Mathematical Foundations of Artificial Intelligence

Nationwide Science Basis

Directorate for Mathematical and Bodily Sciences Division of Mathematical Sciences

Directorate for Pc and Info Science and Engineering Division of Computing and Communication Foundations Division of Info and Clever Programs

Directorate for Engineering Division of Civil, Mechanical and Manufacturing Innovation Division of Electrical, Communications and Cyber Programs

Directorate for Social, Behavioral and Financial Sciences Division of Social and Financial Sciences

Full Proposal Deadline(s) (due by 5 p.m. submitting group’s native time):

October 10, 2024

October 10, 2025

October 09, 2026

Essential Info And Revision Notes

Any proposal submitted in response to this solicitation must be submitted in accordance with the NSF Proposal & Award Insurance policies & Procedures Information (PAPPG) that’s in impact for the related due date to which the proposal is being submitted. The NSF PAPPG is often revised and it’s the accountability of the proposer to make sure that the proposal meets the necessities specified on this solicitation and the relevant model of the PAPPG. Submitting a proposal previous to a specified deadline doesn’t negate this requirement.

Abstract Of Program Necessities

Common Info

Program Title:

Mathematical Foundations of Synthetic Intelligence (MFAI)

Synopsis of Program:

Machine Studying and Synthetic Intelligence (AI) are enabling extraordinary scientific breakthroughs in fields starting from protein folding, pure language processing, drug synthesis, and recommender programs to the invention of novel engineering supplies and merchandise. These achievements lie on the confluence of arithmetic, statistics, engineering and laptop science, but a transparent rationalization of the outstanding energy and likewise the constraints of such AI programs has eluded scientists from all disciplines. Important foundational gaps stay that, if not correctly addressed, will quickly restrict advances in machine studying, curbing progress in synthetic intelligence. It seems more and more unlikely that these crucial gaps may be surmounted with elevated computational energy and experimentation alone. Deeper mathematical understanding is crucial to making sure that AI may be harnessed to satisfy the longer term wants of society and allow broad scientific discovery, whereas forestalling the unintended penalties of a disruptive expertise.

The Nationwide Science Basis Directorates for Mathematical and Bodily Sciences (MPS), Pc and Info Science and Engineering (CISE), Engineering (ENG), and Social, Behavioral and Financial Sciences (SBE) will collectively sponsor analysis collaborations consisting of mathematicians, statisticians, laptop scientists, engineers, and social and behavioral scientists centered on the mathematical and theoretical foundations of AI. Analysis actions ought to concentrate on probably the most difficult mathematical and theoretical questions geared toward understanding the capabilities, limitations, and rising properties of AI strategies in addition to the event of novel, and mathematically grounded, design and evaluation ideas for the present and subsequent era of AI approaches.

Particular analysis targets embrace: establishing a elementary mathematical understanding of the components figuring out the capabilities and limitations of present and rising generations of AI programs, together with, however not restricted to, basis fashions, generative fashions, deep studying, statistical studying, federated studying, and different evolving paradigms; the event of mathematically grounded design and evaluation ideas for the present and subsequent generations of AI programs; rigorous approaches for characterizing and validating machine studying algorithms and their predictions; analysis enabling provably dependable, translational, general-purpose AI programs and algorithms; encouragement of recent collaborations throughout this interdisciplinary analysis neighborhood and from numerous establishments.

The general purpose is to determine revolutionary and principled design and evaluation approaches for AI expertise utilizing artistic but theoretically grounded mathematical and statistical frameworks, yielding explainable and interpretable fashions that may allow sustainable, socially accountable, and reliable AI.

Cognizant Program Officer(s):

Please notice that the next info is present on the time of publishing. See program web site for any updates to the factors of contact.

Eyad Abed, Program Director, ENG/ECCS, phone: (703) 292-2303, e-mail: [email protected]
Yulia Gel, Program Director, MPS/DMS, phone: (703) 292-7888, e-mail: [email protected]
Alfred Hero, Program Director, CISE/CCF, phone: (703) 292-8910, e-mail: [email protected]
Anthony Kuh, Program Director, ENG/ECCS, phone: (703) 292-4714, e-mail: [email protected]
Stacey Levine, Program Director, MPS/DMS, phone: (703) 292-2948, e-mail: [email protected]
Phillip A. Regalia, Program Director, CISE/CCF, phone: (703) 292-2981, e-mail: [email protected]
Christopher W. Stark, Program Director, MPS/DMS, phone: (703) 292-4869, e-mail: [email protected]
Reha M. Uzsoy, Program Director, ENG/CMMI, phone: (703) 292-2681, e-mail: [email protected]
Juan P. Wachs, Program Director, CISE/IIS, phone: (703) 292-8714, e-mail: [email protected]
Kenneth C. Whang, Program Director, CISE/IIS, phone: (703) 292-5149, e-mail: [email protected]
Joseph M. Whitmeyer, Program Director, SBE/SES, phone: (703) 292-7808, e-mail: [email protected]

Relevant Catalog of Federal Home Help (CFDA) Quantity(s):

47.041 — Engineering
47.049 — Mathematical and Bodily Sciences
47.070 — Pc and Info Science and Engineering
47.075 — Social Behavioral and Financial Sciences

Award Info

Anticipated Kind of Award: Customary Grant or Persevering with Grant

Estimated Variety of Awards: 15

We anticipate making as much as 15 awards in every competitors. Every award dimension might differ and is anticipated to vary from $500k to $1.5M complete. Every award is anticipated to happen for a period of 36 months. Award dimension is contingent upon the scope, scale and complexity of the proposed mission. The variety of awards might be topic to the provision of funds and high quality of proposals obtained.

