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**APPENDIX C

PROPOSAL PREFATORY MATERIALSNRA 96-OSS-09SUN-EARTH CONNECTIONSUPPORTING RESEARCH AND TECHNOLOGY,SUBORBITAL, GUEST INVESTIGATOR,AND EDUCATION PROGRAMS**-   Notice of Intent to Propose                               C-2           Proposal cover sheet                                      C-3          Proposal Summary                                          C-4        
-   Instructions for budget preparation                       C-5           Budget summary                                    C-6          Current and Pending Research Support                      C-7        
-   Certification Regarding Debarment, Suspension,    Other Responsibility Matters                         C-8           Certification Regarding Drug-Free Workplace   Requirements                                         C-9          Certification Regarding Lobbying                          C-10        
-   Cover sheet for educational outreach supplement   proposals                                            C-11  C-1    NOTICE OF INTENT TO PROPOSENRA 96-OSS-09SUN-EARTH CONNECTIONSUPPORTING RESEARCH AND TECHNOLOGY,SUBORBITAL, GUEST INVESTIGATOR,AND EDUCATION PROGRAMS  PROGRAM ELEMENT:   (check one)        ¤       INTERBALL Guest Investigator Program        ¤       Ionospheric, Thermospheric, and Mesospheric Physics        ¤       ISTP Guest Investigator Program        ¤       Heliospheric Physics        ¤       Magnetospheric Physics        ¤       MITM Suborbital:                -  Part of Campaign proposal?   YES/NO               (If YES, identify Campaign Scientist and name of Campaign)        ¤       SOHO Guest Investigator Program        ¤       Solar Physics FOR ALL PROGRAM ELEMENTS:         *       Intent to submit an Education Outreach (EO) Supplement?  YES / NO TECHNIQUE / RESEARCH AREA: (e.g., Data Analysis/Solar Corona; Simulation/Magnetic Reconnection;Experiment Concept/Ionosphere; Theory/Auroral Substorms; etc.) TITLE OF INVESTIGATION:  PRINCIPAL INVESTIGATOR:         Name/Title        Mail address        Telephone        E-mail address CO-INVESTIGATOR(S):   Name(s) and Institutional Addresses(s) C-2    PROPOSAL COVER SHEETNRA 96-OSS-09SUN-EARTH CONNECTIONSUPPORTING RESEARCH AND TECHNOLOGY,SUBORBITAL, GUEST INVESTIGATOR,AND EDUCATION PROGRAMS  PROGRAM ELEMENT:  (check one)        ¤       Interball Guest Investigator Program        ¤       Ionospheric, Thermospheric, and Mesospheric Physics        ¤       ISTP Guest Investigator Program        ¤       Heliospheric Physics        ¤       Magnetospheric Physics        ¤       MITM Suborbital:                -  Willing to consider participation in LVD Program? YES/NO                -  Part of Campaign proposal?   YES/NO               (If YES, identify Campaign Scientist and name of Campaign)        ¤       SOHO Guest Investigator Program        ¤       Solar Physics FOR ALL PROGRAM ELEMENTS:         *       Proposal includes an Education Outreach (EO) Supplement?YES/NO TECHNIQUE / RESEARCH AREA: (e.g., Data Analysis/Solar Corona; Simulation/Magnetic Reconnection; etc.) TITLE OF INVESTIGATION:  PRINCIPAL INVESTIGATOR:           Name/Title                                        Institutional address                                        Telephone and E-mail address                                        Signature CO-INVESTIGATOR(S) :              Name(s)                                        Institutional Address(es) INSTITUTIONAL AUTHORIZATION:         Name/Title        Institutional address including telephone        Authorizing Signature/Date BUDGET SUMMARY : 1st Year        2nd Year        3rd Year        Total        *  RESEARCH TASK ($K):  ________        ________        ________ C-3    PROPOSAL SUMMARY  PROGRAM ELEMENT:  TITLE OF INVESTIGATION:  PRINCIPAL INVESTIGATOR / INSTITUTION:  SUMMARY OF PROPOSED INVESTIGATION: Special Instructions:   -   Proposal Summary may be single spaced and should not exceed theremainder of this page   Proposal Summary may serve as the abstract of the proposal, which neednot be repeated as part of the proposal.  Proposal summary should address the following points:
        (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)  Statement of relevance of proposed research to NASA's Space Science        programs.
