NSF 03-506: <font color="#FF0000">THIS DOCUMENT HAS BEEN ARCHIVED AND REPLACED BY <a href="https://www.nsf.gov/publications/pub_summ.jsp?ods_key=nsf10517">NSF 10-517</a></font>

Program Solicitation

Document Information

Document History

Posted: November 1, 2002
Replaced by: NSF 10-517

Download the solicitation (PDF, 0.4mb)

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Program Solicitation NSF 03-506

Replaces Document(s):
NSF 01-48

National Science Foundation

Office of International Science and Engineering

Directorate for Mathematical & Physical Sciences

Directorate for Engineering

Directorate for Biological Sciences

Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):

Revision Notes

Please be advised that the NSF Proposal & Award Policies & Procedures Guide (PAPPG) includes revised guidelines to implement the mentoring provisions of the America COMPETES Act (ACA) (Pub. L. No. 110-69, Aug. 9, 2007.) As specified in the ACA, each proposal that requests funding to support postdoctoral researchers must include a description of the mentoring activities that will be provided for such individuals. Proposals that do not comply with this requirement will be returned without review (see the PAPP Guide Part I: Grant Proposal Guide Chapter II for further information about the implementation of this new requirement).

As announced on May 21st, proposers must prepare and submit proposals to the National Science Foundation (NSF) using the NSF FastLane system at http://www.fastlane.nsf.gov/. This approach is being taken to support efficient Grants.gov operations during this busy workload period and in response to OMB direction guidance issued March 9, 2009. NSF will continue to post information about available funding opportunities to Grants.gov FIND and will continue to collaborate with institutions who have invested in system-to-system submission functionality as their preferred proposal submission method. NSF remains committed to the long-standing goal of streamlined grants processing and plans to provide a web services interface for those institutions that want to use their existing grants management systems to directly submit proposals to NSF.

Summary Of Program Requirements

General Information

Program Title:

Synopsis of Program:

Cognizant Program Officer(s):

Harold J. Stolberg, Program Coordinator, 935 N, telephone: (703) 292-8706, fax: (703) 292-9175, email: hstolber@nsf.gov

Richard Kelley, Department of Energy, telephone: 301-903-6051, email: richard.kelley@science.doe.gov

Don Freeburn, Department of Energy, telephone: 301-903-3156, email: Don.Freeburn@science.doe.gov

Applicable Catalog of Federal Domestic Assistance (CFDA) Number(s):

47.041 --- Engineering
47.049 --- Mathematical and Physical Sciences
47.074 --- Biological Sciences
47.079 --- Office of International Science and Engineering

Award Information

Anticipated Type of Award: Standard Grant

Estimated Number of Awards: 6 to 8

Anticipated Funding Amount: $500,000 pending the availability of funds

Eligibility Information

Organization Limit:

PI Limit:

Limit on Number of Proposals per Organization:

Limit on Number of Proposals per PI:

Proposal Preparation and Submission Instructions

A. Proposal Preparation Instructions

Letters of Intent: Not Applicable

Preliminary Proposal Submission: Not Applicable

Full Proposal Preparation Instructions: This solicitation contains information that supplements the standard NSF Proposal and Award Policies and Procedures Guide, Part I: Grant Proposal Guide (GPG) proposal preparation guidelines. Please see the full text of this solicitation for further information

B. Budgetary Information

Cost Sharing Requirements: Cost Sharing is not required under this solicitation.

Indirect Cost (F&A) Limitations: No indirect costs are allowed.

Other Budgetary Limitations: Other budgetary limitations apply. Please see the full text of this solicitation for further information.

C. Due Dates

Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):

January 15, 2004

January, Annually Thereafter

January 15, 2008

January 15, Annually Thereafter

Proposal Review Information Criteria

Merit Review Criteria: National Science Board approved criteria. Additional merit review considerations apply. Please see the full text of this solicitation for further information.

Award Administration Information

Award Conditions: Standard NSF award conditions apply.

Reporting Requirements: Standard NSF reporting requirements apply.

