Title: BIOCOMPLEXITY: PHASE I
RESEARCH ON THE FUNCTIONAL INTERRELATIONSHIPS BETWEEN
MICROORGANISMS AND BIOLOGICAL, CHEMICAL, GEOLOGICAL,
PHYSICAL AND SOCIAL SYSTEMS
Date: January 14, 1999
BIOCOMPLEXITY: PHASE I
RESEARCH ON THE FUNCTIONAL INTERRELATIONSHIPS BETWEEN
MICROORGANISMS AND BIOLOGICAL, CHEMICAL, GEOLOGICAL,
PHYSICAL AND SOCIAL SYSTEMS
PROGRAM ANNOUNCEMENT
NSF 99-60
DIRECTORATE FOR BIOLOGICAL SCIENCES
DIRECTORATE FOR COMPUTER, INFORMATION SCIENCE AND
ENGINEERING
DIRECTORATE FOR ENGINEERING
DIRECTORATE FOR GEOSCIENCES
DIRECTORATE FOR MATHEMATICAL AND PHYSICAL SCIENCES
DIRECTORATE FOR SOCIAL, BEHAVIORAL AND ECONOMIC SCIENCES
OFFICE OF POLAR PROGRAMS
DEADLINE DATES: PRE-PROPOSALS MARCH 15,1999
FULL PROPOSALS JUNE 15,1999
NATIONAL SCIENCE FOUNDATION
The National Science Foundation promotes and advances
scientific progress in the United States by competitively
awarding grants 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 Web site at:
http://www.nsf.gov
Location: 4201 Wilson Blvd.
Arlington, VA 22230
For General Information (NSF Information Center): (703) 306-1234
TDD (for the hearing-impaired): (703) 306-0090
To Order Publications or Forms:
Send an e-mail to: pubs@nsf.gov
or telephone: (301) 947-2722
To Locate NSF Employees: (703) 306-1234
SUMMARY OF PROGRAM REQUIREMENTS
GENERAL INFORMATION
- Program Name: Biocomplexity: Phase 1. Research on the
Functional Interrelationships between Microorganisms and
Biological, Chemical, Geological, Physical and Social Systems
- Short Description/Synopsis of Program:
As a first step in a longer-term effort to understand the nature
and dynamics of biocomplexity, NSF announces a special
competition to support integrated research on the functional
interrelationships between microorganisms, defined here as
prokaryotes (archaea and eubacteria) and unicellular eukaryotes
(algae, protozoa, fungi) and the biological, chemical,
geological, physical, and/or social systems that jointly comprise
complex environmental systems. Projects that explicitly focus on
the role that microorganisms play in structuring or controlling
complex systems are particularly encouraged. Knowledge of how
microorganisms control or structure the biological, chemical,
geological, physical or social environment or are controlled by
them could have profound effects on our ability to understand and
manage complex systems, monitor and restore the natural
environment, and lead to new resources for biotechnology.
COGNIZANT PROGRAM OFFICER(S):
Biological Sciences( BIO)
Joann Roskoski
Phone: (703) 306-1480
E-mail: jroskosk@nsf.gov
Computer and Information Science and Engineering (CISE)
Maria Zemankova
Phone: (703) 306-1125
E-mail: mzemanko@nsf.gov
Engineering (ENG)
Janie M. Fouke
Phone: (703) 306-1320
E-mail: jfouke@nsf.gov
Geosciences (GEO)
Phillip R. Taylor
Phone: (703) 306-1587
E-mail: prtaylor@nsf.gov
Mathematical & Physical Sciences (MPS)
Marge Cavanaugh
Phone: (703) 306-1842
E-mail: mcavanau@nsf.gov
Social, Behavioral and Economic Sciences (SBE)
Cheryl Eavey
Phone: (703) 306- 1729
E-mail: ceavey@nsf.gov
Office of Polar Programs(OPP)
Linda E. Duguay
Phone: (703) 306-1029
E-mail: lduguay@nsf.gov
APPLICABLE CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) NO.:
47.074 (BIO), 47.070 (CISE), 47.041 (ENG), 47.050 (GEO), 47.049
(MPS), 47.075 (SBE), 47.078 (OPP)
ELIGIBILITY
- Limitation on the categories of organizations that are
eligible to submit proposals: U.S. institutions that are
eligible for awards from the National Science Foundation,
including colleges, universities, and other nonprofit research
institutions such as botanical gardens, marine and freshwater
institutes, and natural history museums may submit proposals. The
NSF encourages collaborations with scientists at foreign
institutions; however, primary support for any foreign
participants/activities must be secured through their own
national sources.
