To
promote the progress of the mathematical and physical sciences and
thereby strengthen the Nation's scientific enterprise; to increase
the store of scientific knowledge and enhance understanding of major
problems confronting the Nation. Most of the research supported
is basic in character. The program includes support of research
project grants in the following disciplines: physics, chemistry,
astronomical sciences, mathematical sciences, materials research,
as well as support for symposia and conferences. Basic research
in multidisciplinary areas related to these disciplines is especially
encouraged. Support is also provided for state-of-the-art user facilities
in astronomy, physics, and many areas of materials science; science
and technology centers; institutes; undergraduate student research;
faculty enhancement; curriculum development; instrumentation; laboratory
improvement; and for research opportunities for women, minority,
and disabled scientists and engineers.
TYPES
OF ASSISTANCE:
Project Grants. Place Cursor Here for Definition
USES
AND USE RESTRICTIONS:
Grant
funds may be used for paying costs necessary to conduct research
or studies, such as salaries and wages, permanent equipment, expendable
materials and supplies, travel, participant support; publication
costs, and other direct and indirect costs. Primary responsibility
for general supervision of all grant activities rests with the grantee
institution; the principal investigator is responsible for the scientific
work. Funds may not be used for purposes other than those specified
in the proposal.
ELIGIBILITY
REQUIREMENTS:
Applicant
Eligibility: Public and private colleges and
universities and nonprofit, nonacademic research institutions. Private
profit organizations, foreign institutions, State and local governments,
other Federal agencies or Federally Funded Research and Development
Centers (FFRDC's), and unaffiliated scientists under special circumstances.
Grants are made on a competitive basis.
Beneficiary
Eligibility: Public and private colleges and
universities and nonprofit, nonacademic research institutions.
Private for profit organizations, foreign institutions, State
and local governments, FFRDC's, and unaffiliated scientists under
special circumstances.
Credentials/Documentation:
Proposals must be signed electronically by an official authorized
to commit the institution or organization in business and financial
affairs and who can commit the organization to certain proposal
certifications. Costs will be determined in accordance with OMB
Circular Nos. A-21 for colleges and universities and A-122 for
nonprofit organizations. This program is excluded from coverage
under OMB Circular No. A-87.
Pre-application
Coordination: None. This program is excluded
from coverage under E.O. 12372.
Application
Procedure: By electronic submission via FastLane
of a formal proposal describing the research or study to be undertaken.
Guidelines are contained in publication, "Grant Proposal Guide,"
NSF 03-2 and "Guide to Programs Fiscal Year 2003" NSF 03-009.
This program is subject to the provisions of OMB Circular No.
A-110. This program is excluded from coverage under OMB Circular
No. A-102.
Award
Procedure: NSF staff members review and evaluate
all proposals generally with the assistance and advice of other
qualified scientists and other appropriate persons who are specialists
in the field covered by the proposal. Proposals are accepted on
the basis of merit to the extent permitted by available funds.
States will be notified of Federal assistance awards through the
Federal Assistance Awards Data System (FAADS).
Deadlines:
Unsolicited proposals may be submitted at any time. Some specific
programs have formal announcements with deadlines. The program
announcement should be consulted.
Range
of Approval/Disapproval Time: From 4 to 6
months.
Appeals:
The principal investigator may request, in writing, that the Foundation
reconsider its action in declining any proposal application, renewal
application, or continuing application.
Renewals:
Proposals for renewals, containing the same type of information
as the original proposal, should be submitted at least 6 months
before the expiration date of the award. Renewals are treated
in competition with all other pending proposals.
ASSISTANCE
CONSIDERATIONS:
Formula
and Matching Requirements: Some equipment programs
have cost-sharing. Cost-sharing is not required for awards made
solely for symposia, conferences and workshops, publication, education
and training, facilities, or travel. The Grant Proposal Guide (GPG)
(Chapter II) and the Grant Policy Manual (Sec. 330) provide additional
information on the general NSF policy on cost-sharing.
Length
and Time Phasing of Assistance: Normally 3
to 5 years.
