Title: Grants for the Analysis of Science and Technology (S&T) Resources Date: 08/14/02 Replaced: NATIONAL SCIENCE[Image] [NSF Logo] FOUNDATION Grants for the Analysis of Science and Technology (S&T) Resources Program Announcement NSF 02-165 Division of Science Resources Statistics Full Proposal Deadline(s): September 18, 2002 Sept. 18 of every year (5:00 pm locally your time, annually) SUMMARY OF PROGRAM REQUIREMENTS General Information Program Title: Grants for the Analysis of Science and Technology (S&T) Resources S&T Workforce, Funding, Impacts, Outputs, and International Studies Synopsis of Program: The Division of Science Resources Statistics (SRS) of the National Science Foundation (NSF) is responsible for the development of statistical data, quantitative analysis, and indicators pertaining to the Nation's scientific and technological (S&T) endeavors. SRS uses this information to prepare a number of analytical reports including the National Science Board's biennial report, Science and Engineering (S&E) Indicators; Women, Minorities and Persons with Disabilities in Science and Engineering; and National Patterns of R&D Resources. As part of the Division's analytical and statistical efforts, SRS supports efforts by the research community to develop improved approaches to indicators construction and presentation, development of new S&T indicators, analytical or theoretical work on S&T policy-relevant issues, strengthening the methodologies to collect, analyze, and disseminate S&T statistical data through surveys, censuses, and use of administrative records, and better understanding of the U.S. and global S&T enterprise. To that end, SRS invites proposals for research, workshops, and studies under its Grants for the Analysis of Science and Technology Resources. (This grants program supercedes the "Program for the Analysis of Science and Technology Resources.") Cognizant Program Officer(s): * Derek Hill, Analyst, Directorate for Social, Behavioral & Economic Sciences, Division of Science Resources Statistics, 965 S, telephone: (703) 292-8774, fax: (703) 292-9092, email: dhill@nsf.gov * Eileen L. Collins, Senior Assessment Studies Manager, Directorate for Social, Behavioral & Economic Sciences, Division of Science Resources Statistics, 965 S, telephone: (703) 292-7768, fax: (703) 292-9092, email: ecollins@nsf.gov Applicable Catalog of Federal Domestic Assistance (CFDA) Number(s): * 47.075 --- Social, Behavioral and Economic Sciences Eligibility Information * Organization Limit: Proposals may be submitted by colleges, universities, and nonprofit or commercial organizations, or combinations of such organizations. Awards to individuals without organizational affiliation are rare but not precluded. Individuals intending to submit a proposal are encouraged to contact the appropriate program officer well before the proposal's formal submission. * PI Eligibility Limit: None Specified. * Limit on Number of Proposals: None Specified. Award Information * Anticipated Type of Award: Standard Grant * Estimated Number of Awards: 4 * Anticipated Funding Amount: $425,000.00 subject to the availability of funds. Proposal Preparation and Submission Instructions A. Proposal Preparation Instructions * Full Proposal Preparation Instructions: Standard Preparation Guidelines o Standard GPG Guidelines apply. B. Budgetary Information * Cost Sharing Requirements: Statutory Cost Sharing (1%) is required. * Indirect Cost (F&A) Limitations: Not Applicable. * Other Budgetary Limitations: Not Applicable. C. Due Dates * Full Proposal Deadline Date(s): September 18, 2002 Sept. 18 of every year (5:00 pm locally your time, annually) D. FastLane Requirements * FastLane Submission: Full proposal submission is required. * FastLane Contact(s): o Barbara B. Mitchell, Administrative Officer, Directorate for Social, Behavioral & Economic Sciences, Division of Science Resources Statistics, 965 S, telephone: (703) 292-7349, fax: (703) 292-9092, email: bmitchel@nsf.gov o Deborah A. Collins, Survey Operations Specialist, Directorate for Social, Behavioral & Economic Sciences, Division of Science Resources Statistics, 965 S, telephone: (703) 292-7804, fax: (703) 292-9092, email: dcollins@nsf.gov Proposal Review Information * Merit Review Criteria: National Science Board approved criteria. Additional merit review considerations apply. Please see the full funding opportunity document for further information. Award Administration Information * Award Conditions: Standard NSF award conditions apply. * Reporting Requirements: Standard NSF reporting requirements apply. TABLE OF CONTENTS Summary of Program Requirements I. Introduction II. Program Description III. Eligibility Information IV. Award Information V. Proposal Preparation and Submission Instructions A. Proposal Preparation Instructions B. Budgetary Information C. Due Dates D. FastLane Requirements VI. Proposal Review Information A. NSF Proposal Review Process B. Review Protocol and Associated Customer Service Standard VII. Award Administration Information A. Notification of the Award B. Award Conditions C. Reporting Requirements VIII.Contacts for Additional Information IX. Other Programs of Interest I. INTRODUCTION The Division of Science Resources Statistics (SRS) of the National Science Foundation (NSF) is responsible for the development of statistical data, quantitative analysis, and indicators pertaining to the Nation's scientific and technological (S&T) endeavors. SRS uses this information to prepare a number of analytical reports including the National Science Board's biennial report, Science and Engineering (S&E) Indicators, Women, Minorities and Persons with Disabilities in Science and Engineering; as well as the report, National Patterns of R&D Resources. As part of the Division's analytical and statistical efforts, SRS supports efforts by the research community to advance work in the development, understanding, and quality of S&T indicators and data. NSF makes a small number of awards each year, with an annual budget of about $425,000, pending availability of funds. Proposals are evaluated by mail review of experts knowledgeable in the field followed by assessment by an internal panel of senior SRS staff. Proposals are evaluated on the NSF review criteria of intellectual merit and broader impact of the proposed activity. Additionally, proposals are evaluated on their relevance to SRS program