE SPACE PHYSICS SUPPORTING RESEARCH AND TECHNOLOGY (SR&T) AND SUBORBITAL PROGRAMS 1. Introduction The overall responsibility of the Space Physics Division of the NASA Office of Space Science (OSS) is to support investigations concerning the origin, evolution, and interactions of space plasmas and electromagnetic fields in the heliosphere and the cosmos. In this, as well as previous NASA Research Announcements (NRA's) for this program, the relevant space physics subdisciplines cover: - the origin, acceleration, and transport of the solar wind and of the solar and galactic cosmic rays, and the coordinated study of the three-dimensional composition, structure, and physical processes of the heliosphere; - the Sun as a typical cool, variable dwarf star, as an influence on the Earth, and as the dominant, time-varying source of solar system energy, plasma, and energetic particles; - the interactions between the solar wind and the physical constituents of the solar system, leading to the formation of the magnetospheres of the Earth, other planets, comets, and primordial bodies, and magnetosphere-ionosphere-atmosphere interactions; and - the physics of the mesosphere and lower thermosphere, the ionosphere, and auroral process of the Earth and the other planets, including the coupling and dynamics of these phenomena to the planetary atmospheres below and the heliosphere above. It is stressed that the primary emphasis in all of these subdisciplines is the study of processes that occur naturally in the space environment and/or the study of manmade perturbations that elucidate natural plasma processes. Basic plasma physics experiments made possible simply by access to space may be supported but at a distinctly lower priority, as funding permits. Parallel to the science objectives listed above, the four science discipline offices in the Space Physics Division are: - Cosmic and Heliospheric (C&H) Physics, - Solar Physics, - Magnetospheric Physics, and - Ionospheric, Thermospheric, Mesospheric (ITM) Physics. Details of the purview of these offices, as well as the names of the currently responsible NASA discipline scientists, are given in respective subsections of Section 9 of this Appendix. 2. Goals and Objectives There are four research programs specifically covered by the research and analysis programs of the discipline offices listed in Section 1: (1) Supporting Research and Technology (SR&T) Program. The four Space Physics science disciplines each support on the order of 50 to 80 individual research tasks that employ a variety of research techniques to accomplish specific investigations, e.g., - theory, numerical simulation, and modeling; - analysis and interpretation of existing space data; - suborbital (i.e., rocket and/or balloon) experiments; - development of new instrument concepts; and - laboratory measurements of relevant atomic and plasma parameters, all to the extent they have a clearly stated and specific application to contemporary problems in space physics and to NASA programs. These tasks typically provide about one full-time equivalent (FTE) of salary support per year (usually a mix of contributions from the Principal Investigator plus a graduate student and/or postdoctorate). The SR&T programs are described further in the discipline-specific subsections of Section 9 of this Appendix. (2) Suborbital Programs. The objectives of the suborbital stratospheric balloon and sounding rocket program are two fold: (i) to allow the procurement of space or near-space data to be obtained with relatively low cost instruments, flown occasionally from remote locations and/or in conjunction with other events (e.g., a solar eclipse or over-flight of a related orbiting spacecraft); and (ii) to proof-test new concepts in experiments that may ultimately be proposed for orbital space physics missions. The suborbital programs for C&H Physics and Solar Physics are treated in Sections 9.1 and 9.2 of this Appendix, respectively. However, owing to its size and complexity, the combined suborbital program for magnetospheric and ITM physics is treated as a separate program in Section 10. (3) Space Physics Theory Program (SPTP). The purpose of this program is to allow relatively large groups comprised of a "critical mass" of investigators to attack theoretical and modeling problems of interest to space physics that are beyond the scope of the nominally smaller SR&T tasks discussed in Section 2.(1) above. This program was wholly competed through NRA 92-OSSA-10 and is fully subscribed through FY 1995. Therefore, this program is not addressed further in this NRA. Although there is no opportunity to propose for this program through this NRA, it is possible for those currently selected SPTP investigators to propose for SPEO supplements as described below. (4) Space Physics Educational Outreach (SPEO) Program. This program was initiated in FY 1993 to provide an ongoing opportunity to propose for a modest supplement (up to $5K per year) to enable an educational outreach effort directed at the elementary school through undergraduate college level students and/or teachers, or the general public. Such SPEO efforts may be proposed as supplements to new research proposals for any of the programs noted above. In addition, Principal Investigators already holding existing Space Physics Division research grants having periods of performance that extend into FY 1995 may also propose for a SPEO supplement. In no case, however, is a SPEO grant awarded independent of a "parent" research award. Details are given in Section 11 of this Appendix. 3. Background The programs covered by this NRA have now been comprehensively reviewed several times each since the Space Physics Division was created in 1987, generally resulting in a distribution of one-, two-, and three-year research grants and contracts (hereafter collectively called awards). Since then the yearly Space Physics NRA's have solicited proposals for those portions of the next year's budget that are anticipated to be uncommitted as a result of the expiration of previous awards and/or as a result of additional anticipated budget authority. This NRA is the only one to be issued by the Space Physics Division for funding during FY 1995 of basic supporting research and analysis. A summary of all program elements covered is provided in Table l, and each program is discussed in detail in Sections 9, 10, and 11 below. Regardless of the apparent availability of opportunities for selection as shown in Table 1, prospective proposers are advised that these programs have been extremely competitive in recent years and, therefore, the number of selections has been severely restricted owing to limitations of available funds. As a result, in the last several years as few as one out of five of the submitted proposals have been successful in being selected. The currently evolving Federal budgetary environment makes it difficult to predict the selection ratio for this current opportunity, but it may be assumed that it will be no better than in the past. NASA recognizes that the data from its oldest flight programs have not necessarily been exhausted in terms of their value and, therefore, may be used for SR&T investigations suitable for this NRA. These data are now for the most part in the public domain and available from the National Space Science Data Center (NSSDC) at the NASA Goddard Space Flight Center, Greenbelt, MD 20771. Information on space physics data available from the NSSDC may be addressed to Dr. Joseph King (Code 630; 301/286-7355) for space plasma and heliospheric data, and to Dr. Joseph Gurman (Code 682; 301/286-4767) for solar physics data. Data from currently active missions that have not yet entered the public domain and, therefore, for which SR&T proposals are not appropriate under the terms of this NRA, are Voyager and Pioneer data less than one year old, the Ulysses mission data (jointly sponsored with the European Space Agency), and data from the Solar, Anomalous, and Magnetospheric Explorer (SAMPEX). However, data from the first two years of the Japanese Yohkoh mission are now available through the NSSDC, and investigators wishing to analyze Yohkoh data are advised that a special opportunity to propose for support is discussed in Section 9.2.C. in this Appendix. Table 1. Summary of Space Physics Programs for FY 1995 Program Element Summary Status Appendix A Reference ¥ Space Physics Theory Program Comprehensively reviewed in 1992; fully subscribed through FY 1995; proposals not solicited. Section 2.(3) ¥ Cosmic and Heliospheric Physics Theory and Data Analysis Program Entire program element is open for competition. Section 9.1.A. ¥ Cosmic and Heliospheric Physics Experimental Program Program fully subscribed, although a few one-year only proposals of exceptional merit may be accepted. Section 9.1.B. ¥ Solar Physics SR&T Program Approximately 35% of the program is open for competition. Section 9.2.A. ¥ Solar Physics Suborbital Program Program fully subscribed; proposals not solicited. Section 9.2.B ¥ Participating Scientist Program for Non-U.S. Solar Missions New program; approximately $1.5M available for up to 15 new selections. Section 9.2.C. ¥ Magnetospheric Physics SR&T Program Approximately 33% of the program is open for competition. Section 9.3.A. ¥ Ionospheric, Thermospheric, Mesospheric Physics SR&T Program Approximately 50% of the program is open for competition. Section 9.4.A. ¥ MITM Suborbital Program Approximately 25% of the program is open for competition. Section 10. ¥ Space Physics Educational Outreach (SPEO) Program Up to15 new grants may be selected as supplements to new and/or existing investigations in above programs. Section 11. 4. Research Opportunity 4.1 New and Renewal Proposals Anyone wishing to be eligible for funding for new tasks to be initiated anytime in FY 1995 must respond to this NRA. All proposals received in response to this NRA will be reviewed on an equal basis without regard to whether a preceding task by the same investigator was previously funded by this or any other Space Physics Division program. Selections from among the proposals of highest scientific and technical merit will also take into account programmatic factors as determined by the Space Physics Division; see Section 6 following below in this Appendix. Individuals whose proposals were selected for multiyear Space Physics Division awards continuing through FY 1995 do not need to respond to this NRA but will need to submit an annual progress report. Consult with the relevant personnel listed in Sections 9 and 10 below. Principal Investigators of such ongoing awards, however, are strongly encouraged to submit proposals for an Education Outreach supplement; see Section 11 of this Appendix. 