- PI eligibility limitations: None
- Limitation on eligible topics: For purposes of this
competition, NSF will not support research on human disease,
including work on the etiology, diagnosis, or treatment of
physical or mental disease, abnormality, or malfunction. Studies
of animal models for such conditions, the design and testing of
drugs or other procedures for their treatment are also not
eligible for support. NSF does not normally support technical
assistance, pilot plant efforts, research requiring security
classification, the development of products for commercial
marketing, or market research for a particular project or
invention.
- Limitation on the number of proposals that may be submitted:
Proposals already submitted to other NSF programs are not
eligible for consideration by this special competition. However,
NSF will simultaneously review proposals submitted to another
Federal agency when both agencies have agreed to joint review and
possible joint funding of the proposal.
AWARD INFORMATION
- Type of award anticipated: Standard and Continuing Grants
- Number of awards anticipated in FY 99: up to 10 awards
- Amount of funds available: Approximately $11 million will be
available for this initiative in FY 1999
- Anticipated date of award: September 1999
PROPOSAL PREPARATION & SUBMISSION INSTRUCTIONS
- Letter of Intent requirements: None
- Pre-proposal requirements: Required
- Proposal Preparation instructions: Standard
- Supplemental full proposal preparation instructions: For
research in Arctic regions, the Arctic Logistics Coordination
form (see NSF-98-72) must accompany all submissions proposing
fieldwork. NSF-UNOLS Ship Time Request Form must accompany all
proposals requesting ship time. For research in the Antarctic,
the Operational Requirements Cover Sheet and necessary worksheets
must be submitted as described in NSF 96-93. For additional
requirements see text of announcement.
BUDGETARY INFORMATION
- Cost sharing/matching requirements: None
- Indirect cost (F&A) limitations: None
- Other budgetary limitations: Funds may not be requested or
used for construction or renovation of facilities.
FASTLANE REQUIREMENTS
- FastLane proposal preparation requirements: FastLane
(http://www.fastlane.nsf.gov) submission required for
preproposals and full proposals
FastLane point of contact: For technical assistance with
FastLane, please send an e-mail message to biofl@nsf.gov.
DEADLINE/TARGET DATES
- Pre-proposal Deadline 5:00 P.M., submitter's local time, March 15, 1999
- Full Proposal Deadline 5:00 P.M., submitter's local time, June 15, 1999
PROPOSAL REVIEW INFORMATION
Merit Review Criteria: Standard National Science Board
approved criteria
AWARD ADMINISTRATION INFORMATION
Special grant conditions anticipated: None
INTRODUCTION
Complexity is a dynamic property of life that arises from the
interaction of living organisms with their environment. Thus,
biological complexity emerges from the functional
interrelationships between biological entities, at all levels of
organization, and the biological, chemical, geological, physical
and social environment, at all levels of aggregation. The
resulting complex natural and anthropogenic systems range from
microscopic to global in scale and in totality comprise the earth
system. Humankind depends upon complex systems for food, fiber,
breathable air, and other vital natural resources. Such systems
also establish the parameters for, and the environments in which
occur, all human economic and social interactions. Consequently,
understanding the role of biological complexity in complex
systems is critical.
Because all biological systems, from molecular to ecosystem
levels, are inherently complex, it has been difficult to
understand their role within, and effect upon, the environmental
systems in which they occur. Fortunately, our ability to study
biological complexity has been enhanced by the advent of powerful
new technologies. Genome sequencing and DNA-chips, new tools in
computational analysis , mathematical and statistical modeling,
robotics, new sensors and monitoring devices, along with
satellite-based imaging of the land and sea - are all
contributing to the flood of data about the Earth's biological
complexity. While the analysis of massive data sets is a crucial
ingredient, data acquisition alone will not enhance our
understanding of biological complexity and its role in complex
systems.
It is apparent that understanding biological complexity requires
a sophisticated approach that addresses integration across
temporal, spatial and conceptual boundaries to identify and
represent design principles and dynamic patterns at multiple
levels of organization and scale. Collaborations involving
scientists from a range of disciplines (e.g. biology, physics,
chemistry, geology, hydrology, social sciences, statistics,
mathematics, computer science and engineering) will be essential
to advance our understanding of biological complexity and its
role in complex environmental systems. These collaborations
should not be constrained by institutional, departmental or
disciplinary boundaries.
PROGRAM DESCRIPTION
In order to encourage the bold and innovative research that can
lead to an enhanced understanding of biocomplexity, the NSF
announces a special competition to support integrated research on
the functional interrelationships between microorganisms and the
biological, chemical, geological, physical, and/or social systems
that jointly comprise complex systems. While microbes, plants,
and animals all contribute to shaping the Earth's biological
complexity, we know the least about microorganisms, defined here
as prokaryotes (archaea and eubacteria) and unicellular
eukaryotes (algae, protozoa, fungi). Therefore, as the first step
in a longer-term effort in this area, projects that explicitly
focus on the role that microorganisms play in structuring or
controlling complex systems are solicited.
