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Summary of Program Requirements

Applicable Catalog of Federal Domestic Assistance (CFDA) No.: 47.049 --- Mathematical and Physical Sciences

• Limitation on the categories of organizations that are eligible to submit proposals:

Proposals may be submitted by universities, colleges and non-profit, non-academic organizations in support of individual investigators or small groups

• Anticipated type of award: Standard Grant
• Number of awards anticipated: About 30 awards per year, depending on availability of funds
• Amount of funds available: $450K pending the availability of funds

• Letter of Intent requirements: None
• Preproposal requirements: None
• Proposal preparation instructions: Standard NSF Grant Proposal Guide instructions
• Supplemental proposal preparation instructions: None
• Deviations from standard (GPG) proposal preparation instructions: None

• FastLane proposal preparation requirements: Full proposal required
• FastLane point of contact: LaVern Friels, Computer Specialist, DMS, Room 1025, telephone: (703)292-4854, e-mail: lfriels@nsf.gov

• Letter of Intent Due Date(s): None
• Preproposal Due Date(s): None
• Full Proposal Due Date(s): None

Proposal Review Information

• Merit Review Criteria: National Science Board approved criteria. Additional merit review considerations apply. Please see the full program announcement/solicitation for further information.

• Award Conditions: Standard NSF award conditions apply
• Reporting Requirements: Standard NSF Reporting Requirements apply

A. Notification of the Award
B. Award Conditions
C. Reporting Requirements

A. Proposal Preparation Instructions
B. Budgetary Information
C. Deadline/Target Dates
D. FastLane Requirements

A. NSF Proposal Review Process
B. Review Protocol and Associated Customer Service Standard

The Division of Mathematical Sciences (DMS) of the National Science Foundation (NSF) supports research, education, and infrastructure for the mathematical sciences in a variety of modes, including support for conferences, workshops and related activities. These activities provide exposure for scholarly work, encourage graduate students and postdoctoral scientists early in their careers, and they influence the sense of participation, the concept of a role model, and the perception of current opportunities in a given scientific field.

The National Science Foundation is committed to strengthening and enriching the science personnel base of our nation. Organizers of research workshops, conferences and special research years are encouraged to contribute to fulfilling this commitment. Currently, women, minorities, and persons with disabilities are under-represented among our nation's science personnel. The Division of Mathematical Sciences expects organizers of research conferences to be attentive to these concerns. How these human resource issues are addressed in the proposal description will be one of the factors used in reaching a recommendation on the proposed project. In addition, the Foundation requires that conferences or meetings, including the facilities in which they are held, funded in whole or in part with NSF funds, must be accessible to participants with disabilities.

The Division of Mathematical Sciences supports a variety of conferences, workshops and related activities that are submitted as proposals from principal investigators. Conferences will be supported only if equivalent results cannot be obtained at regular meetings of the professional societies. Requests for support for these activities ordinarily originate with educational institutions or professional scientific societies. The DMS will support activities under this solicitation with typical awards ranging between $10,000 and $20,000. Requests must follow the general format of the latest version of the Grant Proposal Guide (GPG) and be submitted through FastLane.

The Division of Mathematical Sciences funding priorities are the following:

Participation in research conferences is one way for mathematical scientists to remain involved in research activities. Those conference proposals which dedicate a substantial portion of the budget to ensure the participation of individuals who have no other source of federal support will have a high priority.

Conference proposals which contribute to the Foundation's effort to enlarge the science personnel base of the nation by including students and recent doctoral recipients, women, minorities and persons with disabilities among the invited speakers and/or participants will have a high priority.

Conference proposals that are linked to National Science Foundation research priorities, Federal initiatives or strategic areas, especially by providing opportunities for mathematical scientists to learn how they may contribute to these activities and/or to participate in multidisciplinary projects will have a high priority.

In general, funding to support participation in conferences held abroad has been very limited.

Historically, about 30 research conferences have been supported each year under these guidelines. These conferences varied widely in size and scope, as did the amount of the award. The average size of an award was $10,000.

A. Requests for international travel by groups of mathematical scientists ordinarily originate with educational institutions or professional scientific societies. The Division of Mathematical Sciences will not consider individual requests for support of international travel. Shared support by several federal agencies, states, or private organizations is permissible and encouraged.

B. The proposal should be submitted 12 months before the intended travel is to occur in order that sufficient time is available to make travel plans if a grant is awarded.

C. The proposal should discuss the scientific merits of the activity for which travel funds are requested, how the availability of travel funds would be announced, how the funds would be allocated, and who would make the allocation decisions. The remaining content of the proposal should conform to that of a conference proposal with the obvious modifications, especially in the budget.