Anticipated Funding Quantity: $8,500,000

As much as $8,500,000 per yr is anticipated for brand spanking new awards, topic to availability of funds and receipt of meritorious proposals.

Eligibility Info

Who Could Submit Proposals:

Proposals might solely be submitted by the next:

Non-profit, non-academic organizations: Impartial museums, observatories, analysis laboratories, skilled societies and comparable organizations positioned within the U.S. which might be straight related to instructional or analysis actions.
Establishments of Greater Training (IHEs) – Two- and four-year IHEs (together with neighborhood faculties) accredited in, and having a campus positioned within the US, appearing on behalf of their college members.

Who Could Function PI:

As of the date the proposal is submitted, any PI, co-PI, or senior/key personnel should maintain both:

a tenured or tenure-track place, or
a major, full-time, paid appointment in a analysis or educating place

at a US-based campus of a corporation eligible to undergo this solicitation (see above), with exceptions granted for household or medical go away, as decided by the submitting group. People with major appointments at for-profit non-academic organizations or at abroad department campuses of U.S. establishments of upper schooling usually are not eligible.

Restrict on Variety of Proposals per Group:

There aren’t any restrictions or limits.

Restrict on Variety of Proposals per PI or co-PI: 1

A Principal Investigator (PI) or co-Principal Investigator (co-PI) may be a part of no a couple of proposal per deadline in response to this solicitation.

Proposal Preparation and Submission Directions

A. Proposal Preparation Directions

Letters of Intent: Not required

Preliminary Proposal Submission: Not required

Full Proposals:

B. Budgetary Info

C. Due Dates

Full Proposal Deadline(s) (due by 5 p.m. submitting group’s native time):

October 10, 2024

October 10, 2025

October 09, 2026

Proposal Evaluation Info Standards

Benefit Evaluation Standards:

Nationwide Science Board permitted standards. Further advantage overview standards apply. Please see the complete textual content of this solicitation for additional info.

Award Administration Info

Award Situations:

Customary NSF award circumstances apply.

Reporting Necessities:

Customary NSF reporting necessities apply.

Desk Of Contents

Abstract of Program Necessities

Introduction
Program Description
Award Info
Eligibility Info
Proposal Preparation and Submission Directions
Proposal Preparation Directions
Budgetary Info
Due Dates
Analysis.gov/Grants.gov Necessities

NSF Proposal Processing and Evaluation Procedures
Benefit Evaluation Ideas and Standards
Evaluation and Choice Course of

Award Administration Info
Notification of the Award
Award Situations
Reporting Necessities

Company Contacts
Different Info

I. Introduction

Machine Studying and Synthetic Intelligence (AI) are enabling extraordinary scientific breakthroughs in fields starting from protein folding, pure language processing, drug synthesis, and recommender programs to the invention of novel engineering supplies and merchandise. Whereas these achievements lie on the confluence of arithmetic, statistics, engineering, and laptop science, a transparent rationalization of the outstanding energy and limitations of such AI programs has eluded scientists from all disciplines. Important foundational gaps stay that, if not correctly addressed, will quickly restrict advances in machine studying, curbing progress in synthetic intelligence. It seems more and more unlikely that these crucial gaps may be surmounted with elevated computational energy and experimentation alone. Deeper mathematical understanding is crucial to making sure that AI may be harnessed to satisfy future wants of society and allow broad scientific discovery, whereas forestalling the unintended penalties of a disruptive expertise.

NSF’s earlier investments within the Mathematical and Scientific Foundations of Deep Studying (MoDL) program (NSF 20-540), the Stimulating Collaborative Advances Leveraging Experience within the Mathematical and Scientific Foundations of Deep Studying (SCALE MoDL) program (NSF 21-561), the TRIPODS program (NSF 19-604), Harnessing the Knowledge Revolution, and the Foundations of Machine Studying theme inside the AI Institutes (NSF 20-503) have yielded vital advances in understanding the mathematical, scientific, and theoretical foundations of deep studying, machine studying, and knowledge science. Nonetheless, the large physique of AI data and observe at present rests on a surprisingly restricted mathematical basis. Untapped and under-explored mathematical constructs have the potential to supply paradigm-changing approaches resulting in extra correct, extra strong, and fewer data- and computationally-hungry approaches.

The 2023 replace to the Nationwide Synthetic Intelligence Analysis and Growth Strategic Plan highlights the necessity for “Understanding Theoretical Capabilities and Limitations of AI.” Extending the mathematical and theoretical foundations underpinning AI might be important for each understanding the successes and failures of present era machine studying and growing the following era which have higher explainability, transferability, generalizability, and scalability. Such extensions might be crucial for dependable, trusted AI methodologies and will provide vital reductions in implementation prices and higher integration of domain-specific constraints. This might result in a mathematically rigorous understanding of how generalizability and bias rely on the quantity, high quality, range, and fusion of knowledge sources. For instance, it might elucidate the components affecting the double descent phenomenon of over-parameterized machine studying fashions, the dynamics and convergence of coaching such fashions, the resilience of such fashions to pruning, the success of artificial knowledge augmentation and in-context studying of transformers, and different vital and well timed questions. As the pc science and engineering communities push the bounds of AI capabilities, the deep questions and issues surrounding the worth of inference from these fashions, in addition to the related dangers, together with moral dangers and potential human and social penalties, can solely be addressed by making advances within the mathematical and theoretical foundations underlying these strategies.

