International Opportunities for Scientists Summary of Program Requirements Guidelines for Submission of Proposals NSF 00-138 DEADLINE DATES: Please see Appendix V NATIONAL SCIENCE FOUNDATION
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Revisions and Updates International Opportunities for Scientists and Engineers Effective March 2001, the following changes were made to this program announcement: 1. Removed the June 15 deadline for Japan proposals, removed the July 1 deadline for Korea proposals, and added an August 1 target date for proposals for joint seminars and workshops with Japan. 2. Moved deadline date for the Pan American Advanced Studies Institutes (PASI) from February 1 to February 15 yearly, noting that for 2001 only, the deadline has been extended to April 15. 3. All changes are in Appendix V. A "Dear Colleague Letter" (NSF 01-89) announces the changes for Japan and Korea. SUMMARY OF PROGRAM REQUIREMENTS GENERAL INFORMATON Program Name: International Opportunities for Scientists and Engineers (INT) Synopsis of Program: The National Science Foundation recognizes the importance of enabling U.S. researchers and educators to advance their work through international collaboration, and of helping to ensure that future generations of U.S. scientists and engineers gain professional experience beyond this nation's borders early in their careers. The Division of International Programs (INT) contributes to NSF's mission by promoting new partnerships between U.S. investigators and their colleagues in other countries, or new cooperative projects between established collaborators. Such activities may be in any field of science and engineering research and education supported by NSF. The Division of International Programs (INT) also supports an array of activities designed to provide opportunities for junior investigators. Graduate and undergraduate students and postdoctoral researchers can receive travel and living expenses to participate in the overseas aspects of collaborative research projects proposed to NSF by senior U.S. investigators. Graduate students can also be supported through INT's dissertation enhancement awards, or for participation in the Summer Programs at locations in Japan, Korea, or Taiwan. Principal Investigators (PI's) of existing grants from other parts of NSF can request supplemental support to include junior faculty members, postdoctoral investigators, graduate students, and qualified undergraduates in the overseas phases of their collaborative projects. Cognizant Program Officer(s): A contact person for each of INT's regions listed below is available on the INT Web page at http://www.nsf.gov/sbe/int/start.htm.
Applicable Catalog of Federal Domestic Assistance (CFDA) No.: 47.041, Engineering; 47.049, Mathematical and Physical Sciences; 47.050, Geosciences; 47.070, Computer and Information Science and Engineering; 47.074, Biological Sciences; 47.075, Social, Behavioral and Economic Sciences; 47.076, Education and Human Resources; 47.078, Polar Programs. ELIGIBILITY INFORMATION
AWARD INFORMATION
PROPOSAL PREPARATION AND SUBMISSION INSTRUCTIONS
PROPOSAL REVIEW INFORMATION
AWARD ADMINISTRATION INFORMATION
NATIONAL SCIENCE FOUNDATION International Opportunities for Scientists and Engineers (INT) The main sections of this document can be accessed directly by selecting the appropriate heading below:
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I. PURPOSE
Support of international activities is an integral part of NSF's mission to sustain and to strengthen the nation's science, mathematics, and engineering capabilities, and to promote the use of those capabilities in service to society. In particular, NSF recognizes the importance of enabling U.S. researchers and educators to advance their work through international collaboration, and of helping to ensure that future generations of U.S. scientists and engineers gain professional experience beyond this nation's borders early in their careers.
The Division of International Programs (INT) contributes to NSF's mission by promoting new partnerships between U.S. scientists and engineers and their foreign colleagues, or new cooperative projects between established collaborators. Activities can be in any field of science and engineering research and education supported by NSF. Encouraging and supporting the participation of students, recent Ph.D.'s, junior faculty members, women, and minority and disabled scientists and engineers is an INT priority.
II. ELIGIBILITY
Proposals must be submitted by a U.S. institution on behalf of the participant(s), except for the programs listed below, which accept applications from individuals who are U.S. citizens or permanent residents.
III. INT PROGRAM CHARACTERISTICS
Eligible Activities
Proposals from U.S. scientists and engineers for international activities in all fields of science and engineering research, and education supported by NSF are eligible for consideration. Encouraging and supporting the participation of students, recent Ph.D.'s, junior faculty members, and of women, minority and disabled scientists and engineers in international activities is an INT priority. Typically INT supports the incremental costs of adding an international component to collaborative scientific research and associated activities.
NSF does not normally provide support for 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. Similarly, research with disease-related goals, including work on the etiology, diagnosis or treatment of physical or mental disease, abnormality, or malfunction in human beings or animals, is normally not supported.
Cooperative approach. Projects supported by INT are based on direct cooperation between the U.S. and foreign investigators. Joint projects must be designed to achieve substantial mutual scientific benefits. Communications dealing with planning and implementation of cooperative activities supported by NSF should be carried out directly between the U.S. and foreign investigators.
