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September 30, 2000

National Science Foundation

*Where Discovery Begins*

GPRA Strategic Plan FY 2001 -- 2006

**[CONTENTS]{.underline}**

***About the NSF***

> ***NSF Role***

## Introduction

##  {#section .unnumbered}

## Vision and Mission

##  {#section-1 .unnumbered}

## Outcome Goals

## A. People {#a.-people .unnumbered}

## B. Ideas {#b.-ideas .unnumbered}

## C. Tools {#c.-tools .unnumbered}

##  {#section-2 .unnumbered}

## Strategy

## A. Core Strategies {#a.-core-strategies .unnumbered}

## B. Five-year Strategies  {#b.-five-year-strategies .unnumbered}

> **[Appendices]{.underline}:**
>
> **Appendix 1: Critical Factors for Success**
>
> **Appendix 2: External Factors Affecting Success**
>
> **Appendix 3: Assessing NSF's Performance**
>
> **Appendix 4: Integration of NSF Plans with those of Other Agencies**
>
> **Appendix 5: Resource Utilization**
>
> **Appendix 6: Linking the Strategic Plan to the Performance Plan**
>
> **Appendix 7: Crosswalk of NSF Goals and Programs**
>
> ***How We Operate***
>
> ***Our Attributes***
>
> ***About the NSF***

Created in 1950, NSF is an independent U.S. government agency
responsible for advancing science and engineering in the United States
across a broad and expanding frontier. Operating no laboratories itself,
NSF makes merit-based grants and cooperative agreements and provides
other forms of support to educators and researchers in all fifty states
and in the U.S. territories.

NSF supports education and training at all levels, from pre-kindergarten
through career development; promotes public understanding of science,
mathematics, engineering, and technology; and helps ensure that the
United States has world-class scientists, mathematicians and engineers.
Together with NSF's support for leading edge research, its educational
activities are critical to sustaining the Nation's economic strength and
ensuring the well being of all Americans in the 21^st^ century.

NSF invests in the best ideas from the most capable people, determined
by competitive merit review. NSF evaluates proposals for research and
education projects using two criteria: the intellectual merit of the
proposed activity and the broader impacts of the activity on society.

Competition for NSF support is intense. Each year, NSF receives about
30,000 proposals for research and education projects and about one-third
of them are funded. Awards typically go to universities, colleges,
academic consortia, nonprofit institutions, and small businesses. NSF
also supports collaborative projects between universities and industry
and U.S. participation in international cooperative research and
education efforts.

Numerous advisors from the science and engineering community assist NSF
staff members in identifying areas of promise with maximum opportunity
for breakthroughs. Reliance on the science and engineering research and
education community enables NSF to be both intellectually decisive and
cost-efficient.

The National Science Foundation is governed by the National Science
Board (NSB). The Board is composed of 24 part-time members, appointed by
the President and confirmed by the Senate. The NSF Director serves on
the Board, ex officio. The Board has dual responsibilities: as a
national science policy advisor to the President and the Congress, and
as the governing body for NSF.

***NSF's Role***

NSF provides the funding that sustains many research fields as advances
in these fields expand the boundaries of knowledge. Equally important,
the agency provides seed capital to catalyze emerging opportunities in
research and education. It supports a portfolio of investments that
reflects the interdependence among fields, promoting disciplinary
strength while embracing interdisciplinary activities. Its investments
promote the emergence of new disciplines, fields, and technologies.

Academic institutions, working in partnership with the public and
private sectors, are crucibles for expanding the frontiers of science
and engineering knowledge, and educating the next generation of
scientists and engineers. Consequently, NSF plays a critical role in
supporting fundamental research and education at colleges and
universities throughout the country.

NSF does not operate laboratories, but instead brings together diverse
elements of the larger science and engineering community to achieve our
mission. This places the agency in a unique position to provide
leadership, working with its partners to chart new paths for research
and education. In this leadership role, NSF fosters strategic
collaborations with key national and international counterparts that
address global science and engineering priorities and promote the
betterment of humankind.

NSF coordinates agency plans with the activities of other Federal
agencies, creating partnerships when there are shared interests and
taking complementary approaches where appropriate. Senior managers at
NSF and other agencies maintain the close connections that provide a
productive framework for program-level coordination and permit formal
cooperation among agencies.

Given the extraordinary importance of science and technology at the dawn
of the 21st century, there is a growing need for timely, accurate,
relevant information on the status of the domestic and foreign science
and engineering enterprise that informs science policy and priority
setting.

The National Science Board has been responsible, by law, for developing
on a biennial basis a report "...on indicators of the state of science
and engineering in the United States." This report, which the Board
submits to the President for transmission to Congress, provides not only
a domestic perspective, but international comparisons as well. It serves
as a basis for decision-making on major policy issues related to science
and engineering.

**I. Introduction**

The Government Performance and Results Act of 1993 (GPRA) provides a
mandate to Federal agencies to account for program results through the
integration of strategic planning, budgeting, and performance
measurement.

According to GPRA, each agency must prepare a strategic plan that
addresses its mission and major functions over a six-year period (the
current fiscal year and five years into the future). Agencies are
required to update their strategic plans every three years for
submission to the Office of Management and Budget (OMB) and the
Congress.

The *NSF GPRA Strategic Plan FY 2001-2006* integrates previous strategic
planning activities that resulted in 1995\'s *NSF in a Changing World*,
the 1997 GPRA Strategic Plan, and the *National Science Board (NSB)
Strategic Plan*, 1998. In integrating those plans, NSF seeks to clearly
communicate our vision, ideals, and "corporate personality," and to
provide a framework for the future. This framework is informed by NSF\'s
mission, as set out by Congress in the National Science Foundation Act
of 1950, and by the Foundation\'s unique role as the only federal agency
charged with strengthening the overall health of U.S. science and
engineering across a broad and expanding frontier.

The plan emphasizes outcome goals for NSF's investments in people, ideas
and tools, and describes the three core strategies \-- developing
intellectual capital, integrating research and education, and promoting
partnerships \-- that, together with our core values, guide NSF in
pursuing these goals. The plan also sets forth NSF's implementation
strategy, and introduces four emerging areas that will benefit from
increased attention in the next several years \-- information technology
research, biocomplexity in the environment, twenty-first century
workforce, and nanoscale science and engineering.

In developing this strategic plan, NSF efforts were greatly enhanced by
the science and engineering community and others, such as the Office of
Management and Budget and the various congressional committees, who are
concerned about the vitality of U.S. science and engineering. Their
input is reflected throughout this document.

II. **NSF's Vision and Mission**

**VISION**

***Enabling the Nation's future through discovery, learning and
innovation.***

Realizing the promise of the 21^st^ century depends in large measure on
today's investments in science, engineering and mathematics research and
education. NSF investments -- in people, in their ideas, and in the
tools they use - will catalyze the strong progress in science and
engineering needed to secure the Nation's future.

**MISSION**

NSF's mission, set out in the NSF Act of 1950 (Public Law 810507) is:

***To promote the progress of science; to advance the National health,
prosperity, and welfare; to secure the National defense; and for other
purposes.***

The Act authorizes and directs NSF to initiate and support:

-   Basic scientific research and research fundamental to the
    engineering process,

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-   Programs to strengthen scientific and engineering research
    potential,

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-   Science and engineering education programs at all levels and in all
    fields of science and engineering, and

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-   An information base on science and engineering appropriate for
    development of national and international policy.

The NSF Act conferred on the presidentially appointed National Science
Board the responsibility for establishing the policies of the Foundation
and serving as its governing board. The Act also directs the Board to
advise the President and Congress to assure the productivity and
excellence of the Nation\'s science and engineering enterprise.

Over time, the following additional responsibilities were added to the
agency's mission: (1) foster the interchange of scientific and
engineering information nationally and internationally; (2) support the
development of computer and other methodologies; (3) maintain facilities
in the Antarctic and promote the US presence through research conducted
there, and (4) address issues of equal opportunity in science and
engineering.

