Digital Society and Technologies (DST)
Program Solicitation
NSF 03-611
Replaces Document NSF 01-156
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National Science Foundation |
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Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):
January 8, 2004
December 6, 2004
December 6 annually thereafter
REVISIONS AND UPDATES
The Dear Colleague Letter, "Proposal Submission Deadlines for the Division of Information and Intelligent Systems [IIS]," (NSF 01-156 dated September 6, 2001) established two annual proposal submission deadlines, March 1 and November 16. The Dear Colleague Letter is being replaced by individual IIS program solicitations, each with one annual proposal submission deadline. Please see the IIS Web site (http://www.cise.nsf.gov/iis) for additional information.
Effective on the day this program solicitation is posted by NSF, the deadline for Digital Society and Technologies proposals is January 8, 2004 and December 6 annually thereafter. Proposals submitted in anticipation of a November 16, 2003 deadline will be accepted and reviewed with those submitted for the January 8, 2004 deadline.
SUMMARY OF PROGRAM REQUIREMENTS
General Information
Program Title:
Digital Society and Technologies (DST)
Synopsis of Program:
The future and well-being of the Nation depend on the effective integration of Information Technologies (IT) into its various enterprises and social fabric. Information Technologies are designed, used and have consequences in a number of social, economic, legal, ethical and cultural contexts. With the rise of unprecedented new technologies (e.g., smart homes, shop-bots, pedagogical agents, wearable computers, personal robots, multi-agent systems, sensors, grids, knowledge environments) and their increasing ubiquity in our social and economic lives, large-scale social, economic and scientific transformations are predicted. While these transformations are expected to be positive, such achievements are not automatic. Instead, there is general agreement among leading researchers that we have insufficient scientific understanding of the actual scope and trajectory of these socio-technical transformations. We have great difficulty predicting or even clearly assessing social and economic implications and we have limited understanding of the processes by which these transformations occur. Furthermore, we have barely begun to make the critical theoretical and empirical connections among 1) design principles for IT artifacts, 2) the ways in which IT artifacts become embedded in activities and used in various contexts, 3) their long-term outcomes and consequences, which are frequently unintended, and 4) finally, the ways in which learning about use and outcomes can feed back into new and better designs. To assure that transformations related to IT serve human needs and are productive for society over the long term, more focused and generalizable scientific studies and related education activities are necessary.
Cognizant Program Officer(s):
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Ephraim Glinert, Program Director, Directorate for Computer & Information Science & Engineering, Division of Information and Intelligent Systems, 1115 N, telephone: (703) 292-8930, email: [email protected]
Applicable Catalog of Federal Domestic Assistance (CFDA) Number(s):
- 47.070 --- Computer and Information Science and Engineering
Eligibility Information
- Organization Limit: None Specified.
- PI Eligibility Limit: None Specified.
- Limit on Number of Proposals: None Specified.
Award Information
- Anticipated Type of Award: Standard or Continuing Grant
- Estimated Number of Awards: 35
- Anticipated Funding Amount: $7,000,000
Proposal Preparation and Submission Instructions
A. Proposal Preparation Instructions
- Full Proposal Preparation Instructions: Standard GPG Guidelines apply.
B. Budgetary Information
- Cost Sharing Requirements: Cost Sharing is not required.
- Indirect Cost (F&A) Limitations: Not Applicable.
- Other Budgetary Limitations: Not Applicable.
C. Due Dates
- Full Proposal Deadline Date(s) (due by 5 p.m. proposer's local
time):
January 8, 2004
December 6, 2004
December 6 annually thereafter
Proposal Review Information
- Merit Review Criteria: National Science Board approved criteria apply.
Award Administration Information
- Award Conditions: Standard NSF award conditions apply.
- Reporting Requirements: Standard NSF reporting requirements apply.
