1. PROPOSAL PREPARATION AND SUBMISSION
1.1. General InformationThe current Announcement covers RXTE Guest Observer (GO) scientific proposals selected by the Stage 1 Peer Review for observation during Cycle 8. Cycle 8 observations begin on or around March 1, 2003, and last for 12 months.
In the Stage 1 Peer Review the scientific and technical merits of the proposed investigations were judged and time appropriately allocated. The Stage 2 budget review process will allocate support for the investigations of the qualified accepted proposals. The amount of support for a given investigation will depend on a number of considerations including, but not limited to, the complexity of the analysis, number of targets and the time allocated to the targets, the priority of the targets, the number of accepted proposals for which the PI (or Co-I of a foreign PI proposal) is requesting support under this announcement, and other sources of funding relevant to this request.
A cost proposal is required for each qualifying investigation for which financial support from NASA is requested. Investigations will be funded for a period of one year.
1.2. EligibilityParticipation in this budget process is limited to GOs whose primary affiliation is with a US institution, which includes both Principal Investigators (PIs), and Co-Investigators (Co-Is) on proposals where the PI is not affiliated with a US institution (Foreign PI proposals).
1.3. Who May ProposeOnly one budget proposal will be allowed for each accepted scientific proposal meeting the above criteria. For scientific proposals where the primary affiliation of the PI is with a US institution, the PI (or Co-I designated by the PI) should submit the budget proposal. For scientific proposals where the primary affiliation of the PI is not with a US institution, the US Co-Is must select a Lead Co-I to be responsible for submitting the budget proposal. Communications concerning the budgets and budget proposals will only be with PIs (or designated Co-I) or Lead Co-Is.
1.4. SubgrantsIn order to reduce institutional overheads, the use of subgrants to fund co-investigators at secondary institutions is allowed and encouraged in this budget process. The PI or Lead Co-I may direct funds to a Co-I at an institution other than his or her own by following the instructions included in this and associated documentation. The Co-I at the secondary institution will then receive the funds directly.
1.5. Useful WWW Sites/Pages
2. PROPOSAL FORMAT AND CONTENT
2.1. Proposal ContentAll proposals must be typewritten in English.
You are not required to include the scientific justification from your RXTE Cycle 8 Stage 1 proposal. The Stage 2 reviewers will have access to materials from your original submission.
The budget proposal must include the standard Cover Page form, General Form, Target Form, Budget Form, a one-page justification of the budget, a funding status page listing current and pending support for the PI, and Accepted Target Form(s). The Cover Page, General Form, and Accepted Target Form(s) must be submitted electronically through RPS, as well as submitted in hard copy. (No other forms are submitted electronically, e.g., the budget form is not electronically submitted.) In addition, for any subgrants the hardcopy submission will require a signed General Form, budget justification, and budget form from the secondary institution and Co-I. The Cover Page, General Form, and Target Form are created by RPS, however, LaTeX, PS, and PDF files containing them are available.
(1) Cover Page: The Cover Page is generated through the RPS system, the use of which, including the electronic submission, is mandatory. The proposal number provided must be included on all pages. For proposals from Lead Co-Is of foreign PI proposals, the foreign PI must be listed. The title and abstract should be the same as for the original scientific proposal. It should be limited to 800 characters, including spaces between words, with no embedded commands, i.e., flat ASCII only. Abstracts that exceed this length will be truncated automatically at 800 characters when entered into the data base. Abstracts and target lists will be made available on publicly accessible data bases. The NASA HQ cover pages generated during your Stage 1 proposal submission may be used in addition. Aside from this: No other cover page should be used for the first page of the proposal. Any institutional cover pages may be included at the end of the proposal. Proposals which violate this rule will be subject to rejection.