III. **NSF's Outcome Goals: *Investing in today's promise for tomorrow's
     achievement***

In pursuit of its historic mission, NSF invests in:

-   [PEOPLE]{.underline} to develop a diverse, internationally
    competitive and globally-engaged workforce of scientists, engineers
    and well-prepared citizens. This goal supports the parts of NSF's
    mission that are directed at (1) programs to strengthen scientific
    and engineering research potential; and (2) science and engineering
    education programs at all levels and in all fields of science and
    engineering.

-   [IDEAS]{.underline} to provide a deep and broad fundamental science
    and engineering knowledge base. These goal supports the parts of
    NSF's mission directed at basic scientific research and research
    fundamental to the engineering process.

-   [TOOLS]{.underline} to provide widely accessible, state-of-the-art
    science and engineering infrastructure. This goal supports the parts
    of NSF's mission directed at (1)) programs to strengthen scientific
    and engineering research potential; and (2) an information base on
    science and engineering appropriate for development of national and
    international policy.

Issues of equal opportunity in science and engineering are addressed by
all three of the outcome goals.

In Appendix 5, *Resource Utilization*, NSF's FY 2001 budget request is
distributed across the three outcome goals and Administration and
Management (A&M), with a total request of \$4.572 billion.

In Appendix 7: *Crosswalk of NSF Goals and Programs,* all NSF programs
are classified according to the outcome goal on which they are primarily
focused. However, is should be noted that there is considerable synergy
among the goals.

For example, a grant supporting materials research at a university may
focus on producing new knowledge (Ideas) but also may help train the
next generation of scientists and engineers (People), and provide new
research equipment (Tools). The ability of NSF-supported projects to
simultaneously address multiple outcome goals increases the
effectiveness and productivity of NSF's investments.

**A. PEOPLE:** A diverse, internationally competitive and
globally-engaged workforce of scientists, engineers and well-prepared
citizens.

> *[NSF Statutory Authority:]{.underline}*
>
> *"The Foundation is authorized and directed to initiate and support
> basic scientific research and programs to strengthen scientific
> research potential and science education programs at all levels . . ."
> (NSF Act of 1950)*
>
> *"The Foundation is authorized to support activities designed to . .
> encourage women to consider and prepare for careers in science and
> engineering. . " (Science & Engineering Equal Opportunities Act; 42USC
> 1885)*
>
> *"The Foundation is authorized to undertake and support a
> comprehensive science and engineering education program to increase
> the participation of minorities in science and engineering . . ."
> (Science & Engineering Equal Opportunities Act; 42USC 1885)*
>
> *"The Foundation is authorized to undertake and support programs and
> activities to encourage the participation of persons with disabilities
> in the science and engineering professions." (Science & Engineering
> Equal Opportunities Act; 42USC 1885)*

NSF is committed to ensuring that the United States has world-class
scientists and engineers, a national workforce that is scientifically,
technically and mathematically strong, and a citizenry that understands
and can take full advantage of basic concepts of science, mathematics,
engineering, and technology.

Every dollar NSF spends is an investment in people. The agency supports
nearly 200,000 people -- teachers, students, researchers, postdoctoral
researchers, and many others. NSF supports formal and informal science,
mathematics, engineering, and technology (SMET) education at all levels.

NSF employs three core strategies that guide the entire agency in
establishing priorities, identifying opportunities, and designing new
programs and activities: (1) Develop Intellectual Capital; (2) Integrate
Research and Education; and (3) Promote Partnerships. (These strategies
are more fully described in Section IV.) Each of these strategies is
critical to accomplishing the People goal. In addition, there are
implementation strategies that are specific to this goal:

-   Use all aspects of NSF activity to enhance diversity in the science
    and engineering workforce, with particular attention to the
    development of people who are beginning careers in science and
    engineering.

-   Invigorate research-informed, standards-based SMET education at all
    levels through partnerships that draw deeply from the research and
    education community, Federal, state, and local education agencies,
    civic groups, business and industry, and parents.

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-   Increase the Nation's capacity to educate teachers and faculty in
    SMET areas and provide them with career-long professional
    development.

-   Foster innovative research on learning, teaching, and organizational
    effectiveness, with special interest in determining the most
    effective use of information and computer technologies.

-   Further the engagement of the U.S. scientific and engineering
    community in the global community by providing opportunities for
    international study, collaborations and partnerships.

-   Promote greater public understanding of science, mathematics, and
    technology, and build bridges between formal and informal science
    education.

The following long-term outcomes of the People Goal provide the basis
for development of more specific and time-dependent annual performance
goals:

-   Improved mathematics, science and technology understanding and
    skills for U.S. students at the K-12 level and for all citizens of
    all ages, so that they can be competitive in a technological
    society.

-   A science and technology workforce that draws on the strengths of
    America's diversity and has global career perspectives and
    opportunities.

-   Globally-engaged science and engineering professionals who are among
    the best in the world.

-   A public that understands the processes and benefits that accrue
    from science and engineering.

Appendix 1 describes the critical factors for success that are
identified for the outcome goals. In particular, Factor 1, *operating a
credible, efficient merit review system*, is critical because it is at
the very heart of NSF\'s selection of the projects through which its
outcome goals are achieved. Factor 2, *maintaining a diverse, capable,
motivated staff that operates with efficiency and integrity* is also
critically important because it is the program staff that makes the
final selection of projects to be supported, and then monitors
performance.

Appendix 2 describes the external factors that must be considered in
developing goal achievement strategies. With regard to the People Goal,
characteristics of the workforce of scientists and engineers are highly
dependent on the systems through which they are educated and trained.
NSF programs influence educational systems and the public that supports
them, but are only one influence among many factors.

As described in Appendix 3, *Assessing NSF Performance*, NSF performance
is [successful]{.underline} if the outcomes of NSF investments for a
given period of time are judged to have achieved or to have made
significant progress in achieving the specific performance goals. These
assessments are made by independent external panels of experts, who use
their collective experienced-based norms in determining the level of
"significance" necessary for a rating of successful.

**B. IDEAS:** Discovery across the frontier of science and engineering,
connected to learning, innovation and service to society.

> *[NSF Statutory Authority:]{.underline}*
>
> *"The Foundation is authorized and directed to initiate and support
> basic scientific research and \... research fundamental to the
> engineering process . . ." (NSF Act of 1950)*
>
> *". . . The Foundation is authorized to initiate and support specific
> scientific and engineering activities in connection with matters
> relating to scientific and engineering applications upon society. . ."
> (NSF Act of 1950)*

Investments aimed at discovery fund cutting edge research projects
proposed by individuals and groups of scientists and engineers. Because
no one can predict every discovery or anticipate all of the
opportunities that fresh discoveries will produce, NSF\'s portfolio must
be large and diverse, addressing many fields and activities, ranging
from single investigator grants to small groups of investigators to
large multi-purpose research centers.

NSF-funded research projects also provide a rich foundation for broad
and useful applications of knowledge and the development of new
technologies. NSF is committed to fostering connections between
discoveries and their use in the service to society. A key strategy for
accomplishing this is by promoting partnerships at all levels.

As described in Section IV, NSF employs three core strategies that guide
the entire agency in establishing priorities, identifying opportunities,
and designing new programs and activities. Each of these strategies is
critical to accomplishing the Ideas goal.

In addition, there are some implementation strategies that are specific
to this goal. NSF will:

-   Support the most promising ideas as selected through merit review of
    competitive proposals.

-   Take informed risks when scientific consensus is lacking or just
    beginning to form.

-   Identify and provide long-term support for new and emerging
    opportunities within and across all fields of science and
    engineering.

-   Encourage cooperative research and education efforts -- among
    disciplines and organizations, where partners work at different
    locations, in different sectors, or across international boundaries.

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-   Foster connections between discoveries and their use in the service
    of society.

The following long-term outcomes for the Ideas goal provide the basis
for development of more specific and time-dependent annual performance
goals:

-   A robust and growing fundamental knowledge base that enhances
    progress in all science and engineering areas.

-   Discoveries that advance the frontiers of science, engineering, and
    technology.

-   Partnerships connecting discovery to innovation, learning, and
    societal advancement.

-   Research and education processes that are synergistic.