II. Program Description

MFAI goals to assist analysis centered on probably the most difficult theoretical questions geared toward understanding the capabilities, limitations, and rising properties of AI strategies in addition to the event of novel, mathematically grounded design and evaluation ideas for the present and subsequent generations of AI. PI groups ought to collectively possess applicable experience drawn from arithmetic/statistics, laptop science, engineering, and social and behavioral sciences, as applicable to the mission. The scientific focus should be on the mathematical and theoretical foundations, however relevance to utility domains the place the mathematical advances might result in considerably new capabilities or a deeper understanding of current empirical observations must be addressed. Collaboration between theoretical and empirical scientists is very inspired.

Particular analysis targets are:

A elementary mathematical understanding of the components figuring out the capabilities and limitations of present and rising AI programs, together with, however not restricted to, basis fashions, generative fashions, deep studying, statistical studying, federated studying, and different evolving paradigms;
The event of mathematically grounded design and evaluation ideas for the present and subsequent generations of AI;
Rigorous approaches for characterizing and validating machine studying algorithms and their predictions, in addition to analysis enabling provably dependable, translational, general-purpose AI programs and algorithms;
Encouragement of recent collaborations throughout this interdisciplinary analysis neighborhood and from numerous establishments.

Alternatives for advancing the mathematical foundations of contemporary AI embrace, however usually are not restricted to, statistical inference and methodology, formal and symbolic logic, topology, complexity concept, algebraic geometry, illustration concept, and evaluation approaches similar to dynamical programs, partial differential equations, imply area concept, approximation concept, and optimization concept, which, in flip, might facilitate the interpretability, transferability, generalizability, and scalability of AI.

Profitable proposals will describe an actionable method for advancing the mathematical and theoretical foundations of the present and/or subsequent era of synthetic intelligence methodologies via concentrating on a minimum of one key technical impediment. Profitable proposals may also clarify the revolutionary mathematical and theoretical contributions that might be addressed within the mission. Proposals ought to clearly articulate the challenges to be addressed, the technical approaches to be taken to handle these challenges, and talk about why the proposed technical approaches are viable, together with various approaches that is likely to be adopted within the occasion of unfavourable outcomes. Every proposal should clearly reveal substantial collaborative contributions from staff members with complementary experience and will spotlight how the complementary experience of the staff offers a novel alternative for progress. Every mission staff also needs to contribute to the event of the varied, multidisciplinary analysis workforce that can proceed to advance the sphere sooner or later. This might be via the analysis involvement of scholars, and/or postdoctoral associates from throughout the multi-disciplinary spectrum of related areas.

This program welcomes the submission of proposals that embrace the participation as e.g., PI, co-PI, senior/key personnel, postdoctoral students, graduate or undergraduate college students, or different trainees from the complete spectrum of numerous expertise in STEM, together with members of traditionally under-represented or under-served populations. It additionally consists of numerous establishments together with Minority-Serving Establishments (MSIs), Primarily Undergraduate Establishments (PUIs), and two-year faculties, and main analysis establishments. Proposals from EPSCoR (Established Program to Stimulate Aggressive Analysis) jurisdictions are particularly inspired.

A number of award members, together with the mission Principal Investigator (PI), might be anticipated to attend a PI assembly annually of the award to alternate concepts, efficient practices, evaluation methods, in addition to challenges.

III. Award Info

Anticipated Kind of Award: Persevering with Grant or Customary Grant

Estimated Variety of Awards: as much as 15

Anticipated Funding Quantity: $8,500,000

As much as $8,500,000 per yr is anticipated for brand spanking new awards, topic to availability of funds and receipt of meritorious proposals.

IV. Eligibility Info

Who Could Submit Proposals:

Proposals might solely be submitted by the next:

Non-profit, non-academic organizations: Impartial museums, observatories, analysis laboratories, skilled societies and comparable organizations positioned within the U.S. which might be straight related to instructional or analysis actions.
Establishments of Greater Training (IHEs) – Two- and four-year IHEs (together with neighborhood faculties) accredited in, and having a campus positioned within the US, appearing on behalf of their college members.

Who Could Function PI:

As of the date the proposal is submitted, any PI, co-PI, or senior/key personnel should maintain both:

a tenured or tenure-track place, or
a major, full-time, paid appointment in a analysis or educating place

at a US-based campus of a corporation eligible to undergo this solicitation (see above), with exceptions granted for household or medical go away, as decided by the submitting group. People with major appointments at for-profit non-academic organizations or at abroad department campuses of U.S. establishments of upper schooling usually are not eligible.

Restrict on Variety of Proposals per Group:

There aren’t any restrictions or limits.

Restrict on Variety of Proposals per PI or co-PI: 1

A Principal Investigator (PI) or co-Principal Investigator (co-PI) may be a part of no a couple of proposal per deadline in response to this solicitation.

V. Proposal Preparation And Submission Directions

A. Proposal Preparation Directions

Full Proposal Preparation Directions: Proposers might decide to submit proposals in response to this Program Solicitation through Analysis.gov or Grants.gov.

