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Title: Catalyzing New Intermational Collaborations (CNIC)
       (nsf13605)
Date:  09/24/2014
Replaces: NSF 12-573

Catalyzing New International Collaborations (CNIC)

[1]Program Solicitation
NSF 13-605

Replaces Document(s):
NSF 12-573

   NSF Logo

   National Science Foundation
   Office of International and Integrative Activities

   Full Proposal Target Date(s):

        January 22, 2014

        January 22, Annually Thereafter

        April 22, 2014

        April 22, Annually Thereafter

        July 22, 2014

        July 22, Annually Thereafter

        October 22, 2014

        October 22, Annually Thereafter

IMPORTANT INFORMATION AND REVISION NOTES

   Revision Notes:

   This publication updates and replaces [2]NSF 12-573, Catalyzing New
   International Collaborations (CNIC). NSF 12-573 did not accept
   proposals for workshops. The CNIC program will now accept proposals for
   workshops to initiate new international research collaborations under
   certain conditions. Some detailed procedural changes are also made at
   this revision, including the maximum award value and target dates for
   submission.

   Applicants should consult the CNIC Program Director if they wish to
   submit a proposal later than the target date for consideration in the
   respective round. Applicants should submit proposals before a target
   date at least eight months prior to the expected date of the proposed
   activity.

SUMMARY OF PROGRAM REQUIREMENTS

General Information

   Program Title:

     Catalyzing New International Collaborations (CNIC)

   Synopsis of Program:

     The Catalyzing New International Collaborations program supports the
     participation of US-based researchers and students in activities
     intended to catalyze new international research collaborations.

   Cognizant Program Officer(s):

   Please note that the following information is current at the time of
   publishing. See program website for any updates to the points of
   contact.
     * Lara Campbell, Program Manager, 1155.41, telephone: (703)-292-7049,
       email: [3]OISE-CNIC@nsf.gov

     * Steven D. Burch, Program Specialist, 1155, telephone: (703)
       292-7226, email: [4]OISE-CNIC@nsf.gov

   Applicable Catalog of Federal Domestic Assistance (CFDA) Number(s):
     * 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
     * 47.079 --- International and Integrative Activities (IIA)
     * 47.081 --- Office of Experimental Program to Stimulate Competitive
       Research

Award Information

   Anticipated Type of Award: Standard Grant

   Estimated Number of Awards: 30 to 40 per year

   Anticipated Funding Amount: $2,000,000 per year, pending the quality of
   proposals and availability of funds

Eligibility Information

   Who May Submit Proposals:

     The categories of proposers eligible to submit proposals to the
     National Science Foundation are identified in the Grant Proposal
     Guide, Chapter I, Section E.

   Who May Serve as PI:

     There are no restrictions or limits.

   Limit on Number of Proposals per Organization:

     There are no restrictions or limits.

   Limit on Number of Proposals per PI or Co-PI:

     There are no restrictions or limits.

Proposal Preparation and Submission Instructions

   A. Proposal Preparation Instructions
     * Letters of Intent: Not required

     * Preliminary Proposal Submission: Not required

     * Full Proposals:
          + Full Proposals submitted via FastLane: NSF Proposal and Award
            Policies and Procedures Guide, Part I: Grant Proposal Guide
            (GPG) Guidelines apply. The complete text of the GPG is
            available electronically on the NSF website at:
            [5]http://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg.
          + Full Proposals submitted via Grants.gov: NSF Grants.gov
            Application Guide: A Guide for the Preparation and Submission
            of NSF Applications via Grants.gov Guidelines apply (Note: The
            NSF Grants.gov Application Guide is available on the
            Grants.gov website and on the NSF website at:
            [6]http://www.nsf.gov/publications/pub_summ.jsp?ods_key=grants
            govguide).

   B. Budgetary Information
     * Cost Sharing Requirements: Inclusion of voluntary committed cost
       sharing is prohibited.

     * Indirect Cost (F&A) Limitations: Not Applicable

     * Other Budgetary Limitations: Other budgetary limitations apply.
       Please see the full text of this solicitation for further
       information.

   C. Due Dates
     * Full Proposal Target Date(s):
            January 22, 2014
            January 22, Annually Thereafter
            April 22, 2014
            April 22, Annually Thereafter
            July 22, 2014
            July 22, Annually Thereafter
            October 22, 2014
            October 22, Annually Thereafter

Proposal Review Information Criteria

   Merit Review Criteria: National Science Board approved criteria.
   Additional merit review considerations apply. Please see the full text
   of this solicitation for further information.

Award Administration Information

   Award Conditions: Standard NSF award conditions apply.

   Reporting Requirements: Standard NSF reporting requirements apply.

TABLE OF CONTENTS

     [7]Summary of Program Requirements

    I. [8]Introduction
   II. [9]Program Description
   III. [10]Award Information
   IV. [11]Eligibility Information
    V. [12]Proposal Preparation and Submission Instructions
         A. [13]Proposal Preparation Instructions
         B. [14]Budgetary Information
         C. [15]Due Dates
         D. [16]FastLane/Grants.gov Requirements
   VI. [17]NSF Proposal Processing and Review Procedures
         A. [18]Merit Review Principles and Criteria
         B. [19]Review and Selection Process
   VII. [20]Award Administration Information
         A. [21]Notification of the Award
         B. [22]Award Conditions
         C. [23]Reporting Requirements
   VIII. [24]Agency Contacts
   IX. [25]Other Information

I. INTRODUCTION

   The Catalyzing New International Collaboration (CNIC) program is
   designed to promote professional development of US Science, Technology,
   Engineering, and Mathematics (STEM) researchers and to advance their
   research through international engagement.

   Support of international activities is an integral part of NSF's
   mission to sustain and strengthen the nation's science, technology,
   engineering, and mathematics (STEM) capabilities. NSF recognizes the
   importance of enabling US researchers and educators at every career
   level to advance their work through international collaboration and of
   helping to ensure that future generations of US scientists and
   engineers gain professional experience beyond the nation's borders
   early in their careers.

