I. SUBMISSION OF BASIC RESEARCH PROPOSALS FOR GRANTS

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP81B00879R000100160054-9
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 14
• Document Creation Date: November 11, 2016
• Document Release Date: March 1, 1999
• Sequence Number: 54
• Content Type: REGULATION

Suggestions as to form s d pmgedi~ur i
SUF ![IS8ION OF BASIC RESEARCH PROPOSALS F0
Since sass uniformity will facilitate'
Who MW Submit
The Dot of Defense considers requests for the support of basic
research from non-profit institutions of higher education and non-psrafit
organizations whose primary purpose is the conduct of scientific research.
However, as a formal proposal is in most instances submitted by an o tgeni,ea?-
tiron .on behalf of the principal investigator, research proposals noiieal.ly
ate initiatedby the scientist interested in doing the work, and if desired
MY,.-`prior to fox al submission, be the subject of infbrmsi discussions
between the scientists and the Department of Define staff* either bi/ letter
or in .person.
When to Submit .
arch proposals may be submitted at any time. Because of the nature
:the program, the review and approval process, and statutory rsquiaressnts,
several aonths normally elapse between the receipt of a proposal and the
issuance of a grant. ?he organization and the principal investigator will.
be notified of the decision regarding their proposal as soon as possible.
nets foi' infoveation which, ini
find helpful in pr
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 What to Sutait
While no rigid form is specified, proposals should cover, the
emmerated below, insofar as they may be applicable. 'the receipt of (5)
(this maber may be changed to meet the needs of the agency involved) copies
of the proposal will greatly facilitate its review and evaluation.
Name and Address of Institution
The name and address of the prospective grantee organization should be
provided. Where the legal or corporate designation of the organization is
different from the popular or coaaonly used designation, the legal designa-
tion should be used.
Title of Proposed Research
The title of the proposed research should be brief but properly descrip-
tive.
Desired Start Date of the Research
This information is of value to our staff in scheduling revises, program
planning, etc. Alternate starting dates may be specified, taking into acoovat
the time required for evaluation and review.
Tim Period for Which rt is Re uested
The length of time for which support is being requested should be
consistent with the nature and complexity of the proposed research, up to a
maxi of 5 years. '"he practice of ra 1yira ; for a short period with the
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 sed t low, arable '~nork in progress elfswh ri, $ r tbi` a bi
literature citations should be
Departm nt of Defense advisers and staff aesbers "',:to the scisntii^ie idiot
lsoi.ities
tion. The Department of Defense is of course aware that research h,,ss
cannot ',be spelled out in too great detail In advance.
or anted to the proposed research should, be sentj,aned.
Available facilities and sajor' iteas of equlpacent especially adapted
lXt'io expected that the principal investigator will be responsible for
direct supervision of the work and 3n noit instances will participate in the
co tot of the research regardless of whether or not he is to' receive any
short biogrVhieai sketch of the prinoipal Investigator and `a list
of his'principal publications should be included alcog with'sisilar.biogrst
phie l information on other senior professional psrso rl"rbo will-be
directly associated with the project. If applicable, the nmaber of student
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at,-t proposed research viil be influenced by tbhe -adequacy of this Ia xub-
 f
~Sl MiW Q~ - %1EW0dsT99D 6kItOSb4.9o a ademic
a to teeat"'' Bhoul.d be listed. If desired the names saki,titles of other
soientif c. and technical personnel indirectly associated 4th the project in
?'B dget estimate for each research proposal ellects the asgaitts~s
WA scope df the research work contem.tated by the principal investigator and
licates the physical moans by which he intends to aoo push the proposed
research. In order that the Department of Defense may assess realistically
the financial requirements of the research, it is requested that an estimate
of the total cost of the project, with an estimated breakdown of costa per
year, be submitted. Parts 2 and 3 of Section XV of Axosd Services Procurement
Regulation (Bureau of Budget Circular A21 for educational institutions) pro-
vide principles for determining specific allovable.and unallowable costs.
