Title : NSF91146--National Nanofabrication Users Facility Type : Program Guideline NSF Contact : ENG Date : January 7, 1992 NATIONAL NANOFABRICATION USERS FACILITY Proposal Solicitation Directorate for Engineering Division of Electrical and Communications Systems Solid State and Microstructures Program SUBMISSION DEADLINES: LETTER OF INTENT: JANUARY 31, 1992 FORMAL PROPOSALS: MARCH 9, 1992 NOTICE THIS SOLICITATION CONTAINS TIMELY INFORMATION OF IMPORTANCE TO MANAGERS OF MICROELECTRONICS AND NANOFABRICATION FACILITIES. IT MAY ALSO BE OF INTEREST TO RESEARCHERS IN DIVERSE FIELDS WHO MAKE USE OF SUBMICRON STRUCTURES. PLEASE DISTRIBUTE IT PROMPTLY. NATIONAL SCIENCE FOUNDATION The National Science Foundation (NSF) provides awards for research 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 such findings or their interpretation. The Foundation welcomes proposals on behalf of all qualified scientists and engineers, and strongly encourages women, minorities, and persons with disabilities to compete fully in any of the research and research-related programs described in this document. In accordance with Federal statutes and regulations and NSF policies, no person on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, denied the benefits of, or be subjected to discrimination under any program or activity receiving financial assistance from the National Science Foundation. Facilitation Awards for Scientists and Engineers with Disabilities provide funding for special assistance or equipment to enable persons with disabilities (investigators and other staff, including student research assistants) to work on an NSF project. See the announcement (NSF 91-54), or contact the program coordinator (202) 357-7461. The Foundation has TDD (Telephonic Device for the Deaf) capability, which enables individuals with hearing impairment to communicate with the Division of Personnel and Management about NSF programs, employment, or general information. The telephone number is (202) 357-7492. Science and Technology Information System (STIS) Copies of most program announcements are available electronically using the Science and Technology Information System (STIS). The full text can be searched online, and copied from the system. Instructions for use of the system are in NSF91-10, "STIS Flyer." The printed copy is available from the Forms and Publications Unit. If you are a user of electronic mail and have access to either Bitnet or Internet, you may prefer to order publications electronically. Bitnet users should address requests to pubs@nsf. Internet users should send requests to pubs@nsf.gov. In your request, include the NSF publication number and title, number of copies, your name, and a complete mailing address. Publications will be mailed within 2 days of receipt of request. This program is described in the Catalog of Federal Domestic Assistance category 47.041 INTRODUCTION The Solid State and Microstructures (SSM) Program, Division of Electrical and Communications Systems, Directorate for Engineering of the National Science Foundation is pleased to announce that it will receive proposals for a National nanofabrication users facility as detailed below. For the past 14 years, the National Science Foundation has provided direct support at a recent level of $2 million per year to the National Nanofabrication Facility (NNF) at Cornell University. The purpose of this facility has been to serve academic and other researchers from a variety of fields and institutions who find it beneficial to their research to create structures of a scale typically smaller than a cubic millimeter and with feature dimensions that can be substantially smaller than a micron. To date, researchers in such diverse fields as microelectronics, micromechanics, materials science, biophysics, biology, and optics have been served by the NNF. Current Foundation support for the NNF will end September 30, 1992. The National Science Foundation, under this announcement, will recompete this facility by soliciting proposals in an open competition for a National nanofabrication users facility for the period beyond September 1992. The resulting award may be made for up to five years, renewable for an additional five years, subject to annual review and availability of funds. The National Science Foundation held a Nanofabrication Users' Workshop on September 16 and 17, 1991, to take stock of the contribution that the NNF has made, the changing needs of the user communities, the abilities of a user facility to supply these needs, and the criteria that a future or next-generation facility could be expected to meet. The workshop was chaired by Dr. William F. Brinkman, AT&T Bell Laboratory. A workshop report is in preparation and will be made available, by request, as soon as possible. DESIRED FACILITY ATTRIBUTES The National nanofabrication users facility supported under the provisions of this announcement will be judged according to how well it can be expected to achieve the following attributes: * Operation as a national user facility for both nanofabrication and microfabrication, which will be open to any qualified researcher from U.S. universities, industry and federal