(2) General Form: The General Form is generated through the RPS system, the use of which, including the electronic submission, is mandatory. Both institutional endorsement and PI (or Lead Co-I) signatures are required for the hard-copy submission. Additional General Forms with signatures are required for Co-Is from institutions other than that of the PI/Lead Co-I, and for which funding is being requested as a subgrant. The additional General Forms for Co-Is at separate institutions (from that of the PI) should 1) list the Co-I's name at the top in the PI space, 2) repeat all of the other information on the form not related to the institution (proposal number, title, and Co-I list), and 3) include the institutional endorsement information and signatures of the Co-I institution and signature of the Co-I. Only the General Form for the PI or Lead Co-I should be submitted electronically. New for this budget AO is the requirement to provide the 9-digit zip code and Congressional District of the institution. Note that the institutional-endorsement signature on the General Form also doubles as the institutional certification for 1) Lobbying, 2) Debarment/Suspension, and 3) Civil Rights. For reference, the text for these certifications can be found below.
3) Budget Form: Proposers must use the budget form available via the Web as LaTex, PDF, or PS. The LaTex file has been annotated to ease the process of data entry. In addition to the mandatory standard form, proposers may include a cost section prepared according to the guidelines of the institution submitting the proposal. For any Co-Investigator for which funding is being requested as a subgrant, and who is located at a different institution from the PI, a separate budget form using the standard form is also required.
The budget form(s) should contain:
5) Current and Pending Support: A complete list of awarded and pending research funding support from NASA or other sources for the Principal Investigator, and all Co-Investigators requesting support. The information needed includes: Agency, Grant/Contract Number, Title, Amount, Starting and Ending Dates, and Level of Effort (percent). A Current and Pending Support form is available as an annotated LaTex file, a PDF file, and a PS file.
6) Target Form: The Target Form is generated through the RPS system, the use of which, including the electronic submission, is mandatory. This list must contain only the approved targets.
2.2. Page Restrictions and Quantity
Reviewers will consider only those pages in each proposal section that do not exceed the page limits specified below. Please assemble the budget proposal in the following order.
Budget Proposal Contents and Page Order
To conserve paper, proposals should be printed double-sided. Ten (10) hard copies of the budget proposal are due at the following address on Tuesday, 15 April 2003 by 4:30 PM EST. The electronic submission of the Cover Page, General Form, and Accepted Target Form is also due on 15 April 2003 by 4:30 PM EST.
RXTE Guest Observer Program
2.3. Type RestrictionsBecause of the large number of proposals anticipated in response to this request for budgets, strict page limits will be enforced. Type should not be smaller than 10 point, and spacing between lines should not be less than 10 points. Margins should be of a reasonable width.
2.4. Technical Information ResourceTechnical and budget questions concerning this process may be addressed to Dr. Patricia Boyd, RXTE GOF Manager, at:
Dr. Patricia Boyd RXTE Guest Observer Facility Code 660.1 NASA/Goddard Space Flight Center Greenbelt, MD 20771 USA Tel: 301 286 2550 Fax: 301 286 0708 E-mail: email@example.com
Programmatic information can be obtained from Dr. Louis Kaluzienski at:
Dr. Louis Kaluzienski Astronomy and Physics Division Code SZ Office of Space Science National Aeronautics and Space Administration Washington, DC 20546-0001 USA Tel: 202 358 0365 Fax: 202 358 3096 Email: firstname.lastname@example.org
2.5. Electronic Forms SubmissionAs noted above, all proposers must electronically submit their Cover Page, General Form (PI or Lead Co-I General Form only), and Accepted Target Form(s) (no other forms are electronically submitted). Proposers who do not have access to electronic communications must contact Dr. Boyd at the above address no later than two weeks before the submission deadline. Electronic submission facilitates efficient proposal processing and reduces the likelihood of the introduction of transcription errors into the proposal databases. For electronic forms submission, the RXTE GOF has made available Remote Proposal Software (RPS, at http://heasarc.gsfc.nasa.gov/RPS/).
