Dear Colleague Letter: NSF and the Romanian Executive Agency for Higher Education, Research, Development and Innovation Funding (UEFISCDI) Lead Agency Opportunity in the Mathematical Sciences (nsf23132)

NATIONAL SCIENCE FOUNDATION

2415 EISENHOWER AVENUE

ALEXANDRIA, VIRGINIA 22314

NSF 23-132

Dear Colleague Letter: NSF and the Romanian Executive Agency

for Higher Education, Research, Development and Innovation

Funding (UEFISCDI) Lead Agency Opportunity in the

Mathematical Sciences

July 19, 2023

Dear Colleague:

The Division of Mathematical Sciences (DMS) within the Mathematical & Physical Sciences

Directorate (MPS) of the National Science Foundation (NSF) and the Romanian Executive

Agency for Higher Education, Research, Development and Innovation Funding (UEFISCDI)

have created a partnership to support international collaboration under the NSF-UEFISCDI

Lead Agency Opportunity in the Mathematical Sciences. The goal of this activity is to promote

collaborative research within the mathematical sciences by reducing barriers to conducting

research with international collaborators. The NSF-UEFISCDI Lead Agency Opportunity

allows U.S. and Romanian researchers to submit a single collaborative proposal that will

undergo a single merit review process through NSF as the lead agency.

This document provides guidelines for the preparation, submission, review and award of

NSF-UEFISCDI Collaborative Proposals.

Under the NSF-UEFISCDI Lead Agency Opportunity, proposals may be accepted for

collaborative research in areas at the intersection of MPS/DMS's and UEFISCDI's missions.

Proposers should review the participating MPS/DMS and UEFISCDI programs for further

information on which areas of research are eligible for support through this activity. Proposals

are expected to adhere to typical proposal sizes and durations for the relevant UEFISCDI and

MPS/DMS program(s) from which funding is sought. Proposals will be accepted for both

interdisciplinary and disciplinary research projects. Please consult the list of participating

DMS programs here. Please note that this activity is limited to core programs within the DMS

division; no cross-cutting or agency-wide special programs are eligible.

Proposers are advised that all documents submitted to NSF for this opportunity may be

shared by secure electronic means with UEFISCDI.

The collaborative opportunity described in this Dear Colleague Letter (DCL) remains in effect

until archived.

PROPOSAL PREPARATION AND SUBMISSION

All proposals must fall within the mission and funding parameters of both NSF/MPS/DMS and

UEFISCDI. Proposals that do not fall within the missions of both funding organizations will not

be considered.

There is a two-stage application process. Stage 1, Expression of Interest (EOI) submission,

must be completed prior to Stage 2, full proposal submission.

After acceptance of an EOI, proposals must be submitted in accordance with the deadlines of

the participating NSF programs. For NSF programs with a proposal submission deadline,

project teams should submit the EOI at least 60 days ahead of the proposal submission

deadline. For NSF programs without a proposal submission deadline, project teams should

submit the EOI 60 days ahead of their intended proposal submission date.

Stage 1: Expression of Interest (EOI)

1. The EOI submission includes the following information:

Proposed Project Title.

Names, email addresses, and departmental and institutional affiliations of the U.S.

and Romanian researchers.

Bottom-line estimates of total expected funding (including indirect costs) to be

requested from NSF and UEFISCDI in appropriate monetary units (USD for U.S.

budget and RON for Romanian budget).

Clear indication of the NSF/MPS/DMS target program. This may not be the only

NSF program that will consider the Expression of Interest, but identification of the

target program allows for faster consideration.

Project Summary (1000 words maximum) of the proposed research which must

include:

a) a statement on the intellectual merit of the proposed activity, and

b) a statement on the broader impacts of the proposed activity.

The U.S. portion of the work should fall within the scope of one or more participating

programs as noted above. The Romanian portion of the work should fall within the

scope of Bilateral/Multilateral Complex Projects, Lead Agency Procedure.

It is advisable for proposers to consult with their institution's Office of Sponsored

Research for budget advice prior to finalizing a total estimate. Full proposal budgets

should not vary from those specified in the EOI by more than 10% and any such

changes should be fully justified.