Full Proposals submitted through Analysis.gov: Proposals submitted in response to this program solicitation must be ready and submitted in accordance with the overall tips contained within the NSF Proposal and Award Insurance policies and Procedures Information (PAPPG). The whole textual content of the PAPPG is offered electronically on the NSF web site at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg. Paper copies of the PAPPG could also be obtained from the NSF Publications Clearinghouse, phone (703) 292-8134 or by e-mail from [email protected]. The Put together New Proposal setup will immediate you for this system solicitation quantity.
Full proposals submitted through Grants.gov: Proposals submitted in response to this program solicitation through Grants.gov must be ready and submitted in accordance with the NSF Grants.gov Software Information: A Information for the Preparation and Submission of NSF Functions through Grants.gov. The whole textual content of the NSF Grants.gov Software Information is offered on the Grants.gov web site and on the NSF web site at: (https://www.nsf.gov/publications/pub_summ.jsp?ods_key=grantsgovguide). To acquire copies of the Software Information and Software Types Bundle, click on on the Apply tab on the Grants.gov website, then click on on the Apply Step 1: Obtain a Grant Software Bundle and Software Directions hyperlink and enter the funding alternative quantity, (this system solicitation quantity with out the NSF prefix) and press the Obtain Bundle button. Paper copies of the Grants.gov Software Information additionally could also be obtained from the NSF Publications Clearinghouse, phone (703) 292-8134 or by e-mail from [email protected].

In figuring out which technique to make the most of within the digital preparation and submission of the proposal, please notice the next:

Collaborative Proposals. All collaborative proposals submitted as separate submissions from a number of organizations should be submitted through Analysis.gov. PAPPG Chapter II.E.3 offers further info on collaborative proposals.

See PAPPG Chapter II.D.2 for steerage on the required sections of a full analysis proposal submitted to NSF. Please notice that the proposal preparation directions supplied on this program solicitation might deviate from the PAPPG directions.

Title: To facilitate well timed processing, the title of the proposed mission ought to start with “MFAI:”. If you submit a proposal as a part of a set of collaborative proposals, the title of the proposal ought to start with “Collaborative Analysis: MFAI:” Please notice that if submitting through Analysis.gov, the system will robotically insert the prepended title “Collaborative Analysis” when the collaborative set of proposals is created. All proposals in a bunch of individually submitted collaborative proposals ought to have the identical title and must be submitted to the MFAI program.

Supplementary Documentation: For the reason that success of collaborative analysis efforts is understood to rely on considerate coordination mechanisms that often deliver collectively the varied members of the mission, a Collaboration Plan is required, even when the investigators are affiliated with the identical establishment. As much as two pages are allowed for Collaboration Plans and so they should be submitted as a doc underneath Supplementary Paperwork. The size and stage of element supplied within the Collaboration Plan must be commensurate with the complexity of the proposed mission. Collaboration Plans and proposed budgets ought to reveal that key personnel, and particularly lead PIs, have allotted satisfactory time for each their particular person technical contributions and the management of collaborative actions crucial to understand the synergistic results of multidisciplinary analysis.

B. Budgetary Info

Price Sharing:

Inclusion of voluntary dedicated price sharing is prohibited.

Price range Preparation Directions:

All proposals are required to incorporate as a line merchandise of their budgets, the journey bills related to participation within the yearly PI Assembly.

C. Due Dates

Full Proposal Deadline(s) (due by 5 p.m. submitting group’s native time):

October 10, 2024

October 10, 2025

October 09, 2026

D. Analysis.gov/Grants.gov Necessities

For Proposals Submitted Through Analysis.gov:

To organize and submit a proposal through Analysis.gov, see detailed technical directions out there at: https://www.analysis.gov/research-portal/appmanager/base/desktop?_nfpb=true&_pageLabel=research_node_display&_nodePath=/researchGov/Service/Desktop/ProposalPreparationandSubmission.html. For Analysis.gov consumer assist, name the Analysis.gov Assist Desk at 1-800-381-1532 or e-mail [email protected]. The Analysis.gov Assist Desk solutions basic technical questions associated to the usage of the Analysis.gov system. Particular questions associated to this program solicitation must be referred to the NSF program employees contact(s) listed in Part VIII of this funding alternative.

For Proposals Submitted Through Grants.gov:

Earlier than utilizing Grants.gov for the primary time, every group should register to create an institutional profile. As soon as registered, the applicant’s group can then apply for any federal grant on the Grants.gov web site. Complete details about utilizing Grants.gov is offered on the Grants.gov Applicant Sources webpage: https://www.grants.gov/internet/grants/candidates.html. As well as, the NSF Grants.gov Software Information (see hyperlink in Part V.A) offers directions concerning the technical preparation of proposals through Grants.gov. For Grants.gov consumer assist, contact the Grants.gov Contact Heart at 1-800-518-4726 or by e-mail: [email protected]. The Grants.gov Contact Heart solutions basic technical questions associated to the usage of Grants.gov. Particular questions associated to this program solicitation must be referred to the NSF program employees contact(s) listed in Part VIII of this solicitation.

Submitting the Proposal: As soon as all paperwork have been accomplished, the Approved Organizational Consultant (AOR) should submit the applying to Grants.gov and confirm the specified funding alternative and company to which the applying is submitted. The AOR should then signal and submit the applying to Grants.gov. The finished utility might be transferred to Analysis.gov for additional processing.