Agency Contacts

Other Information

I. Introduction

The Department of Energy and the NSF support a limited number of Pan American Advanced Studies Institutes (PASI) modeled on the NATO Advanced Studies Institutes. Pan American Advanced Studies Institutes are short courses of ten days to four weeks duration, at the advanced graduate and post-doctoral level. The courses should involve distinguished lecturers and active researchers in the field, preferably from the Americas. PASIs aim to disseminate advanced scientific knowledge and stimulate training and cooperation among researchers of the Americas in the mathematical, physical, and biological sciences, and in engineering fields. Whenever feasible, an interdisciplinary approach is recommended.

II. Program Description

Approximately 6 to 8 awards will be made yearly to U.S. research institutions or professional societies for the purpose of organizing a PASI. The Principal Investigator (PI) shall be the designated contact person for the Institute and is expected to provide leadership in fully coordinating and integrating its activities. The PI is responsible for (a) the preparation of the scientific and/or engineering program, (b) provision for the selection of lecturers and students, (c) the administration of the meeting, and (d) the publication of lectures and proceedings from the meeting.

Institutes in the physical, mathematical, or biological science disciplines and/or engineering may be supported. Institutes in the biological sciences are encouraged to place a special emphasis on using modern tools in genomics and bioinformatics to explore themes in biology. Proposals for Institutes that focus on the etiology, diagnosis or treatment of physical or mental disease, abnormality, or malfunction in human beings or animals, will not be reviewed. Institutes developed around animal models of such conditions or the development or testing of drugs or other procedures for their treatment also are not eligible for support. Institutes in bioengineering, with diagnosis or treatment-related goals, however, that relate engineering principles to problems in biology and medicine while advancing engineering knowledge are eligible for support. Institutes that focus on research advances that could aid persons with disabilities also are eligible.

The PI should be assisted by a small Organizing Committee consisting of three to four lecturers from at least two other countries of the Americas and, if appropriate, from different research sectors. A local scientist or engineer from the host country should be a member of the Organizing Committee. Brief professional background summaries and descriptions of the role to be played by each member of the Organizing Committee should be provided. The rationale for the choice of topics and location must be clearly spelled out. Proposals that are of an applied nature, and especially where relevance to industry is claimed, should include a noted industrial scientist or engineer in the Organizing Committee.

The choice of PASI lecturers and students is the responsibility of the PI assisted by the PASI Organizing Committee, and the procedure for such choices should be clearly outlined in the proposal. PASI lecturers should be chosen on the basis of their scientific, engineering and training qualifications and should include scientists or engineers from at least two other countries from the Western Hemisphere. They should be contacted before submission of the proposal. An indication of their commitment to participate is necessary and will be a strong factor in judging the quality of applications. Scientists and engineers from non-Western Hemisphere countries may be selected in the event they bring expertise not available from the other countries of the Americas. For a substantive treatment of each topic, a duration of about two weeks is recommended, the minimum being ten working days.

The Institute will be aimed at the post-doctoral level, but may include advanced graduate students at the Masters or Ph.D level, and relevant scientists and engineers. PASIs should involve 8 to 12 lecturers and 30 to 50 students from the different countries in the Americas with at least half from the United States. In order to preserve balance, PASI students from any single Western Hemisphere country other than the United States should not exceed 25% of the total number supported by the award. PASI students from non-Western Hemisphere countries may be accepted under special circumstances but in no case should their number exceed 15% of the total number. Non-Western Hemisphere students may not receive financial support from the PASI grant.

Appropriate lecture, meeting rooms, telecommunication facilities, and accommodations for all participants within reasonable proximity are important in order to stimulate informal discussions during leisure periods. A site should be chosen well in advance in order to ensure availability. Preference will be given to PASIs located in a Western Hemisphere country other than the United States to provide an international experience to students from the United States.

Institute organizers may find that the organization of a PASI elicits support from other sources. In particular, host country contributions as well as contributions from corporate and other sectors are not precluded although they will not be a factor in the review process. Joint sponsorship and support are permissible and welcome provided that the meeting conforms to the prescribed format and is designated a "Pan American Advanced Study Institute."

Proposers should develop a web page to provide up-to-date information on the PASI, with specific details on the activity, including recruitment procedures, meeting topics, links to related activities, and, after its conclusion, provide links to publications, seminars, and collaborative research arising from the PASI. Plans for dissemination of results of the meeting, including lecture notes and web-related instructional materials, should be part of the proposal.