Funds requested frost the Department of Defense should be indicated for each of
the categories listed below. Contributions that other sources Will anus to
the research should be listed in similar categories. Funds may be regues
under any of the following categories so long as the item is necessary to the
conduct of the proposed research.
Salaries. --This item should include a list of personnel; percentage of
time each will devote to the research; present salary, rate of pay or stipend
for each; and a total amount for salaries per year to be paid from the great
to each.
Where appropriate, funds may be requested for the purpose of defraying
some portion or all of the salaries of personnel who vill work in the research.
The extent of such compensation from grant funds will depend on the degree to
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PACES
Box
Fo I cl e r
Fon
DATE
BEST COPY
A VAILABLE
NflET ~aGEI
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;be used )~ Crer8e
R} C11Yt ~.j C" ..L _'- g,4: V~iTAii xZ. L Z :re d, Ti
of eQu ~~ '+t7nd t3~,.~'t iX39 thir . 1lJ } K' St':rltar`d.
02
i. ro 4j ~w ~ ruy~; J ,
xt;lact~t:c r z ~y tYi?, std applicability of
"a3ftioaz t r s. rwnriicat i,; f :7 uz~ types r'' publicationz coats
jrect Cos Gs `.= .emi e o t. t z anti ci, ated direct A oats not-included
. y3v, 4, 4n_
thcludirk umlwo~ Cry
Ag4
?~, wit t. ?~xrk t. {jhz}t "M vea 1, ?the; grantee iznetitutiOn
w .f
~z+ ~ #cdaxt arx A .._ s -In11'at nerel ter=5 the 4pef
i tgge st r 7 e,.t:= t',~: st1?, vable'Jxudirect cost' based on
t27e pt1h~ i i ~ s, e; e t lox-tIx ix
ix into cc:c
!, Llt
nt pr viouf, coat * exxpenaes whex. relevant.
"Ut,;ect Lo i`'u1 k clr=.tic inri``with I partment of Defense
t t.ie ,i'clilh, ;: k, eatRb:li:-hud,. rate meQr be revised
iuf',nt rFn:t-`> tt the grantee o1- grantor. 'Institutions
haviTr F,
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8 rab].e oil:.
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Total. --Give totals of all coats by years and a grant total as well.
Other Sponsors
State whether (and if so, to whom) the proposal has been submitted to
other possible sponsors, in whole or in part, including other Federal agencies.
Indicate also any present sponsors of any portion of the program outlined In
the proposal. The submission of a proposal to other organisations concurtesltly
with its submission to the Department of Defense will not prejudice its
review by the Department of Defense. This information, together with data
exchanged regularly among Federal agencies sponsoring basic research, contri-
bates materially to planning for the opting. distribution of Federal funds
available for the support of scientific research.
~znvRl,
One copy of the proposal should be signed by the principal investigator,
by the department head, and by an official authorized to sign for the institu-
tion. All copies of the proposal should indicate persons, with titles, vho
have signed the original of the proposal.
Requests for Continued Support
The Department of Defense will consider requests for continued support
in equal competition with all other proposals pending in the Department of
Defense at the time of such a request. Consequently, these requests should
contain the same information as any other proposal in addition to a resume of
progress to date. The same amount of time for review and evaluation will be
required and such requests should be submitted 4 to 6 months in advance of the
anticipated termination date of the original grant if the investigator and the
institution are desirous of uninterrupted support.
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 IY , ADt+LtNISTRATYON OF p ESF?A n
General
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The Depart ant of Defense asses that, Dace 1y
ip? iitvestiga-tor, operating' within the polic
iM the best position to detexminm the
...~.. via e-nnducted sgst effectively. Accordinglyc 3 t~e r1wi7 F rv `
g
roves unions of
encouraged to seek the advice and op
Grantees and investigators are
the Department of Defense on problems that may arise. Unless Otherwise
that the responsibility
stated, the giving of such advice should not imply
for final decisions has shifted to the Department of Defense. The pria-=7
concern of the Department Of Defense is that granted. !bads be used in a
manner which will make a maxi=m contribution to the progress of science--
and it is expected that grantees and investigators will also direct their
efforts to this end.