Appendix 1 describes the critical factors for success that are
identified for the outcome goals

Appendix 2 describes the external factors that should be considered in
developing goal achievement strategies. The work that results in the
achievement of the IDEAS outcome goals is performed largely outside the
agency; thus, external factors have a significant impact on NSF\'s
performance. In general, these factors result from changes (social,
political, physical, etc.) in the environment for the conduct of
research and education activities in the federal sector, the private
sector, and in academe. They stem largely from the fact that NSF does
not conduct the research and education activities directly and,
therefore, influences outcomes rather than controls them.

As described in Appendix 3, *Assessing NSF Performance*, NSF performance
is [successful]{.underline} if the outcomes of NSF investments for a
given period of time are judged to have achieved or to have made
significant progress in achieving the specific performance goals. These
assessments are made by independent external panels of experts, who use
their collective experienced-based norms in determining the level of
"significance" necessary for a rating of successful.

**C. TOOLS:** Broadly accessible, state-of-the-art and shared research
and education tools

> *[NSF Statutory Authority]{.underline}*
>
> *"The Foundation is authorized and directed to initiate and support
> basic scientific research and programs to strengthen scientific
> research potential and science education programs at all levels . . ."
> (NSF Act of 1950)*
>
> *"The Foundation is authorized and directed to foster and support the
> development and use of computer and other scientific and engineering
> methods and technologies, primarily for research and education in the
> sciences and engineering; . . ." (NSF Act of 1950)*

NSF investments provide state-of-the art [tools]{.underline} for
research and education, such as instrumentation and equipment,
multi-user facilities, accelerators, telescopes, research vessels and
aircraft, and earthquake simulators. In addition, investments in
Internet-based and distributed user facilities, advanced computing
resources, research networks, digital libraries, and large databases are
increasing, as a result of rapid advances in computer, information, and
communication technologies. NSF\'s investments are coordinated with
those of other organizations, agencies and countries to provide
complementarity and integration.

As described in Section IV, NSF employs three core strategies that guide
the entire agency in establishing priorities, identifying opportunities,
and designing new programs and activities. Each of these strategies is
critical to accomplishing the Tools goal. In addition, there are some
implementation strategies that are specific to this goal:

-   Stimulate and support the development, modernization, maintenance,
    operation and dissemination of next-generation instrumentation,
    multi-user facilities, databases, and other shared research and
    education platforms;

-   Upgrade the computation and computing infrastructures for all fields
    of science, engineering, and education that NSF supports; and

-   Provide information on the status of the domestic and foreign
    science and engineering enterprise to inform science policy and
    priority setting, and help identify current and emerging
    opportunities and needs in science and engineering.

The following long-term outcomes for the Tools goal provide the basis
for development of more specific and time-dependent annual performance
goals:

-   Shared-use platforms, facilities, instruments, and databases that
    enable discovery and enhance the productivity and effectiveness of
    the science and engineering workforce.

-   Networking and connectivity that take full advantage of the Internet
    and make science and technology information available to all
    citizens.

-   Information and policy analyses that contribute to the effective use
    of science and engineering resources.

Appendix 1 describes the critical factors for success that are
identified for the outcome goals.

Appendix 2 describes the external factors that must be considered in
developing goal achievement strategies. For example, NSF relies on the
academic research facilities and platforms available at colleges and
universities across the country to provide a base upon which grantees
can build their research programs. Although NSF support enhances this
infrastructure, it does not control its current condition and quality.
Failing to maintain a state-of-the-art research infrastructure will slow
the pace of discovery and limit the research options available to
researchers.

As described in Appendix 3, *Assessing NSF Performance*, NSF performance
is [successful]{.underline} if the outcomes of NSF investments for a
given period of time are judged to have achieved or to have made
significant progress in achieving the specific performance goals. These
assessments are made by independent external panels of experts, who use
their collective experienced-based norms in determining the level of
"significance" necessary for a rating of successful.

IV. **Strategy**

**A. Core Strategies**

NSF employs the following three *core strategies* that guide the entire
agency in establishing priorities, identifying opportunities, and
designing new programs and activities. They cut across [all]{.underline}
NSF programs and activities, and each is critical to accomplishing NSF's
three outcome goals.

1.  ***Develop Intellectual Capital***

> NSF invests in projects that enhance individual and collective
> capacity to perform, i.e. to discover, learn, create, identify
> problems and formulate solutions. It seeks investments that tap into
> the potential evident in previously underutilized groups of the
> Nation's human resource pool.
>
> ***(2) Integrate Research and Education***
>
> NSF invests in activities that integrate research and education, and
> that develop reward systems that support teaching, mentoring and
> outreach. Effective integration of research and education at all
> levels infuses learning with the excitement of discovery. Joining
> together research and education also assures that the findings and
> methods of research are quickly and effectively communicated in a
> broader context and to a larger audience.

(3) ***Promote Partnerships***

> Collaboration and partnerships between disciplines and institutions
> and among academe, industry and government enable the movement of
> people, ideas and tools throughout the public and private sectors.
> Furthermore, these partnerships optimize the impact of people, ideas
> and tools on the economy and on society.
>
> International partnerships are vital to achieving NSF's goals. The
> very nature of the science and engineering enterprise is global, often
> requiring access to geographically dispersed materials, phenomena, and
> expertise. It also requires open and timely communication, sharing,
> and validation of findings.

**B. Five-year Strategies**

NSF's mission cannot be accomplished without the U.S. science and
engineering community providing significant intellectual leadership in
critical, emerging and newly developing fields of research and
education. The following five-year strategies help NSF to identify
opportunities and make the investments that foster intellectual
leadership within science and engineering community. These strategies
cut across NSF programs and activities and are critical to accomplishing
NSF's three outcome goals.

(1) **Support competitive investigator-initiated research along a broad
    and expanding frontier of science and engineering.**

Because no one can predict every discovery or anticipate all of the
opportunities that fresh discoveries will produce, NSF\'s portfolio must
be large and diverse, addressing many fields and activities, ranging
from single investigator grants to small groups of investigators to
large multi-purpose research centers. Over one half of NSF's research
budget supports unsolicited, investigator-initiated research proposals.
These proposals are supported in expectation that their results will
broadly contribute to advances and seed new concepts and opportunities.

This element of NSF's strategy is primarily aimed at progress toward the
Ideas goal. Our support of competitive investigator-initiated research
opens the door for discovery. However such activities contribute to
NSF's goals for People and Tools as well, by providing venues for
students and postdoctoral researchers to participate and also settings
for the development and innovative use of tools.

The escalating complexity of science and engineering is moving research
toward a collaborative mode with greater focus on intellectual
integration. NSF grants must be of sufficient size and duration to
enable this collaboration and permit complex issues to be addressed. In
addition, writing and reviewing proposals takes valuable time that
researchers and educators could better spend in carrying their agendas
forward. Larger, longer-term grants will increase productivity by
minimizing the time they must spend writing proposals and managing
administrative tasks.

Increasing the average size of research grants to an enabling level of
at least \$150,000 will greatly enchance the effectiveness and
efficiency of researchers. Likewise, increasing the duration of grants
from a minimum of three years to four years will facilitate
collaborations and provide added stability to the support of graduate
students through completion of their graduate activities. Reaching these
target levels will require both judicious uses of existing resources and
additional new resources.

(2) **Identify and support "unmet opportunities" that strengthen and
    cross-fertilize the S&E disciplines and promise significant future
    payoffs for the Nation.**

NSF's commitment to funding basic research assures the Nation a deep
reservoir of knowledge and provides flexibility and choices for
identifying and addressing future opportunities. Working with broad
segments of the research and education community, we identify unmet
opportunities that arise in the disciplines we support. These are areas
where activity in the community already exists, usually with modest
support from the agency. In these areas, the people and tools are
available to do the work, but a greater NSF investment now will have a
very large future payoff for the Nation

As a case in point, the mathematical sciences increasingly underpin and
enable advances in all areas of science, engineering, and technology.
Mathematics is most effective when it brings to bear varied approaches
-- discrete, continuous, geometric, analytic, algebraic, probabilistic,
and statistical -- that reflect its multifaceted character. For example,
mathematics expands the impact of digitalization afforded by powerful
computational tools, increasing the ability to analyze massive data
collections, increasing the richness of simulation models, and providing
powerful new ways to handle probability and uncertainty issues.