4.2 Limitations on Objectives of Proposals This NRA solicits proposals for research investigations that fall within the general scope of the space physics disciplines as defined in Section 1 but that are distinctly separate from investigations selected for currently approved space flight missions. Therefore, proposals whose intent or purpose is to extend or directly supplement an investigation selected for an approved space flight mission are not appropriate for this NRA. Proposals for fabrication of flight instruments are not appropriate for this NRA except within the context of the suborbital programs, details of which are provided in Sections 9 and 10 of this Appendix. However, development of instrument concepts for long- duration space and/or suborbital flight through to the stage of laboratory ("brass board") verification may be proposed as an SR&T task provided the proposed activity is in the context of a clearly defined science investigation relevant to space physics, even though it is not likely the investigation can be carried out without benefit of a flight opportunity. While such hardware proposals are strongly encouraged, funding of the development of a laboratory instrument concept does not guarantee either a suborbital or orbital flight opportunity. Proposals for the analysis of data from past missions in space physics are solicited (see also Section 3). However, any such proposals must have specific scientific objectives and not just focus on reprocessing, archiving, and/or routine reduction of flight data. Some areas of study within space physics overlap with research objectives supported by other offices at NASA Headquarters. Prospective respondents to this NRA should consider the following guidelines in choosing whether or not to respond to this NRA. In particular, - proposals dealing with the interaction of the solar wind with solar system bodies, comparative magnetospheres, ionospheres, and the terrestrial thermosphere and mesosphere are appropriate for this Space Physics Division SR&T NRA; - proposals dealing with neutral planetary toruses, rings, and/or atmospheres should be directed to the OSS Solar System Exploration Division (Code SL); - proposals dealing with the comparison of the Sun with other stars, or with cosmic x-rays and gamma rays should be directed to the OSS Astrophysics Division (Code SZ); and - proposals dealing with the chemistry and/or dynamics of the lower, neutral terrestrial atmosphere (i.e., below the mesosphere) should be directed to the Office of Mission to Planet Earth (Code Y) at NASA Headquarters. 5. Proposal Preparation and Submission 5.1. General Provisions Justification for support of an investigation submitted in response to this NRA lies in its science and technology merits, the relevance of the proposed investigation to NASA's flight programs in Space Physics, and the proposed cost to NASA, all of approximately equal weight. Further details of the evaluation and selection criteria are provided in Section 6 of this Appendix. Successful proposals are typically characterized by the following attributes: - a clear description of a specific scientific investigation to be pursued; - a cogent description of how this investigation will be carried out; - a discussion of how the proposed effort will resolve the objective problem; - a discussion of the relevance of the proposed research to NASA's current and/or future Space Physics programs; and - a clearly stated budget requesting support for only the most necessary items to carry the investigation through to completion. To ensure that responsibility for the research to be funded is focused on the actual practitioner(s) of the work, "umbrella" proposals directed by a single Principal Investigator (PI) who only serves as an overall director for multiple individual research tasks, even though each task may be scientifically sound and/or related by a common theme, are not appropriate. While Co-Investigators are allowed on proposals, "Co-Principal" Investigators are not; each proposal must have a single PI with overall scientific and fiscal responsibility for the task. Proposers may propose investigations requiring periods of performance for up to three years, even though NASA can provide awards for only one year at a time. In the case of multiyear proposals, the scope of the proposed research must justify such funding, although NASA reserves the right to request a revised proposal with restricted objectives appropriate for a reduced period of performance and/or reduced budget. If a proposal is accepted for a multiyear award, continued funding is subject to the availability of funds, demonstration of satisfactory progress as evidenced by a brief annual report, and submission of an updated budget. In the case of a shortage of funds, renewal of multiyear awards usually take priority over the initiation of new awards. In any case, NASA reserves the right to negotiate funding for multiyear awards as a condition for their continuation. Finally, unless distinctly different objectives and personnel are involved, a new award will not be started that runs concurrently with an existing award held by the same investigator. Therefore, if a proposal selected through this NRA is an extension of effort to one that is expiring, the anniversary date of the new award will be adjusted to be contiguous with the start of the expiring one. 5.2 Notice of Intent to Propose Advance knowledge of the proposals likely to be submitted is useful for planning the review process. Therefore, a descriptive Notice of Intent to propose should be submitted to the address given in the NRA letter covering this Appendix, according to the schedule given in Section 8. For purposes of allowing the compilation of the data base needed for efficient log-in and tracking of the final proposals, this Notice should include: - reference to this NRA by its alpha-numeric identifier; - the Program Element and Technique/Research area (see page C-2 of Appendix C) to which the proposal is expected to be directed; - the name, institutional address, and phone number of the Principal Investigator, and of any Co-Investigators (to the extent identified by the date of the Notice); - an indication of whether an Educational Outreach supplement may be proposed (see Section 11 of this Appendix); - the expected title of the investigation; and, - a brief description of the investigation expected to be proposed. 5.3 Specific Proposal Preparation Information Proposals submitted in response to this NRA should follow provisions of Appendix B, "Instructions for Responding to NASA Research Announcements for Solicited Proposals," with the following exceptions: ¥ Replace Section 7., paragraph (¦) b., entitled "Transmittal Letter or Prefatory Material," in its entirety as follows: "b. Transmittal Letter or Prefatory Material "In addition to any transmittal letter that the sponsoring institution may wish to send, the first four pages of a proposal shall constitute summary sheets using the Proposal Prefatory Material in Appendix C of this NRA as follows: - Cover Sheet (p. C-2) - Proposal Summary (p. C-3) - Budget and Personnel Summary (p. C-4) - Current and Pending Research Support (p. C-5). "Note that careful attention should be given to an accurate and complete preparation of the Proposal Summary in accord with the model format given on p. C-3. This item is used as the executive summary of the proposal for a variety of purposes, e.g., as an abstract of the proposal for peer review panels, to document the content of the program for NASA upper management, for related program offices in other Government agencies, and/or for historical record. This Proposal Summary may also serve as the Abstract for the investigation. "All new proposals from educational and private institutions must be accompanied by properly executed certifications as follows (sample forms are enclosed as pages C-6, C-7, and C-8, respectively, of Appendix C): - Pursuant to Executive Order 12549, a Certification for Debarment and Suspension; - Pursuant to Drug-Free Workplace Act of 1988, a Certification for Drug Free Workplace; and - Pursuant to Title 31 of the U.S. Code, a Certification Regarding Lobbying." ¥ Replace Appendix B, Section 9, entitled "LENGTH," in its entirety as follows: "Proposals should be as brief as possible, containing only substantive material essential for a complete understanding of the proposed project. A proposal shall not exceed 16 pages for all programs, except the suborbital rocket and balloon programs for which the limit is 26 pages. Neither the required prefatory pages (Appendix C) nor bibliographic references count in these page limits. Each side of a sheet of paper containing text or figures is considered a page. Text may be single spaced but limited to 55 lines per page and use a font having no more than ~5.5 characters per cm (~14 per inch). A one page curriculum vitae and a bibliography relevant to the proposed research may be appended for the PI and each Co-I. The full institutional budget format may be appended to U.S. proposals. "Restrictions. Peer reviewers will not be required to read more than the specified page limits noted above for the Investigation Description. Proposals missing the requested prefatory materials will be returned. Do not send reprints or preprints of articles, nor audio or visual recordings. Proposals must use metric units. In order to facilitate recycling and minimize the use of paper, proposals should be on white paper with a minimum of color or photographic inserts, printed double-sided if possible, and bound in a manner that facilitates disassembly (e.g., staples or loose-leaf plastic bindings are preferred over permanent bindings)." 5.4 Guidance Specific to Proposals from U.S. Institutions All proposals submitted by a U.S. institution or from non-U.S. institutions that include U.S-based Co-Investigators must comply with the guidance in Section 7., ¦i. of Appendix B, entitled "PROPOSED COSTS." In addition, this section is supplemented by the following two subsections concerning details of proposal costs: "(4) The proposal should contain sufficient cost details and supporting information to facilitate a speedy evaluation and award. Dollar amounts proposed with no explanation (e.g., Equipment: $5,000, or Labor: $23,000) may cause delays in funding should the proposal be selected. The proposed costing information should be in sufficient detail to allow the Government to identify budgeted elements for evaluation purposes. Generally, the Government will evaluate costs in terms of their reasonableness and allowability. Each category should be explained. Offerers should exercise prudent judgment, since the amount of detail necessarily varies with the complexity of the proposal. "Direct labor costs should be separated by titles or disciplines (e.g., Principal Investigator, Co-Investigator, clerical support, etc.) with estimated hours, hourly rates, and total amounts for each. Estimates should include a basis of estimate such as currently paid rates or outstanding offers to prospective employees. This format allows the Government to assess for reasonableness by various means, including comparison to similar skills at other organizations. Indirect costs should be explained in order for the Government to understand the basis of the estimates. "With regard to other costs, each significant category should be detailed, explained, and substantiated. For example, proposals for equipment purchases should specify the type of equipment, number of units, and unit cost. Requested travel allowances should include the number of trips, duration of each trip, air fare, per diem, rental car expenses, etc. "All subcontracts for commercial services or products associated with an individual proposal must receive approval before an award is made. Therefore, it is necessary to describe in some detail all intended subcontracts by furnishing documentation such as a Statement of Work, proposed personnel, cost, fee, etc., so that a NASA awards specialist can conduct a thorough review. Subcontracts should be competitive whenever possible in order to achieve the lowest possible cost to the Government. "(5) Computing Resources. Proposing investigators may intend to use NASA super computers located at the Ames Research Center, Goddard Space Flight Center (GSFC), Jet Propulsion Laboratory, or Lewis Research Center. Starting in FY 1993, the Space Physics Division (SPD) now must reserve and directly pay for each Computing Unit (CU) to use the NASA Center for Computational Sciences (NCCS) at GSFC. These funds will be provided out of the overall budget for this SR&T program. Therefore, if the GSFC NCCS is proposed for use, the proposing investigator must estimate the number of "Cray YMP Equivalent" CU's on the summary budget sheet (Appendix C, p. C.4). Conversely, if the proposing investigator intends to use computing resources to be provided at no additional cost to NASA, the investigator must identify the location of the facility on the Summary Budget sheet (Appendix C, p. C.4) and include a letter of endorsement from the appropriate authority committing that computer support if the proposal is selected." 