D. In addition to the NSF merit review criteria, the proposal will be evaluated on the potential impact the proposed travel will have on the nation's science personnel base, especially with regard to recent doctoral recipients, graduate students, women, minorities, and persons with disabilities. Historically, only two to three requests for group travel to international conferences or meetings have been funded per year. Other opportunities for cooperation between U.S. mathematical scientists and those of other countries are provided by the Division of International Programs (INT) at NSF. For additional detailed information, consult the INT Program Guidelines entitled "International Opportunities for Scientists and Engineers" at http://www.nsf.gov/cgi-bin/getpub?nsf9614.

A. Requests for support for an academic year or semester dedicated to a specific topic, withsymposia given by visiting specialists, ordinarily originate with educational institutions.

C. The proposal contents, review process, evaluation criteria, and priorities will be the same as those listed for general research conferences/workshops.

D. Proposals for special year activities have to include cost-sharing of thirty-five percent of the total amount of NSF requested funds. Historically, one to three special year projects are supported each year. The size of the award depends upon the scope of the activities. Special year activities often include a research conference or workshop.

The DMS will support activities under this solicitation with typical awards ranging between $10,000 and $20,000. NSF anticipates funding approximately 30 standard grants in FY 2001 pending the availability of funds.

The DMS will support activities under this solicitation with typical awards ranging between $10,000 and $20,000.

While there no specific deadlines for these proposals, FASTLANE copies of the proposals should be received at least 12 months in advance of the proposed activity. The proposal must be made and submitted to NSF according to the normal procedures for proposals identified in the Grant Proposal Guide.

Proposals may be submitted by universities, colleges and non-profit, non-academic organizations in support of individual investigators or small groups. Synergistic collaboration among researchers and collaboration or partnerships with industry or government laboratories is encouraged when appropriate. Group and collaborative proposals involving more than one institution must be submitted as a single administrative package from one of the institutions involved. Due to the limited availability of funds, prospective applicants are strongly urged to contact an appropriate program officer. A list of DMS program directors can be found at DMS Homepage (http://www.nsf.gov/mps/dms/start.htm).

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 (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. The telephone number at GPO for subscription information is 202.512.1800.

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.

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 99-78) includes information on Administrative and Management Information; Accounting System Requirements and Auditing Information; and Payments to Organizations with NSF 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: http://www.nsf.gov/cgi-bin/getpub?nsf9978.

A. Proposal Preparation Instructions

Proposals submitted in response to this program announcement/solicitation should be prepared and submitted in accordance with the general guidelines contained in the NSF Grant Proposal Guide (GPG) (NSF 00-2). The complete text of the GPG (including electronic forms) is available electronically on the NSF Web Site at: http://www.nsf.gov/pubs/2000/nsf002/start.htm. 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/solicitation number (Not Specified) 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.

B. Budgetary Information

Cost sharing is required for special year proposals only at a level of thirty-five percent of the requested total amount of NSF funds. The proposed cost sharing must be shown on line M on the proposal budget (NSF Form 1030). Documentation of the 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 in the awardee’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 award.

All cost sharing amounts are subject to audit. Failure to provide the level of cost sharing reflected in the approved award budget may result in termination of the NSF award, disallowance of award costs and/or refund of award funds to NSF.

Indirect Cost (F&A) Limitations: No indirect costs may be charged to these grants (cf. GPG 00-2, Ch.5, Section B)

Other Budgetary Limitations: Typical conference or workshop awards range from $10,000 to $20,000

C. Deadline/Target Dates

Proposals submitted in response to this announcement/solicitation will be accepted at any time.

DEADLINE DATE: VARIES, SEE "PROPOSAL DUE DATES"

D. FastLane Requirements

Proposers are required to prepare and submit all proposals for this Program Solicitation through the FastLane system. Detailed instructions for proposal preparation and submission via FastLane are available at: http://www.fastlane.nsf.gov/a1/newstan.htm. For FastLane user support, call 1-800-673-6188.

Submission of Signed Cover Sheets. The signed copy of the proposal Cover Sheet (NSF Form 1207) must be postmarked (or contain a legible proof of mailing date assigned by the carrier) within five working days following proposal submission and be forwarded to the following address:

National Science Foundation
DIS - FastLane Cover Sheet
4201 Wilson Blvd.
Arlington, VA 22230

A. NSF Proposal Review Process

Reviews of 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 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, or adjacent disciplines to that principally addressed in the proposal.

Proposals will be reviewed against the following general 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 judgements.

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 the 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?

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?

Principal Investigators should address the following elements in their proposal to provide reviewers with the information necessary to respond fully to both of the above-described NSF merit review criteria. NSF staff will give these elements careful consideration in making funding decisions.

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 learning perspectives.

Broadening opportunities and enabling the participation of all citizens - women and men, underrepresented minorities, and persons with disabilities - is 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.