   Awards from the International Science and Engineering Section of the
   Office of International and Integrative Activities (OIIA/ISE)
   contribute to NSF's mission by supporting research and education
   activities that present unique opportunities and offer potentially high
   benefits through collaboration with scientists, engineers, and STEM
   educators abroad. NSF will consider proposals from US institutions for
   collaborative work with any country that is not explicitly proscribed
   by the Department of State (see current information at
   [26]http://www.treasury.gov/resource-center/sanctions/Programs/Pages/Pr
   ograms.aspx and [27]http://www.state.gov/j/ct/list/c14151.htm).
   Activities can be in any field of science and engineering research and
   education supported by NSF.

   This program offers support for the initial phase of international
   collaborations with clear expectations that the next phase will be
   submission by the US investigators of follow-on proposals to NSF core
   programs for continued funding of the research initiated with CNIC
   awards.

II. PROGRAM DESCRIPTION

   Scope and Focus

   The CNIC program will support US researchers' participation in
   activities intended to catalyze new international collaborations
   designed to open up new scientific directions for the proposer. These
   include, but are not limited to: research planning visits, initial data
   gathering activities, proof-of-concept, single or multiple visits
   within a maximum 12-month time period to plan a new international
   research collaboration, or exploratory workshops designed to bring
   together US and non-US-based researchers representing several
   institutions and focused on a topic specified in the Project
   Description. Generally, CNIC-supported workshops will include between
   10-25 individuals, of whom roughly half will be from the US, and are
   usually expected to take place abroad. However, in special
   circumstances, they may take place within the US if they include
   substantial international participation and are held for the purpose of
   establishing new international collaborations. [INS: :INS]

   The community is invited to propose innovative mechanisms and
   strategies for catalyzing new international collaborations with the
   goal of reaching the stage that competitive follow-on full research
   proposals can be submitted to other specified and relevant NSF
   programs, for continuing support of the project. Such follow-on
   proposals may be submitted to any appropriate and active NSF core
   program. Other well-justified activities that fulfill the goal of the
   program will be considered. Creative use of technology in promoting
   international research collaboration is encouraged. Of particular
   interest are projects which represent new, previously unfunded
   scientific areas for the principal investigator, or areas in which
   preliminary data is needed for establishing a proof-of-concept of the
   collaborative work. CNIC is not intended to provide support for
   continuation of established collaborations or for complete or
   self-contained research projects. Proposers are encouraged to request
   support for bringing undergraduate or graduate students and
   early-career postdoctoral researchers on proposed visits abroad, but
   the proposer(s) must participate in the catalyzing activity abroad in
   person and on-site.

   PIs with Active NSF Awards

   PIs with active NSF awards related to the topic of their planned
   catalytic activity may alternatively be eligible to seek funding for
   the activity by requesting instead a Supplement to the existing award.
   The cognizant Program Officer for the existing award should be
   contacted to discuss this possibility.[INS: :INS]

   Additional Considerations:

   Visas and Permits: PIs are responsible for obtaining any required visas
   for foreign travel, and through the US research institution, for
   providing documentation in support of US visas for foreign
   collaborators, if applicable. PIs are also responsible for obtaining
   research permits and import/export documents, where necessary. PIs
   should review NSF's web page "Information for US Travelers",
   [28]http://www.nsf.gov/od/iia/ise/for-travelers-main.jsp.

   Plans to collect and transfer samples should be approved by the
   appropriate government authorities, if applicable. Arrangements for the
   use of traditional knowledge or the collection of samples from the
   lands of local peoples should be based upon full disclosure and
   informed consent of those peoples. Under best practices such
   arrangements develop as a partnership with early and ongoing full
   participation of community representatives in project design.
   Indigenous concepts of intellectual property should be respected. If,
   for instance, cooperating indigenous groups, on the basis of religious
   or other concerns, object to specific uses, widespread dissemination,
   or other treatments of the knowledge or resources they provide, these
   concerns should be respected. Any dissemination of samples or data that
   were collected in a foreign country, or dissemination of results based
   on samples or data collected in a foreign country, should be done with
   the full knowledge and consent of collaborators in that country, and
   under any agreements that exist with government agencies in that
   country.

   Management of Intellectual Property: PIs are responsible for developing
   a clear understanding with the foreign partners about sharing of data,
   information, authorship on publications, and other outcomes resulting
   from the CNIC-supported research collaboration. This should be
   described in the Data Management plan. CNIC awardees are expected to
   follow NSF's policy on intellectual property.

III. AWARD INFORMATION

   It is anticipated that approximately 30-40 awards will be made annually
   at a total investment of $2 million, subject to the quality of
   proposals and availability of funds. Awards will be standard grants.

   Award duration (up to 12 months) and budget (up to $75,000) are
   expected to vary considerably depending on the scope of activities
   proposed.

IV. ELIGIBILITY INFORMATION

   Who May Submit Proposals:

     The categories of proposers eligible to submit proposals to the
     National Science Foundation are identified in the Grant Proposal
     Guide, Chapter I, Section E.

   Who May Serve as PI:

     There are no restrictions or limits.

   Limit on Number of Proposals per Organization:

     There are no restrictions or limits.

   Limit on Number of Proposals per PI or Co-PI:

     There are no restrictions or limits.

V. PROPOSAL PREPARATION AND SUBMISSION INSTRUCTIONS

A. Proposal Preparation Instructions

   Full Proposal Preparation Instructions: Proposers may opt to submit
   proposals in response to this Program Solicitation via Grants.gov or
   via the NSF FastLane system.
   
