Title : NSF91140- Academic Research Infrastructure Program Type : Program Guideline NSF Org: OD / STI Date : January 10, 1992 File : nsf91140 ****************************************************************************** This File has been updated 10/31/96 to reflect the proper address of the: National Science Foundation 4201 Wilson Boulevard Arlington, VA 22230 For more information call: (703)306-1234 ****************************************************************************** Please note: This ASCII version of NSF 91-140 does not contain the the application forms (Attachments 2-5). For a complete, printed, copy of this publication, call the NSF Forms and Publications Unit, at (202) 357-7861, or send E-Mail to "pubs@nsf.gov" (Internet) or "pubs@nsf" (BITNET). Be sure to include the name and number of the publication, and your complete mailing address. Academic Research Infrastructure Program BACKGROUND The Academic Research Infrastructure Program is designed to improve the condition of research equipment and facilities in our Nations academic institutions. This initiative, which broadens the Foundation's recent Academic Research Facilities Modernization Program to include major research instrumentation, will be implemented through competitive grants for: o Acquisition or development of major research instrumentation, and/or o Repair, renovation, or in exceptional cases, replacement of obsolete science and engineering research facilities. This initiative responds to needs identified by the academic science and engineering community for research instrumentation that is not routinely available through other NSF programs and for improving the Nation's research and research training facilities. Proposals submitted in response to this program solicitation will be competing for $33 million in FY 1992. The proposal success rate for the previous Academic Research Facilities Modernization Program competition was approximately 20%. GOALS The goals of the Academic Research Infrastructure Program are to: o Support the acquisition, through purchase or development, of major state-of-the-art research instrumentation; o Improve accessibility to and greater utilization of modern research instrumentation by scientists, engineers, and graduate and undergraduate students; o Promote the modernization of science and engineering research laboratories and related facilities at institutions of higher education (including graduate and undergraduate institutions), independent nonprofit research institutions, research museums, and consortia thereof; and o Assist graduate and undergraduate academic institutions, including those that historically have received limited Federal research and development funds, to improve their academic science and engineering infrastructure. SCOPE The purpose of this program is to improve the Nation's research infrastructure through focussed investment in the acquisition or development of major research instrumentation and revitalization of facilities used for research and research training. The Program will assist in the acquisition or development and maintenance and technical support of major research instrumentation that is not usually available through other NSF programs. Awards for instrumentation will range from $100,000 to $2 million--50% of the total cost ($200,000 to $4 million) of instrumentation. The Program will provide support for instrumentation used in research and research training in those fields of science and engineering normally supported by NSF. The Program also encompasses repair or renovation, or, in exceptional cases, replacement of scientific or engineering research and research training facilities. Awards for facilities modernization will range from $100,000 to $2 million--50% of the total cost ($200,000 to $4 million). It is not the intent of the program to fund construction or renovation of: (1) new facilities or the expansion of existing facil- ities; (2) facilities not devoted to scientific or engineering research; (3) facilities, such as research vessels, airplanes, and supercomputer centers. ELIGIBLE INSTITUTIONS Proposals may be submitted by institutions of higher education, independent nonprofit research institutions, research museums, and legally incorporated consortia thereof. A consortia may submit a proposal, through a university, for instrumentation to be used at a FFRDC (Federally Funded Research and Development Center). ELIGIBLE FIELDS OF SCIENCE AND ENGINEERING Proposals will be considered for research infrastructure (instrumentation and/or facilities) used for any field of science, mathematics and engineering ordinarily supported by NSF. The Program will not provide support for instrumentation to be used in the conduct of disease-oriented research, including the etiology, diagnosis or treatment of physical or mental disease, abnormality or malfunction in human beings or animals, or the design and testing of drugs for treatment of such conditions since these issues fall under the purview of the National Institutes of Health. Moreover, it is not the intent of the program to fund the operation and maintenance of facilities. The research activities being conducted in these facilities or utilizing this instrumentation need not be supported by NSF or the Federal Government. COST SHARING/MATCHING REQUIREMENTS Matching or cost-sharing at the level of at least 50% of total eligible project costs is required. The matching