TABLE OF CONTENTS
- Introduction
- Program Description
- Eligibility Information
- Award Information
- Proposal Preparation and Submission Instructions
- Proposal Review Information
- Award Administration Information
- Contacts for Additional Information
- Other Programs of Interest
I. INTRODUCTION
The future and well-being of the Nation depend on the effective integration of Information Technologies (IT) into its various enterprises, and social fabric. Information Technologies are designed, used and have consequences in a number of social, economic, legal, ethical and cultural contexts. With the rise of unprecedented new technologies (e.g., smart homes, shop-bots, pedagogical agents, wearable computers, personal robots, multi-agent systems, grids, knowledge environments) and their increasing ubiquity in our social and economic lives, large-scale social, economic and scientific transformations are predicted. While these transformations are expected to be positive, such achievements are not automatic. Instead, there is general agreement among leading researchers that we have insufficient scientific understanding of the actual scope and trajectory of these socio-technical transformations. We have great difficulty predicting or even clearly assessing social and economic implications and we have limited understanding of the processes by which these transformations occur. Furthermore, we have barely begun to make the critical theoretical and empirical connections among 1) design principles for IT artifacts, 2) the ways in which they become embedded in activities and used in various contexts, 3) their long-term outcomes and consequences, which are frequently unintended, and 4) finally, the ways in which learning about use and outcomes can feed back into new designs. To assure that transformations related to IT serve human needs and are productive for society over the long term, more focused and generalizable scientific studies and related education activities are necessary.
II. PROGRAM DESCRIPTION
Program objectives include:
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Advancing the knowledge frontier related to living, working, learning and being healthy in a digital society,
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Integrating technical and social theories, concepts, methods, mechanisms, and/or design principles to sustain and build research areas at the interstices of the social and the technical, and
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Creating a coherent interdisciplinary community of practice out of the (often) fragmented disciplinary groups currently doing research on the digital society.
In order to make progress and advance science, scientists and scholars need to work across disciplinary boundaries to develop new interdisciplinary knowledge at the interstices of computer and information sciences and the social, behavioral and economic sciences.
Current areas include, but are not limited to:
Universal Participation in a Digital Society: As the use of IT becomes increasingly ubiquitous in all sectors of society, new research is needed to understand the underlying processes by which IT shapes and transforms society and society simultaneously shapes and transforms new IT. In particular, we need to be concerned that these transformations facilitate, and not hinder, universal participation in our democratic society. The focus is on universal participation in activities such as e-commerce, digital science, the IT workforce, community networking, and digital governance. We also need to consider what it means for the United States to be an open, democratic society where many of the activities related to living, working, communicating, doing science, and conducting commerce are now mediated by digital technologies.
Collaborative Intelligence: This area includes theories, models and technologies for distributed, intelligent, collective action among humans, agents, robots and other embedded devices. Humans collaborate with these intelligent technologies not just in one-to-one relationship, but also as part of person, agent, robot, and sensor (PARS) teams and/or as part of hierarchies of networks (social, physical, technological) to achieve concerted action. The focus is on: 1) the science of collaboration (design principles, mixed initiative and adjustable autonomy problems, and implicit and explicit, affective and instrumental human-machine interactions), 2) distributed intelligence (knowledge representation, management and fusion, science of coordination, and division of labor), and 3) systems for managing trust, reputation, and other critical elements in heterogeneous, dynamic, distant relationships.
Management of Knowledge Intensive Enterprises: There are many knowledge intensive ventures today that depend on quick reaction times to remain viable and competitive. We need new knowledge to understand how structured, global collections of knowledge can be brought to bear on complex decision-making processes so that processes can rapidly reconfigure and re-schedule resources while the enterprise remains stable enough to carry out routine processes and achieve high levels of performance. The focus is on 1) adaptive scheduling and control of product dynamics, rapid reconfiguration and re-scheduling of human and machine resources, 2) learning hidden workflow rules to optimize workflow, 3) distributed decision-making and appropriate schemes for distributing decision authority throughout hierarchies, understanding how information is shared, partitioned, and flows to the right places, 4) how we measure the productivity of dynamically, re-configuring business processes, local vs. global problems such as performance across levels of analysis, and 5) collaborative knowledge representation, acquisition, retrieval and inference such as how we best gather and represent knowledge that must be shared about sources, designs, scheduling, customer profiles, process status, energy, geo-politics, etc.