C-4
INSTRUCTIONS FOR BUDGET PREPARATION
General Instructions for PROPOSAL BUDGET SUMMARY 
1.   Provide a separate Budget Summary sheet for each year of the proposalresearch.2.   Grantee estimated costs should be entered in Column A.  Columns B andC are for NASA use only.  Column C represents the approved grantbudget.3.   Provide in attachments to the proposal the detailed computations ofestimates in each category, along with any narrative explanationrequired to fully explain proposed costs.
Material to be included in budget attachment:
1.      
Direct Labor
 (salaries, wages and fringe benefits).  Enclosuresshould list number and titles of personnel, amount of time devoted to thegrant, and rates of pay.2.  
Other Direct Costs.
    a. Subcontracts - Enclosures should describe the work to be       subcontracted, estimated amount, recipient (if known), and the        reason for subcontracting this effort.    b. Consultants - Identify consultants to be used, why       they are necessary, time to be spent on the project, and rates of        pay.    c. Equipment - List separately and explain the need for items of        equipment exceeding $1,000.  Describe the basis for the estimated        cost.    d. Supplies - Provide general categories of needed supplies, the        method of acquisition, estimated cost, and the basis for the        estimate.    e. Travel - List the proposed trips individually, describe their        purpose in relation to the grant, provide dates and       destinations where known, and explain how the cost for each was        derived.    f. Other - Enter the total of any other direct costs not covered by        2.a through 2.e.  Enclose an itemized list explaining the need for        each item and the basis for the estimate.3.  
Indirect Costs.
  Identify indirect cost rate(s) and base(s) as approved by the cognizant Federal agency, including the effective period of the rate.  If unapproved rates are used, explain why and include acomputational basis for the indirect expense pool and correspondingallocation base for each rate.4.   
Other Applicable Costs.
  Enter the total of any other applicable costsnot covered by instructions 1 through 3.  Enclose an itemized listexplaining the need for each item and the basis for the estimate.5.  
Subtotal
 -- Estimated Costs.  Enter the sum of items 1, 2.a through2.f, 3, and 4.6.  
Less Proposed Cost Sharing
 (if any).  Enter the amount proposed, ifany.  If cost sharing is based on specific cost items, identify each itemand amount in enclosures.7.  
Carryover Funds
 (if any).  Enter the dollar amount of any funds thatare expected to be available for carryover from the prior budget period.8.  
Total Estimated Costs.
  Enter the total after subtracting items 6 and 7from item 5.
C-5
PROPOSAL BUDGET SUMMARY
FROM:   __(starting date)___to ____(ending date)___
TITLE OF INVESTIGATION:
PRINCIPAL INVESTIGATOR / INSTITUTION:                                                |    NASA USE ONLY    |                                     A               B               C
1.  Direct Labor (salaries, wages, and        fringe benefits)        ___________     __________      ____________2.      Other Direct Costs:        a.  Subcontracts        ___________     __________      ____________        b.  Consultants         ___________     __________      ____________        c.  Equipment           ___________     __________      ____________        d.  Supplies            ___________     __________      ____________        e.  Travel              ___________     __________      ____________        f.  Other               ___________     __________      ____________3.  Indirect Costs              ___________     __________      ____________4.  Other Applicable Costs      ___________     __________      ____________5.  Subtotal--Estimated Costs   ___________     __________      ____________6.  Less Proposed Cost Sharing  ___________     __________      ____________7.  Carryover Funds (if any)        a.  Anticipated amount  ___________     __________      ____________        b.  Amount used to reduce budget                                ___________     __________      ____________8.  Total Estimated Costs       ___________     __________      XXXXXXXXAPPROVED BUDGET                 XXXXXXX         XXXXXXX         ____________
C-6
CURRENT AND PENDING RESEARCH SUPPORT
1.  For the Principal Investigator, provide separately for categories A and B the following information:
  Project title and sentence abstract        
-   Source of support           Award amount and period covered by award          Work-year commitment of the proposed Investigator.