     * Full proposals submitted via FastLane: Proposals submitted in
       response to this program 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 website at:
       [29]http://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg. Paper
       copies of the GPG may be obtained from the NSF Publications
       Clearinghouse, telephone (703) 292-7827 or by e-mail from
       [30]nsfpubs@nsf.gov. Proposers are reminded to identify this
       program solicitation number in the program 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.

     * Full proposals submitted via Grants.gov: Proposals submitted in
       response to this program solicitation via Grants.gov should be
       prepared and submitted in accordance with the NSF Grants.gov
       Application Guide: A Guide for the Preparation and Submission of
       NSF Applications via Grants.gov. The complete text of the NSF
       Grants.gov Application Guide is available on the Grants.gov website
       and on the NSF website at:
       ([31]http://www.nsf.gov/publications/pub_summ.jsp?ods_key=grantsgov
       guide). To obtain copies of the Application Guide and Application
       Forms Package, click on the Apply tab on the Grants.gov site, then
       click on the Apply Step 1: Download a Grant Application Package and
       Application Instructions link and enter the funding opportunity
       number, (the program solicitation number without the NSF prefix)
       and press the Download Package button. Paper copies of the
       Grants.gov Application Guide also may be obtained from the NSF
       Publications Clearinghouse, telephone (703) 292-7827 or by e-mail
       from [32]nsfpubs@nsf.gov.

   In determining which method to utilize in the electronic preparation
   and submission of the proposal, please note the following:

   Collaborative Proposals. All collaborative proposals submitted as
   separate submissions from multiple organizations must be submitted via
   the NSF FastLane system. Chapter II, Section D.4 of the Grant Proposal
   Guide provides additional information on collaborative proposals.

   Important Proposal Preparation Information: FastLane will check for
   required sections of the full proposal, in accordance with Grant
   Proposal Guide (GPG) instructions described in Chapter II.C.2. The GPG
   requires submission of: Project Summary; Project Description;
   References Cited; Biographical Sketch(es); Budget; Budget
   Justification; Current and Pending Support; Facilities, Equipment &
   Other Resources; Data Management Plan; and Postdoctoral Mentoring Plan,
   if applicable. If a required section is missing, FastLane will not
   accept the proposal.

   Please note that the proposal preparation instructions provided in this
   program solicitation may deviate from the GPG instructions. If the
   solicitation instructions do not require a GPG-required section to be
   included in the proposal, insert text or upload a document in that
   section of the proposal that states, "Not Applicable for this Program
   Solicitation." Doing so will enable FastLane to accept your proposal.

   Please note that per guidance in the GPG, the Project Description must
   contain, as a separate section within the narrative, a discussion of
   the broader impacts of the proposed activities. Unless otherwise
   specified in this solicitation, you can decide where to include this
   section within the Project Description.

   The requirements below regarding responding to this solicitation are
   additional to the proposal preparation guidelines contained in the NSF
   Grant Proposal Guide (GPG) at
   [33]http://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg, and both
   should be used in preparing all proposals responding to this
   solicitation. The NSF Grants.gov Application Guide at
   [34]http://www.nsf.gov/publications/pub_summ.jsp?ods_key=grantsgovguide
   should also be consulted by Grants.gov users.

   Prior to formal submission in response to this solicitation, it is
   required that a potential proposer make contact with the cognizant
   OIIA/ISE Country/Regional Program Officer. The OIIA/ISE
   Country/Regional Program Officers are listed at
   [35]http://www.nsf.gov/od/iia/ise/country-list.jsp. The
   Country/Regional Program Officer may discuss technical, budgetary,
   eligibility, and unique country or regional issues, and to which NSF
   program the follow-on proposal(s) is(are) to be submitted. A potential
   proposer may also, as a courtesy, inform the disciplinary Program
   Officer(s) for the NSF program(s) to which the follow-on proposal(s)
   would be submitted of the intent to submit a CNIC proposal.

   A copy of all the related correspondence with the ISE Country/Regional
   Program Officer and any other NSF Program Officer(s) must be included
   in the CNIC proposal (see paragraph j below).

   It should be noted that encouragement of submission from NSF does not
   in any way guarantee or imply funding of the CNIC proposal or any
   subsequent proposals submitted to disciplinary programs to continue
   research initiated by support from CNIC.

   The following are required in all formal CNIC proposals.

   a. Cover Sheet. Highlight this solicitation number in the 'Program
   Announcement/Solicitation' block and select 'Catalyzing New
   International Collaborations' as the Program in the Unit Selection
   List. [Grants.gov users: The program solicitation number will be
   pre-populated by Grants.gov on the NSF Grant Application Cover Page.
   Grants.gov users should refer to Section VI.1.2 of the NSF Grants.gov
   Application Guide for instructions on how to designate the NSF Unit of
   Consideration.] The proposal title should start with "US-(country)
   planning visit..." OR "US-(country) workshop...". Do not include the
   foreign collaborator(s) on the Cover Sheet as Co-PIs. Under 'Remainder
   of the Cover Sheet' - 'Other Information', check the box for
   'International Cooperative Activities Country Name' or 'International
   Activities', then select the non-US countries involved in the
   international intellectual collaboration. Any countries involved only
   in fieldwork should not be selected. 'United States' should not be
   listed here. [Grants.gov users: see Section V.4.6 of the NSF Grants.gov
   Application Guide to list the countries involved in activities outside
   the US.]

   b. Project Summary (one page maximum). The overview section should
   include the names and institutional affiliations of the foreign
   collaborators, and note their roles in the proposed activities. The
   overview section should also clearly identify the active NSF program(s)
   to which the follow-on proposal(s) is(are) expected to be submitted.

   c. Table of Contents (see GPG).