2. To submit the above information, proposers complete an Expression of Interest

(EOI) form. Proposers email the completed form to [email protected] at least

60 days prior to the intended proposal submission date. EOIs will be shared with

UEFISCDI and both agencies will review the submitted information to check for eligibility

(namely whether the proposed research fits within the participating agencies' portfolios

and whether the proposed researchers and institutions meet the agencies' funding

eligibility requirements). UEFISCDI eligibility requirements for the Romanian side can be

found here: https://uefiscdi.gov.ro/nsf-uefiscdi-lead-agency-opportunity.

3. Upon confirmation from the NSF that both agencies have reviewed the EOI and

confirmed that the proposed collaborative research is appropriate for review under the

NSF-UEFISCDI Lead Agency Opportunity, NSF will contact the proposers to inform

them whether they are encouraged to submit a full research proposal to the

NSF/MPS/DMS program indicated. In some cases, an alteration of the budget request

may be required in the full proposal submission.

4. If this communication has not taken place prior to a proposal submission, the proposal

will be returned without review.

Stage 2: Full Proposal Submission

1. Proposers from both countries are to collaborate to write a single proposal. It is the

responsibility of the U.S. proposer to submit the proposal to the appropriate NSF

program for review. The full proposal should be submitted within twelve months of the

EOI being approved. In the case of the original EOI expiring, proposers should contact

NSF for clarification on how to proceed; a new EOI may be necessary.

2. The proposal should indicate that it is to be considered under this Lead Agency

Opportunity by prefacing the title with "NSF-UEFISCDI:".

3. Proposers must comply with the proposal preparation requirements outlined in NSF's

Proposal & Award Policies & Procedures Guide (PAPPG). The proposal must be

submitted to the appropriate standing program within MPS via Research.gov or

Grants.gov. If proposers are using Research.gov and the research collaboration only

includes one US institution, proposers may select the option "Single Proposal (with or

without subawards)" in Step 4. Proposal Details of the "Prepare New Full Proposal"

wizard in Research.gov. Although NSF-UEFISCDI projects involve collaborative

research, proposals are only classified as "collaborative" in Research.gov if they either

1) have subaward(s) or 2) the lead proposal has associated non-lead

proposal(s)attached to it. For more information on NSF collaborative proposals, see

Chapter II.E.3 of the PAPPG.

4. The proposal should only indicate the U.S. expenses on the NSF Budget Form. A

detailed breakdown of funding requested from UEFISCDI should be added to the

proposal as a Supplementary Document, using the Budget Breakdown Template

available on UEFISCDI's website, here: https://uefiscdi.gov.ro/nsf-uefiscdi-lead-agency-

opportunity. This document is to be shared with UEFISCDI to verify eligibility of costs

requested. The Budget Justification section of the proposal should address the full

project budget (that is, both the U.S. and Romanian funding items).

5. Romanian personnel should be listed as "non-NSF funded collaborators." This listing is

for administrative purposes and is not intended to characterize the level or value of the

contribution of Romanian personnel to the project. Guidance specific to "non-NSF

funded collaborators" is as follows:

Biographical Sketch - Required. The biographical information must be clearly

identified as "non-NSF funded collaborators" biographical information and

uploaded as a single PDF file in the Other Supplementary Documents section of

the proposal. Use of a specific format is not required except in specific cases when

the individual announcement to the community for the participating programs will

indicate a required NSF format.

Collaborators and Other Affiliations (COA) Information - Required. The COA

information should be provided through the use of the COA template, identified as

"non-NSF funded collaborators" COA information, and uploaded as a PDF file in

the Single Copy Documents section of the proposal.

Current and Pending Support - Not required.

Results from Prior NSF Support - Not required.

6. An institutional statement in support of the joint submission must be provided by each

Romanian partner organization in the proposal submission. This statement should be in

the form of a signed letter from an Authorized Organizational Representative including

the following text: "I confirm on behalf of [insert name or institution] that the U.S.-

Romanian collaborative proposal between [insert name of the lead agency PI and

institution] and [insert name of the non-lead agency PI and institution] is endorsed and

has been submitted by [name of research office]." This letter must be included in the

"Supplementary Documents" section.

7. For projects involving human subjects/participants or animals, proposers are expected

to adhere to the policies, law, and guidelines concerning research ethics and must have

requisite institutional approvals or exemptions in place prior to any potential award.