The NSF Grants.gov Proposal Processing in Analysis.gov informational web page offers submission steerage to candidates and hyperlinks to useful assets together with the NSF Grants.gov Software Information, Grants.gov Proposal Processing in Analysis.gov how-to information, and Grants.gov Submitted Proposals Steadily Requested Questions. Grants.gov proposals should cross all NSF pre-check and post-check validations with a view to be accepted by Analysis.gov at NSF.

When submitting through Grants.gov, NSF strongly recommends candidates provoke proposal submission a minimum of 5 enterprise days upfront of a deadline to permit satisfactory time to handle NSF compliance errors and resubmissions by 5:00 p.m. submitting group’s native time on the deadline. Please notice that some errors can’t be corrected in Grants.gov. As soon as a proposal passes pre-checks however fails any post-check, an applicant can solely appropriate and submit the in-progress proposal in Analysis.gov.

Proposers that submitted through Analysis.gov might use Analysis.gov to confirm the standing of their submission to NSF. For proposers that submitted through Grants.gov, till an utility has been obtained and validated by NSF, the Approved Organizational Consultant might examine the standing of an utility on Grants.gov. After proposers have obtained an e-mail notification from NSF, Analysis.gov must be used to examine the standing of an utility.

VI. NSF Proposal Processing And Evaluation Procedures

Proposals obtained by NSF are assigned to the suitable NSF program for acknowledgement and, in the event that they meet NSF necessities, for overview. All proposals are fastidiously reviewed by a scientist, engineer, or educator serving as an NSF Program Officer, and normally by three to 10 different individuals exterior NSF both as advert hoc reviewers, panelists, or each, who’re consultants within the specific fields represented by the proposal. These reviewers are chosen by Program Officers charged with oversight of the overview course of. Proposers are invited to counsel names of individuals they imagine are particularly nicely certified to overview the proposal and/or individuals they would like not overview the proposal. These options might function one supply within the reviewer choice course of on the Program Officer’s discretion. Submission of such names, nevertheless, is non-compulsory. Care is taken to make sure that reviewers haven’t any conflicts of curiosity with the proposal. As well as, Program Officers might acquire feedback from website visits earlier than recommending ultimate motion on proposals. Senior NSF employees additional overview suggestions for awards. A flowchart that depicts all the NSF proposal and award course of (and related timeline) is included in PAPPG Exhibit III-1.

A complete description of the Basis’s advantage overview course of is offered on the NSF web site at: https://www.nsf.gov/bfa/dias/coverage/merit_review/.

Proposers also needs to pay attention to core methods which might be important to the achievement of NSF’s mission, as articulated in Main the World in Discovery and Innovation, STEM Expertise Growth and the Supply of Advantages from Analysis – NSF Strategic Plan for Fiscal Years (FY) 2022 – 2026. These methods are built-in in this system planning and implementation course of, of which proposal overview is one half. NSF’s mission is especially well-implemented via the mixing of analysis and schooling and broadening participation in NSF applications, initiatives, and actions.

One of many strategic goals in assist of NSF’s mission is to foster integration of analysis and schooling via the applications, initiatives, and actions it helps at educational and analysis establishments. These establishments should recruit, practice, and put together a various STEM workforce to advance the frontiers of science and take part within the U.S. technology-based financial system. NSF’s contribution to the nationwide innovation ecosystem is to supply cutting-edge analysis underneath the steerage of the Nation’s most artistic scientists and engineers. NSF additionally helps improvement of a powerful science, expertise, engineering, and arithmetic (STEM) workforce by investing in constructing the data that informs enhancements in STEM educating and studying.

NSF’s mission requires the broadening of alternatives and increasing participation of teams, establishments, and geographic areas which might be underrepresented in STEM disciplines, which is crucial to the well being and vitality of science and engineering. NSF is dedicated to this precept of range and deems it central to the applications, initiatives, and actions it considers and helps.

A. Benefit Evaluation Ideas and Standards

The Nationwide Science Basis strives to spend money on a sturdy and numerous portfolio of initiatives that creates new data and permits breakthroughs in understanding throughout all areas of science and engineering analysis and schooling. To establish which initiatives to assist, NSF depends on a advantage overview course of that includes consideration of each the technical points of a proposed mission and its potential to contribute extra broadly to advancing NSF’s mission “to advertise the progress of science; to advance the nationwide well being, prosperity, and welfare; to safe the nationwide protection; and for different functions.” NSF makes each effort to conduct a good, aggressive, clear advantage overview course of for the number of initiatives.

1. Benefit Evaluation Ideas

These ideas are to be given due diligence by PIs and organizations when making ready proposals and managing initiatives, by reviewers when studying and evaluating proposals, and by NSF program employees when figuring out whether or not or to not suggest proposals for funding and whereas overseeing awards. On condition that NSF is the first federal company charged with nurturing and supporting excellence in primary analysis and schooling, the next three ideas apply:

All NSF initiatives must be of the very best high quality and have the potential to advance, if not remodel, the frontiers of information.
NSF initiatives, within the combination, ought to contribute extra broadly to attaining societal targets. These “Broader Impacts” could also be achieved via the analysis itself, via actions which might be straight associated to particular analysis initiatives, or via actions which might be supported by, however are complementary to, the mission. The mission actions could also be based mostly on beforehand established and/or revolutionary strategies and approaches, however in both case should be nicely justified.
Significant evaluation and analysis of NSF funded initiatives must be based mostly on applicable metrics, retaining in thoughts the probably correlation between the impact of broader impacts and the assets supplied to implement initiatives. If the scale of the exercise is proscribed, analysis of that exercise in isolation is just not prone to be significant. Thus, assessing the effectiveness of those actions might greatest be executed at the next, extra aggregated, stage than the person mission.