   d. Project Description. This must not exceed eight pages in total. This
   section should describe how the activity will promote and develop new
   collaborative research with foreign partner(s). The Project Description
   for all proposals submitted in response to this solicitation must
   include:
     * Research and education objectives of the proposed project or
       workshop, research activities, detailed schedule of activities,
       roles of all key individuals involved, and expected contributions
       from the foreign partners. For workshops, provide a draft agenda
       listing topics and proposed speakers.
     * Brief description of the history of the international collaboration
       or workshop and why it should now be considered as "new."
     * Description of how the proposed project or workshop will open new
       scientific directions for those involved.
     * Justification for selecting the proposed workshop or planning visit
       site and collaborators. For planning visits, explain what unique
       expertise, facilities, and/or other resources available to US
       researchers at the foreign site justify the collaboration.
     * Description of the involvement of US students and/or early career
       researchers, if applicable.
     * Strategies and plans for continuing the collaboration, and
       projected outcomes and follow-up plans.
     * Broader Impacts, in a separate section as specified by the GPG.
     * Results from Prior NSF Support, as specified by the GPG.

   e. References Cited.

   f. Biographical Sketch(es) of the US-based PI and co-PIs, in the
   specified NSF format given in the GPG
   ([36]http://nsf.gov/publications/pub_summ.jsp?ods_key=gpg, Chapter
   II.C.2.f).

   g. Budget. Funding levels will typically range from $10,000 to $75,000
   (maximum including indirect costs), depending on the type and scope of
   activities proposed. The Budget Justification should explain and
   justify the details of all cost items. Eligible expenses include
   international travel including lodging and subsistence, limited
   research supplies for use abroad, bench-fees abroad, and limited
   in-country travel expenses abroad. Participation of students and
   early-career postdoctoral researchers is encouraged; however, the
   proposer(s) must participate in the catalyzing activity abroad in
   person and on-site. Equipment costs are not allowed under CNIC. [INS:
   :INS]

   For both planning visits and workshops, only US-based researchers,
   support staff and students may be supported by travel and/or
   salary/stipend. Salaries/stipends of researchers/staff/students may be
   included only for the time that is spent outside of the US working on
   the project. All students supported by travel and/or stipend must
   additionally be either US citizens or legal US permanent residents.

   For living expenses abroad, proposers are encouraged to work with their
   foreign counterparts to develop realistic budget requests. For example,
   access to university guest housing or similar facilities should be
   explored. In no case should the amount for lodging and meals and
   incidental expenses (M&IE) exceed the [37]authorized US Government per
   diem rates, calculated at the daily rate for the first 30 days of a
   single project visit, and 50% of that rate for all time after that.
   Various approaches to cost-effective, reciprocal arrangements can be
   considered. By law, US flag carriers must be used in accordance with
   the Fly America Act (see Chapter VI.G.1b of the NSF Award and
   Administration Guide at
   [38]http://nsf.gov/publications/pub_summ.jsp?ods_key=aag).

   h. Current and Pending Support, as specified by the GPG.

   i. Facilities, Equipment and Other Resources, as specified by the GPG.

   j. Special Information and Supplementary Documentation. The
   Supplementary Documentation does not contribute to the page limit for
   the Project Description. The following are required in every CNIC
   proposal:
   
     * Postdoctoral Researcher Mentoring Plan, as specified by the GPG, if
       any Postdoctoral Researchers will receive travel and/or salary
       support under the CNIC proposal.
     * Data Management Plan, as specified by the GPG.
     * Biographical sketch(es) for all principal foreign collaborator(s).
       (In the case of workshops, include biosketch(es) for all principal
       foreign attendees known at the time of submission.) All
       biosketch(es) must adhere to the format given in the GPG
       ([39]http://nsf.gov/publications/pub_summ.jsp?ods_key=gpg, Chapter
       II.C.2.f).
     * Letter(s) agreeing to the collaboration from all principal foreign
       collaborator(s) and/or institution(s) (for workshops, as far as is
       known at the time of submission).
     * List of relevant facilities and/or major equipment available at the
       destination venue(s), as far as is known at the time of submission.
     * Complete copy of all prior communication regarding this proposal
       (e.g., copy of e-mails) with the ISE Country/Regional Program
       Officer and any other NSF Program Officer(s).
     * Any other appropriate information specified by the GPG.

   Failure to comply with any of the above listed requirements may result
   in the proposal not being accepted or being returned without review.

B. Budgetary Information

   Cost Sharing: Inclusion of voluntary committed cost sharing is
   prohibited.

   Other Budgetary Limitations:

   NSF generally considers proposals for collaborative international
   projects if support is requested only for the US portion of the
   collaborative effort. In most cases, foreign collaborators should
   obtain their own funding for participation in the collaborative
   project. US researchers should expect to assist their foreign
   counterparts to pursue their own support. NSF program officers may use
   their discretion to provide limited funding of the foreign portion of
   the collaboration when it is essential to the success of the project
   and when there is no possible mechanism for support of such
   participation from the foreign side. If applicable, potential proposers
   must discuss this with the ISE Country/Regional Program Officer before
   submitting a proposal, and a copy of this correspondence must be
   included in the CNIC proposal (see paragraph j above); otherwise, the
   proposal may be returned without review.[DEL: :DEL]

C. Due Dates

     * Full Proposal Target Date(s):
            January 22, 2014
            January 22, Annually Thereafter
            April 22, 2014
            April 22, Annually Thereafter
            July 22, 2014
            July 22, Annually Thereafter
            October 22, 2014
            October 22, Annually Thereafter

   Applicants should consult the CNIC Program Director if they wish to
   submit a proposal later than the target date for consideration in the
   respective round. Applicants should submit proposals before a target
   date at least eight months prior to the expected start date of the
   proposed activity.

D. FastLane/Grants.gov Requirements

   For Proposals Submitted Via FastLane:

     To prepare and submit a proposal via FastLane, see detailed
     technical instructions available at:
	 
     [40]https://www.fastlane.nsf.gov/a1/newstan.htm. For FastLane user
     support, call the FastLane Help Desk at 1-800-673-6188 or e-mail
     [41]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 solicitation should be
     referred to the NSF program staff contact(s) listed in Section VIII
     of this funding opportunity.