Diverse environments that range from frozen polar regions to
volcanic vents, from tropical forests to agricultural lands, as
well as the neighborhoods of urban centers and industrial
fermentation tanks are all appropriate for study. Knowledge of
how microorganisms control or structure the dynamics of these
environments or are controlled by them could have profound
effects on our ability to understand and manage complex systems,
monitor and restore the natural environment, and lead to new
resources for biotechnology.
This competition complements several ongoing activities (Life in
Extreme Environments NSF 99-43, Integrated Research Challenges in
Environmental Biology NSF 99-12, Environmental Geochemistry and
Biogeochemistry NSF 99-9, and Microbial Observatories NSF 99-36)
within the NSF priority area, Life and Earth's Environment, by
supporting larger and longer duration projects in a wider variety
of natural and human environments.
Non-exclusive examples of questions appropriate for research
supported by this competition include:
Does functional redundancy exist in microbes that mediate key
processes involved with carbon and nutrient cycling? And if so,
what is its significance to the resiliency of natural and
anthropogenic systems to stress?
How much does biological variation, from genes to species,
determine environmental heterogeneity in terrestrial, aquatic and
marine systems and result in the patterns observed in regional to
global scale processes?
What are the feedbacks between human social and economic systems
and the distribution and dynamics of important processes mediated
by microbes?
How do chemical, physical and biological factors interact to
organize, control and run "macromolecular machines" (highly
coordinated assemblies of macromolecules that function in even
more complex, ordered structures within cells and on which
fundamental cellular mechanisms such as protein synthesis
depend)?
Do microbes play key roles in the dynamics of the complex systems
involved in human infrastructure (bridges, highways, water
delivery systems etc.) deterioration?
How did the interaction of microbial and geological systems lead
to the expansion and collapse of natural systems through
geological time?
What unifying insights into the functional interrelationships
between microorganisms and their biological, physical, geological
,chemical, and social environments are possible using concepts
such as fractal analysis, chaos, and non-linear dynamics?
ELIGIBILITY
U.S. institutions that are eligible for awards from the National
Science Foundation, including colleges, universities, and other
nonprofit research institutions such as botanical gardens, marine
and freshwater institutes, and natural history museums may submit
proposals. The NSF encourages collaborations with scientists at
foreign institutions; however, primary support for any foreign
participants/activities must be secured through their own
national sources.
For purposes of this competition, NSF will not support research
on human disease, including work on the etiology, diagnosis, or
treatment of physical or mental disease, abnormality, or
malfunction. Studies of animal models for such conditions, the
design and testing of drugs or other procedures for their
treatment are also not eligible for support. NSF does not
normally support technical assistance, pilot plant efforts,
research requiring security classification, the development of
products for commercial marketing, or market research for a
particular project or invention.
Proposals already submitted to other NSF programs are not
eligible for consideration by this special competition. However,
NSF will simultaneously review proposals submitted to another
Federal agency when both agencies have agreed to joint review and
possible joint funding of the proposal.
AWARD INFORMATION
In Fiscal Year 1999, NSF expects to make up to 10 awards from a
total budget of approximately $11 million depending on the
quality of submissions and the availability of funds. Typical
awards are expected to involve two or more institutions, be up to
5 years in duration, and have annual budgets of $500,000 to
$1,000,000. The anticipated date of awards is September 1999.
PROPOSAL PREPARATION AND SUBMISSION INSTRUCTIONS
PREPROPOSALS
A. Preproposal Preparation Instruction
Preproposals to Biocomplexity: Phase I Research on the Functional
Interrelationships Between Microorganisms and Biological,
Chemical, Geological, Physical and Social Systems require
electronic submission via the NSF FastLane system. All page
limits are single-spaced pages prepared in accordance with the
proposal format instructions in the Chapter II, Section C of the
NSF Grant Proposal Guide (GPG), NSF 99-2. The complete text of
the GPG (including electronic forms) is available electronically
on the NSF Web site at: . Paper copies of
the GPG may be obtained from the NSF Publications Clearinghouse,
telephone (301) 947-2722 or by e-mail from pubs@nsf.gov.
Preproposals must contain the following information:
- Cover Page (NSF Form 1207)
1. In the NSF FastLane system read the proposal preparation
instructions located at
http://www.fastlane.nsf.gov/a1/newstan.htm. When completing the
Cover Sheet click on the "Add Org Unit" button. Scroll down and
highlight "Biocomplexity Phase I" and click "OK." Clicking "OK"
designates this program as the NSF organizational unit of
consideration.
NOTE: The BIO Proposal Classification Form (PCF) is not
generated for proposals submitted to this competition.
2. In the box labeled "Program Announcement/Solicitation No."
enter "NSF 99-60" with no additional characters.
3. Insert the "Closing Date" information. The closing date for
preproposals is 03/15/99.