Knowledge Environments for Science and Engineering: Increasingly, scientific communities have identified distributed resources (e.g., sets of tools, data archives, distant facilities and colleagues) that, if organized and made broadly available, could benefit their scientific discovery and education The focus is on 1) identifying the requirements of distributed scientific practices, how scientific practices are changing (e.g., due to more complex data sets, more interdisciplinary teams) and to what consequence, 2) understanding barriers to adoption and use, building trust across geographic boundaries and how resources can be shared, 3) understanding the governance issues related to distributed work practices, facilities, and shared resources, and 4) understanding copyright restrictions, information privacy and open source software issues related to collecting and harvesting knowledge across geographic and social boundaries.
Transforming Enterprise: Enterprise transformation affects the broad fabric of economic and social enterprise in a world where information, knowledge, and value are easily reproduced and transported. Despite the bursting of the ?dot.com? bubble and the troubles in the telecom sector, the Internet continues its dramatic growth, transforming the way the world communicates, works, and learns. During the Internet boom, many firms and organizations developed strongly expressed visions of what information technology would do to transform the way they did business. A few unique Internet business models have succeeded, some spectacularly, but much of the continuing change is at a finer level in internal processes and in transactions within the firms and markets of the old economy. What happens when business and social processes span traditional boundaries of place, ownership, and jurisdiction? How do individuals, teams, and entities work together -- or else find new ways of asserting identity and distinctiveness? The focus of this area is on 1) technologies and theories of electronic business, supply chains, economics of IT, productivity, etc., 2) technologies and theories of collaborative and distributed work, including the development and use of collective knowledge representations and open source software developoment, 3) understanding the various legal, social and cultural issues when information, software and autonomous proxies flow across boundaries, 4) understanding how to value information and evaluate risks and reputations in transactions with distant strangers, and 5) understanding and mitigating information balkanization.
III. ELIGIBILITY INFORMATION
The categories of proposers identified in the Grant Proposal Guide are eligible to submit proposals under this program announcement/solicitation.
IV. AWARD INFORMATION
In Fiscal Year 2004, the anticipated funding amount is $7,000,000. The estimated number of awards in the program will be 35. The estimated duration of these awards is up to three years.
Estimated program budget, number of awards and average award size/duration are subject to the availability of funds.
V. PROPOSAL PREPARATION AND SUBMISSION INSTRUCTIONS
A. Proposal Preparation Instructions
Full Proposal Instructions:
Proposals submitted in response to this program announcement/solicitation should be prepared and submitted in accordance with the general guidelines contained in the NSF Grant Proposal Guide (GPG). The complete text of the GPG is available electronically on the NSF Website at: http://www.nsf.gov/cgi-bin/getpub?gpg. Paper copies of the GPG may be obtained from the NSF Publications Clearinghouse, telephone (301) 947-2722 or by e-mail from [email protected].
Proposers are reminded to identify the program announcement/solicitation number (03-611) in the program announcement/solicitation block on the NSF Cover Sheet For Proposal to the National Science Foundation. Compliance with this requirement is critical to determining the relevant proposal processing guidelines. Failure to submit this information may delay processing.
B. Budgetary Information
Cost Sharing:
Cost sharing is not required in proposals submitted under this Program Announcement.
C. Due Dates
Proposals must be submitted by the following date(s):
Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):
January 8, 2004
December 6, 2004
December 6 annually thereafter
D. FastLane Requirements
Proposers are required to prepare and submit all proposals for this announcement/solicitation through the FastLane system. Detailed instructions for proposal preparation and submission via FastLane are available at: http://www.fastlane.nsf.gov/a1/newstan.htm. For FastLane user support, call the FastLane Help Desk at 1-800-673-6188 or e-mail [email protected]. The FastLane Help Desk answers general technical questions related to the use of the FastLane system. Specific questions related to this program announcement/solicitation should be referred to the NSF program staff contact(s) listed in Section VIII of this announcement/solicitation.