Cooperative research activities are based on international collaborations, carried out either in the United States or abroad. Such projects initiate international collaboration with foreign counterparts, or promote new types of activities with established international partners. Research projects are jointly designed and implemented by U.S. and foreign researchers or educators. INT awards typically fund 2-3 years of cooperative activity. PIs of long-standing cooperative activities previously supported by INT should contact the appropriate NSF disciplinary research program about continuing support. NSF disciplinary research programs are listed in Appendix A of the Grant Proposal Guide at http://www.nsf.gov/ cgi-bin/ getpub?gpg.
Joint workshops and seminars are usually small and focused on a specific, well-defined research area. They are designed to identify common research priorities, and to explore possible areas of joint research cooperation. Workshops/seminars typically involve a U.S. co-organizer and an international co-organizer, who collaboratively design and implement the meeting, which can be held at either a U.S. or foreign location. INT provides support for 10-15 U.S. participants, with no more than two from the same U.S. institution. When workshops/seminars are held in the United States, support may also be provided for participants from developing countries or from those countries whose currency is not convertible. Requests for such support should be discussed with the INT program officer prior to proposal submission. Workshops/seminars normally involve a total of 25-35 participants. Foreign participants may come from more than one country. The pool of U.S. participants should include junior researchers, women and members of underrepresented groups, and/or graduate or undergraduate students. Participant diversity will be considered in making award decisions for support of workshops. The results should be broadly disseminated and, wherever possible, displayed in a workshop/seminar Web site.
INT does not provide support for U.S. scientists and engineers to participate in international scientific conferences or congresses; nor does it provide support for such meetings. INT will support workshops/seminars that may immediately precede or follow a larger-scale conference when they add an extra dimension to the conference.
Supplements may be requested by PIs to add an international dimension to an existing NSF research grant or agreement. Requestors should describe the benefit of the proposed collaboration, the plan of work, the responsibilities of the U.S. and foreign partners, the foreign colleague's area of expertise, and the anticipated contribution from his/her role in the project. The PI should submit a request to the appropriate research program director, with a copy to the INT program officer. The request should include: a copy of the foreign colleague's c.v.; a letter of endorsement from the foreign collaborator's institution; the INT Cover Page, available in Appendix IV; the NSF Summary Proposal Budget (form 1030) for both annual and cumulative budgets for the supplemental amount, and up to three pages of budget explanation. NSF requires that supplements be submitted via FastLane.
Summer Research Experiences for Students provide support to PIs to develop opportunities to introduce small groups of U.S. students to foreign science and engineering in the context of a research experience which will also help initiate personal relationships that will foster the students' capabilities to engage in future international cooperative activities. Proposals are accepted from academic research institutions, professional societies, or consortia on behalf of a small group of students in a particular field, and proposals involving more than one institution are encouraged. Proposals should describe arrangements for placing each student with appropriate academic and/or industrial laboratories, obtaining housing for students, and providing them with an introduction to the culture of the host country. The proposal should specify the criteria to be used to select the students. Organizers are encouraged to consult with an INT program officer before submitting their proposal.
Dissertation enhancement projects support dissertation research conducted by graduate students at a foreign site. Students are expected to work in close cooperation with a host country institution and investigator. The applicant is responsible for making all necessary arrangements with the host country institution and scientist. The doctoral faculty advisor, on behalf of the student, submits the dissertation enhancement proposal. Eligible students should be U.S. citizens or permanent residents enrolled in Ph.D. programs at U.S. institutions. Students from developing countries who are enrolled in Ph.D. programs at U.S. institutions may also apply, but preference is given to applicants who are U.S. citizens or permanent residents. Refer to the Budget Information Chart (Appendix I) for geographical areas that consider such proposals.
Planning visits offer U.S. researchers the opportunity to consult with their prospective foreign partners to finalize plans for a cooperative activity eligible for consideration for support by NSF. This mechanism is used sparingly. Evidence of substantive prior communication and preparation is required. Applicants should consult with the appropriate INT program officer before submitting a planning visit proposal.
The International Research Fellowship Program (IRFP) offers postdoctoral research fellowships at foreign host institutions in all countries except Japan. Guidelines for the program are available in NSF 00-141 at http://www.nsf.gov/cgi-bin/getpub?nsf00141.
Research fellowship opportunities with Japan are offered through INT nomination of U.S. researchers for five fellowship programs administered by the Japan Society for the Promotion of Science and the Science and Technology Agency of Japan. Descriptions, eligibility criteria, and application procedures for U.S. scientists and engineers interested in research visits to Japan are available at http://www.nsftokyo.org/index.htm). See Appendix III for a summary of NSF opportunities for international research fellowship programs.Summer Programs at locations in Japan, Korea and Taiwan provide U.S. science and engineering graduate students first-hand experience in a foreign research environment, intensive language training, and an introduction to the science, and science and technology policy infrastructure of the foreign country. For detailed information, see program announcement NSF 99-152 at http://www.nsf.gov/cgi-bin/getpub?nsf99152.