4. Place a check in the box marked "If this is a preproposal
check here."
5. Begin the Project Title with "BIOCOMPLEXITY: ...".
6. In addition to the Principal Investigator (PI) NSF allows up
to 4 individuals to be listed as Co-Principal Investigators (Co-
PIs) on a proposal. Some preproposals may involve more than 5
researchers, however. In this case the additional researchers
can be listed in the Senior Personnel category. (On the
FastLane FORM SELECTOR screen, click on 'Add/Modify Non
Co-PI Senior Personnel')
- Project Summary. Provide a brief description of the
project, identifying the scientific research problems to be
addressed, the methodologies to be used, and the potential
outcomes.
- Project Description. Goals and Objectives (Maximum 3
pages): Discuss the goals, objectives, and anticipated impact of
the proposed project. Make clear that the proposed project is a
research project, that it is multidisciplinary, and that it fits
within the themes contained within this announcement. It is the
nature of the work, not the number of investigators or their
departmental affiliations that makes a project multidisciplinary.
- Budget Outline. Prepare a one-page cumulative budget for
the full duration of the project. The budget need not be
detailed, but should be sufficient for reviewers to grasp the
intended scale of the proposed project. To create a cumulative
budget use the following steps:
1. On the "Budget Selector" screen, click on "New", then "1",
and then "Create".
2. Enter the cumulative budget on the screen provided.
FastLane will print the budget data on a Budget Year 1 page, and
a cumulative page. The Year 1 page will be ignored by the
reviewers.
- Biographical Sketches. For all senior personnel (PI, Co-PI,
other senior personnel; see Appendix C of the NSF Grant Proposal
Guide (GPG), NSF 99-2, for a definition of senior personnel)
provide a brief curriculum vitae including ONLY name, current
address, educational background, and up to 5 publications most
closely related to the research. Do not include Conflict of
Interest Information.
B. Preproposal Submission and Due Date
Preproposals must be submitted via the NSF FastLane system
through the institution's Sponsored Research Office.
Preproposals must be received at NSF by 5:00 p.m., submitter's
local time, March 15, 1999. Upon submission, the Sponsored
Research Office may get warning messages about missing forms.
These messages can be ignored if the above forms are included in
the proposal. It is not necessary to send in a signed Cover
Sheet (Form 1207) for preproposals.
FastLane will assign a number to the preproposal when it is
submitted by your Sponsored Projects Office.
C. Conflicts of Interest
Ensuring that reviewers do not have conflicts of interest can be
difficult when preproposals involve multiple investigators and
multiple institutions. To assist NSF in identifying conflicts of
interest, send the following information to biocom-
conflicts@nsf.gov with your preproposal number included in the
following subject line(e.g. BIOCOMPLEXITY Conflict Information
for 99#####). See the "Preproposal Submission and Due Date"
section above for information on the preproposal assigned number.
1. Project Personnel. List all project personnel in alphabetical
order,in the form last name, first name, role (e.g., Smith,
Jane, consultant).
2. Institutions. List in alphabetical order all institutions
involved in the project.
3. Potential Reviewers with Conflicts of Interest. List in
alphabetical order all persons who have a conflict of interest
with any of the project's senior personnel (PI, Co-PI, other
senior personnel). In particular, list all persons falling into
the conflict of interest categories specified in Chapter II,
Section D.6.c-e of the GPG. Provide this information in the
following format: last name, first name, institution, nature of
conflict, project personnel the conflict is with. For example, if
Thomas Jones of the University of Michigan recently co-authored
an article with Peter Brown, a Co-PI on the proposed project, the
corresponding list entry would read as follows: Jones, Thomas,
University of Michigan, co-author on article, Brown.
The Conflicts of Interest information must be received by 5:00
p.m., submitter's local time, March 17, 1999.
D. Preproposal Review
Preproposals will be evaluated through external peer review by
multidisciplinary panels. Reviewers will evaluate the potential
of the project to be developed into a strong full proposal, in
light of the NSF merit review criteria described in the "Proposal
Review" section of this announcement.
On the basis of the review, NSF will electronically provide
feedback to those whose preproposals were "encouraged for full
submission" by April 20, 1999. Those whose preproposals were
placed in the "discouraged from submitting a full proposal" will
receive feedback via e-mail by May 15, 1999. A summary of the
panel discussion will be provided to both groups. It is strongly
suggested that proposers follow the preproposal review advice if
preparing a full proposal.
FULL PROPOSALS
A. Full Proposal Preparation Instructions
Proposals submitted in response to this program announcement
should be prepared and submitted in accordance with the general
guidelines contained in the Grant Proposal Guide (GPG), NSF 99-2.
The complete text of the GPG (including electronic forms) is
available electronically on the NSF Web site at:
. Paper copies of the GPG may be obtained
from the NSF Publications Clearinghouse, telephone (301) 947-2722
or by e-mail from pubs@nsf.gov.
