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NSF 98-20 NSF Announcement Partnership in Nanotechnology: Synthesis, Processing, and Utilization of Functional Nanostructures (FNS) INITIATIVE ANNOUNCEMENT FOR

FY 1998 NATIONAL SCIENCE FOUNDATION Directorate Directorate Directorate Directorate for for for for Biological Sciences (BIO) Computer & Information Science & Engineering (CISE) Engineering (ENG) Mathematical and Physical Sciences (MPS) February 17, 1998

Deadline date:

Four Directorates of the National Science Foundation (NSF) announce a collaborative initiative on research in nanotechnology, with a focus on functional nanostructures. The goal of the initiative is to catalyze synergistic, small-group, interdisciplinary, science and engineering research in emerging areas of nanotechnology, by combining resources from the participating programs to support coordinated research activities. INITIATIVE DESCRIPTION "Functional nanostructures" are structures that have at least one characteristic dimension in the range from molecular to 50 nm; they are conceived and constructed for a function (device or structural application or effect) that develops in that size range. Nanotechnology here means technology that arises from the exploitation of physical, chemical and biological properties of systems that are intermediate in size between isolated atoms/molecules and bulk materials, where phenomena length scales become comparable to the size of the structure. The discovery of novel phenomena and processes at the 'nano' scale (1-50 nm) and the development of new experimental and theoretical tools in the last few years for investigating these structures provides fresh opportunities for scientific and technology developments in nanoparticles, nanostructured materials and nanodevices. This initiative encourages team approaches to functional nanostructures research in the belief that a synergistic blend of expertise is needed to make major headway. Theoretical modeling, synthesis, processing with a focus on building up from molecules and nanoprecursors, utilization, and characterization of structure and properties are components of this activity. Hence, this initiative has the aim of fostering interactions among physical, mathematical, chemical, biological and engineering disciplines by encouraging small groups of experts (up to 4 principal investigators) in these different fields. The initiative will support research on new concepts and methods for the generation of functional nanostructures, including synthesis and processing of nanoparticles and other precursor structures, self-assembly techniques, supramolecular chemistry, electronically and chemically functional structures, creation of bio-templates and sensors, "smart" materials and films, and fabrication of nanostructured materials, nanocomponents and nanodevices with unusual properties. The initiative does not include routine measurements research, conventional lithography, or purchase of large experimental facilities.

The NSF's mission is to promote the progress of science, engineering and education in the United States. Its role in supporting research and education is particularly important in creating infrastructure in emerging areas such as nanotechnology. NSF also promotes partnerships, including collaboration with other agencies and national laboratories for projects of mutual interest. International collaborations with centers of excellence abroad are encouraged. Proposals should discuss effective ways in which education and training is integrated within the research program. This initiative's focus is on four high-risk/high-gain research areas, where special windows of opportunity exist for fundamental studies in synthesis, processing, and utilization of functional nanostructures: -Synthesis/fabrication of nanostructures (1-50 nm) - clusters, particles, tubes, layers, biomaterials, self-assembled systems, with tailored properties to be used for building up functional nanostructures. Approaches may include gas-, liquid-, solid-, and vacuum-based processes, bio-self assembly, size-reduction, and development of techniques to generate these nanosystems at high rates. -Processing/conversion of molecules and nano-precursors into functional nanostructures; nanostructured materials, nanocomponents and nanodevices, including sensors. This might involve sintering, sputtering, various forms of epitaxy, and chemically and bio-assisted assembling techniques. Examples include an optical waveguide, a multifunctional nanolayer, a nanostructured catalyst, and a nanofilter or a biochemical sensor deposited by using sol-gel or chemical vapor deposition methods. -Physical, mathematical, chemical and biological modeling and simulation techniques in the mesoscale range (about 1-100 nm). This includes molecular dynamics, quantum mechanics, grain and continuum-based models, stochastic methods, and nano- and meso-mechanics. -Fundamental physical (mechanical, thermal, optical, etc.), chemical and biological properties of nanostructures and nanostructure interfaces; unique size dependent phenomena and properties associated with nanostructures. Work may also include development of instrumentation based on new principles for probing properties and phenomena not well understood at the nanometer scale. Funding for this initiative is derived from a coordination of existing resources from those programs within NSF that traditionally have supported research in nanoscience and nanotechnology. Total award size per project is anticipated to be between $300,000 and $700,000 with duration of up to three years, depending upon the nature of the research activity. Subject to the availability of funds, the participating programs have designated approximately $10 million for a total of about 20 awards in this competition in FY98. The Announcement and additional information concerning related activities such as workshops and publications, are available on-line at http://www.nsf.gov/nano. A grantees' conference will review the progress of the projects and promote collaborations at the end of the second year, and an investigator from each project will be required to participate. WHO MAY SUBMIT PROPOSALS Proposals must be submitted by academic institutions with undergraduate and Ph.D. programs. Principal investigators are encouraged to form synergistic