   For Proposals Submitted Via Grants.gov:
   
     Before using Grants.gov for the first time, each organization must
     register to create an institutional profile. Once registered, the
     applicant's organization can then apply for any federal grant on
     the Grants.gov website. Comprehensive information about using
     Grants.gov is available on the Grants.gov Applicant Resources
     webpage: [42]http://www.grants.gov/web/grants/applicants.html. In
     addition, the NSF Grants.gov Application Guide (see link in Section
     V.A) provides instructions regarding the technical preparation of
     proposals via Grants.gov. For Grants.gov user support, contact the
     Grants.gov Contact Center at 1-800-518-4726 or by email:
     [43]support@grants.gov. The Grants.gov Contact Center answers
     general technical questions related to the use of Grants.gov.
     Specific questions related to this program solicitation should be
     referred to the NSF program staff contact(s) listed in Section VIII
     of this solicitation.
	 
     Submitting the Proposal: Once all documents have been completed,
     the Authorized Organizational Representative (AOR) must submit the
     application to Grants.gov and verify the desired funding
     opportunity and agency to which the application is submitted. The
     AOR must then sign and submit the application to Grants.gov. The
     completed application will be transferred to the NSF FastLane
     system for further processing.

   Proposers that submitted via FastLane are strongly encouraged to use
   FastLane to verify the status of their submission to NSF. For proposers
   that submitted via Grants.gov, until an application has been received
   and validated by NSF, the Authorized Organizational Representative may
   check the status of an application on Grants.gov. After proposers have
   received an e-mail notification from NSF, Research.gov should be used
   to check the status of an application.

VI. NSF PROPOSAL PROCESSING AND REVIEW PROCEDURES

   Proposals received by NSF are assigned to the appropriate NSF program
   for acknowledgement and, if they meet NSF requirements, for review. All
   proposals are carefully reviewed by a scientist, engineer, or educator
   serving as an NSF Program Officer, and usually by three to ten other
   persons outside NSF either as ad hoc reviewers, panelists, or both, who
   are experts in the particular fields represented by the proposal. These
   reviewers are selected by Program Officers charged with oversight of
   the review process. Proposers are invited to suggest names of persons
   they believe are especially well qualified to review the proposal
   and/or persons they would prefer not review the proposal. These
   suggestions may serve as one source in the reviewer selection process
   at the Program Officer's discretion. Submission of such names, however,
   is optional. Care is taken to ensure that reviewers have no conflicts
   of interest with the proposal. In addition, Program Officers may obtain
   comments from site visits before recommending final action on
   proposals. Senior NSF staff further review recommendations for awards.
   A flowchart that depicts the entire NSF proposal and award process (and
   associated timeline) is included in the GPG as [44]Exhibit III-1.

   A comprehensive description of the Foundation's merit review process is
   available on the NSF website at:
   [45]http://nsf.gov/bfa/dias/policy/merit_review/.

   Proposers should also be aware of core strategies that are essential to
   the fulfillment of NSF's mission, as articulated in [46]Investing in
   Science, Engineering, and Education for the Nation's Future: NSF
   Strategic Plan for 2014-2018. These strategies are integrated in the
   program planning and implementation process, of which proposal review
   is one part. NSF's mission is particularly well-implemented through the
   integration of research and education and broadening participation in
   NSF programs, projects, and activities.

   One of the strategic objectives in support of NSF's mission is to
   foster integration of research and education through the programs,
   projects, and activities it supports at academic and research
   institutions. These institutions must recruit, train, and prepare a
   diverse STEM workforce to advance the frontiers of science and
   participate in the U.S. technology-based economy. NSF's contribution to
   the national innovation ecosystem is to provide cutting-edge research
   under the guidance of the Nation's most creative scientists and
   engineers. NSF also supports development of a strong science,
   technology, engineering, and mathematics (STEM) workforce by investing
   in building the knowledge that informs improvements in STEM teaching
   and learning.

   NSF's mission calls for the broadening of opportunities and expanding
   participation of groups, institutions, and geographic regions that are
   underrepresented in STEM disciplines, which 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.

A. Merit Review Principles and Criteria

   The National Science Foundation strives to invest in a robust and
   diverse portfolio of projects that creates new knowledge and enables
   breakthroughs in understanding across all areas of science and
   engineering research and education. To identify which projects to
   support, NSF relies on a merit review process that incorporates
   consideration of both the technical aspects of a proposed project and
   its potential to contribute more broadly to advancing NSF's mission "to
   promote the progress of science; to advance the national health,
   prosperity, and welfare; to secure the national defense; and for other
   purposes." NSF makes every effort to conduct a fair, competitive,
   transparent merit review process for the selection of projects.

   1. Merit Review Principles

   These principles are to be given due diligence by PIs and organizations
   when preparing proposals and managing projects, by reviewers when
   reading and evaluating proposals, and by NSF program staff when
   determining whether or not to recommend proposals for funding and while
   overseeing awards. Given that NSF is the primary federal agency charged
   with nurturing and supporting excellence in basic research and
   education, the following three principles apply:
   
     * All NSF projects should be of the highest quality and have the
       potential to advance, if not transform, the frontiers of knowledge.
     * NSF projects, in the aggregate, should contribute more broadly to
       achieving societal goals. These "Broader Impacts" may be
       accomplished through the research itself, through activities that
       are directly related to specific research projects, or through
       activities that are supported by, but are complementary to, the
       project. The project activities may be based on previously
       established and/or innovative methods and approaches, but in either
       case must be well justified.
     * Meaningful assessment and evaluation of NSF funded projects should
       be based on appropriate metrics, keeping in mind the likely
       correlation between the effect of broader impacts and the resources
       provided to implement projects. If the size of the activity is
       limited, evaluation of that activity in isolation is not likely to
       be meaningful. Thus, assessing the effectiveness of these
       activities may best be done at a higher, more aggregated, level
       than the individual project.