Proposers are reminded to identify the program announcement
number ( NSF 99-60) in the program announcement/solicitation
block on the NSF Form 1207, "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.
Guidelines are provided for specific sections of the proposal as
follows:
- Cover Sheet (NSF Form 1207)
1. In the NSF FastLane system read the proposal preparation
instructions located at http://www.fastlane.nsf.gov/a1/
newstan.htm. When completing the Cover Sheet click on the
"Add Org Unit" button. Scroll down and highlight
"Biocomplexity Phase I" and click "OK." Clicking "OK"
designates this program as the NSF organizational unit of
consideration.
NOTE: The BIO Proposal Classification Form (PCF) is not
generated for proposals submitted to this competition.
2. Begin the Project Title with "BIOCOMPLEXITY: ...".
3. In the box labeled "Program Announcement/Solicitation No."
enter "NSF 99-60" with no additional characters.
4. In addition to the Principal Investigator (PI) NSF allows up
to 4 individuals to be listed as Co-Principal Investigators (Co-
PIs) on a proposal. Some preproposals may involve more than 5
researchers, however. In this case the additional researchers
can be listed in the Senior Personnel category. (On the
FastLane FORM SELECTOR screen, click on 'Add/Modify Non
Co-PI Senior Personnel')
- Project Description (maximum length 15 pages)
Research Plan: The Research Plan should describe the strategies,
protocols, and timetables to be used in experimental procedures
in sufficient detail to allow informed judgement by expert
reviewers. Include information on the means by which
experimental data will be made available to the research
community and to other users. In particular, specific
arrangements made with other parties for the further exploration
of selected types of discoveries should be spelled out. It is
expected that proposals will take advantage of available
opportunities for meaningful integration of research with
education and outreach activities, and present these as an
integral part of the research plan.
Management Plan: A Management Plan (incorporated within the 15
page Project Description section of the proposal) should identify
a single institution as the lead institution, if the proposal
involves multiple institutions. It should detail the duties and
responsibilities of participants, including identification of a
research team leader (usually the lead PI) and the operation of
associated partners. A discussion of how data, ideas and people
will be networked to facilitate the management, integration and
dissemination of information and the generation of new knowledge
is essential.
- The Special Information and Supplementary Documentation:
This section should include copies of permits, if required, and
letters of agreement from collaborators. For research in Arctic
regions, the Arctic Logistics Coordination form (see NSF-98-72)
must accompany all submissions proposing fieldwork. NSF-UNOLS
Ship Time Request Form must accompany all proposals requesting
ship time. For research in the Antarctic, the Operational
Requirements Cover Sheet and necessary worksheets must be
submitted as described in NSF 96-93.
The above items can be submitted via FastLane by scanning the
documents and adding them at the end of the Project Description
file, or mail 15 collated copies of all materials to the
Biocomplexity Competition at the same time that the signed cover
sheet and certification page are sent. Only documentation as
described in the GPG, Chapter II, Section D.10 and detailed above
is allowed. This information is not counted as part of the 15-
page limit of the Project Description.
- Budgetary Information
Cost Sharing Requirements
Cost sharing is NOT required and thus will not be a factor in the
review. However, if a proposer wishes to include cost sharing,
the following guidelines are provided. The proposed cost sharing
must be shown on line M on the proposal budget (NSF Form 1030.)
The amount of cost sharing must be shown in the proposal in
enough detail to allow NSF to determine its impact on the
proposed project. Documentation of availability of cost sharing
must be included in the proposal.
Only items which would be allowable under the applicable cost
principles, if charged to the project, may be included as the
grantee's contribution to cost sharing. Contributions may be
made from any non-Federal source, including non-Federal grants or
contracts, and may be cash or in-kind (see OMB Circular A-110,
Section 23). It should be noted that contributions counted as
cost sharing toward projects of another Federal agency may not be
counted towards meeting the specific cost-sharing requirements of
the NSF grant.
All cost-sharing amounts are subject to audit. Failure to
provide the level of cost sharing reflected in the approved grant
budget may result in termination of the NSF grant, disallowance
of grant costs and/or refund of grant funds to NSF.
B. Full Proposal Due Dates
Full proposals MUST be sent by 5:00 p.m., submitter's local time,
June 15, 1999 via the NSF FastLane system. Copies of the signed
proposal cover sheet must be submitted in accordance with the
instructions identified below. Do not mail copies of the full
proposal. NSF will make the appropriate number of copies of the
proposal.
Mail the following materials directly to the Biocomplexity Phase
I competition:
- a paper copy of the cover sheet, including the completed
certification page ( page 2 of 2) signed by the PI and all Co-PIs
and by an institutional representative; and
- fifteen (15) collated copies of the Special Information and
Supplementary Documentation material only if the PI has opted to
send in hard copy instead of inserting scanned copies at the end
of the Project Description file in the FastLane submission.