5.5 Additional Guidelines for Non-U.S. Proposals A scientist from a non-U.S. institution may propose for this program either as a Co-I for a proposal submitted by a U.S. PI, as a PI with a U.S. Co-I, or as a PI without any U.S. personnel involved. In any case, NASA only funds PI's or Co-I's, regardless of citizenship, who are staff members of a U.S. institution. The following guidelines indicate the appropriate measures to be taken by such non-U.S. proposers, their own national sponsoring agencies, and NASA leading to the selection of such a joint proposal and execution of appropriate arrangements. 1. A Notice of Intent to propose must be submitted as indicated in Section 5.2. An additional copy of this Notice of Intent to propose must also be sent to: International Relations Division Code IRD (Attn. NRA 94-OSS-Z) National Aeronautics and Space Administration Washington, DC 20546-0001 USA. 2. Proposals should be submitted in accordance with the provisions in Appendix B, as amended by Section 5.3. If the proposal involves a Co-I from a U.S. institution, the material in Section 5.4 above is applicable to that Co-I. Proposals must be typewritten and in English. All non-U.S. proposals will undergo the same evaluations and selection processes as U.S. proposals. 3. Non-U.S. PI's or Co-I's planning to submit a proposal should arrange with their appropriate governmental agency for endorsement of the proposed activity. Such endorsement by their national funding organization should indicate that the proposal merits careful consideration by NASA, and that if the proposal is selected, sufficient funds at the sponsoring agency will be available to undertake the activity envisioned. 4. The required copies (10 plus the signed original ) of the proposal should be sent directly to the address given in the NRA letter covering this Appendix, and one copy of the proposal and the letter of endorsement must be sent to the second address item 1. above. 5. All proposals must be received before the established closing date (see Section 8). Those received after the closing date will be treated in accordance with NASA's provisions for late proposals (Appendix B, Section 11), should such action be in NASA's best interest. If review and endorsement are not possible before the announced closing date, non-U.S. sponsoring agencies may forward a proposal without endorsement along with the date when a decision on endorsement can be expected. 6. Shortly after the deadline for this Announcement, the NASA Program Office coordinating this Announcement will send an acknowledgment of the receipt of proposals to each proposer. 7. Successful and unsuccessful proposers will be contacted directly by the NASA Program Office coordinating this NRA according to the schedule in Section 8. Copies of these letters will also be sent to the sponsoring governmental agency. 8. NASA's International Relations Division will make arrangements to provide for the selectee's participation in the program. Depending on the nature and extent of the proposed cooperation, these arrangements may entail a letter of notification by NASA, an exchange of letters between NASA and the sponsoring foreign governmental agency, or an agreement between NASA and the sponsoring foreign governmental agency. 5.6 Guidelines for Proposals from Multiple Institutions Proposals to several of the programs described in this NRA (notably those for C&H Physics and MITM Suborbital) may involve collaborations among several institutions for the purpose of conducting a focused scientific investigation for the development a complicated suborbital payload. Such proposals should be in the form of individual investigation proposals, which may include Co-I's from the PI's home institution and/or from other institutions. Since the evaluation of each proposal is based upon the scientific merit of the investigation, it is important that all the information required to perform that evaluation be concentrated in one place, without extraneous material relating to other investigations in which the PI or any Co-I's may be participating. There are two possible institutional arrangements: (i) If all Co-I's in an investigation are from the same institution as the PI, only a single (26 page) proposal is to be submitted (see previous parts of this Section 5). In this case, the role of each Co-I must be fully defined and the investigation budget must include any budgets for those Co-I's. (ii) For multiinstitution investigations, i.e., those with Co-I's from institutions other than that of the PI, each such institution must: (a) submit a task statement, not to exceed five pages, as an Appendix to the PI's proposal describing the contribution of that institution to the investigation, the roles of the Co-I(s) (if more than one, define a single Lead Co-I for that institution), and a summary budget for the task; and, (b) submit the same five-page task statement and budget as a separate proposal directly to NASA from that institution as authorized by an appropriate institutional representative, including a clear cross-reference to the PI's proposal (see Appendix C, page C-2); the Lead Co-I from that institution should serve as the "Institutional PI" for the proposed task. Regardless of the institutional affiliation of any Co-I's, the only proposal that will be reviewed is that from the PI (see also Appendix B, Section 10). Therefore, Co-I tasks will not be considered for funding independently from the overall investigation submitted by the relevant PI. Conversely, NASA reserves the right to select all, some, or none of the Co-I's that may be proposed as part of an investigation. Cases involving partial selections of Co-I's will be negotiated with the PI before a final decision is reached. If such a multiinstitutional investigation is selected for funding, separate awards will generally be made to each institution involved in the investigation, with a Lead Co-I from each non-PI institution serving as an "Institutional PI" for the award to that Co-I institution. Alternatively, at the request of the PI, a subcontracting arrangement between the PI institution and that Co-I institution may be proposed. 6. Proposal Evaluation and Selection 6.1 Evaluation Criteria The criteria to be used for evaluation of proposals are given in Appendix B, Section 13, entitled "EVALUATION FACTORS," with the exceptions that: ¥ Section 13., ¦a., is replaced in its entirety by the following: "a. Recommendations for selection of a proposal will be based on evaluations of the following factors, which have approximately equal weight: (1) intrinsic scientific and technical merit, (2) relevance to NASA's Space Physics program objectives, and (3) reasonableness, realism, and total amount of proposed costs." ¥ The first two sections of Section 13., ¦c., are replaced in their entirety by the following: "c. Evaluation of a proposal's intrinsic scientific and technical merits includes the consideration of the following factors, which are listed in the order of decreasing priority: 1) Overall scientific or technical merit of the proposal, or unique and innovative methods, approaches, or concepts demonstrated by the proposal, especially regarding the infusion of the newest materials and/or technologies into any proposed hardware." 6.2 Evaluation and Selection Procedures Proposal evaluations will be achieved as described in Appendix B, Section 14. It is anticipated that a non-Government contractor will aid NASA in organizing and documenting the peer reviews of the proposals, which will be done by mail-in and/or panel reviews. External reviewer comments are considered primarily only for the science and technical merit of the proposals, whereas cost and relevance factors are the purview of NASA. All non-Government reviewers, whether participating on a panel or only by mail, are required to sign nondisclosure statements prior to their participation in the evaluation process. All final selections will be made by the Director, Space Physics Division, in consultation with the Division's science staff. Should a non-U.S. proposal, or a U.S. proposal with non-U.S. participation, be selected, NASA's International Relations Division will arrange with the non-U.S. sponsoring agency for the proposed participation on a no exchange of funds basis, in which NASA and the non-U.S. sponsoring agency will each bear the cost of discharging their respective responsibilities; see Section 5.5.8 of this Appendix for further details. 7. Data Policy The completion of some of the investigations selected as a result of this NRA may result in the acquisition of new data from ground or suborbital (rocket and balloon) facilities. In such cases, the PI may retain sole rights to these data for the period of his/her award, until the analysis of the data is completed and published (normally expected to be in the archival scientific literature), or one year after the data are obtained, whichever comes first. At that time, all such data shall be considered in the public domain even though the data may still be maintained at the PI's institution. In cases where data may be considered to be of widespread and enduring interest, NASA may require them to be deposited in an approved data archive such as the NSSDC (see Section 3 of this Appendix). In such cases, NASA will provide adequate funding to enable reduction and calibration of the data into physical units and a format amenable for use by peer scientists. 8. Schedule for NRA The schedule for all program elements solicited in this NRA (Sections 9, 10, and 11) is: Release of NRA May 24, 1994 Notice of Intent due June 24 1994 Proposal due August 23, 1994, 4:30 PM EDT Announcement of selections November 1994 Commencement of funding (new proposals) January 1995. 9. Science Discipline SR&T Programs NOTE: During the last year an effort has been initiated by NASA to promote the infusion of the newest hardware, materials, and technologies into its flight programs, with the intent of down sizing flight payloads and saving development cost and time. Therefore, proposals seeking to develop hardware for suborbital programs, as well as for new instrument concepts in the SR&T programs, both discussed in this Section below, should note the change in the evaluation criteria noted in Section 6.1 in this Appendix. 