Submission of Electronically Signed Cover Sheets. The Authorized Organizational Representative (AOR) must electronically sign the proposal Cover Sheet to submit the required proposal certifications (see Chapter II, Section C of the Grant Proposal Guide for a listing of the certifications). The AOR must provide the required electronic certifications within five working days following the electronic submission of the proposal. Proposers are no longer required to provide a paper copy of the signed Proposal Cover Sheet to NSF. Further instructions regarding this process are available on the FastLane Website at: http://www.fastlane.nsf.gov
VI. PROPOSAL REVIEW INFORMATION
A. NSF Proposal Review Process
Reviews of proposals submitted to NSF are solicited from peers with expertise in the substantive area of the proposed research or education project. These reviewers are selected by Program Officers charged with the oversight of the review process. NSF invites the proposer to suggest, at the time of submission, the names of appropriate or inappropriate reviewers. Care is taken to ensure that reviewers have no conflicts with the proposer. Special efforts are made to recruit reviewers from non-academic institutions, minority-serving institutions, or adjacent disciplines to that principally addressed in the proposal.
The National Science Board approved revised criteria for evaluating proposals at its meeting on March 28, 1997 (NSB 97-72). All NSF proposals are evaluated through use of the two merit review criteria. In some instances, however, NSF will employ additional criteria as required to highlight the specific objectives of certain programs and activities.
On July 8, 2002, the NSF Director issued Important Notice 127, Implementation of new Grant Proposal Guide Requirements Related to the Broader Impacts Criterion. This Important Notice reinforces the importance of addressing both criteria in the preparation and review of all proposals submitted to NSF. NSF continues to strengthen its internal processes to ensure that both of the merit review criteria are addressed when making funding decisions.
In an effort to increase compliance with these requirements, the January 2002 issuance of the GPG incorporated revised proposal preparation guidelines relating to the development of the Project Summary and Project Description. Chapter II of the GPG specifies that Principal Investigators (PIs) must address both merit review criteria in separate statements within the one-page Project Summary. This chapter also reiterates that broader impacts resulting from the proposed project must be addressed in the Project Description and described as an integral part of the narrative.
Effective October 1, 2002, NSF will return without review proposals that do not separately address both merit review criteria within the Project Summary. It is believed that these changes to NSF proposal preparation and processing guidelines will more clearly articulate the importance of broader impacts to NSF-funded projects.
The two National Science Board approved merit review criteria are listed below (see the Grant Proposal Guide Chapter III.A for further information). The criteria include considerations that help define them. These considerations are suggestions and not all will apply to any given proposal. While proposers must address both merit review criteria, reviewers will be asked to address only those considerations that are relevant to the proposal being considered and for which he/she is qualified to make judgments.
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What is the intellectual merit of the proposed activity?
How important is the proposed activity to advancing knowledge and understanding within its own field or across different fields? How well qualified is the proposer (individual or team) to conduct the project? (If appropriate, the reviewer will comment on the quality of the prior work.) To what extent does the proposed activity suggest and explore creative and original concepts? How well conceived and organized is the proposed activity? Is there sufficient access to resources?
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What are the broader impacts of the proposed activity?
How well does the activity advance discovery and understanding while promoting teaching, training, and learning? How well does the proposed activity broaden the participation of underrepresented groups (e.g., gender, ethnicity, disability, geographic, etc.)? To what extent will it enhance the infrastructure for research and education, such as facilities, instrumentation, networks, and partnerships? Will the results be disseminated broadly to enhance scientific and technological understanding? What may be the benefits of the proposed activity to society?