        A. Currently supported research project(s) that will be active        during FY 1997 (October 1, 1996, through September 30, 1997).        B. Research project(s) for which support is pending selection        (including this proposal).2.  List the name of any other funding sponsor to which this proposal hasbeen or will be contemporaneously submitted, including relevant dates.
C-7
   Certification RegardingDebarment, Suspension, and Other Responsibility MattersPrimary Covered Transactions
This certification is required by the regulations implementing ExecutiveOrder 12549, Debarment and Suspension, 34 CFR Part 85, Section 85.510,Participant's responsibilities.  The regulations were published as Part VIIof the May 26, 1988 
Federal Register
 (pages 19160-19211).  Copies of theregulations may be obtained by contacting the U. S. Department ofEducation, Grants and Contracts Service, 400 Maryland Avenue, S. W. (Room3633 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 itsknowledge and belief, that it and its principals:
- (a)  Are not presently debarred, suspended, proposed for debarment,declared ineligible, or voluntarily excluded from covered transactions byany Federal department or agency;(b)  Have not within a three-year period preceding this proposal beenconvicted of or had a civil judgment rendered against them for commissionof fraud or a criminal offense in connection with obtaining, attempting toobtain, or performing a public (Federal, State or local) transaction orcontract under a public transaction; violation of Federal or Stateantitrust statutes or commission of embezzlement, theft, forgery, bribery,falsification or destruction of records, making false statements, orreceiving stolen property;(c)  Are not presently indicted for or otherwise criminally or civillycharged by a governmental entity (Federal, State or local) with commissionof any of the offenses enumerated in paragraph (1)(b) of thiscertification; and(d)  Have not within a three-year period preceding thisapplication/proposal had one or more public transactions (Federal, State orlocal) terminated for cause or default.   (2)     Where the prospective primary participant is unable to certify toany of the statements in this certification, such prospective participantshall attach an explanation to this proposal.
  _____________________________________________________________________________      Institution                               Principal Investigator_____________________________________________________________________________      Name and Title of Authorized Representative_____________________________________________________________________________      Signature                                 Date
  C-8
  Certification Regarding Drug-Free Workplace RequirementsGrantees Other Than Individuals
  This certification is required by the regulations implementing theDrug-Free Workplace Act of 1988, 34 CFR Part 85, Subpart F.  Theregulations, published in the January 31, 1989 
  Federal Register
  , requirecertification by grantees, prior to award, that they will maintain adrug-free workplace.  The certification set out below is a materialrepresentation of fact upon which reliance will be placed when the agencydetermines to award the grant.  False certification or violation of thecertification shall be grounds for suspension of payments, suspension ortermination of grants, or government wide suspension or debarment (see 34CFR 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 unlawfulmanufacture, distribution, dispensing, possession or use of a controlledsubstance is prohibited in the grantee's workplace and specifying theactions that will be taken against employees for violation of suchprohibition;
- (b)  Establishing a drug-free awareness program to inform employees about-   (1)  The dangers of drug abuse in the workplace;
  - (2)  The grantee's policy of maintaining a drug-free workplace;     (3)  Any available drug counseling, rehabilitation, and employee assistanceprograms; and
    - (4)  The penalties that may be imposed upon employees for drug abuseviolations occurring in the workplace;       (c)  Making it a requirement that each employee to be engaged in theperformance of the grant be given a copy of the statement required byparagraph (a);
      - (d)  Notifying the employee in the statement required by paragraph (a)that, as a condition of employment under the grant, the employee will-         (1)  Abide by the terms of the statement; and
        - (2)  Notify the employer of any criminal drug statute conviction for aviolation occurring in the workplace no later than five days after suchconviction;           (e)  Notifying the agency within ten days after receiving notice undersubparagraph (d)(2) from an employee or otherwise receiving actual noticeof such conviction;
          - (f)  Taking one of the following actions, within 30 days of receivingnotice under subparagraph (d)(2), with respect to any employee who is soconvicted-             (1)  Taking appropriate personnel action against such an employee, up toand including termination; or
            - (2)  Requiring such employee to participate satisfactorily in a drug abuseassistance or rehabilitation program approved for such purposes by aFederal, State, or local health, law enforcement, or other appropriateagency;               (g)  Making a good faith effort to continue to maintain a drug-freeworkplace through implementation of paragraphs (a), (b), (c), (d), (e) and(f).