9.1 Cosmic and Heliospheric Physics The Cosmic and Heliospheric (C&H) Physics program supports studies of the origin, acceleration, and transport of energetic particles in the galaxy and heliosphere, and the transport of energy, plasmas, and magnetic fields in the heliosphere and beyond. Fundamental measurements include the elemental abundances, isotopic composition, and energy spectra of galactic cosmic rays and energetic particles from the Sun, and particles accelerated in the heliosphere. Additionally, searches for antimatter, exotic particles, and dark matter provide tests of cosmological models. Studies of the processes governing the evolution and structure of the solar wind, as well as of the acceleration and transport of energetic particles in it, provide an understanding of transport processes in the heliosphere and, by extension, to particle transport throughout our Galaxy. A. C&H Physics Theory and Data Analysis Program. This program supports indepth data analysis and synthesis, theory, simulation, and modeling efforts relevant to understanding the science objectives of the discipline, with focuses on both galactic cosmic rays and the study of both steady-state and dynamic heliospheric phenomena. This program will undergo a comprehensive review in 1994 in response to this NRA, with the intent of supporting up to about 30 three-year awards with a budget of approximately $2M. B. C&H Physics Experimental Program. This experimental research program primarily supports science investigations utilizing large stratospheric balloons to carry instruments above about 99% of the Earth's atmosphere. It also supports the exploration and demonstration of new instrument concepts pertinent to the science goals of the discipline, but it does not support the development of space flight instruments per se. This program underwent a comprehensive review in 1992 resulting in a substantial number of three-year awards that essentially subscribed the available funds through 1995. However, one-year proposals of exceptional quality and needing only limited financial support before the next major review in 1995 may be considered if submitted in response to this NRA. Special guidance for proposals that may involve a multiinstitutional proposal for this program is contained in Section 5.6 of this Appendix. C. General Information. Questions concerning the Cosmic and Heliospheric Physics program should be addressed to: Dr. W. Vernon Jones Cosmic and Heliospheric Physics Discipline Space Physics Division Code SS NASA Headquarters Washington, DC 20546-0001 Telephone:(202) 358-1514. E-mail: NHQVAX::WVJONES WVJONES@NHQVAX.HQ.NASA.GOV 9.2 Solar Physics The Solar Physics program has as its objective the comprehensive study of all solar regimes, including the solar interior, the quiet solar atmosphere, solar activity, and the solar corona (the latter to the extent that it is observed remotely by optical means). Emphasis is currently given to proposals focused on either the recently concluded Solar Maximum Mission or future solar flight programs, in particular the Mechanisms of Solar Variability - Phase Zero (MSV-0) program that was started in FY 1994; the joint European/U.S. Solar and Heliospheric Observatory (SOHO) that will be launched in July 1995; and the High Energy Solar Physics (HESP) mission planned for later in this decade. A. Solar Physics Supporting Research and Technology Program. The Solar Physics SR&T program supports investigations involving analyses of existing data that are in the public domain and are not currently supported by a specific guest investigator or participating scientist program nor being analyzed by science teams of an active flight mission using Mission Operations and Data Analysis funding. Such acceptable SR&T investigations include the development of theoretical models and numerical simulation techniques pertinent to solar physics, and, in special cases, the development or coordination of solar ground-based observing capabilities that support NASA Solar Physics flight programs. This SR&T program also supports the exploration and demonstration of new instrument concepts pertinent to discipline goals, but it does not support the development of space flight instruments per se. For purposes of the management of subdiscipline balance, the NASA Solar Physics program is organized by a matrix of five techniques, viz., - Development of Instrument Concepts, - Ground-based Observations, - Theory and Modeling, - Data Analysis, and - Ancillary Laboratory Support (e.g., derivation of atomic constants, photometric calibrations, etc.), as applicable for the study of each of four solar research regimes noted in the introduction to this section. Investigations in all matrix categories are invited. Although no priorities are imposed on these categories, an ideal program is envisaged as a balance among them, consistent with the quality of submitted proposals and their relevance to the current Solar Physics flight programs. Therefore, it is imperative that the Cover Sheet (Appendix C, p. C.2) for Solar Physics proposals include a subdiscipline descriptor (e.g., Theory/Corona; Ground-based Observations/Solar Interior; etc.) as the "Technique/Research Area" designation to aid in the identification of peer reviewers. The Solar Physics SR&T program has had several comprehensive reviews since 1988 resulting in a distribution of one-, two-, and three-year grants, leaving only a portion of the program available for competition each year. Program funds of $6.2 M supported about 82 grants in FY 1994 ; it is anticipated that 25-30 new grants will be started in FY 1995 as a result of selections through this NRA. B. Suborbital Program in Solar Physics. This program underwent comprehensive review in 1993 for a three-year cycle beginning in FY 1994. Therefore, this program is fully subscribed and additional proposals are not solicited. However, SR&T proposals may be submitted for the laboratory development of new instrument concepts that hold promise for future suborbital flight investigations or for the analysis of suborbital data that are currently in the public domain. C. Participating Scientist Program for Non-U.S. Solar Missions. Approximately $1.5M is expected to be available to support up to 15 scientists from U.S. institutions for data analysis activities for the following two non-U.S. solar space flight programs: (1) Yohkoh. This Japanese solar physics mission, launched in 1991, carries a suite of four high energy instruments for the study of solar activity, the evolution of global structure of the corona, and changes in irradiance with the solar activity cycle (see L. Acton et al., Science 258 (1992) 618). To date, NASA support for Yohkoh has included collaboration on the Soft X-Ray Telescope investigation, tracking and return of data, mission operations, and data analysis. The objective of this Participating Scientist program is to further promote data analysis in collaboration with the Yohkoh investigators and science teams. Therefore, travel to Japan may be proposed. Data from the full complement of all Yohkoh instruments more than 14 months old are currently available through the Solar Data Analysis Center at NASA GSFC (see Section 3 in this Appendix). Letters of intent and subsequent proposals for this program will be accepted up to one month after the nominal dates for the main SR&T announcement (see Section 8). All other provisions outlined in this NRA concerning the preparation and evaluation of proposals remain unchanged. Interested parties may inquire by postal or electronic mail, or by phone, to the person identified in subsection D below for additional information about the details of this opportunity. (2) Coronas-I. The Russian Coronas-I and -J missions are focused on solar activity, the flare process, and solar oscillations. The U.S./Russian Joint Working Group on Solar Terrestrial Science has agreed that U.S. Participating Scientists would be invited to work with the investigator teams of these missions for planning of mission operations and subsequent analysis of data. The Coronas-I was launched in early March 1994. Selections of proposals to serve as U.S. Coronas-I Participating Scientists received in response to this Announcement will be funded conditional on the successful availability of data from this mission. Since data from this mission are expected to be available only from the mission science teams themselves, travel by selected U.S. Participating Scientists to Russia and/or East European countries will likely be required. Letters of intent and subsequent proposals for this program will be accepted up to one month after the nominal dates for the main SR&T announcement (see Section 8). All other provisions outlined in this NRA concerning the preparation and evaluation of proposals remain unchanged. Interested parties may inquire by postal or electronic mail, or by phone, to the person in subsection D below for additional written information describing the details of this opportunity. D. General Information. Questions concerning the Solar Physics program may be addressed to: Dr. William J. Wagner Solar Physics Discipline Space Physics Division Code SS NASA Headquarters Washington, DC 20546-0001 Telephone: (202) 358-0911 E-mail: WWAGNER@SOLAR.STANFORD.EDU 9.3 Magnetospheric Physics The Magnetospheric Physics program supports studies of the structure and dynamics of magnetospheres and the interactions of planetary magnetospheres and other natural space bodies with space plasmas. Research emphases are on planetary magnetospheres, Moon-plasma interactions, and comet environments. Primary data are provided by in situ measurements of plasmas, plasma waves, energetic particles, electric fields, and magnetic fields. Active experiments contribute additional data and enable the direct control of physical parameters. Space plasma physics is the disciplinary focus, with attention given to both large-scale system structure and micro physics. The geospace portion of the solar-terrestrial chain, including solar wind-magnetosphere interaction, is a topical focus with an emphasis on the role of the magnetosphere. A. Magnetospheric Physics Supporting Research and Technology Program. This program supports theory, simulation, modeling, and data interpretation and synthesis. Modelers should state the function of the model, i.e., whether it is intended as a purely theoretical construction, for statistical purposes, as a tool for data analysis, etc. This program also supports the development of new instrument concepts pertinent to discipline goals, but not the development of flight instruments per se. Total funding in this program has been about $4.0M per year. This program has undergone several comprehensive reviews since 1988, resulting in a distribution of one-, two-, and three-year grants. There are about 70 grants supported in FY 1994, of which about a third are in their final year of funding. B. Suborbital Program in Magnetospheric, Ionospheric, Thermospheric Mesospheric (MITM) Physics. This program supports studies of in situ phenomena utilizing experiments carried by stratospheric balloons and sounding rockets. See the separate program description in Section 10 of this Appendix for further details. C. General Information. Questions concerning the Magnetospheric Physics programs may be addressed to: Dr. Elden Whipple Magnetospheric Physics Discipline Space Physics Division Code SS NASA Headquarters Washington, DC 20546-0001 Telephone: (202) 358-1514 E-mail: EWHIPPLE@NHQVAX.HQ.NASA.GOV 9.4 Ionospheric, Thermospheric, mesospheric Physics The Ionospheric, Thermospheric, Mesospheric (ITM) Physics program supports studies of the mesosphere and thermosphere regions of the upper atmosphere, the ionosphere, and the auroral processes of the Earth and comparisons with similar processes at other planets, with the goal of understanding the formation, structure, coupling, and dynamics of these systems. Magnetosphere- ionosphere coupling (which includes auroral phenomena) is treated within the ITM program. The primary emphasis in all cases is the study of processes that occur naturally in space, including the study of manmade perturbations that elucidate natural processes. Basic plasma physics experiments made possible simply by access to space may be supported but at a distinctly lower priority. The primary data sets utilized for these studies include in situ and remotely sensed measurements of composition, densities, and temperatures of the neutral and ionized atmosphere, plasmas, plasma waves, energetic particles, and electric and magnetic fields as obtained from spacecraft, sounding rockets, and balloons. Ground- based data that is directly relevant to flight program goals are also utilized. This discipline also supports laboratory studies and active experiments that directly and explicitly address problems in ITM physics. The Earth's ITM regions are an important part of the solar- terrestrial chain. The discipline thus supports studies of solar- terrestrial processes, including studies of coupling processes outward into the magnetosphere and inward to the upper atmosphere. A. Ionospheric, Thermospheric, Mesospheric Physics (ITM) Supporting Research and Technology (SR&T) Program. This program supports theory, simulation, and modeling, indepth data analysis and synthesis, laboratory studies, and active experiments pertinent to the study of the ionosphere, thermosphere, and mesosphere of the Earth and comparative studies between these terrestrial systems and those of other solar system bodies. It also supports the exploration and demonstration of new instrument concepts pertinent to discipline goals but does not support the development of space flight instruments per se. Total funding for the existing ITM program had been about $4.0 M per year. Of the 68 grants currently being funded, approximately one half will expire in FY 1994. B. Suborbital Program in Magnetospheric, Ionospheric, Thermospheric Mesospheric (MITM) Physics. This Suborbital program supports studies of in situ physics utilizing experiments carried by stratospheric balloons and sounding rockets. See the separate program description in Section 10 of this Appendix for further details. C. General Information. Questions concerning the ITM Physics Program should be addressed to: Dr. Mary Mellott ITM Physics Discipline Space Physics Division Code SS NASA Headquarters Washington, DC 20546-0001 Telephone: (202) 358-1514 E-mail: MMELLOTT@NHQVAX.HQ.NASA.GOV 10. Suborbital Program in Magnetospheric, Ionospheric, Thermospheric, Mesospheric (MITM) Physics 10.1 General Scope The MITM Suborbital program supports primarily stratospheric balloon and sounding rocket investigations to conduct research on both microscopic and macroscopic phenomena relevant to mesospheric, thermospheric, ionospheric, and magnetospheric physics. Distinctly lower priority is given to investigations proposed for Shuttle flights (e.g., Hitchhiker payloads). Supported investigations emphasize studies of MITM science through the use of balloon- or rocket-borne in situ, remote sensing, or active techniques. This program usually plans launches several years in advance. Proposals submitted in response to this NRA, therefore, may submit budgets for up to three years that are expected to cover a complete suborbital investigation including payload construction, launch phase, and data analysis. An appropriate data analysis effort following the payload flight must be included as part of the three-year program. 