or cost sharing may be from any private or non-Federal public source and may be in cash or in kind, fairly evaluated (see OMB Circular A-110, Attachment E). Eligible cost sharing may include cost of acquisition or renovation of space to house the instrumentation, cost of instrumentation installation, and cost of personnel and supplies directly associated with operation and maintenance of the research instrumentation (up to 10% of the total instrument cost per year for the duration of the award, but not to exceed five years). Manufacturers' discounts do not constitute eligible cost sharing. ELIGIBLE PROJECT COSTS Eligible project costs are those total project costs properly and reasonably allocable to the research facility or research instrumentation portion of the project based on the percentage of time or space or combination thereof that the instrumentation or facility is used for research and research training. For research instrumentation eligible project costs may include installation, operation, maintenance, calibration, and other appropriate technical support. Personnel and associated indirect costs, other than for operation and maintenance of research instrumentation, are eligible project costs only for instrumentation development activities. For facilities modernization, they may include: architecture and engineering (A&E) services, surveys, testing, inspections, relocation, demolition, removal, construction, fixed equipment, and related construction management costs. Project costs directly related to this proposal incurred after March 3, 1992, are considered eligible project costs. Proposal Format and Requirements Proposals must be either for: (a) the acquisition or development of new research instrumentation. Proposals may be for a single instrument or for multiple instruments that are used to address a common research problem; (b) the repair, renovation, or replacement of one facility (single or multidisciplinary) or for the repair, renovation, or replacement of facilities within one discipline; or (c) an appropriate combination of facilities and instrumentation activities as described above. An institution may only submit two proposals to this program. However, the institution may, in addition, be included as a member of a consortia that is submitting a separate proposal. General information about NSF's policies and procedures on proposals, declinations, and awards is contained in Grants for Research and Education in Science and Engineering (NSF 90-77). All proposals should be printed in type no smaller than 12 pitch on standard size paper, stapled in the upper left-hand corner but otherwise unbound, with pages numbered at the bottom. The original signed copy should be printed only on one side of each sheet. Submission Deadline and Timing: Proposals are due March 3, 1992. Structure and Content: Proposals should be self-contained and structured as follows: 1. Cover Page; (NSF 90-77, Appendix IV). The project title should convey the primary purpose of the proposal, e.g., "Repair of ____," "Renovation of ____," "Replacement of ____," "Acquisition of ____," or "Development of ____." The requested amount shown on the cover page should be the amount requested from NSF, not the total eligible project costs. 2. Information; about Principal Investigators/Project Directors (NSF 90-77, Appendix III). A single copy of this form (NSF Form 1225) should be included only in the copy of the proposal bearing the original signatures. 3. Paginated Table of Contents. 4. Supplemental Information Sheet; (Attachment 2). Complete all items. 5. Project Summary; (Maximum length, 1 page). Describe the proposed major research instrumentation and/or the proposed repair, renovation, or replacement, the type of research/research training conducted in the facility, and the activity that would result if the project is funded by NSF. 6. Proposal Narrative. The following should be clearly and concisely addressed: a. Research Activities (Maximum length, 10 pages). Describe the research activities and projects to be conducted in the research facility, or with the desired instrumentation, and sources of support, if any. In narrative or tabular form, list by number and type (e.g., senior personnel, postdocs, graduate students, undergraduate students) the personnel using the facility, or instrumentation, for research and research training on a regular basis. Identify the senior personnel using the facility or research instrumentation for research/research training, and for each provide a brief (one-page per person) biographical sketch and list up to five recent publications most relevant to the research being conducted. b. Description of the Research Facility/ Instrumentation and Needs (Maximum length, 2 pages). 1. Description of Research Facility and Needs. For facilities requests, identify and describe the research facility including its nature, location, size, configuration, purpose, age, condition, and date of last renovation, if any. Discuss the adequacy, limitations, and constraints of the facility and the relevant impact of these conditions in research/research training activities in that facility. Indicate what research and research training that is not now feasible in the facility would be enabled by the proposed infrastructure project. Indicate the percentage of time or space or combination thereof the facility is used for research and research training and how the percentage was determined. (Provide, in Appendix II, up to three photographs (8" X 10" glossy) that best illustrate typical current conditions of the facility). 