POST
ASSISTANCE REQUIREMENTS:
Reports:
For all multi-year grants (including both standard and continuing
grants), the PI must submit an annual project report to the cognizant
program office at least 90 days before the end of the current budget
period. Within 90 days after the expiration of a grant, the PI is
required to submit a final project report. Quarterly Federal Cash
Transaction Reports are required. Other reporting requirements may
be imposed via the grant instrument.
Audits:
In accordance with the provisions of OMB Circular No. A- 133 (Revised,
June 24, 1997), "Audits of States, Local Governments, and Non-Profit
Organizations," nonfederal entities that expend financial assistance
of $300,000 or more in Federal awards will have a single or a
program-specific audit conducted for that year. Nonfederal entities
that expend less than $300,000 a year in Federal awards are exempt
from Federal audit requirements for that year, except as noted
in Circular No. A-133.
Records:
Grantees are expected to maintain separate records for each grant
to ensure that funds are used for the general purpose for which
the grant was made. Records are subject to inspection during the
life of the grant and for 3 years thereafter.
FINANCIAL
INFORMATION:
Account
Identification: 49-0100-0-1-251.
Obligations:
(Grants) FY 01 $854,080,000; FY 02 est $920,450,000; and FY 03
est $941,570,000.
Range
and Average of Financial Assistance:
$10,000 to $30,000,000; Average: $96,000.
In fiscal year 2001, 8,458 proposals were received and 4,710 awards
were made. In fiscal year 2002, approximately 8,500 proposals will
be received and about 4,750 awards will be made. In fiscal year
2003, approximately 8,500 proposals will be received and 4,750 awards
will be made.
REGULATIONS,
GUIDELINES, AND LITERATURE:
48 CFR Chapter 25; 45 CFR Chapter VI; "NSF Guide to Programs, Fiscal
Year 2003," NSF 03-009 (http://www.nsf.gov/cgi-bin/getpub?nsf03009);
and "Grant Proposal Guide," NSF 03-2, (http://www.nsf.gov/cgi-bin/getpub?nsf032).
INFORMATION
CONTACTS:
Regional
or Local Office: None.
Headquarters
Office: Assistant Director, Mathematical and
Physical Sciences, National Science Foundation, 4201 Wilson Blvd.,
Arlington, VA 22230. Telephone: (703) 292-8801. NSF World Wide
Web site URL: http://www.nsf.gov/.
Web
Site Address: http://www.mps.nsf.gov
EXAMPLES
OF FUNDED PROJECTS:
1) Massachusetts, "Center for Ultracold Atoms;" 2) Massachusetts/Oklahoma,
"The Geometry of Duality in Mathematics and Physics;" 3) Ohio, "Molecular
Information of the Process that Controls Pollutants in the Environment;"
4) Wisconsin, "Nanostructured Materials and Interfaces;" and 5)
California, "A Survey of Nearby Stars for Extrasolar Planets."
CRITERIA
FOR SELECTING PROPOSALS:
The National Science Board approved revised criteria for evaluating
proposals at its meeting on March 28, 1997 (NSB 97-72). All NSF
proposals are evaluated through use of the two merit review criteria.
In some instances, however, NSF will employ additional criteria
as required to highlight the specific objectives of certain programs
and activities. On July 8, 2002, the NSF Director issued Important
Notice 127, Implementation of new Grant Proposal Guide Requirements
Related to the Broader Impacts Criterion. This Important Notice
reinforces the importance of addressing both criteria in the preparation
and review of all proposals submitted to NSF. NSF continues to strengthen
its internal processes to ensure that both of the merit review criteria
are addressed when making funding decisions. In an effort to increase
compliance with these requirements, the January 2002 issuance of
the GPG incorporated revised proposal preparation guidelines relating
to the development of the Project Summary and Project Description.
Chapter II of the GPG specifies that Principal Investigators (PIs)
must address both merit review criteria in separate statements within
the one-page Project Summary. This chapter also reiterates that
broader impacts resulting from the proposed project must be addressed
in the Project Description and described as an integral part of
the narrative. Effective October 1, 2002, NSF will return without
review proposals that do not separately address both merit review
criteria within the Project Summary. It is believed that these changes
to NSF proposal preparation and processing guidelines will more
clearly articulate the importance of broader impacts to NSF-funded
projects. The two National Science Board's 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.