goals and their prospect of improving the development, quality, or understanding of S&T indicators. II. PROGRAM DESCRIPTION SRS welcomes proposals for research, workshops and studies to advance the development, understanding, and quality of S&T indicators and data. Research could include improved approaches to indicator construction and presentation, new S&T indicator development, strengthening of methodologies to improve the surveys of S&T data, analytical or theoretical work on S&T policy relevant issues, and better understanding of the S&T enterprise in the United States and globally under its Grants for the Analysis of Science and Technology Resources. SRS encourages proposals that analyze SRS data or SRS data in conjunction with those from other sources, but does not limit the work to the analysis of the data it collects (This grants program supercedes the "Program for the Analysis of Science and Technology Resources." There is no difference between the programs except for the name change.) AREAS OF INTEREST Potential topics for consideration include but are not limited to: Developing new and improved indicators and advances in the analysis, understanding and interpretation of existing indicators of the inputs, outputs, linkages and social or economic impacts of Science and Technology (S&T) activities; Conducting studies that examine improved methods of presenting complex statistical analysis in an accessible, indicator format - either in hardcopy or electronic form. This could include studies that examine various reports in "indicator" formats and develop new approaches for potential use in Science and Engineering Indicators reports, or historical reviews of approaches to presenting indicators that build on previous styles to develop suggestions for new generations of policy indicators; Working towards theoretical and practical advances in the development and presentation of quantitative and qualitative indicators in the social and economic sciences, especially as they relate to science and technology resources. This can include studies that examine the theoretical and practical underpinnings of indicators to improve understanding of the identification, selection and development of S&E indicators from the vast array of available statistical information as well as the development of entirely new quantitative data series and S&E indicators; Improving analytical techniques to produce better indicators of issues related to: (1) the education and retention of scientists and engineers including minorities and women, (2) the demand and supply of Science Technology (S/T) personnel such as Science, Engineering and Technology (SE&T) personnel in information technologies, and (3) research and development (R&D) expenditures in various sectors and fields and countries including emerging fields, and (4) estimates of current and near-term future S&T resources; Developing data, analyses, and indicators of the globalization of science, engineering and technology and analyses leading to a better understanding of the emerging global economy. This could include, for example, international comparisons of S&T capabilities and activities, including inputs, outputs, and impacts and interactions; indicators of international education and mobility of scientists and engineers; as well as foreign investment in S&T activities; Improving the methodologies to collect, analyze, and disseminate statistical data through surveys, censuses, and use of administrative records. Such studies could include research on survey design or quality of surveys conducted by SRS or other organizations. Studies of survey design could include the target population, sample frame, sample design, development of new data collection techniques, or estimation techniques. Survey quality could include studies on sampling error, coverage, non-response, measurement error, or data consistency with earlier or related surveys. Interest also relates to dissemination and analysis of the information in a timely and user-friendly format; Improving indicators and understanding of public attitudes toward science and technology and public understanding of science, engineering and technology; Developing new indicators and analyses leading to a better understanding of the emerging "knowledge-based economy" and its impact. This could include, for example, a better understanding of developments in the service sector, or changes in university roles, structure and mission; and changes in the diffusion and impact of information technologies; Improving indicators and understanding of innovation and the factors underlying the innovation process, and examination and comparisons of the innovation systems of various countries and regions and how they interact; Developing new and improved analyses and indicators of S&T networks, linkages, partnerships and other collaborations or interactions between various nations, sectors, disciplines, and technologies; Enhancing modeling techniques to produce indicators that describe key interactions among important components of the economic system as they relate to science and technology. III. ELIGIBILITY INFORMATION The categories of proposers identified in the Grant Proposal Guide are eligible to submit proposals under this program announcement/solicitation. IV. AWARD INFORMATION NSF expects to devote $425,000 to this program annually, pending availability of funding. V. PROPOSAL PREPARATION AND SUBMISSION INSTRUCTIONS A. Proposal Preparation Instructions Full Proposal 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). The complete text of the GPG is available electronically on the NSF Web Site at: http://www.nsf.gov/cgi-bin/getpub?gpg. 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 (02-165) in the program announcement/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: In accordance with Congressional requirements (see GPM 330), NSF requires that each awardee share in the cost of research projects resulting from unsolicited proposals. For purposes of NSF, proposals submitted in response to this announcement/solicitation are considered unsolicited. The awardee may meet the statutory cost sharing requirement by choosing either of two alternatives: (1) by cost sharing a minimum of one percent on the project; or (2) by cost sharing a minimum of one percent on the aggregate costs of all NSF-supported projects requiring cost sharing. The minimum one percent statutory cost sharing requirement discussed above need NOT be entered on Line M on the proposal budget. C. Due Dates Proposals must be submitted by the following date(s): Full Proposal Deadline(s) : September 18, 2002 Sept. 18 of every year (5:00 pm locally your time, annually) D. FastLane Requirements Proposers are required to prepare and submit all proposals for this announcement/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 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 announcement/solicitation should be referred to the NSF program staff contact(s) listed in Section VIII of this announcement/solicitation. 