2. Description of Instrumentation and Needs. Provide a description of the requested instrumentation, including manufacturer and model number. The description should be comprehensive enough to allow reviewers to evaluate the extent to which the equipment is essential and appropriate. For development of new instrumentation, present the design in sufficient detail so that its technical capabilities can be evaluated. c. Impact of Infrastructure Projects (Maximum length, 2 pages). Describe how the upgraded facility or instrumentation will contribute to meeting the research and educational goals of the institution or consortia. Indicate how the improved infrastructure will attract researchers and students, increase the number of students, particularly underrepresented groups and women, entering the pipeline leading to advanced degrees in science and engineering, and improve the quality of their research training. Describe steps to be taken to assure that the facility is fully accessible to disabled persons. d. Project and Management Plans (Maximum length, 1 page). 1. Facilities Modernization Activities: Describe the management plan for the conduct of the project. Identify the project manager and provide a brief (one page) vitae including relevant experience. Indicate percentages of time to be devoted to the project. Specify the mechanisms for input to the project by end users of the facility and by the institution's physical plant personnel as appropriate. Provide a timeline for the scheduled completion of the project (attachment 3), and summarize requisite logistics and phasing, as appropriate. Explain who will do the work, e.g., in-house personnel or competitive contracting. One set of schematic drawings (8.5" x 11" ONLY) showing existing conditions as well as work to be done should be provided in Appendix III. Indicate whether more advanced drawings and specifications are available. Describe plans for the maintenance, operation, and technical support of the modernized facility, including annual budget projections, for three years. 2. Instrumentation Acquisition or Development: Identify the individual responsible for the instrumentation and provide a brief (one-page) vitae, including relevant experience, for this person. Outline plans for instrumentation time allocation procedures, if appropriate. Describe user fees if they are to be assessed. Provide plans for the maintenance, operation, and technical support of the instrumentation, and for bringing in new researchers if appropriate. 7. Budget and Funding; Provide a budget of total eligible project costs and the amount that NSF is being asked to fund. Use NSF 90-77, Appendix V for research instrumentation requests and Attachment 5 for facilities activities. For combined instrumentation and facilities requests, enter the total eligible project costs from Attachment 5 on line G-6 of NSF 90-77, Appendix V. On an attached sheet, explain the basis for the cost estimates. Also specify the expected sources and estimated amounts of cost-shared or matching funds (e.g., state appropriations, endowment, debt financing); the plans for obtaining matching funds; and when cost sharing or matching will be available. NSF has an Equipment Donation and Discount activity that has agreements with a number of equipment manufacturers to provide special discounts to NSF grantees that may be better than discounts available through other channels. For information, call (202) 653-5202 or contact via electronic mail: rschoen@nsf (Bitnet) or rschoen@nsf.gov (Internet). 8. Previous Federal Awards for Facilities. Identify by agency, purpose, date of award, and amount any Federal awards received for the repair, renovation, construction, or replacement of academic facilities in the previous five years. 9. Current and Pending Support; (NSF 90-77, Appendix VII). Use this format (NSF Form 1239) to summarize current and pending support for each major user of the instrumentation and/or facility identified in 6a, above. 10. Appendixes; For proposals involving only instrumentation, each copy must contain Appendix I. For proposals involving facilities, each copy must contain Appendixes I, II, and III. Appendix I. The collected one-page biographical descriptions of the senior personnel who are major users of the relevant research instrumentation and/or facility, listing no more than five recent publications most relevant to the research and research training using the requested instrumentation or conducted in the facility (see 6a and 6d above). Do NOT send copies of the publications. Where the number of senior personnel using the facility and/or instrumentation is large, limit the length and number of biographical sketches. Appendix II. No more than three 8"x 10" photographs that best illustrate typical current conditions of the facility (see 6b, above). These photographs should be representative of typical current conditions; it is recognized that the entire facility may not be depicted in three photographs. Appendix III. One set of schematic drawings showing existing conditions and work to be done (see 6d, above). These may be preliminary line drawings showing appropriate detail of existing conditions and proposed work. Drawings must be an integral part of the proposal package, need not be