collaborations with other researchers and collaborations or partnerships with industry or government where appropriate, though no funds will be provided to those organizations. Collaborations between university and industrial researchers using the approach of the GOALI initiative (Grant Opportunities for Academic Liaison with Industry, NSF 97-116, http://www.nsf.gov/goali) are encouraged. Due to the limited research focus, prospective applicants are strongly urged to contact one of the program officers of the participating programs listed at the end of this document for guidance. An applicant may participate on no more than one proposal. An institution (university, campus of a multi-campus university) may submit no more than two proposals in response to this solicitation, plus a third for collaborative projects involving another university or campus. The Authorized Organizational Representative of that institution will make the selection of the proposals that are submitted. Group and collaborative proposals involving more than one institution must be submitted as a single administrative package from one of the institutions involved. INSTRUCTIONS FOR PROPOSAL SUBMISSION Proposals submitted in response to this Announcement must be prepared in accordance with the instructions provided in the NSF Grant Proposal Guide (GPG) (NSF 98-2) and Proposal Forms Kit (NSF 98-3). These guides are available in most university offices of sponsored research. Single copies of the GPG brochure and other NSF publications referenced in this announcement are available at no cost from: NSF Clearinghouse, P.O. Box 218, Jessup, MD 20794-0218; Phone: 301-947-2722; e-mail: pubs@nsf.gov. The NSF publications may also be accessed through the NSF web page at: http://www.nsf.gov. Page limitation guidelines will be strictly adhered to. The total funding for each project, for all investigators and all institutions, must not exceed $700,000. Proposals must reference this program announcement number and name ( NSF 9820, Functional Nanostructures; Attn: CTS/Room 525/M.C. Roco, Initiative Coordinator) in the upper left corner of the proposal cover sheet. Fifteen stapled copies of each proposal/proposal package, including one bearing original signatures from all institutions should be mailed to: Announcement No. NSF 98-20 National Science Foundation Room P60 - PPU 4201 Wilson Boulevard Arlington, VA 22230. An applicant who is submitting a proposal in response to this initiative using paper copies rather than electronic submission is required to prepare and submit the cover sheet using NSF FastLane. This will facilitate tracking the proposal. Instructions are enclosed (Appendix 1). Proposals must be received at NSF no later than 5:00 pm EST on February 17, 1998. Proposals are encouraged to be submitted electronically via FastLane. For those submitted by FastLane, the signed cover page must arrive at NSF by February 24, 1998. For information, contact FastLane user support services (tel: 703-306-1142;fastlane@nsf.gov). PROPOSAL REVIEW