Pan American Advanced Studies Institutes (PASI) are short courses which are modeled on the NATO Advanced Studies Institutes, but take place in the Americas. Approximately 8-12 lecturers of international standing at the advanced graduate and postgraduate level, and 40-50 students participate. The Department of Energy and NSF support a limited number of these Institutes each year. Detailed information is available at
http://www.nsf.gov/
sbe/int/americas/amnew.htm.
Other opportunities may be announced under separate program announcements. See the
regional home pages available through the INT home page at
http://www.nsf.gov/
sbe/
int/
start.htm for current information on new initiatives.
Additional Considerations
Proposals submitted to INT usually compete in one of five regional groupings shown below. For a summary of program activities supported in each geographic region, consult the Budget Information Chart (Appendix I) or contact an INT program officer for the appropriate region. For additional regional information, click on the region's name to go to its home page.
Each year, INT expects to make approximately 800 new awards. Award abstracts can be viewed at (http://www.nsf.gov/verity/srchawd.htm).
International cost sharing. Organizations from the host countries are usually expected to provide in-kind support to share the direct costs of joint projects; although a precise matching of funds, personnel, facilities, or time spent in each country by the researchers of the other country is not required.
Counterpart or parallel proposals. For some countries and projects, U.S. investigators and their foreign partners are required to submit separate proposals to NSF and to a designated agency that serves as NSF's international counterpart in that country. The proposal submitted by the foreign research partner is sometimes referred to as a "counterpart" or "parallel" proposal. In these cases, NSF and the foreign agency review the U.S. and foreign counterpart proposals independently. Joint approval of the cooperative project is sometimes required before NSF can fund the U.S. proposal. Appendix II lists those agencies that require the submission of counterpart proposals.
Responsibilities of principal investigators. PIs are responsible for obtaining any
required visas for foreign travel and, through the U.S. host research institution, for
providing documentation in support of U.S. visas for foreign counterpart investigators.
When applying for visas to enter countries with which NSF has formal bilateral
agreements, participants should indicate specifically that the visit will be under a
cooperative program between NSF and that foreign country. PIs are also responsible for
obtaining research permits and import/export documents, where necessary.
Preparation for Proposal Submission
Submission to INT programs via Fastlane is required beginning October 2000. Complete instructions for FastLane proposal submission can be found on the FastLane Web page at http://www.fastlane.nsf.gov.
Applicants are encouraged to provide names and institutional affiliations of suggested reviewers, and/or names of those individuals they do not want used as reviewers.
To determine if a proposed research activity is appropriate for NSF consideration,
applicants should refer to NSF's Guide to Programs at
http://www.nsf.gov/cgi-bin/getpub?gp. Information is also available at the NSF Home Page at http://www.nsf.gov/.
Budget Information
Before preparing an INT proposal, applicants are strongly encouraged to refer to the following information, which provides special considerations and funding provisions for certain geographical regions or countries.
INT support is primarily for the U.S. researcher's incremental costs incurred as a result of the international cooperation. Except for international research fellowships, support for salaries, stipends, major pieces of equipment, and large amounts for materials and supplies are not provided. Proposals requiring such support should be submitted to the appropriate disciplinary research program. For allowable costs for international research fellowships, refer to the program announcement for the International Research Fellowship Program (NSF 00-141).
Indirect costs: are allowable, consistent with NSF's general policy (see Grant Proposal Guide, Section II-D.7.h). Off-campus rates are applicable to activities at foreign sites. Indirect costs may not be applied to: (a) participant support, including costs incurred on behalf of foreign participants, or (b) awards to individuals, International Research Fellowships, and awards made primarily on behalf of graduate students. Indirect costs are normally applicable to travel (including transportation and living expenses) when travel is incidental to the main purpose of the proposed project. Indirect costs are not applicable to travel when travel is the primary activity of the project and the principal item in the proposed budget. (See Grant Proposal Guide (GPG) at http://www.nsf.gov/cgi-bin/getpub?gpg.
Applicants are encouraged to work with their foreign counterpart to develop realistic budget requests for their living expenses. In all cases, the requested amount for living expenses cannot exceed the authorized U.S. Government per diem rates (calculated at the authorized daily rate for the first 30 days of a single project visit, and 50 percent of that rate for all time after that.) The 30 days is not aggregated from multiple visits. Per diem rates can be viewed at: http://www.state.gov/www/perdiems/index.html.
For most INT programs, the foreign participant should obtain his/her own funding for participation in the collaborative project. However, when the foreign participant is from a developing country or a country whose currency is not convertible, support may be provided for some of these costs. The Budget Information Chart, Appendix I, contains additional information on when such support may be considered.
The following special conditions may have an impact on the budget items that can be supported: 1) Existing bilateral cooperative agreement with counterpart agencies in other countries; 2) Activities with countries whose currency is not convertible; and 3) Prevailing economic conditions. See the Budget Information Chart (Appendix I) for additional information on the support that can be considered.
Budget information related to each of INT's cooperative activities is described below. Regional budget information is summarized in the Budget Information Chart in Appendix I. In the case of unusual circumstances not covered in this section, applicants should discuss the situation with the INT program officer.