10.2 Special Programmatic Policies A. Infusion of advanced technologies. Special attention is directed to the "NOTE" that prefaces Section 9 in this Appendix. B. Support for extended data analysis. Support for data analysis extending beyond the nominal three-year proposal should be proposed separately to the appropriate discipline SR&T program (i.e., Magnetospheric Physics or ITM Physics). C. Reflight policy. The advantage of the quick, relatively inexpensive access to space provided by this suborbital program necessarily implies a significant element of risk. Therefore, NASA cannot guarantee a reflight opportunity for an investigation that experiences an equipment failure, regardless of whether the failure is due to malfunction of the payload or the launch vehicle. Although it can be cost effective to refly payloads that have been recovered intact after some type of flight failure, decisions on reflights must take into account current MITM science priorities and budgets as well as operational support capabilities. Therefore, such decisions can and will be made only on a case by case basis. D. Add-on instruments. When MITM proposals are initially selected for funding, they are accepted as comprehensive scientific investigations. The addition of another instrument to an ongoing program, whether provided by the selected investigation team or by someone outside of that team, must secure approval by the NASA program office based on the demonstration that the proposed addition is important to the completion of the scientific goals of the original proposal. This program will not accept expansions of scope beyond the original proposal without additional review of the project. E. Launch Voucher Demonstration (LVD) Program. NASA has been directed by Congress to test the validity of allowing the private sector to provide launch services for a representative sample of its sounding rocket payloads launched from White Sands Missile Range (WSMR). The approach to such a demonstration program that is being considered is that NASA will provide a "voucher" to each of a small number (up to about five) of the selected suborbital rocket investigators to enable them to solicit and procure launch services from the private sector (i.e., independent of NASA) that meets the WSMR launch schedules proposed by those investigators. Therefore, proposers to the MITM Suborbital program are advised that this LVD program may be initiated with at least some of the proposals whose selections are anticipated from among those submitted in response to this NRA. MITM Principal Investigator proposers should indicate their willingness to consider participation in the LVD program on the Cover Sheet, (Appendix C, page C.2), of the required prefatory material (see Section 5.3). It is emphasized that volunteering to consider such participation will not be considered binding on the proposer nor will it increase the chance for selection (which will be based on the evaluation criteria set forth in Section 6.1 of this Appendix). If selected, such LVD participation will not provide additional financial resources for development of the payload. The reflight policy discussed above in this Section 10.2 remains unchanged regardless of the provider of launch services. Should the LVD program be initiated and there are insufficient volunteers from among the investigations as may be selected for this MITM program, additional participants may be solicited from among those scheduled for suborbital rocket flights who have been successfully selected as a result of proposals submitted to other recent NASA OSS SR&T announcements. Questions specifically about this LVD program may be directed to: Mr. Paul DeMinco Manager, Suborbital Programs Space Physics Division Code SS NASA Headquarters Washington, DC 20546-0001 Telephone: (202) 358-0887. F. Proposals for Investigations Involving Multiple Launches and/or Multiple Institutions. Proposals to the MITM Physics Suborbital program should be in the form of individual investigation proposals as described in Section 5 even though they may propose multiple rocket launches either simultaneously or in sequence to the extent that the scientific objective(s) of the investigation clearly requires them. Rocket launches and ground-based observations that are to be performed in support of, or in scientific collaboration with, an investigation should be included in the investigation proposal, with key participants included as Co-I's. Special guidance for proposals that may involve a multiinstitutional proposal for this program is contained in Section 5.6 of this Appendix. G. Desire for Minimization of NASA Operational Costs. In recent years, a confluence of factors has made it highly desirable to minimize the operational costs to NASA for the preparation (payload integration and test) and field operations (especially the need for campaigns and/or launches from remote or non-U.S. sites) for its suborbital programs. Therefore, starting with this NRA, investigators interested in submitting new MITM proposals are strongly encouraged to propose investigations that minimize these operational factors, especially with regard, but not limited, to payload complexity and nontraditional launch sites. 10.3 Proposals for Suborbital Campaigns The MITM Suborbital program supports research in the "campaign mode," typically characterized as a group of individual investigations that use a common launch location, time, and launch support infrastructure. Investigators who are planning a campaign must do so within the context of a proposal from a single "Campaign Scientist" that describes the overall campaign, the management scheme, and the total cost to NASA. In addition, each participating PI must: - provide a task statement describing his/her scientific and technical role in the campaign with a summary budget for that task, to be appended to the Campaign Scientist's proposal (each PI's budget cost must be included in a summary of the total cost to NASA for the investigation); and - submit a separate proposal directly to NASA with the same task description and a detailed budget authorized by an appropriate institutional representative. Clear cross-reference must be made to the Campaign Scientist's proposal (see Appendix C, page C.2). Proposers for campaigns are advised that NASA typically supports only one remote-location campaign per year and that campaigns are usually planned several years in advance. However, before proposing such campaigns, investigators are strongly encouraged to consider the guidance in Section 10.2.G. above in this Appendix. 10.4 Flight Schedules NASA launches about four to five balloons and 30 to 35 sounding rockets per year in support of investigations, including campaigns, sponsored by the MITM Physics Suborbital program, which is expected to continue in future years. However, since the flight schedule for FY 1995 is subscribed, flight schedule requirements for proposals submitted to this NRA should begin no earlier than FY 1996. 10.5 Funding Guidelines New MITM Physics Suborbital proposals selected under this NRA will be phased into the program as rapidly as resources permit. As a rule, new investigations are awarded definition-level funding in their first year, followed by full funding for development in their second year, leading to flight early in their third year, and then followed by data analysis. Total funding in this program has been about $4.0M per year; annual funding levels have averaged $200K per investigation and $130K per individual investigator. Of the 17 investigations currently being funded, five will expire in FY 1994. Questions concerning this program should be addressed to: Dr. Mary Mellott Suborbital MITM Physics Program Space Physics Division Code SS NASA Headquarters Washington, DC 20546-0001 Telephone: (202) 358-1514 E-mail : NHQVAX::MMELLOTT 11. Space Physics Educational Outreach (SPEO) Program 11.1 Background and Program Definition In support of NASA's education strategy, the Space Physics Division began an ongoing opportunity in FY 1993 for proposers to any of the research programs described herein to additionally propose for a modest supplement to enable an educational outreach effort in their local community. The intent of this Space Physics Educational Outreach (SPEO) program is to encourage the space physics research PI's and Co-I's to become actively involved with local schools and/or undergraduate colleges, as well as with appropriate public educational institutions such as science museums or planetariums. In doing so, it is emphasized that the purpose of this SPEO program is to provide educational opportunities and/or materials that promote general scientific literacy especially with respect to the understanding of the space sciences. Therefore, and in keeping with NASA policy, SPEO proposals should have as their main focus the teachers of science and mathematics and/or large numbers of students or the general public. In general, it is expected that SPEO projects will either: - actively involve the proposing PI with the intended audience of the SPEO program, which in itself should actively promote science literacy (for example, it is in the spirit of this program to propose funding local teachers as summer research interns or to conduct a workshop for teachers; it is not in the spirit of this program to simply buy equipment for an educational institution no matter how valuable such hardware may be to the education program of the institution); or - develop educational materials commensurate with the goals of NASA's Strategic Plan for Education (for example, a NASA Educational Brief; self-explanatory visual materials for the classroom; educational software; or a NASA Curriculum Supplement that allows appropriately explained concepts and/or data of space physics to illustrate the application of the basic principles of physics and/or mathematics). Specific elements for successful proposals in response to this SPEO program that should be met are: - target the educational outreach activity at the general public, students or, especially teachers at the elementary through high school, or undergraduate collegiate levels; - include active involvement by the SPEO PI (who must be the PI or Co-I of a selected space physics research award) for the development and execution of the outreach activity; - if the SPEO activity is done for some educational institution, provide for an active "partnership" between the PI and the benefiting institution for planning/execution of the outreach activity; - have a reasonable intellectual linkage of the proposed outreach activity to that of the PI's expertise and/or the subject matter proposed in the "parent" space physics research grant; and - outline a plan for evaluating the success of the proposed SPEO project, to be fulfilled by submission of a final report within three months of the completion of the activity. In all cases the emphasis of this SPEO program is on active participation of the proposing researchers with the activities proposed and on the sizing of the proposed task to ensure its completion within its proposed cost and duration (not to exceed that of the parent research award itself). Originality of a proposed effort is not a criterion for selection. What is important is providing assurance that the effort is well planned, that it form a true "partnership" between the researcher and the general public and/or school system or provide assurance that some educational materials will be produced, and that the proposed effort will be carried out. An excellent discussion of the philosophy inherent in this program may be found in Science Education Partnerships - Manual for scientists and K-12 Teachers, ed. A. Sussman, Science Press, San Francisco (1993). The maximum award for a SPEO supplement is $5.0K per year for a period not to exceed that of the parent research proposal, assuming that the complexity of the proposed activity warrants such duration. A SPEO grant supplement is seen as a direct educational benefit to the local community of the PI's institution and will be provided only as an add-on to their research grant for which full institutional overhead is normally billed to NASA. Therefore, it is desired but not required that the PI's institutional overhead be waived for these supplements. It is also hoped that the provision of a SPEO grant will act to promote matching support from the PI's or other local benefiting institution(s). Anyone submitting a SPEO supplement should avoid proposing any activity that could be perceived as engendering a personal conflict of interest. In particular, SPEO proposers should avoid proposing tasks or expenditure of funds that directly benefits members of their immediate families. Contact the individual noted in Section 11.3 if there are any questions. Depending on the submission of proposals of merit, it is envisioned that up to 30 such awards will be funded simultaneously by the Space Physics Division in any one fiscal year (approximately six awards for each of the four Space Physics science discipline offices, three for the MITM Suborbital program, and three for the Space Physics Theory Program). SPEO proposals are encouraged as supplements to all new proposals. In addition, PI's already holding a grant are invited to submit a SPEO proposal for a period of performance not to exceed the remainder of their existing award. 11.2 Supplement Preparation and Submission Indication that a SPEO supplement is being sought for a new proposal should be shown as provided on the proposal's cover sheet (see Appendix C, page C.2). Such a SPEO proposal should be bound separately from but submitted with the main research proposal. A SPEO proposal submitted as a supplement to an existing space physics research grant should be submitted as a stand-alone document in accordance with Sections 5 and 8. In either case, a SPEO proposal should consist of a succinct but thorough description (not to exceed six pages) of the intended educational outreach project, with careful attention to addressing the key elements noted in Section 11.1, prefaced by a brief, descriptive abstract; and a budget listing each main cost item, in accordance with the budget format described in Section 5.4 of this Appendix. Waiver of overhead by the PI's institution, if offered, should be noted (see Section 11.1), as should the promise of any matching resources from the PI or other institution, by appended authorizing letters. 11.3 Supplement Evaluation and Selection All SPEO proposals submitted as supplements to existing (ongoing) Space Physics research awards will be evaluated, whereas the only SPEO supplements to new research proposals that will be evaluated will be those associated with proposals selected for funding on the merits of their research objectives; i.e., SPEO proposals will not be funded independently of a "parent" research award. The evaluation of SPEO proposals will be conducted by members of the NASA Headquarters Space Physics Division, other interested members of the Office of Space Science at large, and representatives of the Education Division of NASA's Office of Human Resources and Education. Selections for awards will be made by the Director, Space Physics Division, based on the results of these reviews and availability of funds. Although announcement of SPEO supplement selections may lag those for the research grants by a few weeks, funding of SPEO supplements will be simultaneous with the parent research grant, whether new or ongoing. Anyone interested in this SPEO program should so note in their Notice of Intent to propose (Section 5.2). Questions concerning this SPEO program may be directed to: Dr. J. David Bohlin Space Physics Division Code SS NASA Headquarters Washington, DC 20546-0001 Telephone: (202) 358-0880 Fax: (202) 358-3987 E-mail: JBOHLIN@GM.OSSA.HQ.NASA.GOV NRA APPENDIX B NFSD 89-0 (JUNE 30, 1989) PART 18-70 NASA SUPPLEMENTARY REGULATIONS 18-70-203, App. I GUIDELINES FOR RESPONDING TO NASA RESEARCH ANNOUNCEMENTS (NRA) FOR SOLICITED BASIC RESEARCH PROPOSALS (AUGUST 1988) OFFICE OF PROCUREMENT NATIONAL AERONAUTICS AND SPACE ADMINISTRATION WASHINGTON, DC 20546 INSTRUCTIONS FOR RESPONDING TO NASA RESEARCH ANNOUNCEMENTS FOR SOLICITED RESEARCH PROPOSALS (AUGUST 1988) 1. FOREWORD a. NASA depends upon industry, educational institutions and other nonprofit organizations for most of its research efforts. While a number of mechanisms have been developed over the years to inform the research community of those areas in which NASA has special research interests, these instructions apply only to "NASA Research Announcements," a form of "broad agency announcement" described in 6.102(d)(2) and 35.016 of the Federal Acquisition Regulation (FAR). The "NASA Research Announcement (NRA)" permits competitive selection of research projects in accordance with statute while at the same time preserving the traditional concepts and understandings associated with NASA sponsorship of research. b. These instructions are Appendix I to 18-70.203 of the NASA Federal Acquisition Regulation Supplement. 2. POLICY a. NASA fosters and encourages the submission of research proposals relevant to agency mission requirements by solicitations, "NASA Research Announcements," which describe research areas of interest to NASA. Proposals received in response to an NRA will be used only for evaluation purposes. b. NASA does not allow a proposal, the contents of which are not available without restriction from another source, or any unique ideas submitted in response to an NRA to be used as the basis of a solicitation or in negotiation with other organizations, nor is a pre award synopsis published for individual proposals. c. A solicited proposal that results in a NASA award becomes part of the record of that transaction and may be available to the public on specific request; however, information or material that NASA and the awardee mutually agree to be of a privileged nature will be held in confidence to the extent permitted by law, including the Freedom of Information Act. 3. PURPOSE These instructions are intended to supplement documents identified as "NASA Research Announcements." The NRAs contain program matic information and certain "NRA-specific" requirements which apply only to proposals prepared in response to that particular announcement. These instructions contain the general proposal preparation information which applies to responses to all NRAs. 4. RELATIONSHIP TO AWARD a. A contract, grant, cooperative agreement, or other agreement may be used to accomplish an effort funded on the basis of a proposal submitted in response to an NRA. NASA does not have separate "grant proposal" and "contract proposal" categories, so all proposals may be prepared in a similar fashion. NASA will determine the appropriate instrument. b. Grants are generally used to fund basic research in educational and nonprofit institutions, while research in other private sector organizations is accomplished under contract. Additional information peculiar to the contractual process (certifications, cost and pricing data, facilities information, etc.) will be requested, as necessary, as the procurement progresses. Contracts resulting from NRAs are subject to the Federal Acquisition Regulation and the NASA FAR Supplement (NHB 5100.4). Any resultant grants or cooperative agreements will be awarded and administered in accordance with the NASA Grant and Cooperative Agreement Handbook (NHBÊ5800.1). 5. CONFORMANCE TO GUIDANCE a. NASA does not have any mandatory forms or formats for preparation of responses to NRAs; however, it is requested that proposals conform to the procedural and submission guidelines covered in these instructions. In particular, NASA may accept proposals without discussion; hence, proposals should initially be as complete as possible, and be submitted on the proposers' most favorable terms. b. In order to be considered responsive to the solicitation, a submission must, at a minimum, present a specific project within the areas delineated by the NRA; contain sufficient technical and cost information to permit a meaningful evaluation; be signed by an official authorized to legally bind the submitting organization; not merely offer to perform standard services or to just provide computer facilities or services; and not significantly duplicate a more specific current or pending NASA solicitation. NASA reserves the right to reject any or all proposals received in response to an NRA when such action is considered in the best interest of the Government. 6. NRA-SPECIFIC ITEMS a. Several proposal submission items will appear in the NRA itself. These include: the unique NRA identifier; when to submit proposals; where to send proposals; number of copies required; and sources for more information. b. Items included in these instructions may be supplemented by the NRA, as circumstances warrant. Examples are: technical points for special emphasis; additional evaluation factors; and proposal length. 