A PASI award will cover expenses for the organization of the meeting, and travel and living expenses of lecturers and students. Registration fees should not be charged PASI students. Student participants from industry will be expected to cover their own costs.

The cost for any one Institute with a reasonable number of from 30 to 50 participants, including lecturers and students, is expected to range from $70,000 to $90,000, and may not exceed $100,000, aside from contributions from other sources. The budget should include direct organizational expenses and travel and living expenses for lecturers and students. PIs should ensure that adequate costs are covered to ensure full student participation. In general, salaries will not be supported by these awards although a reasonable stipend for a graduate student to assist with the organization of the PASI pre- and post- meeting will be allowed. No indirect costs on awards will be allowed. It is anticipated and encouraged that some students will obtain support from other sources in their home countries. Any contributions for the PASI from institutions or other sources should be mentioned in the proposal.

III. Award Information

The cost for any one Institute is expected to range from $70,000 to $90,000, and may not exceed $100,000, aside from contributions from other sources. Estimated program budget, number of awards, and average award size/duration are subject to the availability of funds.

IV. Eligibility Information

The categories of proposers eligible to submit proposals to the National Science Foundation are identified in the Grant Proposal Guide, Chapter I, Section E.

Organization Limit:

PI Limit:

Limit on Number of Proposals per Organization:

Limit on Number of Proposals per PI:

V. Proposal Preparation And Submission Instructions

A. Proposal Preparation Instructions

Full Proposal Instructions: Proposals submitted in response to this program solicitation should be prepared and submitted in accordance with the guidelines specified in the NSF Grant Proposal Guide (GPG). The complete text of the GPG is available electronically on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg. Paper copies of the GPG may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-PUBS (7827) or by e-mail from nsfpubs@nsf.gov.

Proposals for Institutes that focus on the etiology, diagnosis or treatment of physical or mental disease, abnormality, or malfunction in human beings or animals, will not be reviewed. Institutes developed around animal models of such conditions or the development or testing of drugs or other procedures for their treatment also are not eligible for support. Institutes in bioengineering, with diagnosis or treatment-related goals, however, that relate engineering principles to problems in biology and medicine while advancing engineering knowledge, are eligible for support. Institutes that focus on research advances that could aid persons with disabilities also are eligible.

Proposers are reminded to identify the program solicitation number (NSF 03-506) in the program solicitation block on the NSF Cover Sheet For Proposal to the National Science Foundation. Compliance with this requirement is critical to determining the relevant proposal processing guidelines. Failure to submit this information may delay processing.

B. Budgetary Information

Cost Sharing: Cost sharing is not required under this solicitation.

Indirect Cost (F&A) Limitations: No indirect costs are allowed.

Other Budgetary Limitations: The cost of any one institute may not exceed $100,000. Salaries will not be supported by these awards although a reasonable stipend for a graduate student to assist with the organization of the PASI pre- and post- meeting will be allowed. In addition, student participants from industry are expected to cover their own costs. See Program description section for more details.

C. Due Dates

Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):

January 15, 2004

January, Annually Thereafter

January 15, 2008

January 15, Annually Thereafter

D. FastLane Requirements

Proposers are required to prepare and submit all proposals for this program solicitation through use of the NSF FastLane system. Detailed instructions regarding the technical aspects of proposal preparation and submission via FastLane are available at: http://www.fastlane.nsf.gov/a1/newstan.htm. For FastLane user support, call the FastLane Help Desk at 1-800-673-6188 or e-mail fastlane@nsf.gov. The FastLane Help Desk answers general technical questions related to the use of the FastLane system. Specific questions related to this program solicitation should be referred to the NSF program staff contact(s) listed in Section VIII of this funding opportunity.

Submission of Electronically Signed Cover Sheets. The Authorized Organizational Representative (AOR) must electronically sign the proposal Cover Sheet to submit the required proposal certifications (see Chapter II, Section C of the Grant Proposal Guide for a listing of the certifications). The AOR must provide the required electronic certifications within five working days following the electronic submission of the proposal. Further instructions regarding this process are available on the FastLane Website at: https://www.fastlane.nsf.gov/fastlane.jsp.