For all activities, travel must be performed on a U.S. flag carrier, if such service is available (see para. 761.2 and 761.3 of the Grant Policy Manual at http://www.nsf.gov/cgi-bin/getpub?gpm.
Cooperative Research: For cooperative research with most countries, support is provided for the international travel, and associated living and research costs, not to exceed 90 days per visit, for the U.S. participant(s) at the foreign site. Publication and communication charges and minor pieces of equipment may also be provided. INT encourages the participation of students and junior researchers in collaborative research projects, and will provide additional support for their international travel and associated living and research costs. For projects with developing countries or with countries whose currency is not convertible, support may sometimes be requested for the travel and living costs for the foreign collaborator to visit the United States.
Supplemental funding may be requested to add an international dimension to an existing NSF grant. Support is negotiated between INT and the cognizant research program director. The supplemental request is sent to the cognizant disciplinary program director, with a copy to the INT country program officer.
Joint seminars and workshops: Support is provided for the airfare (domestic or international depending on site) for about 10-15 U.S. participants. As justified in the proposal, U.S. co-organizers also may request organizational fees and publication charges. INT does not provide support for individual or group travel to international conferences or congresses, but INT will consider support for a joint workshop/seminar immediately preceding or following a conference or congress.
Dissertation enhancement projects: In addition to the international travel and associated living costs, support may also be provided for materials and supplies, survey fees, field assistants, specialized research equipment, and other expenses, when justified as necessary for the conduct of the dissertation research.
Planning visits: INT provides the international airfare, associated living costs, and incidental expenses at the foreign site. Visits typically range from 7-14 days.
International Research Fellowships: These awards support research fellowships at a foreign site in all countries except Japan. Allowable costs are provided in NSF 00-141, available on the Web at http://www.nsf.gov/cgi-bin/getpub?nsf00141.
Fellowships carried out in Japan: Support for the participant is fixed according to the duration of the visit. The fellowship support package and allowable dependent support costs available from NSF are described at hhttp://www.nsftokyo.org/index.htm.
Summer Programs for Locations in Japan, Korea, and Taiwan: For description of participant support package, see http://www.nsf.gov/cgi-bin/getpub?nsf99152 on the web.
Pan American Advanced Studies Institutes (PASI): See http://www.nsf.gov/ sbe/int/americas/amnew.htm.
IV. PROPOSAL PREPARATION & SUBMISSION 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). The complete text of the GPG (including electronic forms) is available electronically at: http://www.nsf.gov/cgi-bin/getpub?gpg on the NSF web site. A Proposal Forms Kit (http://www.nsf.gov/pubs/2000/nsf003/kit/forms.htm) is also available. 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
In addition to the GPG, INT proposals must be prepared in accordance with the instructions in this Program Announcement. Proposals submitted to the International Research Fellowship Program should follow the guidelines in NSF 00-141, available at http://www.nsf.gov/cgi-bin/getpub?nsf00141. Proposals submitted to the Research Fellowships in Japan Program should follow the guidelines available on the web at http://www.nsftokyo.org/index.htm. Proposals submitted to the Summer Programs for locations in Japan, Korea, and Taiwan should follow the guidelines available in NSF 99-152 at http://www.nsf.gov/cgi-bin/getpub?nsf99152.
All of the forms are available electronically, including the INT Cover Sheet (Appendix IV). The proposal format should follow the sequence described below.
Proposals that do not contain the following required information will be considered incomplete and may be returned.
Proposal Format
Information about Principal Investigators and Co-Principal Investigators (NSF Form 1225).
Cover Sheet (NSF Form 1207). When using Fastlane, select the INT Program Announcement (NSF 00-138) from the selection list. Enter the proposal title beginning with "International:" followed by the descriptive title of the planned activities. Select the checkbox for "International Cooperative Activity" and name the relevant country or countries. Failure to submit this information may delay processing.
International Programs Cover Page Addendum. See Appendix IV. When using Fastlane, this Addendum will be listed as a form for completion after the NSF Cover Sheet has been saved with the INT Program Announcement selected.
Project Summary (Refer to instructions in Chapter II.D.2 of the GPG). Do not exceed one page in length. Include information on the collaborative aspects of the project as well as the scientific research.
Table of Contents (NSF Form 1359).
Project Description and Results from Prior NSF Support. (See GPG, Section II.D.4.) This section consists of: (a) a description of results from prior NSF support, if applicable; and (b) a Project Plan. Parts a and b must not exceed 15 pages total, including any graphical and tabular materials.
Results from Prior NSF Support. (See GPG, Section II.D.4.)
Project Plan. This section should be a clear statement of the nature and implementation of the activities proposed. Before preparing a Project Plan, refer to the detailed information on INT program activities in Section III for descriptions of these activities.
Proposals should also address issues of special importance to the proposed activity, as described below.
Cooperative research activities:
Dissertation enhancement projects:
Summer Research Experiences for Students:
References Cited for activities of the proposal. (See GPG, Section II.D.5.)