              __________________________________________________________________________Institution                                     Principal Investigator__________________________________________________________________________Name and Title of Authorized Representative__________________________________________________________________________Signature                                                      Date
              C-9
              Certification Regarding Lobbying
              As required by S1352 Title 31 of the U.S. Code for persons entering into agrant or cooperative agreement over $100,000, the applicant certifies that:(a)  No Federal appropriated funds have been paid or will be paid by or onbehalf of the undersigned, to any person for influencing or attempting toinfluence an officer or employee of any agency, a Member of Congress, inconnection with making of any Federal grant, the entering into of anycooperative, and the extension, continuation, renewal, amendment, ormodification of any Federal grant or cooperative agreement;(b)  If any funds other than Federal appropriated funds have been paid orwill be paid to any person for influencing or attempting an officer oremployee of any agency, Member of Congress, an or an employee of a Memberof Congress in connection with this Federal grant or cooperative agreement,the undersigned shall complete Standard Form -LLL, "Disclosure Form toReport Lobbying," in accordance with its instructions.(c)  The undersigned shall require that the language of this certificationbe 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 discloseaccordingly.This certification is a material representation of fact upon which reliancewas placed when this transaction was made or entered into.  Submission ofthis certification is a prerequisite for making or entering into thistransaction imposed by S1352, title 31, U.S. Code.  Any person who fails tofile the required certification shall be subject to a civil penalty of notless that $10,000 and not more than $100,000 for each such failure.__________________________________________________________________Organization Name                       AO or NRA Number and Name__________________________________________________________________Printed Name and Title of Authorized Representative__________________________________________________________________Signature                                                 Date__________________________________________________________________Printed Principal Investigator Name                Proposal Title
              C-10
              PROPOSAL COVER SHEET
              NRA 96-OSS-09SUN-EARTH CONNECTIONSUPPORTING RESEARCH AND TECHNOLOGY,SUBORBITAL, GUEST INVESTIGATOR,AND EDUCATION PROGRAMSEDUCATIONAL OUTREACH SUPPLEMENT
              PROGRAM ELEMENT OF "PARENT" RESEARCH TASK:
                      ¤       Interball Guest Investigator Program        ¤       Ionospheric, Thermospheric, and Mesospheric Physics        ¤       ISTP Guest Investigator Program        ¤       Heliospheric Physics        ¤       Magnetospheric Physics        ¤       MITM Suborbital        ¤       SOHO Guest Investigator Program        ¤       Solar Physics
              "PARENT RESEARCH PROPOSAL:
                      *       NEW - Provide research proposal name                /OR/        *      EXISTING - Provide name and alpha-numeric identifier                for existing award
              TITLE OF INVESTIGATION:
              PRINCIPAL INVESTIGATOR:
               Name/Title        Institutional address        Telephone and E-mail address        Signature
              CO-INVESTIGATOR(S):
                   Name(s)        Institutional Address(es)
              INSTITUTIONAL AUTHORIZATION:
                      Name/Title        Institutional address including telephone        Authorizing Signature/Date
              BUDGET SUMMARY:
                 1st Year     2nd Year    3rd Year      Total *  RESEARCH TASK ($K):  ________     ________    ________    _________
              C-11
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