VI. NSF Proposal Processing And Review Procedures

Proposals received by NSF are assigned to the appropriate NSF program where they will be reviewed if they meet NSF proposal preparation requirements. All proposals are carefully reviewed by a scientist, engineer, or educator serving as an NSF Program Officer, and usually by three to ten other persons outside NSF who are experts in the particular fields represented by the proposal. These reviewers are selected by Program Officers charged with the oversight of the review process. Proposers are invited to suggest names of persons they believe are especially well qualified to review the proposal and/or persons they would prefer not review the proposal. These suggestions may serve as one source in the reviewer selection process at the Program Officer's discretion. Submission of such names, however, is optional. Care is taken to ensure that reviewers have no conflicts of interest with the proposal.

A. NSF Merit Review Criteria

All NSF proposals are evaluated through use of the two National Science Board (NSB)-approved merit review criteria: intellectual merit and the broader impacts of the proposed effort. In some instances, however, NSF will employ additional criteria as required to highlight the specific objectives of certain programs and activities.

The two NSB-approved merit review criteria are listed below. The criteria include considerations that help define them. These considerations are suggestions and not all will apply to any given proposal. While proposers must address both merit review criteria, reviewers will be asked to address only those considerations that are relevant to the proposal being considered and for which the reviewer is qualified to make judgements.

Examples illustrating activities likely to demonstrate broader impacts are available electronically on the NSF website at: https://www.nsf.gov/pubs/gpg/broaderimpacts.pdf.

Mentoring activities provided to postdoctoral researchers supported on the project, as described in a one-page supplementary document, will be evaluated under the Broader Impacts criterion.

NSF staff also will give careful consideration to the following in making funding decisions:

Additional Review Criteria:

In addition to these review criteria, NSF and DOE will take into consideration how the activity is organized and how it will contribute to the enhancement and improvement of scientific, engineering, and educational collaborative activities. While host country contributions as well as contributions from corporate and other sectors are not precluded, they will not be a factor in the review process.

A summary rating and accompanying narrative will be completed and signed by each reviewer. In all cases, reviews are treated as confidential documents. Verbatim copies of reviews, excluding the names of the reviewers, are sent to the Principal Investigator/Project Director by the Program Director. In addition, the proposer will receive an explanation of the decision to award or decline funding.

B. Review and Selection Process

Proposals submitted in response to this program solicitation will be reviewed by Ad Hoc reviewers and a final panel review consisting of NSF and DOE staff.

Reviewers will be asked to formulate a recommendation to either support or decline each proposal. The Program Officer assigned to manage the proposal's review will consider the advice of reviewers and will formulate a recommendation.

After scientific, technical and programmatic review and consideration of appropriate factors, the NSF Program Officer recommends to the cognizant Division Director whether the proposal should be declined or recommended for award. NSF is striving to be able to tell applicants whether their proposals have been declined or recommended for funding within six months. The time interval begins on the deadline or target date, or receipt date, whichever is later. The interval ends when the Division Director accepts the Program Officer's recommendation.

A summary rating and accompanying narrative will be completed and submitted by each reviewer. In all cases, reviews are treated as confidential documents. Verbatim copies of reviews, excluding the names of the reviewers, are sent to the Principal Investigator/Project Director by the Program Officer. In addition, the proposer will receive an explanation of the decision to award or decline funding.

In all cases, after programmatic approval has been obtained, the proposals recommended for funding will be forwarded to the Division of Grants and Agreements for review of business, financial, and policy implications and the processing and issuance of a grant or other agreement. Proposers are cautioned that only a Grants and Agreements Officer may make commitments, obligations or awards on behalf of NSF or authorize the expenditure of funds. No commitment on the part of NSF should be inferred from technical or budgetary discussions with a NSF Program Officer. A Principal Investigator or organization that makes financial or personnel commitments in the absence of a grant or cooperative agreement signed by the NSF Grants and Agreements Officer does so at their own risk.