   With respect to the third principle, even if assessment of Broader
   Impacts outcomes for particular projects is done at an aggregated
   level, PIs are expected to be accountable for carrying out the
   activities described in the funded project. Thus, individual projects
   should include clearly stated goals, specific descriptions of the
   activities that the PI intends to do, and a plan in place to document
   the outputs of those activities.

   These three merit review principles provide the basis for the merit
   review criteria, as well as a context within which the users of the
   criteria can better understand their intent.

   2. Merit Review Criteria

   All NSF proposals are evaluated through use of the two National Science
   Board approved merit review criteria. In some instances, however, NSF
   will employ additional criteria as required to highlight the specific
   objectives of certain programs and activities.

   The two merit review criteria are listed below. Both criteria are to be
   given full consideration during the review and decision-making
   processes; each criterion is necessary but neither, by itself, is
   sufficient. Therefore, proposers must fully address both criteria.
   ([47]GPG Chapter II.C.2.d.i. contains additional information for use by
   proposers in development of the Project Description section of the
   proposal.) Reviewers are strongly encouraged to review the criteria,
   including [48]GPG Chapter II.C.2.d.i., prior to the review of a
   proposal.

   When evaluating NSF proposals, reviewers will be asked to consider what
   the proposers want to do, why they want to do it, how they plan to do
   it, how they will know if they succeed, and what benefits could accrue
   if the project is successful. These issues apply both to the technical
   aspects of the proposal and the way in which the project may make
   broader contributions. To that end, reviewers will be asked to evaluate
   all proposals against two criteria:
     * Intellectual Merit: The Intellectual Merit criterion encompasses
       the potential to advance knowledge; and
     * Broader Impacts: The Broader Impacts criterion encompasses the
       potential to benefit society and contribute to the achievement of
       specific, desired societal outcomes.

   The following elements should be considered in the review for both
   criteria:
    1. What is the potential for the proposed activity to
         a. Advance knowledge and understanding within its own field or
            across different fields (Intellectual Merit); and
         b. Benefit society or advance desired societal outcomes (Broader
            Impacts)?
    2. To what extent do the proposed activities suggest and explore
       creative, original, or potentially transformative concepts?
    3. Is the plan for carrying out the proposed activities well-reasoned,
       well-organized, and based on a sound rationale? Does the plan
       incorporate a mechanism to assess success?
    4. How well qualified is the individual, team, or organization to
       conduct the proposed activities?
    5. Are there adequate resources available to the PI (either at the
       home organization or through collaborations) to carry out the
       proposed activities?

   Broader impacts may be accomplished through the research itself,
   through the activities that are directly related to specific research
   projects, or through activities that are supported by, but are
   complementary to, the project. NSF values the advancement of scientific
   knowledge and activities that contribute to achievement of societally
   relevant outcomes. Such outcomes include, but are not limited to: full
   participation of women, persons with disabilities, and underrepresented
   minorities in science, technology, engineering, and mathematics (STEM);
   improved STEM education and educator development at any level;
   increased public scientific literacy and public engagement with science
   and technology; improved well-being of individuals in society;
   development of a diverse, globally competitive STEM workforce;
   increased partnerships between academia, industry, and others; improved
   national security; increased economic competitiveness of the United
   States; and enhanced infrastructure for research and education.

   Proposers are reminded that reviewers will also be asked to review the
   Data Management Plan and the Postdoctoral Researcher Mentoring Plan, as
   appropriate.

   Additional Solicitation Specific Review Criteria

   In addition to the general NSF review criteria described above, the
   following criteria will be used in evaluating proposals submitted in
   response to this solicitation:

   1. Mutual benefits among partners; true intellectual collaboration with
   the foreign partner(s); benefits to be realized from the expertise and
   specialized skills, facilities, sites, and/or resources of the
   international collaborator(s); and

   2. The extent to which the proposed collaboration opens a new
   scientific direction for which the applicant(s) is(are) not yet funded;
   the extent to which the proposed activities are likely to lead to
   potentially transformative contributions to research and education not
   possible without this catalytic step; and the extent to which the
   proposed collaboration contributes to the professional development of
   the applicant(s).

B. Review and Selection Process

   Proposals submitted in response to this program solicitation will be
   reviewed by Ad hoc Review and/or Panel Review, or Internal NSF Review.

   Workshop proposals requesting up to $50,000 will generally be reviewed
   internally by experts within NSF; planning visit proposals will
   generally be reviewed externally by experts outside NSF. Workshop
   proposals requesting more than $50,000 may be reviewed internally or
   externally.

   Reviewers will be asked to evaluate proposals using two National
   Science Board approved merit review criteria and, if applicable,
   additional program specific criteria. A summary rating and accompanying
   narrative will be completed and submitted by each reviewer. The Program
   Officer assigned to manage the proposal's review will consider the
   advice of reviewers and will formulate a recommendation.

   After scientific, technical and programmatic review and consideration
   of appropriate factors, the NSF Program Officer recommends to the
   cognizant Division Director whether the proposal should be declined or
   recommended for award. NSF strives to be able to tell applicants
   whether their proposals have been declined or recommended for funding
   within six months. Large or particularly complex proposals or proposals
   from new awardees may require additional review and processing time.
   The time interval begins on the deadline or target date, or receipt
   date, whichever is later. The interval ends when the Division Director
   acts upon the Program Officer's recommendation.

   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.
   After an administrative review has occurred, Grants and Agreements
   Officers perform 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 their own risk.

   Once an award or declination decision has been made, Principal
   Investigators are provided feedback about their proposals. In all
   cases, reviews are treated as confidential documents. Verbatim copies
   of reviews, excluding the names of the reviewers or any
   reviewer-identifying information, are sent to the Principal
   Investigator/Project Director by the Program Officer. In addition, the
   proposer will receive an explanation of the decision to award or
   decline funding.