Biographical Sketch of Principal Investigator and Co-Investigators. (See GPG, Section II.D.6.) (Limited to two pages per person.) To include:
List of persons, other than those cited in the publications list, who have collaborated with you in the last 48 months, including collaborators on this proposal. Indicate if no collaborators.
List of graduate students with whom you have had an association as thesis advisor, and postdoctoral scholars sponsored by you over the past five years, with a summary of the total number of graduate students and postdoctoral students.
List of your own graduate and postdoctoral advisors.
Biographical sketch of foreign counterpart. (In English; maximum of two pages per person).
Budget (NSF Form 1030) (cumulative and annual budgets, and Budget Justification (up to three pages). Before preparing a budget request, refer to the Budget Information Chart in Appendix I for specific budget information for the INT geographical regions and to the Budget Information paragraph in Section III for reimbursement of indirect costs.
Current and Pending Support of Principal Investigator (NSF Form 1239). A list of all current and pending research and travel support from any source.
Facilities, Equipment, and Other Resources (NSF Form 1363). See budget information form for special information about equipment.
Special Information/Supplementary Documentation. Letter of endorsement signed by a senior investigator with the counterpart host institution.
Appendices may not be included unless a deviation has been authorized, according to the procedures described in GPG, Section II.A.
Budgetary Information
Cost-Sharing Requirements. None.
Proposal Deadline Dates
A listing of yearly deadline dates for receipt of proposals is available in Appendix V.
FastLane Requirements
The NSF FastLane system is available for electronic preparation and submission of a proposal through the Web at the FastLane web site at http://www.fastlane.nsf.gov. FastLane submission will be required for all NSF proposals beginning October 2000.
Submission of Signed Cover Sheets: For proposals submitted by FastLane, 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 courier) 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 proposal may not be processed until NSF has received the complete proposal (including the signed Cover Sheet).
V. PROPOSAL REVIEW INFORMATION
NSF Proposal Review Process
Reviews of proposals submitted to NSF are solicited from peers with expertise in the substantive area of the proposed activity. 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 nonacademic institutions, minority-serving institutions, or adjacent discipline to that principally addressed in the proposal.
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 do the proposed activities 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?
Principal investigators should address the following elements in their proposals 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.
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.
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 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.
ADDITIONAL CRITERIA
International Science and Engineering Criteria
Reviewers of proposals submitted to INT are asked to evaluate the merit of the proposed international collaboration and the expected mutual benefit to be derived from the contribution of the scientists and engineers in each country.
Review Protocol and Associated Customer Service Standard
Merit evaluation of INT proposals will be carried out in cooperation with the research divisions through mail review, internal review, or a combination of the two. Proposals will in general compete with other proposals in the same geographic region. Proposals for the International Research Fellowship Program are in a separate competition.
A program officer assigned to manage the proposal's review will consider the advice of reviewers and will formulate a recommendation. In most cases, the program office will contact the proposer after his or her supervisor, the division director, has approved her recommendation to award or decline funding. 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. The time interval begins on the proposal deadline or from the date of receipt, if the program does not use deadlines. 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.
VI. AWARD ADMINISTRATION INFORMATION
Notification of the Award
A Grants Officer in the NSF Division of Grants and Agreements (DGA) makes notification of the award to the submitting organization. The cognizant NSF Program Division administering the program will advise organizations whose proposals are declined as promptly as possible. Verbatim copies of reviews, not including the identity of the reviewer, will be provided automatically to the Principal Investigator.
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 (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. Cooperative agreement awards are also administered in accordance with NSF Cooperative Agreement Terms and Conditions (CA-1). 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 OnLine Document System at: http://www.nsf.gov/home/pubinfo/start.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, (NSF 95-26) available electronically on the NSF Web site at http://www.nsf.gov/cgi-bin/getpub?gpm. The GPM also is available for sale through the Superintendent of Documents, Government Printing Office, 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.
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 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. 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 the proposal or in earlier updates using the electronic system.
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: 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: http://www.nsf.gov/cgi-bin/getpub?nsf9978.
VII. CONTACTS FOR ADDITIONAL INFORMATION
Specific questions about proposal development, appropriate funding levels, and supplement opportunities and requirements should be directed to the appropriate geographic region program manager. Contacts are available from the INT home page at http://www.nsf.gov/sbe/int. For questions related to the use of FastLane in INT proposals, contact the INT Administrative Manager at (703) 292-8708, or intfl@nsf.gov.