• the potential impact of the proposed activity on fundamental advances in the given area(s) of the mathematical sciences and, where appropriate, the relevance of the mathematical sciences activity to other areas or disciplines;
• the timeliness of the activity;
• the appropriateness of the invited speakers and participants;
• the capability of the principal investigator (and/or organizing committee) to organize and manage an activity of excellent scientific quality;
• the extent of ensuring the participation of junior mathematical scientists, including post doctoral researchers and graduate students;
• the involvement of members of underrepresented groups;
• the adequacy of the institutional resources and commitment to the activity;
• the national, regional, or institutional impact of the activity;
• the overlap with similar recent or planned activities.
• the international travel proposals will also be evaluated on the potential impact the proposed travel will have on the nation's science personnel base, especially with regard to recent doctoral recipients, graduate students, women, minorities, and persons with disabilities.

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 mailed 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 Protocol and Associated Customer Service Standard

In accordance with NSF practices all proposals submitted in response to this announcement/solicitation will be either reviewed internally by program officers at NSF or externally using mail or panel review. Proposals submitted in response to this announcement generally will be reviewed internally by the DMS program officers.

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.

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. 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 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 its own risk.

General inquiries should be made to the CONFERENCES, INTERNATIONAL TRAVEL,WORKSHOPS AND SPECIAL YEARS IN THE MATHEMATICAL SCIENCES Program: Appropriate Program Officer (see DMS Homepage http://www.nsf.gov/mps/dms/start.htm).

The NSF Guide to Programs is a compilation of funding for research and education in science, mathematics, and engineering. The NSF Guide to Programs is available electronically at http://www.nsf.gov/cgi-bin/getpub?gp. General descriptions of NSF programs, research areas, and eligibility information for proposal submission are provided in each chapter.

Many NSF programs offer announcements or solicitations 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, which is updated daily on the NSF web site at http://www.nsf.gov/home/ebulletin, and in individual program announcements/solicitations. Subscribers can also sign up for NSF's Custom News Service (http://www.nsf.gov/home/cns/start.htm) to be notified of new funding opportunities that become available.

OTHER PROGRAMS OF INTEREST

Research Conferences Organized by Professional Societies The Division of Mathematical Sciences has in the past supported fully or in part a yearly series sponsored by the American Mathematical Society (AMS), the Institute of Mathematical Statistics (IMS), and the Society for Industrial and Applied Mathematics (SIAM): The AMS-IMS-SIAM Summer Research Conferences in the Mathematical Sciences are located at different university sites and are intended to provide an environment where cutting edge research receives the intense scrutiny of its practitioners. The topics and organizers for the conferences are selected by the AMS-IMS-SIAM Committee on Joint Summer Research Conferences. This committee has considered it important that the conferences represent diverse areas of mathematical activity, with emphasis on areas that are at present important in mathematical research. Projects having an interdisciplinary impact receive special attention.

Proposals for the Joint Summer Research Conferences should be submitted to the American Mathematical Society approximately 18 months prior to the scheduled conference with a deadline of February 1. Complete information on submitting a proposal for a conference is available at http://www.ams.org/meetings/topics.html or by contacting Dr. James W. Maxwell, American Mathematical Society, 401-455-4101, jwm@ams.org.

NSF reviews proposals for continuation of the series of workshops, rather than for the individual conferences.

The National Science Foundation (NSF) funds research and education in most fields of science and engineering. Awardees are wholly responsible for conducting their project activities andpreparing 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 Foundationstrongly encourages women, minorities and persons with disabilities to compete fully in itsprograms. In accordance with Federal statutes, regulations and NSF policies, no person ongrounds of race, color, age, sex, national origin or disability shall be excluded from participationin, be denied the benefits of, or be subjected to discrimination under any program or activity receiving financial assistance from NSF (unless otherwise specified in the eligibility requirements for a particular program).

Facilitation Awards for Scientists and Engineers with Disabilities (FASED) provide funding forspecial assistance or equipment to enable persons with disabilities (investigators and other staff,including student research assistants) to work on NSF-supported projects. See the programannouncement/solicitation or contact the program coordinator at (703) 292-4674.

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, FIRS at 1-800-877-8339.

The National Science Foundation is committed to making all of the information we publish easy to understand. If you have a suggestion about how to improve the clarity of this document or other NSF-published materials, please contact us at plainlanguage@nsf.gov.

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 proposal 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.

Pursuant to 5 CFR 1320.5(b), an agency may not conduct or sponsor, and a person is not required to respond to an information collection unless it displays a valid 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 this burden estimate and any other aspect of this collection of information, including suggestions for reducing this burden, to: Suzanne Plimpton, Reports Clearance Officer, Information Dissemination Branch, Division of Administrative Services, National Science Foundation, Arlington, VA 22230, or to Office of Information and Regulatory Affairs of OMB, Attention: Desk Officer for National Science Foundation (3145-0058), 725 - 17th Street, N.W. Room 10235, Washington, D.C. 20503.

OMB control number: 3145-0058.