extensive, and should be on 8.5"x 11" pages. NOTE: NO OTHER APPENDIX MATERIAL IS PERMITTED. Where To Submit: Submit nineteen (19) copies of the proposal, one of which bears the original signatures of the Project Director and Authorized Institutional Representative and includes the requisite single copy of NSF Form 1225, to: Proposal Processing Unit National Science Foundation 1800 G Street, N.W., Room 223 Washington, D.C. 20550 Attn: ARI Under separate cover, submit one additional copy of the proposal directly to: Office of Science and Technology Infrastructure Academic Research Infrastructure National Science Foundation 1800 G Street, N.W., Room 533 Washington, DC 20550 REVIEW AND SELECTION; For the purposes of competition, review, evaluation, and final rankings, facilities proposals will be separated into three different groups based on the average amount of NSF funds received by the proposing organization in the three fiscal years preceding issuance of this Program Announcement. Group I consists of those institutions that have received an average of $3 million or more; Group II consists of those institutions that have received an average of less than $3 million but equal to or greater than $400,000; Group III consists of those institutions that have received an average of less than $400,000 and includes those institutions that have not received R&D funds from NSF or the other Federal agencies. Attachment I indicates those institutions in Groups I and II. Institutions not identified in Groups I or II may assume they are in Group III, unless otherwise advised by NSF. Inclusion on the listing does not necessarily mean an institution is eligible under this program; see the section (page 1) on "Eligible Institutions." A percentage range of program funds for facilities modernization will be targeted for each group. Group I institutions are expected to receive from 40 to 60 percent of available program funds. Group II and Group III institutions are each expected to receive from 20 to 30 percent of available funds. Proposals will be evaluated on the basis of merit review. Reviews may include ad hoc mail reviews, panel reviews, and site visits, as appropriate. External reviewers will be broadly representative of the various types of eligible organizations. Evaluation Criteria: 1. Research Merit. Consideration of the quality of existing research and research training activities. Assessment of the impact that the requested facility modernization project and/or requested research instrumentation acquisition or development will have on the overall research and research training activities. In addition for research instrumentation acquisition or development requests, the qualifications of the investigators who will use or develop the instrumentation are important. 2. Infrastructure Need. The adequacy and appropriateness of the existing facility and/or research instrumentation for current and expected research and research training activities. Demonstrated need for improvement of the instrumentation and/or facility based on analysis of age, condition, and/or capability. 3. Project Impacts. The breadth and immediacy of the contributions of the project toward: a. future research (including research training) needs; b. meeting organizational research and related training needs; c. improving the institution's academic scientific and engineering infrastructure and broadening the science and engineering base; and d. improving the quality, distribution, or effectiveness of the Nation's scientific and engineering research (including research training) capabilities. 4. Plans and Funding. a. For Research Instrumentation: The institutional plan for maintenance and operation of the requested instrument. The adequacy of the major users research support to appropriately utilize the instrumentation. b. For Facilities Modernization: Project and management plans and budget and funding, specifically the qualifications and experience of the project director to plan, lead, coordinate, and manage the project and the timeliness of the activity. The technical soundness of the proposed plans and approach. The reasonableness and appropriateness of the costs and budget, and the institutional management plan for maintenance and operation of the requested facility. Additional Considerations: In addition to the four evaluation criteria stated above, NSF will consider the following factors in making facilities awards under this program: Equitable distribution of funds among institutions of different sizes and geographic locations; The extent to which an institution has received awards for the repair, renovation, construction, or replacement of academic facilities from other Federal funding sources within the 5-year period immediately preceding the application; and A minimum of 12% of the infrastructure funds available under this program shall be awarded to Minority Institutions as defined in this Program Solicitation. AWARDS It is anticipated that award decisions will be announced in the September - October 1992 time frame. NSF awards will be grants that range from $100,000 up to $2 million; none shall exceed $2 million. Awards are not expected to exceed three years in duration, except awards for the development of major research instrumentation, which may be made for up to five years. NSF awards may be made contingent on the awardee obtaining the required matching or cost sharing within a specified time