VIII. OTHER PROGRAMS OF INTEREST
The NSF Guide to Programs is a compilation of funding opportunities 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 concerning specific proposal requirements. To obtain additional information about these requirements, contact the appropriate NSF program officer 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,
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PT 34 KW 1000000, 0600000, 0400000 1010000, 1004000 NSF 00-138 (Replaces NSF 96-14) Electronic Dissemination Only
Appendix I |
BUDGET INFORMATION CHART | ||||||||||||||||
Activity | CR & DE | JT W/S | PV | |||||||||||||
US Res | For Res | US Part | For Part (nhc) | US Res | ||||||||||||
Region | Location | AT | PD | Comm/ Matl/ Supp/ Misc. | Minor Eq | AT | PD | AT | PD | Org Exp | Publ Exp | AT | PD | AT | PD | |
Africa, Near East, South Asia (ANESA) | Bahrain, Kuwait, Qatar, Saudi Arabia, South Africa, United Arab Emirates | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | |||||
Egypt, Turkey | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | ||||||
India | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | ||||||
Israel: BSF Activities | See http://www.bsf.org.il; | |||||||||||||||
Israel: NonBSF Activities | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | ||||||
Rest of Region | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | ||
The Americas (AMERICAS) | Argentina, Brazil, Canada, Chile, Mexico, Venezuela | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | |||||
PASI | See http://www.nsf.gov/sbe/int/americas/amnew.htm | |||||||||||||||
Rest of Region | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | ||
No DE for Canadian students | ||||||||||||||||
East Asia & Pacific (EAP) | Australia, Korea, Japan, New Zealand, Singapore, Taiwan | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | |||||
SP for Locs in Japan, Korea, & Taiwan | See NSF 99-152 | |||||||||||||||
People's Republic of China | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | ||||||
Southeast & Asian Countries & Rest of Region | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | ||
No DE for Foreign students | ||||||||||||||||
Central & Eastern Europe (CEE) | Russia, Newly Independent States | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | ||||
Bulgaria, Czech Republic, Croatia, Hungary, Poland, Romania, Slovenia, Slovak Republic | Y | Y | Y | Y | Y | Y | Y | Y | ||||||||
Planning Visits All Loc | See http://www4.nationalacademies.org/oia/oiahome.nsf | |||||||||||||||
No DE for Foreign students | ||||||||||||||||
Western Europe (WE) | All Locations | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | |||||
No DE for Foreign students | ||||||||||||||||
Sum Res Exp for Students | INT-wide | Discuss with appropriate INT program officer prior to submission | ||||||||||||||
Int'l Res. Fellowships (IRFP) | All Loc except Japan | See NSF 00-141 & Appendix III | ||||||||||||||
Japan | See http://www.nsftokyo.org/index.htm |
Legend: | AT | Air Travel | nhc | Nonhost Country | ||||
BSF | US Israel Binational Science Foundation | Org Exp | Organizing Expenses | |||||
Comm | Communications | PASI | Pan American Advanced Studies Institutes | |||||
CR | Cooperative Research | PD | Per Diem | |||||
DE | Dissertation Enhancement | Publ Exp | Publication Expenses | |||||
Eq | Equipment | PV | Planning Visit | |||||
For Part | Foreign Participant | SP | Summer Programs | |||||
For Res | Foreign Researcher | SumResExp for Stud | Summer Research Experiences for Students | |||||
Jt W/S | Joint Workshop/Seminar | Supp | Supplies | |||||
Loc | Location(s) | US Part | US Participant(s) | |||||
Matl | Materials | US Res | US Researcher | |||||
Misc | Miscellaneous Expenses | Y | Support Provided |
Appendix II
COUNTERPART AGENCIES
This listing contains information on the foreign agencies that require the submission of counterpart proposals. A detailed listing of NSF-equivalent agencies is available through the INT home page at http://www.nsf.gov/sbe/int/map.htm
Africa, Near East, South Asia
India: Department of Science and Technology (DST), New Mehrauli Road, New Delhi,110016
Israel: Cooperative research with Israel is offered through the U.S.-Israel Binational Science Foundation (BSF), which supports research cooperation between U.S. and Israeli scientists. U.S. investigators contemplating cooperative projects with Israeli counterparts should first explore opportunities for support through the BSF. Program information and application procedures for the BSF are available on the Web at http://www.bsf.org.il/. INT will accept proposals for activities that are not supported by the BSF, but are eligible for NSF consideration.
The Americas
Argentina: Consejo Nacional de Investigaciones Cientificas y Tecnicas (CONICET), Rivadavia 1917, 2ndo Piso, 1033 Buenos Aires; phone: (54-11) 4953-7230, Fax: (54-11) 4953-4345.
Brazil: Conselho Nacional de Desenvolvimento Cientifico e Tecnologico (CNPq), Superintendencia de Cooperacao Internacional, Ed. CNPq Av. W/3 Norte Q 507/B, 70.740-960 Brasilia, DF; phone: (55-61) 348-9433, Fax: (55-61) 348-9442
Chile: Comision Nacional de Investigacion Cientifica y Tecnologica (CONICYT), Bernarda Morin 551, Casilla 297-V, Santiago 21; phone: (56-2) 274-4537, Fax: (56-2) 209-6729
Mexico: Consejo Nacional de Ciencia y Tecnologia (CONACyT), Av. Constituyentes No. 1046 Col. Lomas Altas, Deleg. Miguel Hidalgo 11195; phone (52-5) 327-7570, Fax: (52-5) 327-7416
Venezuela: Consejo Nacional de Investigaciones Cientificas y Tecnicas (CONICIT), Aptdo. Postal 70617 Los Ruices, Caracas; phone: (58-2) 239-0433; Fax: (58-2) 239-8677; Website: http://www.conicit/gov/ve/.