A multi-year investment by NSF will advance: (1) mathematics and
statistics in partnership with science and engineering across a broad
spectrum of research; (2) information technology based on the study of
massive graphs, random graphs, combinatorial optimization, coding theory
and cryptology, and discrete and computational geometry; (3)
mathematical biology, building on preliminary successes in simulation of
organ functions, mathematical ecology, and neuroscience; (4) nanoscale
science and engineering by modeling, simulation, and control of
molecular processes; and (5) the education and training of a
mathematically literate workforce to meet future challenges.

Similar opportunities exist throughout every field of science and
engineering. Discoveries in physical science, for example, have created
unprecedented opportunities to understand the origins of our universe
and the role of quantum mechanics in the development of new chemical and
materials systems. These discoveries also promise opportunities in laser
science, computing, and medical instrumentation. Molecular science
studies are also leading to important new ideas about environmentally
benign processes and more efficient energy generation that should be
developed more quickly and more deeply.

It is now possible to study an enormous spectrum of the earth's dynamic
processes. New knowledge and technological innovations, such as
satellite communications, electronic connectivity, remote sensing and
autonomous instruments, are also opening up new windows to the most
remote regions on earth, enabling studies of the origin of the universe
from the South Pole, the formation of earth\'s crust beneath the Arctic
ice cap, and the evolution of biological species in extreme and isolated
environments.

Additional investments may revolutionize our ability to understand and
predict nonlinear geophysical systems, such as climate changes and their
impacts on the environment, and natural disasters, such as earthquakes
and floods.

The convergence of biotechnology and information technology is
revolutionizing the biological sciences and their impacts on society.
For example, sequencing the genomes of selected organisms, including
plant-associated microbes, plant pathogens, and plant-associated insect
pests, will provide insights into fundamental biological processes.

Research in the psychological, cognitive, neural, and language sciences
will help provide a sharper picture of how human language is acquired
and how it is used, both for thought and communication. This will lay
the foundation for progress in many areas of national importance, from
teaching children how to read and understanding learning processes in
science and mathematics to building computers that can talk.

New developments in information technology also provide unprecedented
opportunities for social and behavioral researchers to collect, access,
and analyze the huge amounts of data necessary to reliably and validly
inform policy makers about the complex processes by which we live,
learn, and work. Improved efficiency and performance will be gained
through an investment in shared infrastructure of web-based databases,
research tools, archives, and collaboratories.

Bringing our understanding of learning processes together with advances
in information technology creates new opportunities for education, both
formal and informal. Such research should stimulate the design of new
curricula that integrate technology and learning, contributing to an
educational environment in which a high level of competence in
information technology would be a natural consequence of all course
work.

In the future, additional opportunities will be identified and discussed
in NSF's strategic and performance plans.

(3) **Emphasize several "transcendent" areas of emerging opportunity
    that enable research and education across a broad frontier of
    science and engineering.**

As NSF and other agencies invest broadly in science and engineering
opportunities, a few breakthroughs emerge that are revolutionary and
encompassing. As these breakthroughs coalesce and merge with other ideas
and technologies, they promise to reshape science and engineering, and
change the way we think and live.

NSF works with other government agencies and with National Science and
Technology Council (NSTC) to identify and support these areas. This
interagency process allows agencies to create a comprehensive program of
complementary activities. The goal is to accelerate scientific and
technical progress by identifying gaps in knowledge and barriers that
prevent progress, and developing methods of addressing gaps and
overcoming barriers. This activity means more than a redistribution of
dollars - - more money alone does not necessarily accelerate progress or
solve problems. Recruiting new talent, inviting scientists in allied
fields to \"look across the fence,\" training new investigators to work
in new areas will produce better results.

NSF has selected the following areas for increased attention during the
next several years.

# *[Information Technology]{.underline}*

Sustained U.S. leadership in information technology requires an
aggressive Federal program to create new knowledge in a variety of
areas. The U.S. economy's robust growth is in part due to new ideas that
become the basis for new products. For example, NSF contributed greatly
to the development of today's Internet. NSF's investments -- in People,
Ideas and Tools-- have benefited greatly from the application of
information technology. So, NSF itself has a strongly vested interest in
furthering research in information technology as rapidly and as
effectively as possible.

NSF faces two major challenges and opportunities with respect to
information technology. One is to support the people, ideas and tools
that will create and advance knowledge in all areas of information
science and engineering. This includes the creation of wholly new
computation approaches to problems arising from the science and
engineering disciplines, and the development of new learning
technologies for use in education.

The second challenge is to support upgrading the computational and
computing infrastructures for all fields that NSF supports. Researchers
and educators in many areas need to incorporate information technology
and, in some cases, revolutionize their experimental and collaborative
processes to attain new effectiveness and greater efficiency. Finally,
the United States must address a range of access and workforce issues.
The digital divide won't disappear on its own. Overcoming inequity will
require innovative educational technologies, such as highly interactive
computer science courseware that is multicultural and multimedia.

NSF is the lead agency for a multi-agency, five-year research initiative
in information technology. Each agency participating in the initiative
will define specific programs in keeping with that agency\'s mission.
NSF is primarily responsible for basic research to advance knowledge,
and for education and workforce development activities. The multi-year
Information Technology Initiative investment by NSF will lead to the
following outcomes:

-   Advancement of fundamental knowledge in techniques for computation;
    the representation of information; the manipulation and
    visualization of information; and the transmission and communication
    of information.

-   Enhanced knowledge about how to design, build, and maintain large,
    complex software systems that are reliable, predictable, secure, and
    scalable.

-   New knowledge about distributed and networked systems, and
    interactions among component parts, as well as systems' interaction
    with both individuals and cooperating groups of users.

-   Development of a significantly advanced high-end computing
    capability needed to solve myriad important science and engineering
    problems.

-   Increased understanding of the societal, ethical, and workforce
    implications of the information revolution.

-   A strong information technology workforce and a citizenry capable of
    using information technology effectively.

*[Biocomplexity in the Environment]{.underline}*

The environment is a subject of profound national and international
importance, as well as scientific interest; hence, it is a strategic
priority for the Foundation. In fact, the significance of environmental
study was recently affirmed by the National Science Board in its report
*Environmental Science and Engineering for the 21^st^ Century: The Role
of the National Science Foundation* (NSB 00-22).

The goals of NSF's increasing investment in this area are to enhance
environmental research in all relevant disciplines including
interdisciplinary and long-term research, create educational
opportunities that enhance scientific and technological capacity, enable
an increased portfolio of scientific assessments, and support enhanced
physical, technological and information infrastructure.

As an initial step, NSF has begun intensive study of biocomplexity in
the environment. Biocomplexity refers to phenomena that result from
dynamic interactions among biological, physical and social components of
the Earth's diverse systems.

Studying biocomplexity will provide a more complete understanding of
natural processes, the effects of human actions on the natural world,
and ways to use new technology effectively. A strategic multi-year
investment by NSF will lead to the following outcomes:

-   More comprehensive understanding of environmental systems including
    the processes that mediate energy and material flows among systems
    over space and time; the relationship among genetic information,
    biodiversity and the functioning of ecosystems; and the social and
    economic factors affecting the environment.

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-   Development of new theories, mathematical methods, and computational
    strategies for modeling complex systems. This may improve the
    capability to forecast environmental changes and their impacts
    including long-term climatic change, earthquakes, floods, land-use
    changes, the ecology of infectious diseases, and introductions of
    non-native species.

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-   Development of advanced technologies and approaches including
    functional genomics and other genetic and nano/molecular level
    capabilities.

-   Utilization of biocomplexity-inspired design strategies for
    discovery of new materials, measurement technologies and sensors,
    process engineering and other technologies, especially those that
    are environmentally beneficial.

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-   Improved platforms for research such as networked observational
    systems, physical and digital natural history collections, and
    digital libraries.

*[Twenty-First Century Workforce]{.underline}*

U.S. leadership in the concept-based, innovation-led global economy of
the next century will depend on success in building and sustaining a
competent and diverse scientific, mathematics, engineering, and
technology (SMET) workforce, drawing on all elements of the Nation's
rich human resources.