7. PROPOSAL CONTENTS a. The following general information is needed in all proposals in order to permit consideration in an objective manner. NRAs will generally specify topics for which additional information or greater detail is desirable. Each proposal copy shall contain all submitted material, including a copy of the transmittal letter if it contains substantive information. b. Transmittal Letter or Prefatory Material 1) The legal name and address of the organization and specific division or campus identification if part of a larger organization; 2) A brief, scientifically valid project title intelligible to a scientifically literate reader and suitable for use in the public press; 3) Type of organization: e.g., profit, nonprofit,educational, small business, minority, women-owned, etc.; 4) Name and telephone number of the principal investigator and business personnel who may be contacted during evaluation or negotiation; 5) Identification of any other organizations that are currently evaluating a proposal for the same efforts; 6) Identification of the specific NRA, by number and title, to which the proposal is responding; 7) Dollar amount requested of NASA, desired starting date, and duration of project; 8) Date of submission; and 9) Signature of a responsible official or authorized representative of the organization, or any other person authorized to legally bind the organization (unless the signature appears on the proposal itself). c. Restriction on Use and Disclosure of Proposal Information It is NASA policy to use information contained in proposals for evaluation purposes only. While this policy does not require that the proposal bear a restrictive notice, offerors or quoters should, in order to maximize protection of trade secrets or other information that is commercial or financial and confidential or privileged, place the following notice on the title page of the proposal and specify the information subject to the notice by inserting appropriate identifica- tion, such as page numbers, in the notice. In any event, information (data) contained in proposals will be protected to the extent permitted by law, but NASA assumes no liability for use and disclo- sure of information not made subject to the notice. NOTICE Restriction on Use and Disclosure of Proposal Information The information (data) contained in [insert page numbers or other identification] of this proposal constitutes a trade secret and/or information that is commercial or financial and confidential or privileged. It is furnished to the Government in confidence with the understanding that it will not, without permission of the offeror, be used or disclosed other than for evaluation purposes; provided, however, that in the event a contract (or other agreement) is awarded on the basis of this proposal the Government shall have the right to use and disclose this information (data) to the extent provided in the contract (or other agreement). This restriction does not limit the Government's right to use or disclose this information (data) if obtained from another source without restriction. d. Abstract Include a concise (200-300 word if not otherwise specified in the NRA) abstract describing the objective of the proposed effort and the method of approach. e. Project Description 1) The main body of the proposal shall be a detailed statement of the work to be undertaken and should include objectives and expected significance; relation to the present state of knowledge in the field; and relation to previous work done on the project and to related work in progress elsewhere. The statement should outline the general plan of work, including the broad design of experiments to be undertaken and an adequate description of experimental methods and procedures. The project description should be prepared in a manner that addresses the evaluation factors in these instruc tions and any additional specific factors in the NRA. Any substantial collaboration with individuals not referred to in the budget or use of consultants should be described. Note, however, that subcontracting significant portions of a research project is discouraged. 2) When it is expected that the effort will require more than one year for completion, the proposal should cover the complete project to the extent that it can be reasonably anticipated. Principal emphasis should, of course, be on the first year of work, and the description should distinguish clearly between the first year's work and work planned fur subsequent years. f. Management Approach For large or complex efforts involving interactions among numerous individuals or other organizations, plans for distribution of responsibilities and any necessary arrangements for ensuring a coordinated effort should be described. Aspects of any required intensive working relations with NASA field centers that are not logical inclusions elsewhere in the proposal should be described in this section. g. Personnel The principal investigator is responsible for direct supervision of the work and participates in the conduct of the research regardless of whether or not compensation is received under the award. A short biographical sketch of the principal investigator, a list of principal publications and any exceptional qualifications should be included. Omit social security number and other personal items which do not merit consideration in evaluation of the proposal. Give similar biographical information on other senior professional personnel who will be directly associated with the project. Give the names and titles of any other scientists and technical personnel associated substantially with the project in an advisory capacity. Universities should list the approximate number of students or other assistants, together with information as to their level of academic attainment. Any special industryuniversity cooperative arrangements should be described. h. Facilities and Equipment 1) Describe available facilities and major items of equipment especially adapted or suited to the proposed project, and any additional major equipment that will be required. Identify any Governmentowned facilities, industrial plant equipment, or special tooling that are proposed for use on the project. 2) Before requesting a major item of capital equipment, the proposer should determine if sharing or loan of equipment already within the organization is a feasible alternative to purchase. Where such arrangements cannot be made, the proposal should so state. The need for items that typically can be used for both research and nonresearch purposes should be explained. i. Proposed Costs 1) Proposals should contain cost and technical parts in one volume; do not use separate "confidential" salary pages. As applicable, include separate cost estimates for salaries and wages; fringe benefits; equipment; expendable materials and supplies; services; domestic and foreign travel; ADP expenses; publication or page charges; consultants; subcontracts; other miscellaneous identifiable direct costs; and indirect costs. List salaries and wages in appropriate organizational categories (e.g., principal investigator, other scientific and engineering professionals, graduate students, research assistants, and technicians and other nonprofessional personnel). Estimate all manpower data in terms of manmonths or fractions of fulltime. 2) Explanatory notes should accompany the cost proposal to provide identification and estimated cost of major capital equipment items to be acquired; purpose and estimated number and lengths of trips planned; basis for indirect cost computation (including date of most recent negotiation and cognizant agency); and clarification of other items in the cost proposal that are not selfevident. List estimated expenses as yearly requirements by major work phases. (Standard Form 1411 may be used.) 3) Allowable costs are governed by FAR Part 31 and the NASA FAR Supplement Part 1831 (and OMB Circulars A21 for educational institutions and A122 for nonprofit organizations). j. Security Proposals should not contain security classified material. However, if the proposed research requires access to or may generate security classified information, the submitter will be required to comply with applicable Government security regulations. k. Current Support For other current projects being conducted by the principal investigator, provide title of project, sponsoring agency, and ending date. l. Special Matters 1) Include any required statements of environmental impact of the research, human subject or animal care provisions, conflict of interest, or on such other topics as may be required by the nature of the effort and current statutes, executive orders, or other current Governmentwide guidelines. 2) Proposers should include a brief description of the organization, its facilities, and previous work experience in the field of the proposal. Identify the cognizant Government audit agency, inspection agency, and administrative contracting officer, when applicable. 8. RENEWAL PROPOSALS a. Renewal proposals for existing awards will be considered in the same manner as proposals for new endeavors. It is not necessary that a renewal proposal repeat all of the information that was in the original proposal upon which the current support was based. The renewal proposal should refer to its predecessor, update the parts that are no longer current, and indicate what elements of the research are expected to be covered during the period for which extended support is desired. A description of any significant findings since the most recent progress report should be included. The renewal proposal should treat, in reasonable detail, the plans for the next period, contain a cost estimate, and otherwise adhere to these instructions. b. NASA reserves the right to renew an effort either through amendment of an existing contract or by a new award. 9. LENGTH Unless otherwise specified in the NRA, every effort should be made to keep proposals as brief as possible, concentrating on substantive material essential for a complete understanding of the project. Experience shows that few proposals need exceed 1520 pages. Any necessary detailed information, such as reprints, should be included as attachments rather than in the main body of the proposal. A complete set of attachments is necessary for each copy of the proposal. As proposals are not returned, avoid use of "oneofakind" attachments; their availability may be mentioned in the proposal. 10. JOINT PROPOSALS a. Some projects involve joint efforts among individuals in different organizations or mutual efforts of more than one organiza tion. Where multiple organizations are involved, the proposal may be submitted by only one of them. In this event, it should clearly describe the role to be played by the other organizations and indicate the legal and managerial arrangements contemplated. In other instances, simultaneous submission of related proposals from each organization might be appropriate, in which case parallel awards would be made. b. Where a project of a cooperative nature with NASA is contemplated, the proposal should describe the contributions expected from any participating NASA investigator and agency facilities or equipment which may be required. However, the proposal must be confined only to that which the proposing organiza tion can commit itself. "Joint" proposals which purport to specify the internal arrangements NASA will actually make are not acceptable as a means of establishing an agency commitment. 11. LATE PROPOSALS A proposal or modification thereto received after the date or dates specified in an NRA may still be considered if the selecting official deems it to offer NASA a significant technical advantage or cost reduction. 12. WITHDRAWAL Proposals may be withdrawn by the proposer at any time. Offerors are requested to notify NASA if the proposal is funded by another organization or of other changed circumstances which dictate termination of evaluation. 13. EVALUATION FACTORS a. Unless otherwise specified in the NRA, the principal elements (of approximately equal weight) considered in evaluating a proposal are its relevance to NASA's objectives, intrinsic merit, and cost. b. Evaluation of a proposal's relevance to NASA's objectives includes the consideration of the potential contribution of the effort to NASA's mission. c. Evaluation of its intrinsic merit includes the consideration of the following factors, none of which is more important than any other: 1) Overall scientific or technical merit of the proposal or unique and innovative methods, approaches, or concepts demonstrated by the proposal. 2) The offeror's capabilities, related experience, facilities, techniques, or unique combinations of these which are integral factors for achieving the proposal objectives. 3) The qualifications, capabilities, and experience of the proposed principal investigator, team leader, or key personnel who are critical in achieving the proposal objectives. 4) Overall standing among similar proposals available for evaluation and/or evaluation against the known stateoftheart. d. Evaluation of the cost of a proposed effort includes the consideration of the realism and reasonableness of the proposed cost and the relationship of the proposed cost to available funds. 