NSF staff will give careful consideration to the following in making funding decisions:
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Integration of Research and Education
One of the principal strategies in support of NSF's goals is to foster integration of research and education through the programs, projects, and activities it supports at academic and research institutions. These institutions provide abundant opportunities where individuals may concurrently assume responsibilities as researchers, educators, and students and where all can engage in joint efforts that infuse education with the excitement of discovery and enrich research through the diversity of learning perspectives.
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Integrating Diversity into NSF Programs, Projects, and Activities
Broadening opportunities and enabling the participation of all citizens -- women and men, underrepresented minorities, and persons with disabilities -- is essential to the health and vitality of science and engineering. NSF is committed to this principle of diversity and deems it central to the programs, projects, and activities it considers and supports.
B. Review Protocol and Associated Customer Service Standard
All proposals are carefully reviewed by at least three other persons outside NSF who are experts in the particular field represented by the proposal. Proposals submitted in response to this announcement/solicitation will be reviewed by Ad Hoc and/or panel review.
Reviewers will be asked to formulate a recommendation to either support or decline each proposal. The Program Officer assigned to manage the proposal's review will consider the advice of reviewers and will formulate a recommendation.
A summary rating and accompanying narrative will be completed and submitted by each reviewer. In all cases, reviews are treated as confidential documents. Verbatim copies of reviews, excluding the names of the reviewers, are sent to the Principal Investigator/Project Director by the Program Director. In addition, the proposer will receive an explanation of the decision to award or decline funding.
NSF is striving to be able to tell applicants whether their proposals have been declined or recommended for funding within six months. The time interval begins on the date of receipt. The interval ends when the Division Director accepts the Program Officer's recommendation.
In all cases, after programmatic approval has been obtained, the proposals recommended for funding will be forwarded to the Division of Grants and Agreements for review of business, financial, and policy implications and the processing and issuance of a grant or other agreement. Proposers are cautioned that only a Grants and Agreements Officer may make commitments, obligations or awards on behalf of NSF or authorize the expenditure of funds. No commitment on the part of NSF should be inferred from technical or budgetary discussions with a NSF Program Officer. A Principal Investigator or organization that makes financial or personnel commitments in the absence of a grant or cooperative agreement signed by the NSF Grants and Agreements Officer does so at their own risk.
VII. AWARD ADMINISTRATION INFORMATION
A. Notification of the Award
Notification of the award is made to the submitting organization by a Grants Officer in the Division of Grants and Agreements. Organizations whose proposals are declined will be advised as promptly as possible by the cognizant NSF Program Division administering the program. Verbatim copies of reviews, not including the identity of the reviewer, will be provided automatically to the Principal Investigator. (See section VI.A. for additional information on the review process.)
B. Award Conditions
An NSF award consists of: (1) the award letter, which includes any special provisions applicable to the award and any numbered amendments thereto; (2) the budget, which indicates the amounts, by categories of expense, on which NSF has based its support (or otherwise communicates any specific approvals or disapprovals of proposed expenditures); (3) the proposal referenced in the award letter; (4) the applicable award conditions, such as Grant General Conditions (NSF-GC-1); * or Federal Demonstration Partnership (FDP) Terms and Conditions * and (5) any announcement or other NSF issuance that may be incorporated by reference in the award letter. Cooperative agreement awards also are administered in accordance with NSF Cooperative Agreement Terms and Conditions (CA-1). Electronic mail notification is the preferred way to transmit NSF awards to organizations that have electronic mail capabilities and have requested such notification from the Division of Grants and Agreements.
*These documents may be accessed electronically on NSF's Website at http://www.nsf.gov/home/grants/grants_gac.htm. Paper copies may be obtained from the NSF Publications Clearinghouse, telephone (301) 947-2722 or by e-mail from [email protected].