Proposals that do not adhere to Initiative Description requirements (topic, interdisciplinary, total budget, deadline, format including page limit) will be returned without review. Responsive proposals will be evaluated in accordance with the new NSF merit review criteria (see Appendix 2). In addition, the evaluation will include the objectives of this initiative: -Focus on generation, processing, utilization, modeling and simulation of functional nanostructures. -Interdisciplinary synergism among various research components. A collaboration plan is required. -Advantages of partnerships with other universities, industry, national laboratories, and centers of excellence abroad, when applicable. Proposal evaluation will be by panel review. Additional ad-hoc reviews may be obtained in some cases. The new NSF merit review criteria will be utilized. Panel recommendations will be considered by NSF program officers from the participating programs listed below (see Inquiries) in making funding decisions. GRANT ADMINISTRATION NSF grants will be administered in accordance with the terms and conditions of NSF GC-1, "Grant General Conditions," or FDP-III, "Federal Demonstration Partnership General Terms and Conditions," depending on the grantee organization. The grantee program will be determined as a function of the research and education activities. More comprehensive information on the administration of NSF grants is contained in the Grant Policy Manual (NSF 95-26). INQUIRIES Questions concerning this joint initiative should be addressed, preferably via e-mail, to the program director in the appropriate area of research and education. The participating divisions and disciplinary programs supporting research in Functional Nanostructures are: DIRECTORATE FOR ENGINEERING (http:/www.eng.nsf.gov) Division of Chemical and Transport Systems M.C. Roco, mroco@nsf.gov, 703-306-1370; G. Poehlein, gpoehlei@nsf.gov; R. Wellek, rwellek@nsf.gov Particulate and Multiphase Processes; Fluid Dynamics and Hydraulics Interfacial, Transport and Separation Processes Chemical Reaction Processes Thermal Systems Division of Electrical and Communication Systems R.P. Khosla, rkhosla@nsf.gov, 703-306-1339 Physical Foundations of Enabling Technologies Knowledge Modeling and Computational Intelligence Integrative Systems Division of Bioengineering and Environmental Systems G. Vermont, gvermont@nsf.gov, 703-306-1320; F.G. Heineken, fheineke@nsf.gov; G. Devey, gdevey@nsf.gov Biochemical Engineering Biomedical Engineering

Biotechnology Division of Civil and Mechanical Systems J. Larsen-Basse, jlarsenb@nsf.gov, 703-306-1360 ; S. Saigal, ssaigal@nsf.gov; K. Chong, kchong@nsf.gov Mechanics Materials Tribology Division of Design, Manufacture and Industrial Innovation D. Durham, ddurham@nsf.gov, 703-306-1330 Materials Processing and Manufacturing DIRECTORATE FOR MATHEMATICAL AND PHYSICAL SCIENCES (http:/www.nsf.gov/mps) Division of Materials Research B. MacDonald, bmacdona@nsf.gov, 703-306-1835 Programs in Metals, Ceramics and Electronic Materials, Condensed Matter Physics, Solid-State Chemistry and Polymers, and Materials Theory Division of Chemistry D. Burland, dburland@nsf.gov, 703-306-1854; J. Osteryoung, josteryo@nsf.gov, 703-306-1845 All programs in the Division Division of Physics D. Caldwell, dcaldwel@nsf.gov, 703-306-1807 Atomic, Molecular and Optical Physics Division of Mathematics M. Steuerwalt, msteuerw@nsf.gov, 703-306-1878 Computational Mathematics DIRECTORATE FOR BIOLOGICAL SCIENCES (http:/www.nsf.gov/bio) Division of Biological Infrastructure L. Makowski, lmakowsk@nsf.gov, 703-306-1472 Computational Biology Instrumentation Development and Multiuser Biological Equipment DIRECTORATE FOR COMPUTER AND INFORMATION SCIENCE AND ENGINEERING (http:/www.nsf.gov/cise) Division of Microelectronic and Information Processing Systems M.J. Foster, mfoster@nsf.gov, 703-306-1936 Microelectronics Systems Architecture GENERAL INFORMATION The Foundation provides awards for research and education in the sciences and engineering. The awardee is wholly responsible for the conduct of such research and preparation of the results for publication. The Foundation, therefore, does not assume responsibility for the research findings or their interpretation. The Foundation welcomes proposals from all qualified scientists and engineers and strongly encourages women, minorities, and persons with disabilities to compete fully in any of the research and education related programs described here. 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 subject to discrimination under any program or activity receiving financial assistance from the National Science Foundation. 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 projects. See the program announcement or contact the program coordinator at (703) 306-1636. Privacy Act. The information requested on the proposal forms is solicited under the authority of the National Science Foundation Act of 1950, as amended. It will be used in connection with the selection of qualified proposals and may be disclosed to qualified reviewers and staff assistants as part of the review process; to applicant institutions/grantees; to provide or obtain data regarding the application review process, award decisions, or the administration of awards; to government contractors, experts, volunteers, and researchers as necessary to complete assigned work; and to other government agencies in order to coordinate programs. See Systems of Records, NSF 50, Principal Investigators/Proposal File and Associated Records, and NSF-51, 60 Federal Register 4449 (January 23, 1995), Reviewer/Proposal File and Associated Records, 59 Federal Register 8031 (February 17, 1994). Public Burden. Submission of the information is voluntary. Failure to provide full and complete information, however, may reduce the possibility of your receiving an award. The 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 or any other aspect of this collection of information, including suggestions for reducing this burden, to Gail A. McHenry, Reports Clearance Officer, Information Dissemination Branch, National Science Foundation, 4201 Wilson Boulevard, Suite 245, Arlington, VA 22230. The National Science Foundation has TDD (Telephonic Device for the Deaf) capability, which enables individuals with hearing impairment to communicate with the Foundation about NSF programs, employment, or general information. To access NSF TDD, dial (703) 306-0090; for FIRS, 1-800-877-8339. Appendix 1: Instructions for Submission of Cover Sheets of FNS Proposals Using NSF FastLane If you are submitting your FNS proposal using paper copies rather than electronically, you are required to submit the proposal cover sheet to NSF using FastLane. To access FastLane, go to the NSF Web Site at http://www.nsf.gov, then select "FastLane" or go directly to FastLane at http://www.fastlane.nsf.gov. Instructions for the Principal Investigator (PI): - Begin your FastLane proposal cover sheet and budget information as early as possible. - Contact your Sponsored Research Office (SRO) for a PIN number to gain access to the FastLane "Proposal Preparation" application. - If you have not submitted a proposal to NSF in the past, you must contact your SRO to be added to the NSF PI database. Please do this as soon as you decide to prepare a FNS proposal.