Central and Eastern Europe
Bulgaria:
Director, Office of International Affairs, Bulgarian Academy of Sciences,1,7 Noemvri St., 1040 Sofia, Bulgaria; (3592) 883-575; (3592) 883-575
International Relations Department, Ministry of Science and Education 18, Al. Stambolyiski Blvd., Sofia 1000, Bulgaria; (3592) 802-537; (3592) 80-06-00
Czech Republic: Academy of Sciences of the Czech Republic, Foreign Relations Department, Narodni 3, 111 42 Praha 1- Stare Mesto, phone: 42 0 2 242 40 581; Fax: 420 2 242 40 531; Website: http://www.cas.cz
Hungary:
Hungarian Academy of Sciences, Office for International Cooperation, Nador u. 7,1051 Budapest, Hungary; phone: 36 1 317 8767; Fax: 36 1 3172 575
OTKA, Hungarian Scientific Research Fund, Konyves Kalman Krt. 48-52, H-1087 Budapest; Mail to P.O. Box 289, 1476 Bp.; phone: 36 1 210 0167; Fax; 36 1 210-0167. Website: http://www.mta.hu
Poland:
Director, Office of International Relations, Polish Academy of Sciences, P.O. Box 24, Palace of Culture and Science, 00-901 Warsaw, Poland; (4822) 620-43-49; (4822) 620-33-74; Website: http://www.pan.pl
Director, Department of International Cooperation and European Integration, State Committee for Scientific Research (KBN), Wspolna 1/3, 00-529 Warsaw; phone (48 22) 628 67 76, Fax (48 22) 628 35 34, Website: http://www.kbn.gov.pl
Republic of Croatia: Ministry of Science and Technology, Trg J. J. Strossmayera 4, 10000 Zagreb, Croatia; Telephone: 385 1 459 44 41; Fax: 385 1 459 44 49; Website: http://www.mzt.hr
Republic of Slovenia: Ministry of Science and Technology, Trg OF 13, SI-1000 Ljubljana, Slovenia; phone: 386 61 131 11 07; Fax: 386 61 302 951; Website: http://www.mzt.si
Slovak Republic: Slovak Academy of Sciences, Foreign Relations Department, Stefanikova 49, 814 38 Bratislava, Slovak Republic. phone: 42 1 7 392 751; Fax: 42 1 7 396 849; Website: http://www.savba.sk
Western Europe
European Commission: The European Commission, rue de la Loi 200, B1049, Brussels, Belgium; Website: http://www.cordis.lu
France:
Centre National de la Recherche Scientifique (CNRS)-NSF/CNRS Program, Services de Relations Internationales, 3, rue Michel-Ange, 75794 Paris; Website: http://www.auteuil.cnrs-dir.fr/
Institut National de Recherche en Informatique et en Automatique (INRIA)-NSF/INRIA, Domaine de Voluceau-Rocquencourt, BP 105-78153, Le chesney Cedex; Website: http://www.inria.fr
Germany: Deutscher Akademischer Austauschdienst (DAAD), Nordamerikareferat, Kennedyallee 50, D-53175 Bonn; Website: http://www.daad.org
Nordic Council: Nordic Academy for Advanced Study (NORFA), P.O. Box 2714, St. Hanshaugen, N-0131 Oslo, Norway
Appendix III
INTERNATIONAL RESEARCH FELLOWSHIPS
The International Research Fellowship Program (IRFP) introduces scientists and engineers in the early stages of their careers to research opportunities abroad, thereby furthering NSF's goal of establishing productive mutually beneficial relationships, etc., between U.S. and foreign science and engineering communities. The program provides support to carry out research at science and engineering establishments for periods of three to 24 months in all foreign countries except Japan.
Eligible applicants, in addition to being citizens or permanent residents of the United States, must have earned a doctoral degree within six years of the date of application or expect to receive their degree by the award date.
Appropriate host institutions are institutions of higher education, science and engineering centers and nonprofit industrial and government research institutes. Detailed information is provided in NSF 00-141, available at http://www.nsf.gov/cgi-bin/getpub?nsf00141 on the NSF website. These awards are available for research in any field of science and engineering research and education supported by the National Science Foundation.
For research fellowship opportunities in Japan, INT nominates researchers for five fellowship programs administered by the Japan Society for the Promotion of Science (JSPS) and the Science and Technology Agency of Japan (STA). Application procedures are available at http://www.nsftokyo.org/index.htm.