period. However, NSF award funds cannot be expended until required matching or cost-sharing commitments have been met. Awards and supported projects may be subject to certain Federal or other standards, codes, regulations, or requirements. In addition, award conditions may specify special reports, on-site inspections, or other requirements for facilities. INQUIRIES Inquiries about the NSF Academic Research Infrastructure Program should be addressed to: Office of Science and Technology Infrastructure Academic Research Infrastructure National Science Foundation, Room 533 Washington, DC 20550 (202) 357-9808 E-Mail: ari@nsf (BITNET) ari@nsf.gov (INTERNET) DEFINITIONS The following definitions apply to the Academic Research Infrastructure Program and these program guidelines: Institution: A separate legal and fiscal entity, whether at the central or system level, main campus level, or branch campus level, which can receive awards and which is separately and consistently identified at that level by NSF. Institutions of Higher Education: Institutions legally authorized and accredited at the college level by a nationally recognized accrediting agency to offer and which are offering at least a two-year program of college-level studies leading toward a degree. Independent Nonprofit Research Institutions: Independent legal entities, other than institutions of higher education, which are generally recognized as separately incorporated, non-profit, tax exempt organizations, and which conduct research as one of their primary purposes. Research Museums: Independent nonprofit science museums, zoological parks, aquaria, natural history museums, etc., which conduct research as one of their primary purposes. Consortia: Recognized groups consisting exclusively of two or more eligible institutions. For the purposes of evaluation and review, a consortium proposal will be identified with the institution where the facility proposed for renovation and/or the requested research instrumentation is located. Research Facilities: The physical plant in which sponsored or nonsponsored research activities (including research training) take place, including related infrastructure and systems (e.g., HVAC and power systems, toxic waste removal systems), and fixed equipment (e.g., clean rooms, fume hoods). This includes all or parts of buildings in which research activities take place some percentage of the time. Repair: Fixing existing research facilities or otherwise putting them in a usable, adequate and acceptable condition. Renovation: The renewing, restoring, upgrading, updating, or modernizing of existing research facilities. Replacement: Taking the place of an existing research facility which is obsolete, beyond repair or for which renovation is not cost effective. Replacement includes, but is not limited to: razing an existing research facility and constructing one in its place; and relocating or consolidating existing research facilities. Research Training: Training of individuals (including advanced undergraduates and graduate students) in research techniques where such activities utilize the same facilities as research activities. Research training does not include introductory science or engineering instruction, whether in a classroom or instructional laboratory. Minority Institutions: Historically Black colleges and universities defined as "part B institutions" by section 322(2) of the Higher Education Act of 1965 (20 U.S.C. 1061(2)) and other institutions whose enrollments are: (a) more than 50 percent of a combination of any of the following groups: Alaskan Native (Eskimo or Aleut), American Indian, Afro/American Black, Hispanic, or Native Pacific Islander; or (b) 20 percent or more of any one of the above eligible minorities. Disabled Persons: Persons with one or more functional limitations to everyday working and living environments, e.g., vision, hearing, motor/orthopedic, or other life limiting aspects. ATTACHMENT 1 List of Group I and Group II Institutions; GROUP I INSTITUTIONS Arizona State University Boston University Brandeis University Brown University California Institute of Technology Carnegie-Mellon University Case Western Reserve University Children's TV Workshop Colorado State University Columbia University Consortium for Scientific Computing Cornell University CUNY-City College DOSECC, Inc. Duke University Florida State University Georgia Institute of Technology-Main Campus Harvard University Indiana University-Bloomington Iowa State University of Science & Technology Johns Hopkins University Joint Oceanographic Institutions, Inc. Lehigh University Louisiana State University-Main Campus Massachusetts Institute of Technology Metropolitan Pittsburgh Public Broadcasting, Inc. Michigan State University National Academy of Sciences New York University North Carolina State University-Raleigh Northwestern University Ohio State University-Main Campus Oregon State University Pennsylvania State University-University Park Princeton University Purdue University-Main Campus Rensselaer Polytechnic Institute Rice University Rutgers State University of New Jersey SRI International Stanford University SUNY-Albany SUNY-Buffalo SUNY-Stony Brook Texas A&M University-Main Campus University Corporation for Atmospheric Research University of Alaska-Fairbanks University of Arizona University of California-Berkeley University of California-Davis University of California-Irvine University