With respect to the third precept, even when evaluation of Broader Impacts outcomes for specific initiatives is completed at an aggregated stage, PIs are anticipated to be accountable for finishing up the actions described within the funded mission. Thus, particular person initiatives ought to embrace clearly acknowledged targets, particular descriptions of the actions that the PI intends to do, and a plan in place to doc the outputs of these actions.

These three advantage overview ideas present the premise for the advantage overview standards, in addition to a context inside which the customers of the standards can higher perceive their intent.

2. Benefit Evaluation Standards

All NSF proposals are evaluated via use of the 2 Nationwide Science Board permitted advantage overview standards. In some situations, nevertheless, NSF will make use of further standards as required to focus on the particular goals of sure applications and actions.

The 2 advantage overview standards are listed beneath. Each standards are to be given full consideration in the course of the overview and decision-making processes; every criterion is critical however neither, by itself, is enough. Subsequently, proposers should totally deal with each standards. (PAPPG Chapter II.D.2.d(i). comprises further info to be used by proposers in improvement of the Mission Description part of the proposal). Reviewers are strongly inspired to overview the standards, together with PAPPG Chapter II.D.2.d(i), previous to the overview of a proposal.

When evaluating NSF proposals, reviewers might be requested to think about what the proposers need to do, why they need to do it, how they plan to do it, how they’ll know in the event that they succeed, and what advantages might accrue if the mission is profitable. These points apply each to the technical points of the proposal and the best way during which the mission might make broader contributions. To that finish, reviewers might be requested to guage all proposals towards two standards:

Mental Benefit: The Mental Benefit criterion encompasses the potential to advance data; and
Broader Impacts: The Broader Impacts criterion encompasses the potential to profit society and contribute to the achievement of particular, desired societal outcomes.

The next parts must be thought of within the overview for each standards:

What’s the potential for the proposed exercise to
Advance data and understanding inside its personal area or throughout completely different fields (Mental Benefit); and
Profit society or advance desired societal outcomes (Broader Impacts)?

To what extent do the proposed actions counsel and discover artistic, authentic, or probably transformative ideas?
Is the plan for finishing up the proposed actions well-reasoned, well-organized, and based mostly on a sound rationale? Does the plan incorporate a mechanism to evaluate success?
How nicely certified is the person, staff, or group to conduct the proposed actions?
Are there satisfactory assets out there to the PI (both on the house group or via collaborations) to hold out the proposed actions?

Broader impacts could also be achieved via the analysis itself, via the actions which might be straight associated to particular analysis initiatives, or via actions which might be supported by, however are complementary to, the mission. NSF values the development of scientific data and actions that contribute to achievement of societally related outcomes. Such outcomes embrace, however usually are not restricted to: full participation of ladies, individuals with disabilities, and different underrepresented teams in science, expertise, engineering, and arithmetic (STEM); improved STEM schooling and educator improvement at any stage; elevated public scientific literacy and public engagement with science and expertise; improved well-being of people in society; improvement of a various, globally aggressive STEM workforce; elevated partnerships between academia, trade, and others; improved nationwide safety; elevated financial competitiveness of the USA; and enhanced infrastructure for analysis and schooling.

Proposers are reminded that reviewers may also be requested to overview the Knowledge Administration and Sharing Plan and the Mentoring Plan, as applicable.

Further Solicitation Particular Evaluation Standards

Along with the Nationwide Science Board advantage overview standards, reviewers might be requested to evaluate how nicely the proposal addresses the next points:

Is there’s a compelling collaboration plan which clearly articulates the added worth and complementary experience spanning the required areas of information?
To what extent does the proposal clearly articulate the mathematical and theoretical improvements?

B. Evaluation and Choice Course of

Proposals submitted in response to this program solicitation might be reviewed by Advert hoc Evaluation and/or Panel Evaluation.

Reviewers might be requested to guage proposals utilizing two Nationwide Science Board permitted advantage overview standards and, if relevant, further program particular standards. A abstract score and accompanying narrative will typically be accomplished and submitted by every reviewer and/or panel. The Program Officer assigned to handle the proposal’s overview will contemplate the recommendation of reviewers and can formulate a suggestion.

After scientific, technical and programmatic overview and consideration of applicable components, the NSF Program Officer recommends to the cognizant Division Director whether or not the proposal must be declined or beneficial for award. NSF strives to have the ability to inform proposers whether or not their proposals have been declined or beneficial for funding inside six months. Giant or notably advanced proposals or proposals from new recipients might require further overview and processing time. The time interval begins on the deadline or goal date, or receipt date, whichever is later. The interval ends when the Division Director acts upon the Program Officer’s suggestion.