The grantee is responsible for ensuring that the materials are
received by June 22, 1999.
Send materials to:
Biocomplexity: Phase I -- NSF 99-60
Division of Environmental Biology
National Science Foundation
4201 Wilson Boulevard
Room 635
Arlington, VA 22230
FASTLANE SUBMISSION
In order to use NSF FastLane to prepare and submit a proposal,
you must have the following software: Netscape Navigator 3.0 or
above, or Microsoft Internet Explorer 4.01 or above; Adobe
Acrobat Reader 3.0 or above for viewing PDF files; and Adobe
Acrobat 3.X or Aladdin Ghostscript 5.10 or above for converting
files to PDF.
To use FastLane to prepare the proposal your institution needs to
be a registered FastLane institution. A list of registered
institutions and the FastLane registration form are located on
the FastLane Home Page. To register an organization, authorized
organizational representatives must complete the registration
form. Once an organization is registered, PIN for individual
staff are available from the organization's sponsored projects
office.
To access FastLane, go to the NSF Web site at http://www.nsf.gov,
then select "FastLane," or go directly to the FastLane home page
at http://www.fastlane.nsf.gov/. On the FastLane home page click
on "Proposal Preparation" and enter your login information, then
click on the "Proposal Preparation" button. On the "PI
Information" screen, review your information, then scroll down to
the bottom of the screen and select "Prepare Standard Proposal"
and click on "OK". Read the "PI Tipsheet for Proposal
Preparation" and the "Frequently Asked Questions about FastLane
Proposal Preparation," accessible at
https://www.fastlane.nsf.gov/a1/A1Prep.htm.
IMPORTANT NOTE: For technical assistance with FastLane, please
send an e-mail message to biofl@nsf.gov.
PROPOSAL REVIEW INFORMATION
A. Merit Review Criteria
Review of pre-proposals and full proposals submitted to NSF are
solicited from peers with expertise in the substantive area of
the proposed research or education project. These reviewers are
selected by Program officers charged with the oversight of the
review process. NSF invites the proposer to suggest at the time
of full proposal submission, the names of appropriate or
inappropriate reviewers. Care is taken to ensure that reviewers
have no conflicts with the proposer. Special efforts are made to
recruit reviewers from non-academic institutions, minority
serving institutions, adjacent disciplines to that principally
addressed in the proposal, etc.
Proposals will be reviewed against the following general merit
review criteria established by the National Science Board.
Following each criterion are potential considerations that the
reviewer may employ in the evaluation. These are suggestions and
not all will apply to any given proposal. Each reviewer will be
asked to address only those that are relevant to the proposal and
for which he/she is qualified to make judgments.
What is the intellectual merit of the proposed activity?
How important is the proposed activity to advancing knowledge and
understanding within its own field or across different fields?
How well qualified is the proposer (individual or team) to
conduct the project? (If appropriate, the reviewer will comment
on the quality of prior work.) To what extent does the proposed
activity suggest and explore creative and original concepts? How
well conceived and organized is the proposed activity? Is there
sufficient access to resources?
What are the broader impacts of the proposed activity?
How well does the activity advance discovery and understanding
while promoting teaching, training, and learning? How well does
the proposed activity broaden the participation of
underrepresented groups (e.g., gender, ethnicity, disability,
geographic, etc.)? To what extent will it enhance the
infrastructure for research and education, such as facilities,
instrumentation, networks, and partnerships? Will the results be
disseminated broadly to enhance scientific and technological
understanding? What may be the benefits of the proposed activity
to society?
Integration of Research and Education
One of the principal strategies in support of NSF's goals is to
foster integration of research and education through the
programs, projects and activities it supports at academic and
research institutions. These institutions provide abundant
opportunities where individuals may concurrently assume
responsibilities as researchers, educators, and students and
where all can engage in joint efforts that infuse education with
the excitement of discovery and enrich research through the
diversity of learner perspectives. PIs should address this issue
in their proposal to provide reviewers with the information
necessary to respond fully to both NSF merit review criteria.
NSF staff will give it careful consideration in making funding
decisions.
Integrating Diversity into NSF Program, Projects, and Activities
Broadening opportunities and enabling the participation of all
citizens -- women and men, underrepresented minorities, and
persons with disabilities -- are essential to the health and
vitality of science and engineering. NSF is committed to this
principle of diversity and deems it central to the programs,
projects, and activities it considers and supports. PIs should
address this issue in their proposal to provide reviewers with
the information necessary to respond fully to both NSF merit
review criteria. NSF staff will give it careful consideration in
making funding decisions.