The SMET education continuum reaches from pre-kindergarten through
elementary and secondary to undergraduate, graduate, and continuing
professional education. The level, quality, and accessibility of SMET
education depend upon 1) understanding the nature of learning, 2)
strategically enabling an improved, science- and technology-based
educational enterprise, and 3) building an infrastructure to broaden
participation of all members of our society.

Across the Foundation, organizations will provide disciplinary and
interdisciplinary support for educational linkages to the research
community and new tools and models for K-12, undergraduate, and graduate
education. These activities recognize the importance of the SMET content
of educational programs for K-12 students and for the instructional
workforce.

A National Digital Library for SMET Education will provide ready access
to the highest quality educational materials, pedagogy, and research on
learning, and enhance the quality of graduate, undergraduate, K-12, and
public science education.

The outcomes of NSF's sustained investment in research, education,
training and human resource programs will be:

-   Enhanced knowledge about how humans learn;

-   Enhanced practices throughout the SMET educational enterprise,
    especially at the K-12 level, leading to improved teacher
    performance and student achievement; and

-   A more inclusive and globally engaged SMET enterprise that fully
    reflects the strength of America's diverse population.

[Nanoscale Science and Engineering]{.underline}

Nanoscale science and engineering is likely to yield several prominent
technologies for the 21^st^ century. Control of matter at the nanoscale
underpins innovation in critical areas from information and medicine to
manufacturing and the environment.

One nanometer (one billionth of a meter) is a magical point on the
dimensional scale. Nanostructures are at the confluence of the smallest
of human-made devices and the large molecules of living systems.
Biological cells, like red blood cells, have diameters in the range of
thousands of nanometers. Micro-electrical mechanical systems are now
approaching this same scale. This means we are now at the point of
connecting machines to individual cells.

Nanoscale science and engineering is the NSF contribution to the
interagency National Nanotechnology Initiative (NNI). A multi-year
investment by NSF will lead to the following outcomes:

-   Discovery of novel phenomena, processes and tools.

-   Enhanced methods for the synthesis and processing of engineered,
    nanometer-scale building blocks for materials and system components,

-   New device concepts and system architecture appropriate to the
    unique features and demands of nanoscale engineering, and

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-   Development of a new generation of skilled workers who have the
    multidisciplinary perspective necessary for rapid progress in
    nanotechnology.

(4) **Broaden participation and enhance diversity in NSF programs.**

NSF emphasizes improving achievement for all students in science,
mathematics, engineering, and technology and building capacity for
research in these areas across the Nation. These activities enable NSF
to set the stage for a concerted effort to broaden and diversify the
workforce.

At present, several groups, including underrepresented minorities,
women, certain types of institutions, and some geographic areas,
perceive barriers to their full participation in the science and
engineering enterprise. NSF is committed to leading the way to an
enterprise that fully captures the strength of America's diversity.

All NSF's research and education programs must be directly involved in
broadening participation. Hence, NSF will promote diversity by embedding
it throughout the investment portfolio. A key element of NSF's strategy
includes the use of information technology and connectivity to engage
under-served individuals, groups, and communities in science and
engineering.

For groups and individuals at the collegiate, graduate, and professional
levels, NSF aims at new strategies for improving diversity, while
maintaining the current suite of focused programs that achieves results.

NSF will build on the cumulative experience of the Experimental Program
to Stimulate Competitive Research (EPSCoR) and programs involving, for
example, undergraduate and minority serving institutions, to strengthen
and broaden the education and research capability and competitiveness of
states, regions, institutions, and groups.

NSF GPRA Strategic Plan

FY 2001 -- 2006

LIST OF APPENDICES

> **Appendix 1: Critical Factors for Success**
>
> **Appendix 2: External Factors Affecting Success**
>
> **Appendix 3: Assessing NSF's Performance**
>
> **Appendix 4: Integration of NSF Plans with Those of Other Agencies**
>
> **Appendix 5: Resource Utilization**
>
> **Appendix 6: Linking the Strategic Plan to the Performance Plan**
>
> Appendix 7: Crosswalk of NSF Goals and Programs

**[APPENDIX 1]{.underline}: CRITICAL FACTORS FOR SUCCESS**

Excellence in managing the agency's activities underpins all of NSF's
goals. Four factors are especially critical to NSF\'s goal achievement.

**Factor 1:  Operating a credible, efficient merit review system.**

NSF's merit review process is the keystone for award selection. All
proposals for research and education projects are evaluated using two
criteria: the intellectual merit of the proposed activity and the
broader impacts of the activity on society. Specifically addressed in
these criteria are the creativity and originality of the idea, the
development of human resources, and the potential impact on the research
and education infrastructure.

The merit review system is at the very heart of NSF\'s selection of the
projects through which its outcome goals are achieved. Ensuring a
credible, efficient system requires constant attention and openness to
change.

[Implementation Strategies]{.underline}

-   Regularly assess performance of all aspects of the merit review
    system, comparing its efficiency, effectiveness, customer
    satisfaction and integrity against similar processes run by other
    organizations.

-   Promote the use of both merit review criteria (i.e. *intellectual
    merit* and *broader impacts*) in the evaluation of proposals.

-   Develop alternative mechanisms for obtaining and reviewing proposals
    and evaluating their potential for use in determining NSF\'s
    investments.

-   Reduce the burden on proposers and reviewers while maintaining the
    quality of decision processes, by increasing award size and
    duration.

**Factor 2:  Exemplary use of and broad access to new and emerging
technologies for business application.**

NSF has moved aggressively to adopt new technologies in our business
processes. NSF must sustain and further develop exemplary mechanisms to
streamline business interactions, enhance organizational productivity,
ensure accessibility to a broadened group of participants, and maintain
financial integrity and internal controls.

[Implementation Strategies]{.underline}

-   Implement full electronic proposal receipt, review, processing and
    award, to reduce the administrative burden on staff and partner
    institutions, and eliminate paper materials wherever possible.

-   Implement a high-quality communications infrastructure and
    state-of-the-art technological tools to enhance organizational
    productivity.

-   Maintain financial and award system integrity through rigorous
    systems standards and controls and continual system improvements.

**Factor 3: A diverse, capable, motivated staff that operates with
efficiency and integrity.**

NSF is dependent on the capability and integrity of its staff.
Innovative methods of recruitment, development, and employee recognition
will be needed to meet the challenges of the future.

[Implementation Strategies]{.underline}

-   Provide a learning environment where the ideas and opinions of
    program officers and support staff are highly valued by management.

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-   Sustain a recruitment and retention policy that enables personnel
    searches that focus on excellence and diversity in the workplace.

-   Invest in staff development and provide training on continuing
    issues of importance such as avoiding conflicts of interest and on
    new directions such as electronic proposal submission.

-   Improve the participation of underrepresented groups in both career
    and temporary positions.

-   Explore new mechanisms for the recruitment and employment of
    scientists, engineers, and educators at NSF.

-   Use flextime, flexplace, telecommuting, independent research and
    development plans, and related tools of the work environment to
    maximize staff productivity and growth.

**Factor 4: Implementation of mandated performance assessment and
management reforms in line with agency needs.**

An organization that is dependent on public funds must be accountable to
the public. The development and use of effective indicators of agency
performance \-- measuring NSF\'s ability to meet mission-oriented goals,
our competent use of resources in the investment process, and our
efficiency and effectiveness as a reliable partner to others \-- are
needed to better explain the agency\'s role to the public.

[Implementation Strategies]{.underline}

-   Assess the reliability, completeness, appropriateness and usability
    of NSF\'s management data systems as they support GPRA and the CFO
    Act.

-   Work with academic institutions and other grantees to assure
    reliable, valid collection of project reporting information.

-   Align individual performance plans with agency and organizational
    plans and with the changing technologies and needs of the workplace.

-   Continue to develop appropriate standards and indicators of success
    for reporting systems.