laboratories. It will encompass present and future needs in nanofabrication. * Creation of a stimulating in-house research environment involving several disciplines, such as engineering, physics, materials science, chemistry, biology and biophysics. The in-house research will be expected to pursue applications of nanofabrication capabilities to a broad spectrum of engineering and scientific disciplines, and to develop state-of-the-art instrumentation and processes for fabrication and characterization of structures at dimensions below 100nm. * Training of students, scientists and engineers in the areas of nanofabrication and microfabrication and their applications. * Provision of nanofabrication technology transfer to the research and development communities. * Provision of a sufficiently large, dedicated engineering and technical staff to run effectively the external user program as well as the in-house program. * Provision of a strong outreach program, with visitor program, seminars and workshops. Significant scientific and technical exchange with groups in other academic institutions, national laboratories, and other organizations. * Provision of continuity to the existing user community as well as the ability to respond to an expanded user community in the future. * Based in an academic institution or non-profit organization with an academically oriented engineering research and education program. Scientific and technical connections with other academic institutions, national laboratories, other Federal government laboratories, State and Local government laboratories, industrial laboratories and other private sector laboratories are strongly encouraged. * Integration into the academic programs of the proposing institution. WHO MAY SUBMIT U.S. academic institutions and non-profit organizations with academically oriented engineering research and education programs are invited to submit proposals. Student involvement at both graduate and undergraduate levels, and overall contribution to engineering education will be important factors in judging proposals. Proposals from for-profit institutions are not eligible. Eligibility of applicants for NSF support is discussed in the NSF brochure: Grants for Research and Education in Science and Engineering (NSF 90-77, August 1990; do NOT use earlier versions), which may be obtained from the National Science Foundation, Forms and Publications Unit, 1800 G Street NW - Room 232, Washington, DC 20550, telephone 202-357-7861, Internet pubs@nsf.gov. FACILITY DIRECTOR The individual designated as Facility Director will be responsible for all management functions of the facility. The Director and the submitting institution are expected to develop an administrative structure that will permit the Director to provide effective scientific and technical leadership. AWARD AND COST SHARING It is the intention of the National Science Foundation that the National nanofabrication users facility award will be a cooperative agreement with an initial commitment of five years. The size of the award will depend on the plans and performance of the facility, as well as on the availability of NSF funds. The initial five-year agreement may be renewed, subject to merit review, including external peer review, without further recompetition. However, in no case shall the agreement be extended beyond ten years without further recompetition. It is intended that the costs of establishing and operating the facility during the project period contemplated by this solicitation and any resulting award must be cost-shared between NSF and other sources (Federal, State, and private). In addition the required space for the facility must be provided by the proposing organization. The proposing organization is required to submit as part of its proposal a detailed cost estimate for establishing and operating the facility during the five-year period, and its plan for securing and financing the costs that are not paid by the NSF. Evaluation of proposals will take into account the reasonableness of the total project cost estimates; the nature, amount, and degree of commitment of the proposed cost participation or financing arrangements; and the realism of the proposer's plan to secure cost participation. In evaluating the proposed cost participation and financing arrangements, the Foundation will generally rely on the definitions of cost participation contained in Attachment E of OMB Circular A-110. The Solid State and Microstructures Program in the Division of Electrical and Communications Systems will be responsible for overseeing the management and progress of the National nanofabrication users facility. The progress and plans of the facility will be assessed annually prior to receiving continuing NSF support. During the fourth year of the award, progress and plans will be evaluated comprehensively, and a continuation proposal shall be submitted for a renewal award. Review of the renewal proposal will determine whether the facility is meeting the goals proposed and whether NSF support should be continued for a second five-year period. DEADLINES AND CONDITIONS In order to plan proposal processing, all prospective