INFORMATION REGARDING BUDGET PROPOSAL SUBMISSION, EVALUATION, SELECTION, AND IMPLEMENTATION
1. PROPOSAL PREPARATION AND SUBMISSION
1.1. General Information
The current Announcement covers US XMM-Newton Guest Observer (GO) scientific proposals selected by the ESA peer review at the A and B levels for observation during AO-18 operations. The period of AO-18 observations is expected to cover a 12 month interval beginning around 2019 May.In the proposal review carried out by ESA, the scientific and technical merits of the proposed investigations were judged and time appropriately allocated. The budget proposal process to be carried out by NASA will be responsible for allocating support for the investigations of 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, the number of targets and the time allocated to the targets, the priority of the targets, 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 commencing nominally at the start of the FY20 fiscal year (1 October 2019), with possible delays as long as six months depending on when the funds are provided to us. No-cost extensions will be considered only in extremely well justified cases. Note: the funds associated with this AO are intended for use in a single year - and in particular, second no-cost extensions are very unlikely to be granted. PIs are welcome to apply to future ADAP rounds for additional funding after the data are no longer proprietary.
Note: All communications with the NASA/GSFC XMM-Newton GOF regarding a specific XMM-Newton proposal must include the ESA-supplied identification number for that proposal (the six-digit proposal number currently including a leading zero).
1.2. Proposal Priority and Budget Submission/Funding
Successful science proposal targets are prioritized in three categories. Category A and B targets are guaranteed to be observed, while category C targets are used as schedule fillers if time allows or scheduling constraints require. Only XMM AO-18 proposals with US PIs and category A or B targets (only those PIs who have been explicitly notified of their eligibility) may request funding under this AO.All explicitly notified PIs (i.e., those who have received the e-mail call for budget proposals and fair-share estimates) for AO-18 proposals must submit budgets in response to this budget AO by the deadline specified below for consideration. For those programs with both A and B targets the funding level will be determined by both the A and B targets.
1.3. Eligibility
Participation in this budget process is limited to Principal Investigators (PIs) whose primary affiliation is with a US institution and have science target(s) with an A or B ranking. PIs with joint US and foreign institution affiliations must declare the fraction of time to be spent at the US institution over the course of the budget year.1.4. Who May Propose
Only one budget proposal will be allowed for each accepted scientific proposal meeting the above criteria. The PI (or Co-I designated by the PI) should submit the budget proposal.Note: In circumstances where institutional rules do not allow a successful science PI to be the budget PI (e.g., for Post-Docs or graduate students at many institutions) the science PI may designate a Co-I to act as the budget PI. A signed letter to that effect explaining the reason must be uploaded in NSPIRES.
1.5. Subgrants
The use of subgrants to fund co-investigators at secondary institutions is not allowed. Funds to Co-Is at secondary institutions must be routed through the primary institution.1.6. Useful WWW Sites/Pages
- Generic version of the NASA XMM-Newton AO-18 Budget Solicitation Letter from Dr. Stefan Immler
- The Budget Proposal ABC Guide
- The XMM-Newton GOF at NASA/GSFC
- The XMM-Newton Mission Description
- The Budget Proposal Supplement (FAQ)
- Documents and Forms
- The NASA XMM-Newton AO-18 "Dear Colleague" Letter (from the science proposal AO) from Dr. Stefan Immler
- The NASA "Guidebook for Proposers"
2. PROPOSAL FORMAT AND CONTENT
2.1. Proposal Content
All proposals must be typewritten in English.The budget proposal must include:
- A one to two page justification of the budget (note that a more complete description of requested travel is now required, even if the travel destination is subject to change. Also travel requests in excess of $5,000 must be very well justified and a proposal may be returned for correction if the travel is deemed excessive.)
- The 4-5 page scientific justification from the ESA observation AO
- A funding status page listing current and pending support for the PI (a standard form is available in LaTeX, PS, and PDF formats), and
- a short CV (one to two pages).
Detailed Descriptions/Instructions
Title and Abstract: The title and abstract should be the same as for the original scientific proposal, and is entered into the "proposal summary" field.
Budget Justification and Summary: A brief, one to two page budget justification must be submitted providing the rationale for the various direct cost items and amounts requested. This justification should allow the budget review panel to assess the degree of the necessity of each budget item. The justification should include a breakdown of the responsibility of the various investigators who are requesting funding. The budgets must explicitly list any funds requested for Co-Is, and justify their support.
PIs with joint US and foreign affiliations must list the fraction of time spent in the US as well as the fraction of support provided by US institutions. The expected duration of the US appointment should also be listed. Note that GO funds cannot be used to pay for the commute between the foreign and US institution.