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 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.B. for
   additional information on the review process).

B. Award Conditions

   An NSF award consists of: (1) the award notice, 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 notice; (4) the applicable award
   conditions, such as Grant General Conditions (GC-1)*; or Research Terms
   and Conditions* and (5) any announcement or other NSF issuance that may
   be incorporated by reference in the award notice. Cooperative
   agreements also are administered in accordance with NSF Cooperative
   Agreement Financial and Administrative Terms and Conditions (CA-FATC)
   and the applicable Programmatic Terms and Conditions. NSF awards are
   electronically signed by an NSF Grants and Agreements Officer and
   transmitted electronically to the organization via e-mail.

   *These documents may be accessed electronically on NSF's Website at
   [49]http://www.nsf.gov/awards/managing/award_conditions.jsp?org=NSF.
   Paper copies may be obtained from the NSF Publications Clearinghouse,
   telephone (703) 292-7827 or by e-mail from [50]nsfpubs@nsf.gov.

   More comprehensive information on NSF Award Conditions and other
   important information on the administration of NSF awards is contained
   in the NSF Award & Administration Guide (AAG) Chapter II, available
   electronically on the NSF Website at
   [51]http://www.nsf.gov/publications/pub_summ.jsp?ods_key=aag.

C. Reporting Requirements

   For all multi-year grants (including both standard and continuing
   grants), the Principal Investigator must submit an annual project
   report to the cognizant Program Officer at least 90 days prior to the
   end of the current budget period. (Some programs or awards require
   submission of more frequent project reports). Within 90 days following
   expiration of a grant, the PI also is required to submit a final
   project report, and a project outcomes report for the general public.

   Failure to provide the required annual or final project reports, or the
   project outcomes report, will delay NSF review and processing of any
   future funding increments as well as any pending proposals for all
   identified PIs and co-PIs on a given award. PIs should examine the
   formats of the required reports in advance to assure availability of
   required data.

   PIs are required to use NSF's electronic project-reporting system,
   available through Research.gov, for preparation and submission of
   annual and final project reports. Such reports provide information on
   accomplishments, project participants (individual and organizational),
   publications, and other specific products and impacts of the project.
   Submission of the report via Research.gov constitutes certification by
   the PI that the contents of the report are accurate and complete. The
   project outcomes report also must be prepared and submitted using
   Research.gov. This report serves as a brief summary, prepared
   specifically for the public, of the nature and outcomes of the project.
   This report will be posted on the NSF website exactly as it is
   submitted by the PI.

   More comprehensive information on NSF Reporting Requirements and other
   important information on the administration of NSF awards is contained
   in the NSF Award & Administration Guide (AAG) Chapter II, available
   electronically on the NSF Website at
   [52]http://www.nsf.gov/publications/pub_summ.jsp?ods_key=aag.

VIII. AGENCY CONTACTS

   Please note that the program contact information is current at the time
   of publishing. See program website for any updates to the points of
   contact.

   General inquiries regarding this program should be made to:
     * Lara Campbell, Program Manager, 1155.41, telephone: (703)-292-7049,
       email: [53]OISE-CNIC@nsf.gov

     * Steven D. Burch, Program Specialist, 1155, telephone: (703)
       292-7226, email: [54]OISE-CNIC@nsf.gov

   For questions related to the use of FastLane, contact:
     * FastLane Help Desk, telephone: 1-800-673-6188; e-mail:
       [55]fastlane@nsf.gov.

   For questions relating to Grants.gov contact:
     * Grants.gov Contact Center: If the Authorized Organizational
       Representatives (AOR) has not received a confirmation message from
       Grants.gov within 48 hours of submission of application, please
       contact via telephone: 1-800-518-4726; e-mail:
       [56]support@grants.gov.

   CNIC awards support short international planning visits by US-based
   researchers or small workshops that are expected to result in
   submission of follow-on full research proposal(s) to NSF. In addition
   to the formal solicitation, [57]Frequently Asked Questions (FAQs) about
   the CNIC program are available. Potential proposers should review both
   these [58]FAQs and the [59]solicitation before contacting program
   staff. Prior to formal submission in response to this solicitation, it
   is required that potential proposers make contact with the cognizant
   IIA/ISE Country/Regional Program Officer. The IIA/ISE Country/Regional
   Program Officers are listed at
   [60]http://www.nsf.gov/od/iia/ise/country-list.jsp. Note that CNIC does
   not provide support for, or to participate in, international
   conferences or congresses. Such support should be requested in
   proposal(s) to an NSF Directorate (see NSF [61]Grant Proposal Guide
   sections II.D.8 & II.D.9).

IX. OTHER INFORMATION

   The NSF website provides the most comprehensive source of information
   on NSF Directorates (including contact information), programs and
   funding opportunities. Use of this website by potential proposers is
   strongly encouraged. In addition, "NSF Update" is an
   information-delivery system designed to keep potential proposers and
   other interested parties apprised of new NSF funding opportunities and
   publications, important changes in proposal and award policies and
   procedures, and upcoming NSF [62]Grants Conferences. Subscribers are
   informed through e-mail or the user's Web browser each time new
   publications are issued that match their identified interests. "NSF
   Update" also is available on NSF's website at
   [63]https://public.govdelivery.com/accounts/USNSF/subscriber/new?topic_
   id=USNSF_179.

   Grants.gov provides an additional electronic capability to search for
   Federal government-wide grant opportunities. NSF funding opportunities
   may be accessed via this mechanism. Further information on Grants.gov
   may be obtained at [64]http://www.grants.gov.