14. EVALUATION TECHNIQUES Selection decisions will be made following peer and/or scientific review of the proposals. Several evaluation techniques are regularly used within NASA. In all cases, however, proposals are subject to scientific review by discipline specialists in the area of the proposal. Some proposals are reviewed entirely inhouse where NASA has particular competence; others are evaluated by a combination of in house people and selected external reviewers, while yet others are subject to the full external peer review technique (with due regard for conflictofinterest and protection of proposal information), such as by mail or through assembled panels. Regardless of the technique, the final decisions are always made by a designated NASA selecting official. A proposal which is scientifically and programmatically meritorious, but which is not selected for award during its initial review under the NRA may be included in subsequent reviews unless the proposer requests otherwise. 15. SELECTION FOR AWARD a. When a proposal is not selected for award, and the proposer has indicated that the proposal is not to be held over for subsequent reviews, the proposer will be notified that the proposal was not selected for award. NASA will notify the proposer and explain generally why the proposal was not selected. Proposers desiring additional information may contact the selecting official who will arrange a debriefing. b. When a proposal is selected for award, negotiation and award will be handled by the procurement office in the funding installation. The proposal is used as the basis for negotiation with the submitter. Formal RFPs are not used to obtain additional information on a proposal selected under the NRA process. However, the contracting officer may request certain business data and may forward a model contract and other information which will be of use during the contract negotiation. 16. CANCELLATION OF NRA NASA reserves the right to make no awards under this NRA and, in the absence of program funding or for any other reason, to cancel this NRA by having a notice published in the Commerce Business Daily. NASA assumes no liability for canceling the NRA or for anyone's failure to receive actual notice of cancellation. Cancellation may be followed by issuance and synopsis of a revised NRA, since amendment of an NRA is normally not permitted. APPENDIX C PROPOSAL PREFATORY MATERIALS C-1 PROPOSAL SUBMITTED IN RESPONSE TO NRA "SPACE PHYSICS SUPPORTING RESEARCH AND TECHNOLOGY AND SUBORBITAL PROGRAMS" PROGRAM ELEMENT: (identify as appropriate) ¥ Cosmic and Heliospheric Physics (C&HP) ¥ Solar Physics ¥ Magnetospheric Physics ¥ Ionospheric, Thermospheric, Mesospheric Physics ¥ MITM Suborbital: - as a PI Proposal - Willing to participate in a Launch Voucher Demonstration Program? YES /NO - as a Co-I Proposal (PI name/institution: ____________) ¥ Space Physics Education Outreach (SPEO) Supplement: - as an addition to a new proposal for Program Element? YES/NO - as an addition to an existing Space Physics award Program Element? YES/NO (NASA Award Number: ) TECHNIQUE/RESEARCH AREA1: DESCRIPTIVE TITLE OF INVESTIGATION: PRINCIPAL INVESTIGATOR: Name/Title Institutional Address Telephone Signature/Date CO-INVESTIGATOR(S): (if any) Name(s) and Institutional Addresses(s) INSTITUTIONAL AUTHORIZATION: Name/Title Institutional Address Telephone Authorizing Signature/Date PROPOSED DURATION OF PROJECT: (not to exceed 3 years) BUDGET SUMMARY 2: 1st Year 2nd Year 3rd Year Total RESEARCH TASK ($K): ________ ________ ________ ________ SPEO SUPPLEMENT ($K)3: ________ ________ ________ ________ TOTAL COST ($K): ________ ________ ________ ________ EST. NCCS Cray YMP CU's4: ________ ________ ________ ________ _______________________________________________ 1) For example, Data Analysis/Solar Corona; Simulation/Magnetic Reconnection; Experiment Concept/Ionosphere; Theory/Auroral Substorms; etc. 2) For MITM and C&HP Experimental program proposals, include all Co-I budgets in totals. 3) As applicable. 4) From p. C.4. C-2 PROPOSAL SUMMARY DESCRIPTIVE TITLE OF INVESTIGATION: (use same title as on p. C.2) PRINCIPAL INVESTIGATOR AND INSTITUTION: CO-INVESTIGATOR(S) AND INSTITUTION(S): ___________________________________________ * Provide the following, typed single-spaced: (a) Overall objectives and strategy of the proposed work; (b) If supported in immediately previous funding cycle by NASA, a summary of recent progress and accomplishments, or state "New Task," as appropriate; (c) A brief description of what will be done and plan of activities; (d) Perceived relevance of proposed research to NASA's Space Physics programs; and (e) If previously supported for similar work, recent publications resulting from research. Note: The total length of items (a) through (e) should not exceed the equivalent of one full page (i.e., about 55 lines) of material, and may extend to a second sheet as necessary. This same Abstract may also be used in preface for the proposal itself; see Appendix A, Section 5.3. C-3 YEARLY BUDGETS AND PERSONNEL SUMMARY (Provide for each year of proposed effort, not to exceed three years; budget in institutional format may be appended as desired.) DESCRIPTIVE TITLE OF INVESTIGATION: PRINCIPAL INVESTIGATOR AND INSTITUTION: SUMMARY OF 1st/2nd/3rd YEAR PROPOSED COSTS: (nearest $K) 1. Salaries and Wages.......................................$_________ 2. Supplies and Materials...................................$_________ 3. Equipment Purchases......................................$_________ 4. Computer Time (paid with PI funds).......................$_________ 5. Services.................................................$_________ 6. Publications.............................................$_________ 7. Communications...........................................$_________ 7. Travel...................................................$_________ 8. Other (including benefits and overhead)..................$_________ 9. TOTAL....................................................$_________ SUMMARY OF PERSONNEL: (Nearest 0.1 work years (WY), nearest $K) 1. Senior personnel (list name(s)).....................WY____ $________ 2. Post-doctorate associate (list name(s)).............WY____ $________ 3. Student(s) (give number)............................WY____ $________ 4. Technical support staff (give number)...............WY____ $________ 5. Other...............................................WY____ $________ 6. TOTAL............................................. WY____ $________ EXPECTED SUPER COMPUTER USAGE: (include endorsements as appropriate) 1. Location and type for each computer ________________________________ 2. Estimated number of Computing Units (CU's) for each facility ________ 3. If GSFC/NASA Center for Computational Sciences (NCCS) is proposed for use, list estimated number of Cray YMP CU's: ________ (enter also on page C.2) C-4 CURRENT AND PENDING RESEARCH SUPPORT 1. For the Principal Investigator and each Co-Investigator, provide: A. Currently supported research project(s). B. Research project(s) for which support is pending (including renewal applications as well as this proposal): List separately for A and B: ¥ Source of support ¥ Project title and sentence abstract ¥ Award amount ¥ Period covered by award ¥ Work-year commitment of the proposed Investigator. 2. List the name of any other agency to which this proposal has been or will be contemporaneously submitted, including relevant dates. C-5 Certification Regarding Debarment, Suspension, and Other Responsibility Matters Primary Covered Transactions This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 34 CFR Part 85, Section 85.510, ParticipantÕs responsibilities. The regulations were published as Part VII of the May 26, 1988 Federal Register (pages 19160Ð19211). Copies of the regulations may be obtained by contacting the U. S. Department of Education, Grants and Contracts Service, 400 Maryland Avenue, S. W. (Room 3633 GSA Regional Office Building No. 3), Washington, D. C. 20202-4725, telephone (202) 732- 2505. (1) The prospective primary participant certifies to the best of its knowledge and belief, that it and its principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; (b) Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and (d) Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State or local) terminated for cause or default. (2) Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Institution Principal Investigator Name and Title of Authorized Representative Signature Date C-6 Certification Regarding Drug-Free Workplace Requirements Grantees Other Than Individuals This certification is required by the regulations implementing the Drug-Free Workplace Act of 1988, 34 CFR Part 85, Subpart F. The regulations, published in the January 31, 1989 Federal Register, require certification by grantees, prior to award, that they will maintain a drug-free workplace. The certification set out below is a material representation of fact upon which reliance will be placed when the agency determines to award the grant. False certification or violation of the certification shall be grounds for suspension of payments, suspension or termination of grants, or governmentwide suspension or debarment (see 34 CFR Part 85, Sections 85.615 and 85.620). The grantee certifies that it will provide a drug-free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the granteeÕs workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug-free awareness program to inform employees aboutÑ (1) The dangers of drug abuse in the workplace; (2) The granteeÕs policy of maintaining a drug-free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance programs; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee to be engaged in the per-formance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee willÑ (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction; (e) Notifying the agency within ten days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction; (f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convictedÑ (1) Taking appropriate personnel action against such an employee, up to and including termination; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). Institution Principal Investigator Name and Title of Authorized Representative Signature Date C-7 Certification Regarding Lobbying As required by S1352 Title 31 of the U.S. Code for persons entering into a grant or cooperative agreement over $100,000, the applicant certifies that: (a) No Federal appropriated funds have been paid or will be paid by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, in connection with making of any Federal grant, the entering into of any cooperative, and the extension, continuation, renewal, amendment, or modification of any Federal grant or cooperative agreement; (b) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting an officer or employee of any agency, Member of Congress, an or an employee of a Member of Congress in connection with this Federal grant or cooperative agreement, the undersigned shall complete Standard Form -LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (c) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subgrants, contracts under grants and cooperative agreements, and subcontracts), and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by S1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less that $10,000 and not more than $100,000 for each such failure. __________________________________________________________________ Organization Name AO or NRA Number and Name __________________________________________________________________ Printed Name and Title of Authorized Representative __________________________________________________________________ Signature Date _________________________________________________________________ Printed Principal Investigator Name Proposal Title