After programmatic approval has been obtained, the proposals beneficial for funding might be forwarded to the Division of Grants and Agreements or the Division of Acquisition and Cooperative Help for overview of enterprise, monetary, and coverage implications. After an administrative overview has occurred, Grants and Agreements Officers carry out the processing and issuance of a grant or different settlement. Proposers are cautioned that solely a Grants and Agreements Officer might make commitments, obligations or awards on behalf of NSF or authorize the expenditure of funds. No dedication on the a part of NSF must be inferred from technical or budgetary discussions with a NSF Program Officer. A Principal Investigator or group that makes monetary or personnel commitments within the absence of a grant or cooperative settlement signed by the NSF Grants and Agreements Officer does so at their very own threat.

As soon as an award or declination resolution has been made, Principal Investigators are supplied suggestions about their proposals. In all instances, evaluations are handled as confidential paperwork. Verbatim copies of evaluations, excluding the names of the reviewers or any reviewer-identifying info, are despatched to the Principal Investigator/Mission Director by the Program Officer. As well as, the proposer will obtain a proof of the choice to award or decline funding.

VII. Award Administration Info

A. Notification of the Award

Notification of the award is made to the submitting group by an NSF Grants and Agreements Officer. Organizations whose proposals are declined might be suggested as promptly as doable by the cognizant NSF Program administering this system. Verbatim copies of evaluations, not together with the id of the reviewer, might be supplied robotically to the Principal Investigator. (See Part VI.B. for added info on the overview course of.)

B. Award Situations

An NSF award consists of: (1) the award discover, which incorporates any particular provisions relevant to the award and any numbered amendments thereto; (2) the finances, which signifies the quantities, by classes of expense, on which NSF has based mostly its assist (or in any other case communicates any particular approvals or disapprovals of proposed expenditures); (3) the proposal referenced within the award discover; (4) the relevant award circumstances, similar to Grant Common Situations (GC-1)*; or Analysis Phrases and Situations* and (5) any announcement or different NSF issuance that could be integrated by reference within the award discover. Cooperative agreements are also administered in accordance with NSF Cooperative Settlement Monetary and Administrative Phrases and Situations (CA-FATC) and the relevant Programmatic Phrases and Situations. NSF awards are electronically signed by an NSF Grants and Agreements Officer and transmitted electronically to the group through e-mail.

*These paperwork could also be accessed electronically on NSF’s Web site at https://www.nsf.gov/awards/managing/award_conditions.jsp?org=NSF. Paper copies could also be obtained from the NSF Publications Clearinghouse, phone (703) 292-8134 or by e-mail from [email protected].

Extra complete info on NSF Award Situations and different vital info on the administration of NSF awards is contained within the NSF Proposal & Award Insurance policies & Procedures Information (PAPPG) Chapter VII, out there electronically on the NSF Web site at https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg.

Administrative and Nationwide Coverage Necessities

Construct America, Purchase America

As expressed in Govt Order 14005, Guaranteeing the Future is Made in All of America by All of America’s Employees (86 FR 7475), it’s the coverage of the manager department to make use of phrases and circumstances of Federal monetary help awards to maximise, according to regulation, the usage of items, merchandise, and supplies produced in, and providers supplied in, the USA.

In line with the necessities of the Construct America, Purchase America Act (Pub. L. 117-58, Division G, Title IX, Subtitle A, November 15, 2021), no funding made out there via this funding alternative could also be obligated for an award until all iron, metal, manufactured merchandise, and building supplies used within the mission are produced in the USA. For extra info, go to NSF’s Construct America, Purchase America webpage.

C. Reporting Necessities

For all multi-year grants (together with each customary and persevering with grants), the Principal Investigator should submit an annual mission report back to the cognizant Program Officer no later than 90 days previous to the top of the present finances interval. (Some applications or awards require submission of extra frequent mission studies). No later than 120 days following expiration of a grant, the PI is also required to submit a ultimate annual mission report, and a mission outcomes report for most of the people.

Failure to supply the required annual or ultimate annual mission studies, or the mission outcomes report, will delay NSF overview and processing of any future funding increments in addition to any pending proposals for all recognized PIs and co-PIs on a given award. PIs ought to look at the codecs of the required studies upfront to guarantee availability of required knowledge.

PIs are required to make use of NSF’s digital project-reporting system, out there via Analysis.gov, for preparation and submission of annual and ultimate annual mission studies. Such studies present info on accomplishments, mission members (particular person and organizational), publications, and different particular merchandise and impacts of the mission. Submission of the report through Analysis.gov constitutes certification by the PI that the contents of the report are correct and full. The mission outcomes report additionally should be ready and submitted utilizing Analysis.gov. This report serves as a quick abstract, ready particularly for the general public, of the character and outcomes of the mission. This report might be posted on the NSF web site precisely as it’s submitted by the PI.

Extra complete info on NSF Reporting Necessities and different vital info on the administration of NSF awards is contained within the NSF Proposal & Award Insurance policies & Procedures Information (PAPPG) Chapter VII, out there electronically on the NSF Web site at https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg.

VIII. Company Contacts

Please notice that this system contact info is present on the time of publishing. See program web site for any updates to the factors of contact.

Common inquiries concerning this program must be made to:

For questions associated to the usage of NSF programs contact:

NSF Assist Desk: 1-800-381-1532
Analysis.gov Assist Desk e-mail: [email protected]

For questions regarding Grants.gov contact:

Grants.gov Contact Heart: If the Approved Organizational Representatives (AOR) has not obtained a affirmation message from Grants.gov inside 48 hours of submission of utility, please contact through phone: 1-800-518-4726; e-mail: [email protected].