   Related Programs:

     Investigators may also wish to view the Programs and Funding
     Opportunities section of the OIIA/ISE home page
     [65]http://www.nsf.gov/od/iia/ise/index.jsp to view the lists of
     OIIA/ISE Managed Opportunities and other NSF Opportunities that
     Highlight International Collaboration.

ABOUT THE NATIONAL SCIENCE FOUNDATION

   The National Science Foundation (NSF) is an independent Federal agency
   created by the National Science Foundation Act of 1950, as amended (42
   USC 1861-75). The Act states the purpose of the NSF is "to promote the
   progress of science; [and] to advance the national health, prosperity,
   and welfare by supporting research and education in all fields of
   science and engineering."

   NSF funds research and education in most fields of science and
   engineering. It does this through grants and cooperative agreements to
   more than 2,000 colleges, universities, K-12 school systems,
   businesses, informal science organizations and other research
   organizations throughout the US. The Foundation accounts for about
   one-fourth of Federal support to academic institutions for basic
   research.

   NSF receives approximately 55,000 proposals each year for research,
   education and training projects, of which approximately 11,000 are
   funded. In addition, the Foundation receives several thousand
   applications for graduate and postdoctoral fellowships. The agency
   operates no laboratories itself but does support National Research
   Centers, user facilities, certain oceanographic vessels and Arctic and
   Antarctic research stations. The Foundation also supports cooperative
   research between universities and industry, US participation in
   international scientific and engineering efforts, and educational
   activities at every academic level.

   Facilitation Awards for Scientists and Engineers with Disabilities
   provide funding for special assistance or equipment to enable persons
   with disabilities to work on NSF-supported projects. See Grant Proposal
   Guide Chapter II, Section D.2 for instructions regarding preparation of
   these types of proposals.

   The National Science Foundation has Telephonic Device for the Deaf
   (TDD) and Federal Information Relay Service (FIRS) capabilities that
   enable individuals with hearing impairments to communicate with the
   Foundation about NSF programs, employment or general information. TDD
   may be accessed at (703) 292-5090 and (800) 281-8749, FIRS at (800)
   877-8339.

   The National Science Foundation Information Center may be reached at
   (703) 292-5111.

     The National Science Foundation promotes and advances scientific
     progress in the United States by competitively awarding grants and
     cooperative agreements for research and education in the sciences,
     mathematics, and engineering.

     To get the latest information about program deadlines, to download
     copies of NSF publications, and to access abstracts of awards, visit
     the NSF Website at [66]http://www.nsf.gov
	 
     * Location:                                4201 Wilson Blvd. 
                                                Arlington, VA 22230
     * For General Information
       (NSF Information Center):                (703) 292-5111
	   
     * TDD (for the hearing-impaired):          (703) 292-5090
	 
     * To Order Publications or Forms:
              Send an e-mail to:                [67]nsfpubs@nsf.gov
                   or telephone:                (703) 292-7827
				   
     * To Locate NSF Employees:                 (703) 292-5111

PRIVACY ACT AND PUBLIC BURDEN STATEMENTS

   The information requested on proposal forms and project reports is
   solicited under the authority of the National Science Foundation Act of
   1950, as amended. The information on proposal forms will be used in
   connection with the selection of qualified proposals; and project
   reports submitted by awardees will be used for program evaluation and
   reporting within the Executive Branch and to Congress. The information
   requested may be disclosed to qualified reviewers and staff assistants
   as part of the proposal review process; to proposer
   institutions/grantees to provide or obtain data regarding the proposal
   review process, award decisions, or the administration of awards; to
   government contractors, experts, volunteers and researchers and
   educators as necessary to complete assigned work; to other government
   agencies or other entities needing information regarding applicants or
   nominees as part of a joint application review process, or in order to
   coordinate programs or policy; and to another Federal agency, court, or
   party in a court or Federal administrative proceeding if the government
   is a party. Information about Principal Investigators may be added to
   the Reviewer file and used to select potential candidates to serve as
   peer reviewers or advisory committee members. See Systems of Records,
   [68]NSF-50, "Principal Investigator/Proposal File and Associated
   Records," 69 Federal Register 26410 (May 12, 2004), and [69]NSF-51,
   "Reviewer/Proposal File and Associated Records," 69 Federal Register
   26410 (May 12, 2004). Submission of the information is voluntary.
   Failure to provide full and complete information, however, may reduce
   the possibility of receiving an award.

   An agency may not conduct or sponsor, and a person is not required to
   respond to, an information collection unless it displays a valid Office
   of Management and Budget (OMB) control number. The OMB control number
   for this collection is 3145-0058. Public reporting burden for this
   collection of information is estimated to average 120 hours per
   response, including the time for reviewing instructions. Send comments
   regarding the burden estimate and any other aspect of this collection
   of information, including suggestions for reducing this burden, to:

   Suzanne H. Plimpton
   Reports Clearance Officer
   Office of the General Counsel
   National Science Foundation
   Arlington, VA 22230

   [70]Policies and Important Links

   |
   [71]Privacy | [72]FOIA | [73]Help | [74]Contact NSF | [75]Contact Web
   Master | [76]SiteMap

   National Science Foundation

   The National Science Foundation, 4201 Wilson Boulevard, Arlington,
   Virginia 22230, USA
   Tel: (703) 292-5111, FIRS: (800) 877-8339 | TDD: (800) 281-8749

   Last Updated:
   11/07/06
   [77]Text Only

References

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  69. http://www.nsf.gov/policies/
  SOR_PA_NSF-51_Reviewer_Proposal_File.pdf
  70. http://www.nsf.gov/policies
  71. http://www.nsf.gov/policies/privacy.jsp
  72. http://www.nsf.gov/policies/foia.jsp
  73. http://www.nsf.gov/help/
  74. http://www.nsf.gov/help/contact.jsp
  75. mailto:webmaster@nsf.gov
  76. http://www.nsf.gov/help/sitemap.jsp
  77. http://transcoder.usablenet.com/tt/referrer