of California-Los Angeles University of California-Riverside University of California-San Diego University of California-Santa Barbara University of California-Santa Cruz University of Chicago University of Colorado University of Connecticut University of Delaware University of Florida University of Georgia University of Hawaii-Manoa University of Houston University of Illinois-Chicago University of Illinois-Urbana University of Iowa University of Maryland-College Park University of Massachusetts-Amherst University of Miami (FL) University of Michigan University of Minnesota University of Nebraska-Lincoln University of North Carolina-Chapel Hill University of Notre Dame University of Oregon University of Pennsylvania University of Pittsburgh University of Rhode Island University of Rochester University of South Carolina-Columbia University of Southern California University of Texas-Austin University of Utah University of Virginia University of Washington University of Wisconsin-Madison University of Wyoming Vanderbilt University Virginia Polytechnic Inst & State University Washington State University Washington University Woods Hole Oceanographic Institute Yale University GROUP II INSTITUTIONS Academy of Natural Sciences of Philadelphia Alabama A&M University American Association for the Advancement of Science American Association of Physics Teachers American Mathematical Society American Statistical Association American University Astrophysical Research Consortium Atlanta University Auburn University-Main Campus Biological Sciences Curriculum Study Group Boston College Brigham Young University-Main Campus California State University, Fullerton California State University, Long Beach California State University, Los Angeles Carnegie Institution of Washington Catholic University of America Center for Advanced Study of Behavioral Science Clark University Clarkson University Clemson University Cold Spring Harbor Laboratory College of William and Mary Colorado School of Mines CUNY-Brooklyn College CUNY-Hunter College Dartmouth College Desert Research Institute Drexel University East Tennessee State University Education Development Center Emory University Field Museum of Natural History Franklin Institute-Bartol Research Foundation Fred Hutchinson Cancer Research Institute George Mason University George Washington University Georgetown University Georgia State University Hampton University Harbor Branch Oceanographic Institute Health Research, Inc. Hope College Howard University Illinois Institute of Technology Illinois State University Institute for Cancer Research Kansas State University of Ag & Applied Science Kent State University-Main Campus Marine Biological Laboratory Marquette University Mathematical Sciences Research Institute Meharry Medical College Miami University-Main Campus (OH) Michigan Technological University Missouri Botanical Garden Montana State University National Bureau of Economic Research, Inc. National Opinion Research Center N E Research Foundation National Science Teachers Association N E Radio Observatory Center New Mexico Institute of Mining & Technology New Mexico State University-Main Campus New York Botanical Garden North Carolina A&T State University North Texas State University Northeastern University Northern Arizona University Northern Illinois University Nova University Ohio University-Main Campus Oklahoma State University Old Dominion University Oregon Graduate Center Path/Prism Polytechnic University Portland State University Rand Corporation Rockefeller University Saint Louis University San Diego State University San Jose State University Scripps Clinic and Research Foundation South Dakota School of Mines Southern Illinois University-Carbondale Southern Methodist University SUNY-Binghamton SUNY-Health Science Center at Syracuse Swarthmore College Syracuse University-Main Campus Technical Education Research Center Temple University Texas Tech University Tufts University Tulane University of Louisiana University of Akron-Main Campus University of Alabama University of Alabama-Birmingham University of Alabama-Huntsville University of Arkansas-Fayetteville University of California-San Francisco University of Central Florida University of Cincinnati-Main Campus University of Denver University of Idaho University of Kansas University of Kentucky University of Maine-Orono University of Maryland-Baltimore University of Maryland-Baltimore County University of Medicine & Dentistry of New Jersey University of Mississippi University of Missouri-Columbia University of Missouri-Rolla University of Missouri-St Louis University of Montana University of Nevada-Reno University of New Hampshire University of New Mexico University of North Carolina-Charlotte University of Oklahoma University of Puerto Rico-Mayaguez University of Puerto Rico-Rio Piedras University of South Florida University of Southern Mississippi University of Tennessee-Knoxville University of Texas-Arlington University of Texas-Dallas University of Texas-El Paso University of Texas-Health Science Center Dallas University of Texas-Health Science Center San Antonio University of Tulsa University of Vermont University of Wisconsin-Milwaukee Utah State University Virginia Commonwealth University Wayne State University Wellesley College Wesleyan University West Virginia University Whitehead Institute for Biomedical Research Worcester Polytechnic Institute Yeshiva University