ibility.of the g the
ght diminish the weapons
which ai
am action
g sound scientific and administrative 3udglt$.
atar for
t4
tar
and the principal investigator. the Department of Defsase xishes toaYOid
the ministration of any grant is one that is* I-r
Grant Agreement
A Department of Defense grant is consU Steil by an t sided
by a Department of Defense Contracting Officer and the Grantee. Y'rma1-ly
this agreement will contain a ninimum of express conditions which upon accep-
the grantee. These conditions may relate to the
tance of the grant will bind
general nature and scope of the research, revocation of the great, and patent
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 the date of the grant and extends for approxisatelY the length of tine specs
fled. aovewsr, when progress of research under the grant is delayed and, cis
des sake it necessary to request an extension of the grant period witboet
additional finds, it is the policy of the Depart amt of Defense to permit
extensions in time, on written request.
Where it ." appears that the research con
tuplated wi]1= be oomplrted ?i#hia
time required wi3.]. exceed $ to 6 maths.. it is requested that the Deeparaasnt
not be neaessarr to request an extension. Hower, if it eppears that the
a reasonably short period of time after the a ppr x mate ending date, it will
of Define, , be informed and an extension requested..
Grant Payments
Payments will be made in advance in a lump rum-payment or on a periodic
tiiitlg of financial requiremaeats. The schedule of payments will be set forth
basis, depend ng on the relative size of the total grant, and the ?stiaated
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 . .. ....
in W grant instrument. No vouchers for payment need, be submitted by the
grantee inasmuch as payments will be made automatically by the Department of
Defense in accordance with this schedule. The Department t . of Defense viii at
any time be glad to consider a request initiated by the grantee or the princi-
p.3.investigator for a revised schedule.
Adherence to original Budget Estlsates
The Department of Defense believes that the principal investigator,
operating within the established policies of the grantee institution, is the
individual best qualified to determine the manner in which the grant funds
be used most effectively to accomplish the proposed research. Therefore,
once the grant has been made, the investigator and the institution are free
to spend the funds for the proposed research without strict adherence to the
original budget estimates. However, the Department of Defense will appreciate
being kept informed of contemplated ms,or deviations from the budget estimates
and the reasons therefor.
Grant Reports
Technical Reports
An informal annual report submitted in accordance with instructions from
the Department of Defense's appropriate program director, and a more compre-
hensive report at the expiration (or revocation) of the grant are required-
When the grant is for a period of 1 year or less, only a final report is
required. It is requested that the final report contain a chronological
bibliography of all publications resulting from the work aided by the grant.
Six reprints of each publication should be provided as soon as such reprints
become available and where appropriate may be submitted in lieu of annual
reports. The Department of Defense would appreciate being informed of any
results of unusual interest whenever they occur.
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 pr,
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i Y.
A final fiscal report for infoaation purposes is required for seal gnato
for this purpose are fo:waxd d to the bmsiness Office of 1W
forms
' institution together with the coyer of the grant i*wtvm mlt? Aidtti*Oal
be requested. Two copies of the final fiscal report do" be .
waled to the grantor age 7 eater work under the 916" has bOm
mguipssat
glue to eguiysent parchased with grant f =dB MW test in 'fha gs~
institution.
Security
As a general rule,, it is not anticipated that investigatore will need
access to classified security infoz%atiof in the coodueot of basic researa
snorted by the Department of Defense. In exceptional cases iihere it appears
that access to such infoielation is desirable investigators should request
clearance. lben, in the judgment of the principal ier estigat+or, in Itticn is
developed that should be classified, he should notify the De1 as'tes8t of Deftame
immediately.
Patents
Disposition of patent and other rights in +a0' InveatIOUS or dimes
asdm or Conceived during the research shall be the resposibili'4W of. 00
grantee; the grantee shall give the Deparbasat of Defuse reasonable of
application by the grantee or other person or institution for a forsisa or
dasastic patent on any such invention or disoamr7; and vpm loans of MW
patent on any such invention or disoorer7p the patentee rball grMt t b*
Gcvernisat an irrevocable, royalty-free, nonexclusive license for use of such
invention or discovery for goverusatal purposes.