B. Merit Review Process
Most of the proposals submitted to NSF are reviewed by mail
review, panel review, or some combination of mail and panel
review. Pre-proposals submitted in response to this announcement
will receive panel review only. The panel will evaluate each
proposal and be asked to recommend either "full proposal should
be encouraged" or "full proposal should not be encouraged". By
April 20, 1999, NSF will e-mail the principal investigators of
those proposals the panel recommended for full proposal
development. All others that submitted pre-proposals will be
notified by May 15, 1999.
All full proposals will be reviewed by mail and panel review.
Each proposal will be carefully reviewed by at least three other
persons outside NSF who are experts in the particular field
represented by the proposal. Reviewers will be asked to
formulate a recommendation to either support or decline each
proposal. A program officer assigned to manage the proposal's
review will consider the advice of reviewers and will formulate a
recommendation. In most cases, proposers will be contacted by
the program officer after his or her recommendation to award or
decline funding has been approved by his or her supervisor, the
division director. This informal notification is not a guarantee
of an eventual award. NSF will be able to tell applicants
whether their proposals have been declined or recommended for
funding within six months for 95 percent of proposals in this
category. In those cases where a proposal is being considered
for joint funding by separate divisions, directorates, or
agencies, NSF will be able to inform applicants within nine
months in 95 percent of proposals. The time interval begins on
the proposal deadline or target date or from the date of receipt,
if deadlines or target dates are not used by the program. The
interval ends when the division director accepts the program
officer's recommendation.
In all cases, after final programmatic approval has been
obtained, award recommendations are then 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 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 an 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 Officer does so at its own
risk.
AWARD ADMINISTRATION INFORMATION
A. Notification of the Award
Notification of the award is made to the submitting organization
by a Grants and Agreements Officer in the Division of Grants and
Agreements (DGA). Organizations whose proposals are declined
will be advised as promptly as possible by the cognizant NSF
Program Division administering the program. Verbatim copies of
reviews, not including the identity of the reviewer, will be
provided automatically to the Principal Investigator.
B. Grant Award Conditions
An NSF grant consists of: (1) the award letter, which includes
any special provisions applicable to the grant 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 grant conditions, such as Grant
General Conditions (NSF GC-1)* or Federal Demonstration
Partnership Phase III (FDP) Terms and Conditions* and (5) any NSF
brochure, program guide, announcement or other NSF issuance that
may be incorporated by reference in the award letter. Electronic
mail notification is the preferred way to transmit NSF grants to
organizations that have electronic mail capabilities and have
requested such notification from the Division of Grants and
Agreements.
* These documents may be accessed electronically on NSF's Web
site at: http://www.nsf.gov/. Paper copies may be obtained from
the NSF Publications Clearinghouse, telephone
(301) 947-2722 or by e-mail from pubs@nsf.gov.
More comprehensive information on NSF Award Conditions is
contained in the NSF Grant Policy Manual (GPM) Chapter II, (NSF
95-26) available electronically on the NSF Web site. The GPM
also is available in paper copy by subscription from the
Superintendent of Documents, Government Printing Office,
Washington, DC 20402. The GPM may be ordered through the GPO
Web site at: http://www.gpo.gov.
C. Reporting Requirements
For all multi-year grants (including both standard and continuing
grants), the PI must submit an annual project report to the
cognizant Program Officer at least 90 days before the end of the
current budget period.
Within 90 days after expiration of a grant, the PI also is
required to submit a final project report. Approximately 30 days
before expiration, NSF will send a notice to remind the PI of the
requirement to file the final project report. Failure to provide
final technical reports delays NSF review and processing of
pending proposals for that PI. PIs should examine the formats of
the required reports in advance to assure availability of
required data.
NSF has implemented a new electronic project reporting system,
available through FastLane, which permits electronic submission
and updating of project reports, including information on:
project participants (individual and organizational); activities
and findings; publications; and, other specific products and
contributions. Reports will continue to be required annually and
after the expiration of the grant, but PIs will not need to re-
enter information previously provided, either with the proposal
or in earlier updates using the electronic system.
Effective October 1, 1998, PIs are required to use the new
reporting format for annual and final project reports. PIs are
strongly encouraged to submit reports electronically via
FastLane. For those PIs who cannot access FastLane, paper copies
of the new report formats may be obtained from the NSF
Clearinghouse as specified above. NSF expects to require
electronic submission of all annual and final project reports via
FastLane beginning in October, 1999.
D. New Awardee Information.
If the submitting organization has never received an NSF award,
it is recommended that the organization's appropriate
administrative officials become familiar with the policies and
procedures in the NSF Grant Policy Manual which are applicable to
most NSF awards. The "Prospective New Awardee Guide" (NSF 97-
100) includes information on: Administration and Management
Information; Accounting System Requirements and Auditing
Information; and Payments to Organizations with Awards. This
information will assist an organization in preparing documents
that NSF requires to conduct administrative and financial reviews
of an organization. The guide also serves as a means of
highlighting the accountability requirements associated with
Federal awards. This document is available electronically on
NSF's Web site at: .