- As early as possible, enter your cover sheet and budget information using the FastLane "Proposal Preparation" application. In the field labeled "Program Announcement," type in "NSF 98-20" exactly as shown, with no additional spaces or characters. - Click on the "Allow SRO Access" button. Allow time for your SRO to approve, copy and mail the proposal to meet the deadline. Contact your SRO to inform them of the proposal ID. - If you save your forms as a "template," you can re-use the data on the forms in future proposals. (Once a proposal has been submitted, you can only view it). - Print the cover sheet (and budget, if desired) and insert into the printed copy of the proposal. Instructions for the Sponsored Research Office: - Print the second page of the cover sheet in time to obtain the required institutional signatures. - Before assembling the proposal for copying, submit the cover sheet to NSF via FastLane using the "Submit Proposal" function within the "Institutional Management of FastLane" application. This will generate a proposal number. Allow at least a business day for this process. - Print a copy of the cover sheet; it will have the proposal number on it. - Substitute the first page of the cover sheet for the one produced by the PI. - Make copies of the proposal and submit to NSF according to the usual procedures for a paper proposal. The hard copies of the proposal MUST be received at NSF by 5 p.m. Eastern time, February 17, 1998, in order to be eligible. - For EPSCoR-certified proposals, write EPSCoR only on the top right corner of the signed original. Appendix 2: NSF Merit Review Criteria Proposals submitted in response to this program announcement will be subject to the NEW merit criteria approved by the National Science Board on March 28, 1997 (NSB97-72). The new merit review criteria are: - What is the intellectual merit and quality of the proposed activity? The following are suggested questions that the reviewer will consider in assessing how well the proposal meets this criterion. Each reviewer will address only those questions that he/she considers relevant to the proposal and for which he/she is qualified to make judgments. - How important is the proposed activity to advancing knowledge and understanding within its own field and across different fields? How well qualified is the proposer (individual or team) to conduct the project? (If appropriate, the reviewer will comment on the quality of prior work.) To what extent does the proposed activity suggest and explore creative and original concepts? How well conceived and organized is the proposed activity? Is there sufficient access to resources?

- What are the broader impacts of the proposed activity? The following are suggested questions that the reviewer will consider in assessing how well the proposal meets this criterion. Each reviewer will address only those questions that he/she considers relevant to the proposal and for which he/she is qualified to make judgments. 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, 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 for the proposed activity to society? Catalog of Federal Domestic Assistance: 47.041 - Engineering 47.049 - Mathematical and Physical Sciences 47.074- Biological Sciences 47.070- Computer and Information Science and Engineering OMB 3145-0058 PT 34 KW 0605000, 0606000, 0607000, 0608000, 0609000, 0710015, 0706000, 1001000, 1003000, 1004000, 1009000, 1010000, 1013000, 1016000, 1220000, 1250000 NSF 98-20 (Electronic Dissemination Only)