**[APPENDIX 2]{.underline}: EXTERNAL FACTORS AFFECTING SUCCESS**

The work of research and education that results in the achievement of
NSF\'s outcome goals is performed largely outside the agency; thus,
external factors have a significant impact on NSF\'s performance. In
particular, the circumstances of our institutional partners in academe,
the private sector, and the government affect how individuals and groups
are able to respond in both proposing and conducting research and
education activities.

For example, NSF relies on the academic research facilities and
platforms available at colleges and universities across the country to
provide a base upon which grantees can build their research programs.
Although NSF support enhances this infrastructure, we do not control its
current condition and quality. Failing to maintain a state-of-the-art
research infrastructure will slow the pace of discovery and limit the
research options available to researchers.

With regard to the "people" goal, characteristics of the workforce of
scientists and engineers are highly dependent on the systems through
which they are educated and trained. NSF programs influence educational
systems and the public that supports them, but are only one influence
among many.

Other factors that exist beyond NSF\'s control include: (1)
appropriations; (2) indirect cost rates; (3) government-wide policies;
(4) inflation; (5) budgets and plans of other R&D agencies; (6)
uncertainty and risk inherent in research; (7) availability and pace of
technology; and (8) private sector capacity to use new knowledge.

However, NSF's influence and leadership extend well beyond our budget,
and we can do much to minimize the negative impacts of factors beyond
the agency\'s control. Given our unique role, NSF brings together
diverse elements of the larger science and engineering community to
achieve our mission. This positions the agency to: (1) establish
partnerships that leverage funds beyond our budget and (2) provide
leadership that catalyzes new directions for research and education.

# [APPENDIX 3:]{.underline} ASSESSING NSF's PERFORMANCE 

The challenge of performance assessment for NSF is that both the
substance and the timing of outcomes from research and education
activities are largely unpredictable. NSF staff members do not conduct
the research and education projects. They provide support for others to
undertake these activities based on proposals for the work to be done,
the best information available as to the likely outputs and outcomes,
and their knowledge of NSF's outcome goals and the strategies for
achieving them. They influence rather than control the outputs and
outcomes.

OMB authorized NSF to use alternative format performance goals for NSF's
outcomes in research and education. This approach allows for expert
judgment to consider both quantitative and qualitative information on
performance and to weigh that information in a balanced assessment. NSF
uses the descriptive performance goals in our management process through
a combination of internal self-assessment and review by independent
external panels of experts and peers.

For the three outcome goals, NSF performance is [successful]{.underline}
if the outcomes of NSF investments for a given period of time are judged
to have achieved or to have made significant progress in achieving the
specific performance goals. These assessments are made by independent
external panels of experts, who use their collective experienced-based
norms in determining the level of "significance" necessary for a rating
of successful.

Assessment of goal achievement, by external groups of peers and experts
will take into account such factors as (1) identified performance
indicators for each performance goal, (2) the success to which NSF
strategies and plans are implemented; (3) the level of resources
invested; (4) external events beyond control of the agency; and (5) the
agency's capability to be flexible and respond rapidly to emerging
opportunities. NSF makes use of the following stages in the grant award
cycle to assess performance:

-   [Applicant and Grantee Information/Merit Review]{.underline}

All applicants and grantees provide results from previous NSF support,
information about existing facilities and equipment available to conduct
the proposed research, where the research is to be conducted,
biographical information on the primary investigators, other sources of
support, and certifications specific to NSF. Information is required at
the time of application, at the time of an award, and in annual and
final project reports. Awards are made based on merit review by peers
who are experts in the field using NSF's merit review criteria, and
availability of resources.

-   [Program Evaluation by Committees of Visitors (COVs)]{.underline}

To ensure the highest quality in processing and recommending proposals
for award, qualified external experts review each program every three
years. COVs report on the integrity and efficiency of the processes for
proposal review and the quality of results of NSF's programs in the form
of outputs and outcomes that appear over time. COVs report on the
noteworthy achievements of each year, ways in which projects have
collectively affected progress, and expectations for future performance.
The recommendations of COVs are reviewed by management and taken into
consideration by NSF when evaluating existing programs and future
directions for the Foundation.

-   [Directorate Assessment by Advisory Committees]{.underline}

Directorate advisory committees review internal self-assessments, COV
reports, available external evaluations, and annual directorate
performance reports, judging program effectiveness, and describing
strengths and weaknesses. The advisory committees\' reports are reviewed
by NSF management, which then integrates committee recommendations into
the NSF Annual Performance Report.

Much of this performance assessment is retrospective, addressing
investments made at some point in the past. In order to tie this
effectively to current issues in management of the programs, the
assessments must also address the quality of the set of awards made in
the fiscal year under consideration. The focus of this portfolio
assessment is the likelihood that the package of awards will produce
strong results in the future. Special emphases within the plans for the
fiscal year merit special attention in the assessment process.

NSF staff has control over budget allocations and the decision processes
that determine the set of awards. NSF performance goals for investment
processes, along with those for management of the agency, are generally
quantitative. They refer to processes conducted during the fiscal year
that are generally captured in NSF systems.

# 

## [Data Collection, Verification, and Validation for NSF's Results Goals]{.underline} {#data-collection-verification-and-validation-for-nsfs-results-goals .unnumbered}

Two types of data are used to assess goal performance: (a)
non-quantitative output and outcome information, collected and reported
using the alternative format, which are used to assess the Outcome Goals
and the implementation of the new merit review criteria; and (b)
quantitative data collected through systems for the performance target
levels of the Investment Process and Management Goals.

NSF sources of data include central databases such as the electronic
Project Reporting System, the Enterprise Information System, the
FastLane system, the Proposal system, the Awards system, the Reviewer
System, the Integrated Personnel System, the Finance System, Online
Document System, and the Performance Reporting System; distributed
sources such as scientific publications, press releases, independent
assessments including Committee of Visitor (COV) and Advisory Committee
(AC) reports, program and division annual reports, directorate annual
reports, and internally maintained local databases. In a few cases, NSF
makes use of externally maintained contractor databases.

Through these sources, output indicators such as the following will be
available to program staff, third party evaluators, and advisory
committees:

-   *Related to Ideas*: Results, published and disseminated: journal
    publications, books, software, audio or video products;
    contributions within and across disciplines; organizations of
    participants and collaborators (including collaborations with
    industry); contributions to other disciplines, infrastructure, and
    beyond science and engineering; use beyond the research group of
    specific products, instruments, and equipment resulting from NSF
    awards; role of NSF-sponsored activities in stimulating innovation
    and policy development.

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-   *Related to People*: student participants; demographics of
    participants; descriptions of student involvement; education and
    outreach activities under grants; demographics of science and
    engineering students and workforce; numbers and quality of
    educational models, products and practices; number and quality of
    teachers trained; student outcomes including enrollments in
    mathematics and science courses, retention, achievement, and science
    and mathematics degrees received.

-   *Related to Tools*: new tools and technologies, multidisciplinary
    databases; software, newly-developed instrumentation, and other
    inventions; data, samples, specimens, germ lines, and related
    products of awards placed in shared repositories; facilities
    construction and upgrade costs and schedules; operating efficiency
    of shared-use facilities.

NSF's electronic Project Reporting System permits organized reporting of
aggregate information. We anticipate that the reliability of the
information in the system will improve over time, as investigators and
institutions become comfortable with its use. FY 1999 was the first year
of its full implementation. Electronic submission of project reports is
required in FY 2000.

The scientific data from the reporting system will be tested for
plausibility as a natural part of the external assessment process. In
addition, data from the reporting system will be used to address
progress under prior support when investigators reapply to NSF. Thus,
the investigators have a strong incentive to provide accurate
information that reviewers may rely upon.

## [Issues Specific to NSF:]{.underline}  {#issues-specific-to-nsf .unnumbered}

Because it is difficult to predict or quantify research results, or to
report them in a timely way, NSF's Outcome goals are expressed in an
OMB-approved alternative format. Research results cannot be predicted
beforehand, and the time frame for reporting outcomes is typically long
after the fiscal year in which an award was made. For example, a grant
provided in one fiscal year might not produce a reportable outcome for
five years or more, if at all.

It should be noted that while NSF made use of the alternative format
using the two standard approach required by the Act ("successful" or
"minimally effective"), it was found that there was little to be gained
in defining the use of "minimally effective," and that in many instances
it was confusing to the evaluators.