CONTACTS FOR ADDITIONAL INFORMATION
Inquiries regarding this announcement should be directed to one
of the following cognizant NSF officials:
Biological Sciences( BIO)
Joann Roskoski
Phone: (703) 306-1480
E-mail jroskosk@nsf.gov
Computer and Information Science and Engineering (CISE)
Maria Zemankova
Phone (703) 306-1125
E-mail mzemanko@nsf.gov
Engineering (ENG)
Janie M. Fouke
Phone: (703) 306-1320
E-mail: jfouke@nsf.gov
Geosciences (GEO)
Phillip R. Taylor
Phone: (703) 306-1587
E-mail: prtaylor@nsf.gov
Mathematical & Physical Sciences (MPS)
Marge Cavanaugh
Phone (703) 306-1842
E-mail mcavanau@nsf.gov
Social, Behavioral and Economic Sciences (SBE)
Cheryl Eavey
Phone (703) 306- 1729
E-mail ceavey@nsf.gov
Office of Polar Programs (OPP)
Linda E. Duguay
Phone: (703) 306-1029
E-mail: lduguay@nsf.gov
OTHER PROGRAMS OF INTEREST
The NSF Guide to Programs is a compilation of funding
opportunities for research and education in science, mathematics,
and engineering. General descriptions of NSF programs, research
areas, and eligibility information for proposal submission are
provided in each chapter. Beginning in fiscal year 1999, the NSF
Guide to Programs only will be available electronically. Many NSF
programs offer announcements concerning specific proposal
requirements. To obtain additional information about these
requirements, contact the appropriate NSF program offices listed
in Appendix A of the GPG.
Any changes in NSF's fiscal year programs occurring after press
time for the Guide to Programs will be announced in the NSF E-
Bulletin, available electronically on the NSF Web site at:
. Subscribers can also sign up for NSF's
Custom News Service to find out what funding opportunities are
available.
ABOUT THE NATIONAL SCIENCE FOUNDATION
The National Science Foundation (NSF) funds research and
education in most fields of science and engineering. Grantees
are wholly responsible for conducting their project activities
and preparing the results for publication. Thus, the Foundation
does not assume responsibility for such findings or their
interpretation.
NSF welcomes proposals from all qualified scientists, engineers,
and educators. The Foundation strongly encourages women,
minorities, and persons with disabilities to compete fully in its
programs. In accordance with federal statutes, regulations, and
NSF policies, no person on grounds of race, color, age, sex,
national origin, or disability shall be excluded from
participation in, be denied the benefits of, or be subjected to
discrimination under any program or activity receiving financial
assistance from NSF. Some programs may have special requirements
that limit eligibility.
Facilitation Awards for Scientists and Engineers with
Disabilities (NSF 91-54) provide funding for special assistance
or equipment to enable persons with disabilities (investigators
and other staff, including student research assistants) to work
on NSF-supported projects. (For more information, see Section
V.G.)
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 regarding NSF programs,
employment, or general information. TDD may be accessed at (703)
306-0090; FIRS at 1-800-877-8339.
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; 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 review
process; to applicant 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 needing
information as part of the review process or in order to
coordinate programs; 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," 63 Federal
Register 267 (January 5, 1998), and NSF-51, "Reviewer/Proposal
File and Associated Records," 63 Federal Register 268 (January 5,
1998). Submission of the information is voluntary. Failure to
provide full and complete information, however, may reduce the
possibility of receiving an award.
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 this burden
estimate and any other aspect of this collection, of information,
including suggestions for reducing this burden, to: Suzanne
Plimpton, Reports Clearance Officer; Division of Administrative
Services; National Science Foundation; Arlington, VA 22230.
YEAR 2000 REMINDER
In accordance with NSF Important Notice No. 120 dated June 27,
1997, Subject: Year 2000 Computer Problem, NSF awardees are
reminded of their responsibility to take appropriate actions to
ensure that the NSF activity being supported is not adversely
affected by the Year 2000 problem. Potentially affected items
include computer systems, databases, and equipment. The National
Science Foundation should be notified if an awardee concludes
that the Year 2000 will have a significant impact on its ability
to carry out an NSF-funded activity. Information concerning Year
2000 activities can be found on the NSF Web site at
http://www.nsf.gov/oirm/y2k/start.htm.
OMB No. 3145-0058
P.T. 04, 22, 34
K.W. 1010000, 1002000, 1004000, 0600000, 0501000
CFDA: 47.074 (BIO), 47.070 (CISE), 47.041 (ENG), 47.050 (GEO),
47.049 (MPS), 47.075 (SBE), 47.078 (OPP)
NSF 99-60 (Electronic Dissemination Only)