3. PROPOSAL EVALUATION AND IMPLEMENTATION
3.1. Evaluation CriteriaAs noted above, the amount of support for a given investigation will depend on a number of various considerations. These include:
3.2. Proposal EvaluationRXTE budget proposals will evaluated by a Peer Review panel selected by NASA and supported by the NASA/GSFC RXTE GOF.
4. SCHEDULEThe current schedule for the review of the budget proposals is listed below. Note, however, that the dates of events are subject to change.
Provision of funds to individual GOs will likely occur near the time which the associated observation is scheduled to be performed. Investigations associated with TOO targets and/or targets conditional upon coordinated observations will receive funding only if and after the observations have been performed (budgets for TOO proposals must be submitted at the same time as those for non-TOO proposals).
In accordance with U.S. Code, there are currently two certifications required from every institution, except from U.S. Federal institutions, submitting a proposal, namely,
* Debarment, Suspension, and Other Responsibility Matters;
* Lobbying for Contracts, Grants, Loans and Cooperative Agreements (required only for proposals seeking a cumulative total in excess of $100,000)
In addition, one assurance is currently required,
* Assurance of Compliance with NASA Regulations Pursuant to Nondiscrimination in Federally Assisted Programs.
In order to reduce paper work required by the submitting institutions, language is now included on the printout of the proposal Cover Page that confirms that these requirements are met by the proposing institution once that printed item is signed by the Authorizing Institutional Representative and submitted with the proposal. Therefore, these Certifications and Assurances are included in this Guidebook only for reference and information; they should not be submitted with the proposal.
Certification Regarding Debarment, Suspension, and
Other Responsibility Matters
This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 14 CFR Part 1265, Participant?s responsibilities. The regulations were published as Part VII of the May 26, 1988 Federal Register (pages 19160-19211).
(1) The prospective primary participant certifies to the best of its knowledge and belief, that it and its principals:
(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.
Certification Regarding Lobbying
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 section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000, and not more than $100,000 for each such failure.
ASSURANCE OF COMPLIANCE WITH THE NATIONAL AERONAUTICS AND SPACE ADMINISTRATION REGULATIONS PURSUANT TO NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS
(Institution, corporation, firm, or other organization on whose behalf this assurance is signed, hereinafter called "Applicant")
HEREBY AGREES THAT it will comply with Title VI of the Civil Rights Act of 1964 (P.L. 88-352), Title IX of the Education Amendments of 1972 (20U.S.C. 1680 et seq.), Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), and the Age Discrimination Act of 1975 (42 U.S.C. 16101 et seq.) and all requirements imposed by or pursuant to the Regulation of the National Aeronautics and Space Administration (14 CFR Part 1250)(hereinafter called "NASA") issued pursuant to these laws, to the end that in accordance with these laws and regulations, no person in the United States shall, on the basis of race, color, national origin, sex, handicapped condition, or age be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity for which the Applicant receives federal financial assistance from NASA; and HEREBY GIVES ASSURANCE THAT it will immediately take any measure necessary to effectuate this agreement.
If any real property or structure thereon is provided or improved with the aid of federal financial assistance extended to the Applicant by NASA, this assurance shall obligate the Applicant, or in the case of any transfer of which federal financial assistance is extended or for another purpose involving the provision of similar services or benefits. If any personal property is so provided, this assurance shall obligate the Applicant for the period during which it retains ownership or possession of the property. In all other cases, this assurance shall obligate the Applicant for the period during which the federal financial assistance is extended to it by NASA.
THIS ASSURANCE is given in consideration of and for the purpose of obtaining any and all federal grants, loans, contract, property, discounts or other federal financial assistance extended after the date hereof to the Applicant by NASA, including installation payments after such date on account of applications for federal financial assistance which were approved before such date. The Applicant recognizes and agrees that such federal financial assistance will be extended in reliance on the representations and agreements made in this assurance, and that the United States shall have the right to seek judicial enforcement of this assurance. This assurance is binding on the Applicant, its successors, transferees, and assignees, and the person or persons whose signatures appear below are authorized to sign on behalf of the Applicant.
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