The Budget Justification must now also include a more complete description
of each travel request, even if subject to change (e.g., 2020 Summer
AAS meeting, Madison, WI, Airfare $XXX, Hotel $XXX, Registration $XXX,
Ground Transportation $XXX, Incidentals $XXX, where the XXX's
are replaced with appropriate numbers). Describe the purpose of the
proposed travel in relation to the grant and provide the basis of estimate.
In general, only one trip per team member to a professional society
meeting will be supported.
For equipment and other high-cost supplies, describe and explain the need
for items costing more than $1,000. Please provide the basis for the estimated costs.
Scientific Justification:
The four or five page scientific justification submitted in the science
proposal process.
Current and Pending Support:
A complete list of awarded and pending research funding support from NASA
or other sources for the Principal Investigator. 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,
an editable PDF file,
and a PS file.
Assurances:
Signed ACORN
(DOCX Form)
and China (DOCX Form)
assurances must be included in the submission.
Vitae: CV of the budget PI. The CVs shall be no
more than two pages and shall include
a publication list with the most recent and/or important publications.
Institutional Budgets: If your institution
requires it, a short institutional budget form may be included with your submission.
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.
Budget Proposal Contents and Page Order
SECTION | PAGE LIMIT | COMMENTS |
---|---|---|
Title/Abstract | REQUIRED. Entered in NSPIRES | |
Budget Justification | REQUIRED. | |
Scientific Justification | REQUIRED. The 4 or 5 page Scientific Justification from the observation proposal. For ToO budget requests, a one page scientific justification should be submitted. | |
Current and Pending Funding | REQUIRED. A standard form is available, but you may use a different form | |
Vitae | REQUIRED for the budget PI. | |
Assurance Form 1 | REQUIRED. (ACORN and Taxes) | |
Assurance Form 2 | REQUIRED. (China) | |
Institutional Budget | A short institutional budget for this particular grant may be uploaded if required by the institution. |
2.3. Proposal Submission
2.5. Technical Information Resources
Technical and budget questions concerning the XMM-Newton mission and requests for assistance in proposal submission may be addressed to Dr. Kim Weaver, at:Dr. Kim WeaverProgrammatic information can be obtained from Dr. Stefan Immler at:
XMM-Newton Guest Observer Facility
Code 662
NASA/Goddard Space Flight Center
Greenbelt, MD 20771
USA
Tel: (301) 286-4256
E-mail: xmmhelp@athena.gsfc.nasa.gov
Dr. Stefan Immler
Science Mission Directorate
NASA Headquarters
Washington, DC 20546
Tel: (202) 358-0615
E-mail: stefan.m.immler@nasa.gov
3. PROPOSAL EVALUATION AND IMPLEMENTATION
3.1. Evaluation Criteria
As noted above, the amount of support for a given investigation will depend on a number of various considerations. These include:- The complexity of the analysis - this includes both the type of analysis
and the XMM-Newton instruments to be used in the analysis.
- The number of targets and the time allocated to each target.
- The ranking of the proposal as indicated by the priority of the targets.
- The US or foreign status (as indicated by the primary institutional
affiliation of the PI) of the proposal.
- Other sources of funding relevant to this request.
- The available funding for this program.
3.2. Proposal Evaluation
US XMM-Newton budget proposals will evaluated by a Peer Review panel selected by NASA and supported by the NASA/GSFC XMM-Newton GOF.4. SCHEDULE
The current schedule for the review of the budget proposals is listed below. Note, however, that the dates of events are subject to change.
DATE | EVENT |
---|---|
2019 July 12 | Release of this Announcement |
2019 September 13, 4:30 PM EDT | Budget Proposals Due |
2019 late Fall | Notification of Results |
As soon as possible after this | Revised Budgets Due |
Provision of funds to individual GOs will in general occur near the time which the first associated observation is scheduled to be performed, but no earlier than the start of FY20. The funding start is also dependent on the provision of the funds by NASA HQ to the GOF with possible delays of up to six months past the start of FY20.
INSTITUTIONAL CERTIFICATIONS
In accordance with U.S. Code, there are currently two certifications and one formal assurance required from every institution, except from U.S. Federal institutions, submitting a proposal. Please see the NASA Office of Space Science "Guidebook for Proposers" Section E. The certifications are:
* 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)
Thee assurance is:
* 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:
- Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency;
- 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 statues or commission of embezzlement theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;
- 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
- Have not within 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.
Certification Regarding Lobbying
- 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, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
- If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.