Therefore, for FY 2000 and beyond, NSF will define one standard only:
the "successful" standard. The programs will be evaluated on whether
they succeed in achieving the target goals and their impact.

Collection of data for all goals takes place throughout the year, and is
completed near the end of the fiscal year. Depending on the specific
type of data, data are collected into a report for a given goal by the
group responsible for that goal, and then organized for reporting. The
data obtained are reviewed on a continuing basis by senior NSF
management throughout the year, to observe whether the results are as
expected, or need to be improved, or whether the information being
obtained is useful to the agency. Data collection systems are also under
constant observance and refinement, as in the case of the new FastLane
reporting system.

During FY 1999, NSF staff began to implement a Data Quality Project for
the quantitative Investment Process and Management goals. This project
is currently underway with the first priority placed on the central data
systems used to support the performance plan.

In addition, NSF staff implemented new guidelines and reporting
procedures for collecting data for the qualitative Outcome goals. The
Committee of Visitor (COV) guidelines were revised in FY 1999 to
incorporate the GPRA related reporting requirements. Reporting templates
were developed for the COVs to address the performance of programs in a
systematic way to allow for aggregating information across NSF. COVs
address a common set of questions for all programs reviewed in a fiscal
year.

Reporting guidelines were also developed for Advisory Committees to
allow for a systematic aggregation of information. The results of using
the new procedures have identified areas for improvement that are being
incorporated into the FY 2000 reporting guidelines. Many of the results
learned while conducting these assessments have been used in revising
the FY 2000 performance goals, and the revised strategic plan.

[NSF Program Assessment/Evaluation Schedule]{.underline}

#  

Assessed Activity Frequency Conducted by Used in Strategic Planning

+------------------+--------------+----------------+------------------+
| Program level    | 30% per year | External       | Yes              |
| assessment[^1]   |              | Committee of   |                  |
|                  |              | Visitors       |                  |
+------------------+--------------+----------------+------------------+
| Directorate      | 100% per     | External       | Yes              |
| level            | year         | Advisory       |                  |
| assessment[^2]   |              | Committees     |                  |
+------------------+--------------+----------------+------------------+
| Special programs | Varies       | External       | Yes              |
| (NSF-wide        | annually     | Committee of   |                  |
| activities such  |              | Visitors or    |                  |
| as MRI, CAREER,  |              | external       |                  |
| STC, PFF, GRF,   |              | contractor     |                  |
| GRT, IGERT)[^3]  |              |                |                  |
+------------------+--------------+----------------+------------------+
| All agency GPRA  | Weekly       | Internal       | Yes              |
| related          |              | senior         |                  |
| activities[^4]   |              | management     |                  |
|                  |              |                |                  |
|                  |              | DPG, GIIC,     |                  |
|                  |              | GIIC WG        |                  |
+------------------+--------------+----------------+------------------+

**[APPENDIX 4:]{.underline} INTEGRATION OF NSF PLANS WITH THOSE OF OTHER
AGENCIES**

Many other agencies support or conduct research and education activities
in science and engineering in support of their missions. Frequently they
will define outcome and performance goals that are similar to those NSF
has defined. However, an agency's mission will have an impact on the
nature of the outcome and performance goals, so, in general, they are
distinct. NSF's general approach is to work with other agencies to
ensure complementary sets of activities. Certain interagency
interactions are particularly important for NSF support of fundamental
research:

-   National Institutes of Health (NIH): biosciences, genomics,
    biomedical research, chemistry, behavioral sciences, cognitive
    development;

-   Department of Energy (DOE): high energy and nuclear physics,
    materials, high end computing, genomics;

-   Department of Defense (DOD): engineering, computer and information
    science and engineering, mathematics;

-   Department of Commerce (DOC): ocean and atmospheric sciences, global
    climate change, meteorology, atomic and molecular physics;

-   National Aeronautics and Space Administration (NASA): astronomical
    sciences, global climate change;

-   Department of Agriculture (USDA): biosciences, genomics;

-   Department of Education (ED): education research; and,

-   Environmental Protection Agency (EPA): environmental research.

Each of these agencies addresses fundamental research in a somewhat
different way with an interdependent mix of intramural research, funding
for extramural research, and construction and operation of facilities.
For example, in some areas, NSF's support of extramural research is
critically dependent on an investigator's access to user facilities
provided by other agencies. Likewise, results of NSF-supported research
may be used in intramural research activities of other agencies.

Many investigators work on several projects simultaneously, seeking
support for complementary activities from different agencies. Senior
managers at NSF and other agencies maintain the close connections that
provide a productive framework for program-level coordination and permit
formal cooperation among agencies when working toward similar
objectives.

NSF actively participates in many interagency initiatives and planning
activities coordinated through the National Science and Technology
Council (NSTC). These activities include the following:

-   Information Technology Research (ITR),

-   National Nanotechnology Initiative (NNI),

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-   U.S. Global Change Research Program,

-   High Performance Computing and Communications,

-   Partnership for a New Generation of Vehicles (PNGV),

-   Education Research,

-   Integrated Science for Ecosystems Challenges,

-   Children's Research,

-   Plant Genome Research,

-   National Oceanographic Partnership Program,

-   Interagency Arctic Research Policy Committee.

In all of these activities, NSF's role is at the fundamental end of the
research and development spectrum. These interagency planning efforts
are coordinated among agencies to reap optimal benefit from the Federal
investment.

NSF has been designated the lead Federal agency for an initiative on
Information Technology Research (ITR) -- a six agency initiative which
includes the Departments of Energy and Defense, the National Aeronautics
and Space Administration, the National Institutes of Health, and the
National Oceanic and Atmospheric Administration. ITR grew from the
efforts of several agencies and responds to recommendations made by the
President's Information Technology Advisory Committee (PITAC). NSF's FY
2001 investment includes a substantial increase for research in software
systems, scaleable information infrastructure, high-end computing, and
socioeconomic and workforce impacts of IT.

In FY 1999 and 2000, NSF continued to work in partnership with other
Federal agencies in planning nanoscale science and engineering
activities. NSF chairs the interagency working group on Nanoscience,
Engineering and Technology, under the guidance of the NSTC, in
cooperation with DOD, DOC, National Institute for Science and
Technology, Air Force Office of Scientific Research (AFOSR), DOE,
Department of Transportation/Volpe Center, Department of Treasury, NASA,
and NIH.

NSF also has a number of partnerships with individual agencies or small
groups of agencies. Some grow out of formal interagency processes; for
example, NSF partners with four other agencies in development of the
Next Generation Internet. Other collaborations reflect the particular
interests of the partnering agencies. Examples include NSF's partnership
with EPA and DOI in areas such as water and watersheds, ecological and
environmental technologies, and risk assessment and evaluation, and also
our work with the Department of Energy and NASA in the interagency
program of research on Human Origins. These and similar partnerships are
designed to make efficient, effective use of Federal resources in
support of research.

NSF is involved with numerous agencies in support of research in the
biological sciences, including:

-   Interagency Arabidopsis Genome Project (USDA/DOE/NIH/NSF as lead
    agency) which has a goal of understanding biological processes
    underlying plant growth and development;

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-   NSF/NIH/USDA International Cooperative Biodiversity Groups;

-   NSF/NASA Neurolab which also involves NIH, the Office of Naval
    Research and international partners to support ground based research
    leading to experiments flown on the NASA space shuttle;

-   The Human Brain Project (NIH/NSF/DOD/DOE/NASA), which is a broad
    Federal research initiative to support research in the neurosciences
    and the new field of neuroinformatics;

-   Ecology of Emerging Infectious Diseases (NSF/NIH/USDA/NASA/DOI).

NSF is one of twelve federal agencies supporting Arctic research and
logistics. NSF provides interagency leadership for research planning as
directed by the Arctic Research Policy Act of 1984. NSF is charged with
managing all U.S. activities in the Antarctic as a single, integrated
program. The U.S. Antarctic Program (USAP) implements national policy to
maintain Antarctica as an area of international cooperation reserved for
peaceful purposes, to preserve and pursue unique opportunities for
scientific research, to understand Antarctica and its role in global
environmental systems, to protect the environment, and to assure the
conservation and sustainable management of the living resources in the
surrounding oceans.