VII. Award Administration Information

A. Notification of the Award

Notification of the award is made to the submitting organization by a Grants Officer in the Division of Grants and Agreements. Organizations whose proposals are declined will be advised as promptly as possible by the cognizant NSF Program administering the program. Verbatim copies of reviews, not including the identity of the reviewer, will be provided automatically to the Principal Investigator. (See Section VI.B. for additional information on the review process.)

B. Award Conditions

An NSF award consists of: (1) the award letter, which includes any special provisions applicable to the award and any numbered amendments thereto; (2) the budget, which indicates the amounts, by categories of expense, on which NSF has based its support (or otherwise communicates any specific approvals or disapprovals of proposed expenditures); (3) the proposal referenced in the award letter; (4) the applicable award conditions, such as Grant General Conditions (GC-1); * or Research Terms and Conditions * and (5) any announcement or other NSF issuance that may be incorporated by reference in the award letter. Cooperative agreements also are administered in accordance with NSF Cooperative Agreement Financial and Administrative Terms and Conditions (CA-FATC) and the applicable Programmatic Terms and Conditions. NSF awards are electronically signed by an NSF Grants and Agreements Officer and transmitted electronically to the organization via e-mail.

*These documents may be accessed electronically on NSF's Website at
https://www.nsf.gov/awards/managing/award_conditions.jsp?org=NSF. Paper copies may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-7827 or by e-mail from nsfpubs@nsf.gov.

More comprehensive information on NSF Award Conditions and other important information on the administration of NSF awards is contained in the NSF Award & Administration Guide (AAG) Chapter II, available electronically on the NSF Website at
https://www.nsf.gov/publications/pub_summ.jsp?ods_key=aag.

C. Reporting Requirements

For all multi-year grants (including both standard and continuing grants), the Principal Investigator must submit an annual project report to the cognizant Program Officer at least 90 days before the end of the current budget period. (Some programs or awards require more frequent project reports). Within 90 days after expiration of a grant, the PI also is required to submit a final project report.

Failure to provide the required annual or final project reports will delay NSF review and processing of any future funding increments as well as any pending proposals for that PI. PIs should examine the formats of the required reports in advance to assure availability of required data.

PIs are required to use NSF's electronic project-reporting system, available through FastLane, for preparation and submission of annual and final project reports. Such reports provide information on activities and findings, project participants (individual and organizational) publications; and, other specific products and contributions. PIs will not be required to re-enter information previously provided, either with a proposal or in earlier updates using the electronic system. Submission of the report via FastLane constitutes certification by the PI that the contents of the report are accurate and complete.

VIII. Agency Contacts

General inquiries regarding this program should be made to:

Harold J. Stolberg, Program Coordinator, 935 N, telephone: (703) 292-8706, fax: (703) 292-9175, email: hstolber@nsf.gov

Richard Kelley, Department of Energy, telephone: 301-903-6051, email: richard.kelley@science.doe.gov

Don Freeburn, Department of Energy, telephone: 301-903-3156, email: Don.Freeburn@science.doe.gov

For questions related to the use of FastLane, contact:

FastLane Help Desk, telephone: 1-800-673-6188; e-mail: fastlane@nsf.gov.

If you have questions or issues you would like to discuss prior to preparing an application, we encourage you to telephone or send an e-mail message to the NSF staff listed above or DOE contacts Richard Kelley (301/903-6051, richard.kelley@science.doe.gov) or Don Freeburn (301/903-3156, don.freeburn@science.doe.gov).

IX. Other Information

The NSF Website provides the most comprehensive source of information on NSF Directorates (including contact information), programs and funding opportunities. Use of this Website by potential proposers is strongly encouraged. In addition, National Science Foundation Update is a free e-mail subscription service designed to keep potential proposers and other interested parties apprised of new NSF funding opportunities and publications, important changes in proposal and award policies and procedures, and upcoming NSF Regional Grants Conferences. Subscribers are informed through e-mail when new publications are issued that match their identified interests. Users can subscribe to this service by clicking the "Get NSF Updates by Email" link on the NSF web site.

Grants.gov provides an additional electronic capability to search for Federal government-wide grant opportunities. NSF funding opportunities may be accessed via this new mechanism. Further information on Grants.gov may be obtained at http://www.grants.gov.