- The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) 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 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
The Organization, corporation, firm, or other organization on whose behalf this
assurance is made, hereinafter called "Applicant,"
HEREBY acknowledges and agrees that it must comply (and require any subgrantees,
contractors, successors, transferees, and assignees to comply) with applicable
provisions of national laws and policies prohibiting discrimination, including
but not limited to:
1. Title VI of the Civil Rights Act of 1964, as amended, which prohibits recipients
of federal financial assistance from discriminating on the basis of race, color, or
national origin (42 U.S.C. 2000d et seq.), as implemented by NASA Title VI
regulations, 14 C.F.R. Part 1250.
As clarified by Executive Order 13166, Improving Access to Services for Persons
with Limited English Proficiency, and resulting agency guidance, national origin
discrimination includes discrimination on the basis of limited English
proficiency (LEP). To ensure compliance with Title VI, the Applicant must take
reasonable steps to ensure that LEP persons have meaningful access to its
programs in accordance with NASA Title VI LEP Guidance to Grant Recipients
(68 Fed. Reg. 70039). Meaningful access may entail providing language assistance
services, including oral and written translation, where necessary. The Applicant
is encouraged to consider the need for language services for LEP persons served
or encountered both in developing budgets and in conducting programs and
activities. Assistance and information regarding LEP obligations may be found at
http://www.lep.gov.
2. Title IX of the Education Amendments of 1972, as amended, which prohibits
discrimination on the basis of sex in education programs or activities
(20 U.S.C. 1681 et seq.) as implemented by NASA Title IX regulations,
14 C.F.R. Part 1253. If the Applicant is an educational institution:
a. The Applicant is required to designate at least one employee to serve as its
Title IX coordinator (14 C.F.R. § 1253.135(a)).
b. The Applicant is required to notify all of its program beneficiaries of the
name, office, address, and telephone number of the employee(s) designated to
serve as the Title IX coordinators. (14 C.F.R. §1253.135(a)).
c. The Applicant is required to publish internal grievance procedures to promptly
and equitably resolve complaints alleging illegal discrimination in its programs
or activities (14 C.F.R. §1253.135(b).
d. The Applicant is required to take specific steps to regularly and consistently
notify program beneficiaries that The Applicant does not discriminate in the
operation of its programs and activities. (14 C.F.R. §1253.140).
3. Section 504 of the Rehabilitation Act of 1973, as amended, which prohibits The
Applicant from discriminating on the basis of disability (29 U.S.C. 794) as
implemented by NASA Section 504 regulations, 14 C.F.R. Part 1251.
a. The Applicant is required to designate at least one employee to serve as its
Section 504 coordinator (14 C.F.R. §1251.106(a)).
b. The Applicant is required to notify all its program beneficiaries of the name,
office, address, and telephone number of the employee(s) designated to serve as
the Section 504 coordinator (14 C.F.R. §1251.106(a)).
c. The Applicant is required to publish internal grievance procedures to promptly
and equitably resolve complaints alleging illegal discrimination in its programs
or activities (14 C.F.R. §1251.106(b)).
d. The Applicant is required to take specific steps to regularly and consistently
notify program beneficiaries that the Applicant does not discriminate in the
operation of its programs and activities. (14 C.F.R. §1251.107).
4. The Age Discrimination Act of 1975, as amended, which prohibits the Applicant
from discriminating on the basis of age (42 U.S.C. 6101 et seq.) as implemented
by NASA Age Discrimination Act regulations, 14 C.F.R. Part 1252.
The Applicant also acknowledges and agrees that it must cooperate with any
compliance review or complaint investigation conducted by NASA and comply (and
require any subgrantees, contractors, successors, transferees, and assignees to
comply) with applicable provisions governing NASA access to records, accounts,
documents, information, facilities, and staff. The Applicant must keep such
records and submit to the responsible NASA official or designee timely, complete,
and accurate compliance reports at such times, and in such form and containing
such information, as the responsible NASA official or his designee may determine
to be necessary to ascertain whether the Applicant has complied or is complying
with relevant obligations and must immediately take any measure determined
necessary to effectuate this agreement. The Applicant must comply with all other
reporting, data collection, and evaluation requirements, as prescribed by law or
detailed in program guidance.
THIS ASSURANCE is given in consideration of and for the purpose of obtaining any
and all federal grants, loans, contracts, 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.”
Under penalty of perjury, the undersigned officials certify that they have read
and understand their obligations as herein described, that the information
submitted in conjunction with this document is accurate and complete, and that
the recipient is in compliance with the nondiscrimination requirements set out
above.
If you have any questions concerning XMM-Newton
send e-mail to
xmmhelp@lists.nasa.gov