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. Proposers are no longer required to provide a paper copy of the signed Proposal Cover Sheet to NSF. Further instructions regarding this process are available on the FastLane website at: http://www.fastlane.nsf.gov VI. PROPOSAL REVIEW INFORMATION 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. The two National Science Board approved merit review criteria are listed below (see the Grant Proposal Guide Chapter III.A for further information). 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 he/she is qualified to make judgements. 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 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? 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? NSF staff will give careful consideration to the following in making funding decisions: 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 learning perspectives. Integrating Diversity into NSF Programs, Projects, and Activities 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. Additional Review Criteria ADDITIONAL SRS REVIEW CRITERIA The relevance of the proposal to program goals and the prospect of the project resulting in the development of new indicators, new and/or improved survey methodology, analysis and/or dissemination methods, or new indicator approaches will also be criteria for review. Researchers should address these issues in their proposal to provide reviewers and the NSF staff with the information necessary in making funding decisions. B. Review Protocol and Associated Customer Service Standard All proposals are carefully reviewed by at least three other persons outside NSF who are experts in the particular field represented by the proposal. Proposals submitted in response to this announcement will be evaluated by mail reviewers. A senior level SRS panel will determine overall ratings on the basis of NSF criteria, reviewer ratings, the proposal's relevance to SRS program goals, and the prospect of the project developing new indicators, new indicator approaches, or new and/or improved survey methodology, analysis and/or dissemination methods. On the basis of these criteria, the SRS panel will make funding recommendations. 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. 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 Director. In addition, the proposer will receive an explanation of the decision to award or decline funding. NSF is striving to be able to tell applicants whether their proposals have been declined or recommended for funding within six months for 70 percent of proposals. The time interval begins on the date of receipt. 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. 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 Division 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.A. 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 (NSF-GC-1); * or Federal Demonstration Partnership (FDP) Terms and Conditions * and (5) any announcement or other NSF issuance that may be incorporated by reference in the award letter. Cooperative agreement awards also are administered in accordance with NSF Cooperative Agreement Terms and Conditions (CA-1). Electronic mail notification is the preferred way to transmit NSF awards 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/home/grants/grants_gac.htm. 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, available electronically on the NSF Web site at http://www.nsf.gov/cgi-bin/getpub?gpm. The GPM is also for sale through the Superintendent of Documents, Government Printing Office (GPO), Washington, DC 20402. The telephone number at GPO for subscription information is (202) 512-1800. 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 the expiration of an award, 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 an electronic project reporting system, available through FastLane. This system 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. PIs will not be required to re-enter information previously provided, either with a proposal or in earlier updates using the electronic system. VIII. CONTACTS FOR ADDITIONAL INFORMATION General inquiries regarding this program should be made to: * Derek Hill, Analyst, Directorate for Social, Behavioral & Economic Sciences, Division of Science Resources Statistics, 965 S, telephone: (703) 292-8774, fax: (703) 292-9092, email: dhill@nsf.gov * Eileen L. Collins, Senior Assessment Studies Manager, Directorate for Social, Behavioral & Economic Sciences, Division of Science Resources Statistics, 965 S, telephone: (703) 292-7768, fax: (703) 292-9092, email: ecollins@nsf.gov For questions related to the use of FastLane, contact: * Barbara B. Mitchell, Administrative Officer, Directorate for Social, Behavioral & Economic Sciences, Division of Science Resources Statistics, 965 S, telephone: (703) 292-7349, fax: (703) 292-9092, email: bmitchel@nsf.gov * Deborah A. Collins, Survey Operations Specialist, Directorate for Social, Behavioral & Economic Sciences, Division of Science Resources Statistics, 965 S, telephone: (703) 292-7804, fax: (703) 292-9092, email: dcollins@nsf.gov IX. OTHER PROGRAMS OF INTEREST 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. 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. ABOUT THE NATIONAL SCIENCE FOUNDATION 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 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 (unless otherwise specified in the eligibility requirements for a particular program). Facilitation Awards for Scientists and Engineers with Disabilities (FASED) 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. See the program announcement/solicitation for further information. 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