proposers are required to indicate their intention to submit a proposal. This may be done in writing only. Letters must be submitted to Dr. Brian J. Clifton, Program Director, Solid State and Microstructures, Room 1151, National Science Foundation, Washington, DC 20550, and are to be postmarked not later than January 31, 1992. Letters may also be faxed to Dr. Clifton at 202-357-9408 not later than January 31, 1992. The letter should not exceed two pages and should describe in general terms the facility to be proposed, and must include the submitting institution name and address and the contact person, including department and telephone number, to whom all correspondence will be sent. Preliminary copies of the Nanofabrication Workshop Report will be made available to proposers who have submitted a letter of intent, as soon as the report is available. Formal proposals must be received at the Foundation not later than close of business March 9, 1992. PROPOSAL FORMAT Proposals are to be prepared following the guidelines contained in the NSF document: Grants for Research and Education in Science and Engineering (NSF 90-77), and the instructions which follow. For proposals under this announcement only, the project description, including items 4 through 10 below, may not exceed 25 single-spaced 8 1/2 x 11" pages (minimum size type: 11 point, 1" margins). Proposals should reflect the unique combination of interests and capabilities of the proposing institution and should discuss the proposed nanofabrication users facility in sufficient detail to be evaluated in accordance with the guidelines and criteria described in this announcement. In order to facilitate the review, proposals should contain only material that is essential for the review. Appendices are not permitted. Specifically, proposals should contain the following sections: 1. NSF Cover Sheet (NSF Form 1207) 2. Table of Contents, with page numbers keyed sections of the proposal. 3. Executive Summary, providing a clear description of the proposed facility. 4. Major Equipment Items to be housed in the facility with estimated costs and a timetable of their availability. 5. Service to Users, including a description of procedures and criteria for the selection of proposals from users of the nanofabrication facility. 6. In-House Research Program, including an explanation of how this research will lead to the improvement of these facilities. 7. Connections with other Organizations, including a detailed description of the role other organizations will play in the establishment and the operation of the proposed facility. 8. Educational Features, including a description of the mechanisms for attracting high quality students and involving them in the activities of the proposed facility. It is also appropriate to indicate planned mechanisms for attracting women and members of underrepresented minority groups (e.g. American Indians, Blacks, Hispanics) to research careers. 9. Scientific and Technical Exchanges with other Organizations, including a description of mechanisms for selecting and carrying out such exchanges. 10. Management Plan, including a clear description of the organizational structure of the proposed facility. Mechanisms for selecting proposals from users, the selection of in -house development and research activities, the management of the involvement of other scientific and technical groups, and the allocation of funds should also be clearly described. Additional information on career path, promotion, and tenure practices of facility-based faculty and staff may be required at a later date, if the proposing institution is selected for a site visit. 11. Continuity and Transition Plan, describing how the proposed facility will provide continuity to the existing user community, and provide an orderly transition from the existing NNF to the proposed facility. 12. Proposed Five-Year Budget on NSF Form 1030 (NSF 90-77, August 1990, Appendix V). Also include a budget explanation and separate annual budgets for each year. 13. Institutional and Other Sector Support, including the proposing institution's commitment in terms of space, faculty and staff positions, capital equipment, and instrumentation. Indicate specific dollar estimates for each. Also describe proposed support from other organizations (Federal, State, and private), including funds, space, personnel, capital equipment, and instrumentation. Official supporting letters that verify resource commitments by the proposing institution as well as by other organizations are to be submitted. 