8. Research funded through this Lead Agency Opportunity is to be conducted in

accordance with NSF's Responsible and Ethical Conduct of Research Policies

(https://www.nsf.gov/od/recr.jsp).

9. Proposers are advised that all documents submitted to NSF as the Lead Agency may

be shared securely, via a password-protected SharePoint or extranet site, with

UEFISCDI. These documents will be hosted on a site associated with NSF, housed

behind firewalls, and using NSF-specific protocols to ensure data protection (personal

data protection included).

10. Proposals that request duplicative funding from NSF and/or UEFISCDI may be returned

without review.

MERIT REVIEW

SF-UEFISCDI collaborative proposals will be reviewed alongside all other unsolicited or

standard research grant proposals received in the same funding round or call and will not

undergo a special or separate review process. Proposals will be reviewed in accordance with

NSF's standard merit review criteria.

FUNDING DECISIONS

There are no separate NSF funds available for this effort; proposals will compete with all

other proposals submitted to participating programs and will be evaluated on the strengths of

the proposed intellectual merit, broader impacts, and any program- and/or solicitation-specific

review criteria that may apply. NSF, as the lead agency, will use its usual internal procedures

to determine whether a proposal will be awarded or declined. Funding decisions may be

subject to budget limits.

All proposers will be advised whether their proposal has been recommended for funding or

will be declined. Proposers will receive copies of the reviewers' unattributed comments and,

where applicable, a panel summary.

Once a proposer has been notified of a pending award, the Romanian researcher(s)

associated with the project must submit a copy of the proposal to the UEFISCDI so that each

agency has complete documentation of the overall proposed research project. UEFISCDI will

provide further guidance to successful proposers at this stage.

For projects recommended for award, NSF and UEFISCDI will coordinate the U.S. and

Romanian award timing as much as possible. However, because the participating agencies

have different funding cycles, it is possible that some projects will have delayed start dates to

wait until funds become available or until all pre-award requirements are met. Wherever

possible, both agencies will endeavor to hold standard turnaround times for each participating

agency, but in exceptional circumstances outcomes could be delayed.

RESUBMISSIONS

Should a proposal be declined for funding, proposers should follow these guidelines on

resubmission:

i. refer to the resubmission guidelines of both agencies.

ii. submit a new EOI at least 3 months in advance of resubmitting a full proposal. The EOI

should clearly indicate that it is a resubmission and what changes have been made.

Both agencies reserve the right to reject an EOI that does not meet their resubmission

criteria.

POST-AWARD CONSIDERATIONS

Grantees will be expected to comply with the award conditions and reporting requirements of

the agencies from which they receive funding.

Grantees are to acknowledge both NSF and the UEFISCDI in any reports or publications

arising from the grant.

Requests for no cost extensions will be considered by NSF and UEFISCDI using standard

procedures. Requests for changes to awards will be discussed with other involved funding

agencies before a mutual decision is reached.

DATA PROTECTION CONSIDERATIONS

NSF and UEFISCDI will share relevant information and data—whether in connection with the

proposal and award process, or thereafter during the post award process. Data are expected

to be shared between NSF and UEFISCDI to enable the secure and efficient processing of

full proposals for the NSF-UEFISCDI Lead Agency Opportunity. Data shared may include

proposal attachments, anonymized peer reviews, and panel summaries. NSF and UEFISCDI

are committed to maintaining data confidentiality, protection, and privacy and intend to fully

abide by their own applicable laws and policies concerning the sharing of data in our

collaborative activities.

PROGRAM CONTACTS

For general inquiries about the NSF-UEFISCDI lead agency opportunity, please contact nsf-

[email protected]. For inquiries pertaining to the specific DMS programs to which an NSF-

UEFISCDI may be submitted, please contact the program officers listed on the specific

programs' webpages. A list of participating DMS programs can be found at the bottom of

NSF's webpage on international collaborations with Romania, here: OISE Int'l Collaborations-

Romania.

Additionally, NSF's Office of International Science and Engineering (OISE) helps to

coordinate the overall engagement between NSF and UEFISCDI. The current OISE program

manager for Romania is listed at https://www.nsf.gov/od/oise/country-list.jsp.

Sincerely,

Sean Jones

Assistant Director

Mathematical and Physical Sciences