1.0
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Acknowledgment
t of sr~jorb ap- be
grvpriate acl~naNledpeent of aAmen
pablications based ac- wric aided by the
rpartarnt of Defense grants may be revoke
D part uptt of Defense after consultation and:
iuvestisator and the grantee, except that a revocation aita~l1 motet.
:the gr w&tee,. bad become firs prior to the effective. date `. of t revo aatim
fimmial commitment, which in the Judgment of the Depart=" of Defense d
of atels ding cosihsats and repay to the Department of Defines, by d*,*
Upon rsvoaatio, the grantee shall reduce, insofar "As possible, the !
sad* parable to the' Treasurer of the United States, the Witted balm
of all fob v+hich shall have been paid to the grantee by the Depertsamet of
Defense under the terms of the particular grant concerned.
_.
t
grantee shall' ooaas"icate with the Department of ..Deft OS
-for tibich the grant is made, or to adhere to the other conditions sort ibrt
revocation will be the inability of the grantee to carry out the 3,08MR&
may necessitate revocation. It is expected that the most common cam for
In the opinion of the grantee, there is reason to belle" that aims
`conditions of -the great. Consequently, the Department of Defuse s6se ]LA be
of US principal investigator named in the grant instrument is amp of The
in the `grant instrument. As a general. rule, the availability of Lie soan-i ss
gill, find it Impossible to continue to direct the research.
intorsed 3assdi tely dtensver it appears that the princilal i.nv..tip-tor
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Transfer of Grants to Other Institutions
When the principal investigator changes his ,0 aai tiional
ellaten
w??lres support for his research at his new loertt he
,.a~st sub1a
- -- -- rr'L%+Yj aat,er vZZIC1dl6 of the nev stitttioi f `At
pawls Mil.l be MvieWed ~a
in she n-orme]. manner evrsry$ e, 'ort will, be rde to
4
expedite a decision. Regardless of the action takes
on the neV proposal, final
reports on the original grant, depcribi
ng scientific progress and edi
to date, Will be required.
Grants for Continued Support
When a proposal requesting continued support for research prey ously
supported by the Department of Defense is approved, a new grant vill be activated.
Although special arre.n Cements for voiding the requiregsent for a
final technical
report on the original grant may be made, it will be necessary for the grantee
to submit a final fiscal :report. Normally if the funds for the second grant
are received prior to the time that the funds from the first grant are
ex'haasted,
work under the first grant should be considered completed on the day when funds
are fully expended or comitted. Likewise, work under the second grant should
be considered as beginning on the day following. New accounts should be
established for the second grant in order that the recording and reporting of
expenditures may be segregated.
Accounting Procedures
While no particular classification of accounts is required, it is expected
that grantees will maintain records for each grant, in accordance with generally
accepted accounting ~~
.practices, that will permit preparation of the requite
fiscal report.
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 .. , aad address of the .
$N
She sun of $ is hereby granted by the Department of
Research Grant
ens o Institution-
entitled " under the direction of
StTe of pose Ft?searc
for a period of approximately year(s). Until further notice this
grant will be paid as follows: $ on or about
19-; and $ on or about , 19-; and
on or about 19_. (This grant vill be paid on or about
1 l9_, in full.)
Title to all equipment purchased with funds supplied herewith
shall be deemed to have vested irrevocably in the grantee upon purchase
(with the following exceptions)(with the following reservations). (If
title to equipment purchased with grant funds is to be retained by the
Government, the necessary provision should be made in accordance with
the applicable parts of the Armed Services Procurement Regulation.)
It is a condition of this grant that it may be revoked in whole or
in part by the Department of Defense after consultation and agreement
vi.th the princ pci' !t ve t , .,t r( ? find the grantee, except that a
(Name oo Principe '~nves ator of t
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.
is tution'i.e., grantee)
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-P for the support of research