Applicants contemplating postdoctoral research in a NATO country or a Cooperating Partner country in Central or Eastern Europe may consider applying to the NSF-NATO Postdoctoral Fellowship Program, managed by NSF's Education and Human Resources Directorate (http://www.ehr.nsf.gov/EHR/DGE/nato.htm). For more information, see the NATO Science Programme at http://www.nato.int/science. Several NSF disciplinary divisions also offer postdoctoral research fellowships to U.S. citizens and permanent residents. In most cases, applications to conduct research under these awards at an appropriate foreign site will be considered.
Appendix IV
DIVISION OF INTERNATIONAL PROGRAMS COVER PAGE
Country #1: ____________ Country #2: ____________ Country #3: ____________ Proposal Category: [ ] Cooperative Research [ ] Joint Seminar or Workshop [ ] Planning Visit [ ] Dissertation Enhancement Foreign Counterpart Investigator/Organizer/Host (Repeat as needed for up to three Foreign Counterpart Investigators/Organizers/Hosts) Name: ____________________________ Department: ____________________________ Institution: ____________________________ Address: ____________________________ ____________________________ ____________________________ Phone: _________________ Fax: _________________ Email: _________________ For Joint Seminar or Workshop Location City: _______________________________ Country: ____________________________ Start Date: ____________________________ End Date: ____________________________ Demographics (people that will be supported by this project): Number of senior US scientists and engineers (excluding those within 6 years of their Ph.D. and graduate and undergraduate students): _________ Number of U.S. scientists within 6 years of the Ph.D. (including _________ the PI and/or Co-PI if applicable): Number of U.S. graduate students: _________ Number of U.S. undergraduate students: _________ Number of foreign scientists and engineers (including post-docs, _________ graduate students and undergraduate students) associated with the foreign institution. Include only those that will be supported under this NSF proposal. No not count foreign participants that will be supported by non-NSF funds.
YEARLY DEADLINE DATES FOR
DIVISION OF INTERNATIONAL PROGRAMS (INT)
INT's yearly deadline dates are shown below (some regions have more than one deadline). There are no deadlines for INT programs not specifically listed.
Africa, Near East, and South Asian Region: All activities, except planning visits that are accepted at any time.
February 15
The Americas: Pan American Advanced Studies Institutes (PASI); for guidelines see http://www.nsf.gov/cgi-bin/getpub?nsf0148. Note: For 2001 only, the deadline has been extended to April 15.
May 1
Argentina, Brazil, Mexico, and Venezuela: All activities, except planning visits and dissertation enhancements that are accepted at any time.
Western Europe: All cooperative activities, except cooperative activities supported by NSF and the French National Center for Scientific Research (CNRS) and cooperative activities supported by the NSF and the German Academic Exchange Service (DAAD) for which the deadline dates are June 15. Planning visits and dissertation enhancement proposals are accepted any time.
June 15
France: Cooperative activities supported by the NSF and the French National Center for Scientific Research (CNRS).
Germany: Cooperative activities supported by the NSF and the German Academic Exchange Service (DAAD).
August 1 (Target Date)
Japan: Joint seminars and workshops.
September 1
Africa, Near East, and South Asian Region: All activities, except planning visits that are accepted at any time.
November 15, 2000 (In future years, November 1, annually)
All Countries: International Research Fellowships
Argentina, Brazil, Chile, Mexico, and Venezuela: All activities, except planning visits and dissertation enhancement proposals that are accepted at any time (this is the only deadline for proposals for collaborative activities with Chile).
Western Europe: All cooperative activities, except cooperative activities supported by NSF and the French National Center for Scientific Research (CNRS) and cooperative activities supported by the NSF and the German Academic Exchange Service (DAAD) for which the deadline dates are June 15. Planning visits and dissertation enhancement proposals are accepted any time.
November 15
Israel: U.S.-Israel Binational Science Foundation (BSF). Proposals are submitted directly to BSF (see http://www.bsf.org.il).
December 1
Japan, Korea and Taiwan: Summer Programs at locations in Japan, Korea, and Taiwan. Detailed information is in program announcement NSF 99-152 at http://www.nsf.gov/cgi-bin/getpub?nsf99152.
Appendix VI
OPPORTUNITIES FOR GRADUATE AND UNDERGRADUATE STUDENTS
Through the Division of International Programs (INT), NSF supports an array of activities designed to provide opportunities for U.S. scientists and engineers early in their careers. Specific INT activities are listed below. Detailed information can be obtained by clicking on the activity title.
For Graduate Students Enrolled in U.S. Institutions:
Dissertation Enhancement Awards
Summer Research Experiences for Students
Summer Programs for Locations in Japan, Korea, and Taiwan
For Undergraduate Students Enrolled in U.S. Institutions:
Summer Research Experiences for Students
For Graduate and Undergraduate Students enrolled in U.S. Institutions:
Participate in cooperative research projects or joint workshops/seminars led by a senior investigator
Other Opportunities:
Participate in disciplinary research projects led by senior investigators. INT will consider requests for supplemental support to the existing NSF grant when such activities will provide an international educational experience for the U.S. students
Consult the appropriate disciplinary area on the NSF Home Page, at http://www.nsf.gov, for information on other opportunities that may be available