More comprehensive information on NSF Award Conditions is contained in the NSF Grant Policy Manual (GPM) Chapter II, available electronically on the NSF Website at http://www.nsf.gov/cgi-bin/getpub?gpm. The GPM is also for sale through the Superintendent of Documents, Government Printing Office (GPO), Washington, DC 20402. The telephone number at GPO for subscription information is (202) 512-1800. The GPM may be ordered through the GPO Website at http://www.gpo.gov.
C. Reporting Requirements
For all multi-year grants (including both standard and continuing grants), the PI must submit an annual project report to the cognizant Program Officer at least 90 days before the end of the current budget period.
Within 90 days after the expiration of an award, the PI also is required to submit a final project report. Failure to provide final technical reports delays NSF review and processing of pending proposals for the PI and all Co-PIs. 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 FastLane, for preparation and submission of annual and final project reports. This system permits electronic submission and updating of project reports, including information on project participants (individual and organizational), activities and findings, publications, and other specific products and contributions. PIs will not be required to re-enter information previously provided, either with a proposal or in earlier updates using the electronic system.
VIII. CONTACTS FOR ADDITIONAL INFORMATION
General inquiries regarding this program should be made to:
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Ephraim Glinert, Program Director, Directorate for Computer & Information Science & Engineering, Division of Information and Intelligent Systems, 1115 N, telephone: (703) 292-8930, email: [email protected]
For questions related to the use of FastLane, contact:
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Michele R. Johnson, Program and Technology Specialist, Directorate for Computer & Information Science & Engineering, Division of Information and Intelligent Systems, 1115 N, telephone: (703) 292-8930, fax: (703) 292-9073, email: [email protected]
IX. OTHER PROGRAMS OF INTEREST
The NSF Guide to Programs is a compilation of funding for research and education in science, mathematics, and engineering. The NSF Guide to Programs is available electronically at http://www.nsf.gov/cgi-bin/getpub?gp. General descriptions of NSF programs, research areas, and eligibility information for proposal submission are provided in each chapter.
Many NSF programs offer announcements or solicitations concerning specific proposal requirements. To obtain additional information about these requirements, contact the appropriate NSF program offices. Any changes in NSF's fiscal year programs occurring after press time for the Guide to Programs will be announced in the NSF E-Bulletin, which is updated daily on the NSF Website at http://www.nsf.gov/home/ebulletin, and in individual program announcements/solicitations. Subscribers can also sign up for NSF's Custom News Service (http://www.nsf.gov/home/cns/start.htm) to be notified of new funding opportunities that become available.
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ABOUT THE NATIONAL SCIENCE FOUNDATION
The National Science Foundation (NSF) funds research and education in most fields of science and engineering. Awardees are wholly responsible for conducting their project activities and preparing the results for publication. Thus, the Foundation does not assume responsibility for such findings or their interpretation.
NSF welcomes proposals from all qualified scientists, engineers and educators. The Foundation strongly encourages women, minorities and persons with disabilities to compete fully in its programs. In accordance with Federal statutes, regulations and NSF policies, no person on grounds of race, color, age, sex, national origin or disability shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving financial assistance from NSF, although some programs may have special requirements that limit eligibility.
Facilitation Awards for Scientists and Engineers with Disabilities (FASED) provide funding for special assistance or equipment to enable persons with disabilities (investigators and other staff, including student research assistants) to work on NSF-supported projects. See the GPG Chapter II, Section D.2 for instructions regarding preparation of these types of proposals.
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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 http://www.nsf.gov
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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; 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 applicant 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 needing information as part of the review process or in order to coordinate programs; 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, NSF-50, "Principal Investigator/Proposal File and Associated Records," 63 Federal Register 267 (January 5, 1998), and NSF-51, "Reviewer/Proposal File and Associated Records," 63 Federal Register 268 (January 5, 1998). 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 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 this burden estimate and any other aspect of this collection of information, including suggestions for reducing this burden, to: Suzanne Plimpton, Reports Clearance Officer, Division of Administrative Services, National Science Foundation, Arlington, VA 22230.
OMB control number: 3145-0058.