About The National Science Foundation

The National Science Foundation (NSF) is an independent Federal agency created by the National Science Foundation Act of 1950, as amended (42 USC 1861-75). The Act states the purpose of the NSF is "to promote the progress of science; [and] to advance the national health, prosperity, and welfare by supporting research and education in all fields of science and engineering."

NSF funds research and education in most fields of science and engineering. It does this through grants and cooperative agreements to more than 2,000 colleges, universities, K-12 school systems, businesses, informal science organizations and other research organizations throughout the US. The Foundation accounts for about one-fourth of Federal support to academic institutions for basic research.

NSF receives approximately 40,000 proposals each year for research, education and training projects, of which approximately 11,000 are funded. In addition, the Foundation receives several thousand applications for graduate and postdoctoral fellowships. The agency operates no laboratories itself but does support National Research Centers, user facilities, certain oceanographic vessels and Antarctic research stations. The Foundation also supports cooperative research between universities and industry, US participation in international scientific and engineering efforts, and educational activities at every academic level.

Facilitation Awards for Scientists and Engineers with Disabilities provide funding for special assistance or equipment to enable persons with disabilities to work on NSF-supported projects. See Grant Proposal Guide Chapter II, Section D.2 for instructions regarding preparation of these types of proposals.

The National Science Foundation has Telephonic Device for the Deaf (TDD) and Federal Information Relay Service (FIRS) capabilities that enable individuals with hearing impairments to communicate with the Foundation about NSF programs, employment or general information. TDD may be accessed at (703) 292-5090 and (800) 281-8749, FIRS at (800) 877-8339.

The National Science Foundation Information Center may be reached at (703) 292-5111.

The National Science Foundation promotes and advances scientific progress in the United States by competitively awarding grants and cooperative agreements for research and education in the sciences, mathematics, and engineering.

To get the latest information about program deadlines, to download copies of NSF publications, and to access abstracts of awards, visit the NSF Website at https://www.nsf.gov

Location:	4201 Wilson Blvd. Arlington, VA 22230
For General Information (NSF Information Center):	(703) 292-5111
TDD (for the hearing-impaired):	(703) 292-5090
To Order Publications or Forms:
Send an e-mail to:	nsfpubs@nsf.gov
or telephone:	(703) 292-7827
To Locate NSF Employees:	(703) 292-5111

Privacy Act And Public Burden Statements

The information requested on proposal forms and project reports is solicited under the authority of the National Science Foundation Act of 1950, as amended. The information on proposal forms will be used in connection with the selection of qualified proposals; and project reports submitted by awardees will be used for program evaluation and reporting within the Executive Branch and to Congress. The information requested may be disclosed to qualified reviewers and staff assistants as part of the proposal review process; to proposer institutions/grantees to provide or obtain data regarding the proposal review process, award decisions, or the administration of awards; to government contractors, experts, volunteers and researchers and educators as necessary to complete assigned work; to other government agencies or other entities needing information regarding applicants or nominees as part of a joint application review process, or in order to coordinate programs or policy; and to another Federal agency, court, or party in a court or Federal administrative proceeding if the government is a party. Information about Principal Investigators may be added to the Reviewer file and used to select potential candidates to serve as peer reviewers or advisory committee members. See Systems of Records, NSF-50, "Principal Investigator/Proposal File and Associated Records," 69 Federal Register 26410 (May 12, 2004), and NSF-51, "Reviewer/Proposal File and Associated Records, " 69 Federal Register 26410 (May 12, 2004). Submission of the information is voluntary. Failure to provide full and complete information, however, may reduce the possibility of receiving an award.

An agency may not conduct or sponsor, and a person is not required to respond to, an information collection unless it displays a valid Office of Management and Budget (OMB) control number. The OMB control number for this collection is 3145-0058. Public reporting burden for this collection of information is estimated to average 120 hours per response, including the time for reviewing instructions. Send comments regarding the burden estimate and any other aspect of this collection of information, including suggestions for reducing this burden, to:

Suzanne H. Plimpton
Reports Clearance Officer
Division of Administrative Services
National Science Foundation
Arlington, VA 22230

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