14. Biographical Sketches for the Principal Investigator and other senior personnel. All provisions and conditions of NSF 90-77 not explicitly addressed herein will apply. Proposals must be submitted using the latest forms provided in that document. The cover sheet box labeled "For Consideration by NSF Organizational Unit" should contain the following: ENG/ECS/SSM. EVALUATION OF PROPOSALS Proposals will be evaluated using a two-stage merit review process. The first stage will involve mail and/or panel review. On the basis of this review, the most meritorious proposals will be identified. During the second stage those institutions that have submitted the most meritorious proposals will be site visited by a team of experts. On the basis of the recommendation of this site visit team, the most highly meritorious proposal will be selected. This proposal will be transmitted to the National Science Board for its review and approval. Mail reviewers, panel members, and members of the site visit team will be chosen from the general scientific and engineering community as well as from the community of scientists and engineers with expertise in specific research areas, and in the management of large user facilities. All sections of the proposals (see under PROPOSAL FORMAT) will be thoroughly reviewed and evaluated. The following criteria will be used in the selection process: 1. a. Intrinsic merit of the proposed facility: The overall quality of the service to be provided by the proposed facility as measured by its ability to serve a broadening range of research disciplines. The impact of this facility on future nanofabrication technology is an important factor in the selection process. b. Overall competence of operation: The capability of the scientific, engineering and technical staff of the proposed facility, the technical soundness of the proposed equipment acquisitions and development, and the adequacy of institutional resources available or proposed, including existing or proposed equipment and instruments. 2. Effect of the facility on the infrastructure of science and engineering: The potential of the proposed facility and its research to contribute to better understanding or improvement of the quality, distribution, or effectiveness of the Nation's scientific and engineering research, education, and human resources capabilities. Within this criterion consideration will also be given to: a. The quality and appropriateness of the educational and training components, especially plans to attract and involve students--U.S. citizens, women and minorities- -postdoctorates, and visitors in the proposed facility. b. The form, appropriateness, effectiveness, and strength of the scientific and technical connections and exchanges with other sectors and groups, including the form and strength of the relationship among the proposed facility and other institutions and facilities in the State, region, Nation, and the world. 3. Management Plan: The likely effectiveness of the proposed management plans, including those for managing the external user program, the in-house development and research activities, the integration into academic programs, and the involvement of other scientific and technical groups. The envisioned role as a national user facility and the vision for future nanofabrication research directions is a particularly important aspect of the selection process. 4. Continuity and Transition Plan: The form and appropriateness of the proposed plan to provide continuity to the existing user community, and the transition from the existing NNF to the proposed facility. 5. Institutional and other sector support: The level and nature of the commitments by the proposing institutions, as well as commitments by other organizations, is an important factor in the selection of the most highly meritorious proposal. NSF reserves the right not to make an award unless the proposal satisfies all requirements of this announcement. INQUIRIES Inquiries about this proposal solicitation should be directed to: Dr. Brian J. Clifton Program Director Solid State and Microstructures, Room 1151 National Science Foundation Washington, DC 20550 (202) 357-9618 Internet :bclifton@nsf.gov FAX: (202) 357-9408 or Dr. George A. Hazelrigg Deputy Director Division of Electrical and Communications Systems National Science Foundation Washington, DC 20550 (202) 357-9618 Internet :ghazelri@nsf.gov FAX: (202) 357-9408 PROPOSAL SUBMISSION TEN (10) copies of each proposal, including one signed by both the proposed Facility Director and an official authorized to commit the institution in business and government affairs, must be submitted to: Proposal Processing Unit, Room 223 Attn: National Nanofabrication Users Facility Solicitation/SSM/ECS/ENG National Science Foundation Washington, DC 20550 Do not send full proposals directly to the SSM program. ADDITIONAL INFORMATION The document "Grants for Research and Education in Science and Engineering" (GRESE), NSF90-77(8/90) and copies of "Cooperative Agreement General Conditions", NSF CA-1 including "Grant General Conditions", NSF GC-1 are available at no cost from the Forms and Publications Unit, National Science Foundation, 1800 G Street NW - Room 232, Washington, DC 20550, telephone (202) 357-7861, or via e-mail (Bitnet:pubs@nsf or Internet:pubs@nsf.gov). OMB No. 3145-0058 P.T. 36 K.W. 0607000 NSF 91-146 ..stis file is nsf91146 ..expires October 1992 ----------------------------------------------------------------------- ** FOR YOUR REFERENCE ** This document is mailed as a feature of NSF's STIS system (Science and Technology Information System). If you would like to know more about STIS, send a message to stisserv@nsf.gov (Internet) or stisserv@NSF (BITNET). The subject will be ignored. 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