IX. Different Info

The NSF web site offers probably the most complete supply of data on NSF Directorates (together with contact info), applications and funding alternatives. Use of this web site by potential proposers is strongly inspired. As well as, “NSF Replace” is an information-delivery system designed to maintain potential proposers and different events apprised of recent NSF funding alternatives and publications, vital adjustments in proposal and award insurance policies and procedures, and upcoming NSF Grants Conferences. Subscribers are knowledgeable via e-mail or the consumer’s Internet browser every time new publications are issued that match their recognized pursuits. “NSF Replace” additionally is offered on NSF’s web site.

Grants.gov offers a further digital functionality to seek for Federal government-wide grant alternatives. NSF funding alternatives could also be accessed through this mechanism. Additional info on Grants.gov could also be obtained at https://www.grants.gov.

About The Nationwide Science Basis

The Nationwide Science Basis (NSF) is an unbiased Federal company created by the Nationwide Science Basis Act of 1950, as amended (42 USC 1861-75). The Act states the aim of the NSF is “to advertise the progress of science; [and] to advance the nationwide well being, prosperity, and welfare by supporting analysis and schooling in all fields of science and engineering.”

NSF funds analysis and schooling in most fields of science and engineering. It does this via grants and cooperative agreements to greater than 2,000 faculties, universities, Okay-12 faculty programs, companies, casual science organizations and different analysis organizations all through the US. The Basis accounts for about one-fourth of Federal assist to educational establishments for primary analysis.

NSF receives roughly 55,000 proposals annually for analysis, schooling and coaching initiatives, of which roughly 11,000 are funded. As well as, the Basis receives a number of thousand functions for graduate and postdoctoral fellowships. The company operates no laboratories itself however does assist Nationwide Analysis Facilities, consumer amenities, sure oceanographic vessels and Arctic and Antarctic analysis stations. The Basis additionally helps cooperative analysis between universities and trade, US participation in worldwide scientific and engineering efforts, and academic actions at each educational stage.

Facilitation Awards for Scientists and Engineers with Disabilities (FASED) present funding for particular help or tools to allow individuals with disabilities to work on NSF-supported initiatives. See the NSF Proposal & Award Insurance policies & Procedures Information Chapter II.F.7 for directions concerning preparation of a majority of these proposals.

The Nationwide Science Basis has Telephonic Gadget for the Deaf (TDD) and Federal Info Relay Service (FIRS) capabilities that allow people with listening to impairments to speak with the Basis about NSF applications, employment or basic info. TDD could also be accessed at (703) 292-5090 and (800) 281-8749, FIRS at (800) 877-8339.

The Nationwide Science Basis Info Heart could also be reached at (703) 292-5111.

The Nationwide Science Basis promotes and advances scientific progress in the USA by competitively awarding grants and cooperative agreements for analysis and schooling within the sciences, arithmetic, and engineering.

To get the most recent details about program deadlines, to obtain copies of NSF publications, and to entry abstracts of awards, go to the NSF Web site at https://www.nsf.gov

2415 Eisenhower Avenue, Alexandria, VA 22314

For Common Info(NSF Info Heart):

(703) 292-5111

TDD (for the hearing-impaired):

(703) 292-5090

To Order Publications or Types:

Ship an e-mail to:

[email protected]

or phone:

(703) 292-8134

(703) 292-5111

Privateness Act And Public Burden Statements

The data requested on proposal kinds and mission studies is solicited underneath the authority of the Nationwide Science Basis Act of 1950, as amended. The data on proposal kinds might be utilized in reference to the number of certified proposals; and mission studies submitted by proposers might be used for program analysis and reporting inside the Govt Department and to Congress. The data requested could also be disclosed to certified reviewers and employees assistants as a part of the proposal overview course of; to proposer establishments/grantees to supply or acquire knowledge concerning the proposal overview course of, award choices, or the administration of awards; to authorities contractors, consultants, volunteers and researchers and educators as crucial to finish assigned work; to different authorities companies or different entities needing info concerning proposers or nominees as a part of a joint utility overview course of, or with a view to coordinate applications or coverage; and to a different Federal company, court docket, or get together in a court docket or Federal administrative continuing if the federal government is a celebration. Details about Principal Investigators could also be added to the Reviewer file and used to pick potential candidates to function peer reviewers or advisory committee members. See System of Report Notices, NSF-50, “Principal Investigator/Proposal File and Related Data,” and NSF-51, “Reviewer/Proposal File and Related Data.” Submission of the knowledge is voluntary. Failure to supply full and full info, nevertheless, might cut back the potential of receiving an award.

An company might not conduct or sponsor, and an individual is just not required to answer, an info assortment until it shows a legitimate Workplace of Administration and Price range (OMB) management quantity. The OMB management quantity for this assortment is 3145-0058. Public reporting burden for this assortment of data is estimated to common 120 hours per response, together with the time for reviewing directions. Ship feedback concerning the burden estimate and some other side of this assortment of data, together with options for lowering this burden, to:

Suzanne H. Plimpton
Experiences Clearance Officer
Coverage Workplace, Division of Establishment and Award Help
Workplace of Price range, Finance, and Award Administration
Nationwide Science Basis
Alexandria, VA 22314

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