NSF is one of many public and private agencies with responsibilities for
obtaining statistical information on areas of important national
interest. NSF and other agencies share information on statistical
information technology, and other methods and resources through the
Federal Committee on Statistical Methodology and related groups.

**[APPENDIX 5:]{.underline} RESOURCE UTILIZATION**

The resources at NSF\'s disposal include: (1) a staff of approximately
1,200 government employees, an additional 126 scientists and engineers
on various types of visiting appointments, and 192 contractors that
support the agency's work; (2) outstanding information management
systems that help the agency process approximately 30,000 competitive
proposals, 10,000 new awards and 10,000 continuing awards per year; and
(3) members of the science and engineering community who donate tens of
thousands of hours each year to the review of proposals for research and
education.

NSF recognizes the need to secure a workforce that is skilled, flexible,
and performance-oriented with a customer focus. It will increase its use
of workforce planning and other strategies that align human resources
with the fulfillment of its mission and goals.

Proposals and awards are managed through eight programmatic
organizations \-- the seven directorates and the Office of Polar
Programs \-- and a ninth organization that focuses on multidisciplinary
programs, the Office of Integrative Activities.

-   The **Biological Sciences** (BIO) directorate supports research
    ranging from the study of the structure and dynamics of biological
    molecules, such as proteins and nucleic acids, through cells,
    organs, and organisms, to studies of populations and ecosystems. (FY
    2001 Request: \$511.14 million)

-   The **Computer and Information Science and Engineering** (CISE)
    directorate supports research on the theory and foundations of
    computing, system software and computer system design, and
    human-computer interactions, as well as prototyping, testing and
    development of cutting-edge computing and communications systems.
    (FY 2001 Request: \$529.10 million)

-   The **Engineering** (ENG) directorate supports research in
    bioengineering and environmental systems; chemical and transport
    systems; civil and mechanical systems; electrical and communications
    systems; design, manufacture, and industrial innovation; and
    engineering education activities. (FY 2001 Request: \$456.50
    million)

-   The **Geosciences** (GEO) directorate supports research in the
    atmospheric, earth, and ocean sciences. (FY 2001 Request: \$583.0
    million)

-   The **Mathematical and Physical Sciences** (MPS) directorate
    supports research in mathematics, astronomy, physics, chemistry, and
    materials science. (FY 2001 Request: \$881.16 million)

-   The **Social, Behavioral and Economic Sciences** (SBE) directorate
    supports research on human characteristics and behavior, including
    research on economic systems; supports the NSF's international
    activities; and provides informational tools for tracking the
    resources that make up the nation's science and engineering
    infrastructure. (FY 2001 Request: \$175.14 million)

-   The **Office of Polar Programs** (OPP) supports multidisciplinary
    research in Arctic and Antarctic regions. (FY 2001 Request: \$285.41
    million)

-   The **Education and Human Resources** directorate (EHR) supports
    education and training activities at every level, informal
    education, research on teaching and learning, human resource
    development, and development of research capabilities. EHR is the
    focal point for NSF efforts to promote diversity. (FY 2001 Request:
    \$729.01 million)

-   The **Integrative Activities** (IA) budget activity funds selected
    Foundation-wide activities such as the Opportunity Fund and the
    Major Research Instrumentation (MRI) program. (FY 2001 Request:
    \$119.23 million)

Approximately 95% of NSF's budget goes directly to investments in NSF's
three outcome goals. A fourth function, administration and management,
provides operating support for the immediate activities of the agency.
The FY 2001 Request leads to the following distribution of NSF budget
resources across the three strategic goal and the Administration and
Management (A&M) account, with a total Request of \$4.572 billion.
Dollar estimates are made at a programmatic level based on the principal
objectives of the activity.

**Crosswalk of Resources with Strategic Goals: FY 2001**

(Estimated Millions of Dollars) ![](media/image2.wmf)

# ^1^ FTE's funded through the S&E and OIG accounts. IPA's are funded through the EHR and R&RA accounts.

> ^2^ Other staff includes all central administration and management.
> Other budget items include Major Research Equipment (\$139 million,
> Tools); Salaries and Expenses (\$158 million, Administration and
> Management); and Office of Inspector General (\$6 million,
> Administration and Management)
>
> ^3^ Numbers may not add due to rounding.

Working closely with the National Science Board, NSF advisory
committees, and other groups, NSF will periodically re-examine the
distribution of resources across these goals.

**[APPENDIX 6:]{.underline} LINKING THE GPRA STRATEGIC PLAN TO THE
PERFORMANCE PLAN**

NSF will develop annual performance plans under the Government
Performance and Results Act (GPRA) with performance goals that provide
strong accountability and management tools. These annual plans will also
reflect the reality that the results of NSF\'s investment in research
and education appear over long time scales and at uneven, unpredictable
intervals, arising from the nature of science and technology.

The outcome goals, core strategies, and five-year plans will be used as
a basis for organizing both the annual performance plan and the
agency\'s corresponding annual budget request. These comprise the
principal directions of agency action and the bulk of NSF funding.

While the three broad goals in this strategic plan are not described in
a way that permits assessment of their achievement, the long-term
outcomes identified for each of these goals will provide the basis for
results-oriented performance goals that can be assessed. (This is
permissible under Circular A-11, Part 2, OMB.)

Performance plans for an upcoming fiscal year will be developed in light
of the analysis of past performance, assessment of how recent or
projected changes in the investment portfolio will influence future
performance, and fit to the outcome goals and strategies identified in
this strategic plan. Given the expected lag between investment and
outcomes, NSF will always be operating with only partial information in
developing its program strategies.

Annual performance goals for NSF management will derive from the key
strategies under *Critical Factors for Success* in the body of this GPRA
strategic plan, with selected areas highlighted in a given year as it
becomes particularly timely. Specific performance goals for each year
will be determined by assessing past performance and making reasonable
projections for levels of performance that can be expected.

[APPENDIX 7:]{.underline} CROSSWALK OF NSF GOALS AND PROGRAMS

All NSF programs are classified according to the outcome goal on which
they are primarily focused. However, is should be noted that there is
considerable synergy among the goals. For example, a grant supporting
materials research at a university may focus on producing new knowledge
(Ideas) but also may help train the next generation of scientists and
engineers (People), and provide new research equipment (Tools). The
ability of NSF-supported projects to simultaneously address multiple
outcome goals increases the effectiveness and productivity of NSF's
investments.

[PEOPLE]{.underline} -- A diverse, internationally-competitive and
globally engaged workforce of scientists, engineers, and well-prepared
citizens.

#######  {#section-5 .unnumbered}

####### **K-12 Support** {#k-12-support .unnumbered}

#######  {#section-6 .unnumbered}

####### **Educational System Reform (ESR) --** ESR programs implement large-scale reform of science, mathematics, and technology (SMT) education, particularly at the preK-12 level, across the nation. Systemic reform projects provide access to high-quality science and mathematics educational resources for the nation's children, and expand professional development opportunities for the instructional workforce {#educational-system-reform-esr-esr-programs-implement-large-scale-reform-of-science-mathematics-and-technology-smt-education-particularly-at-the-prek-12-level-across-the-nation.-systemic-reform-projects-provide-access-to-high-quality-science-and-mathematics-educational-resources-for-the-nations-children-and-expand-professional-development-opportunities-for-the-instructional-workforce .unnumbered}

> **Rural Systemic Initiatives** **(RSI) --** systemic reform program to
> promote systemic improvements in math, science and technology
> education for students in rural and economically disadvantaged regions
> of the nation.
>
> **Statewide Systemic Initiatives (SSI) --** systemic reform program to
> encourage improvements in science, math and engineering education
> through comprehensive systemic changes in the education systems of the
> states.
>
> **Urban Systemic Program (USP) --** a new program that includes
> innovative options calling for K-12 districts to collaborate with (1)
> two-year colleges in developing exemplary improvements in technical
> education and (2) four-year colleges and universities in improving
> existing teacher preparation programs and developing research
> enrichment opportunities for K-12 students. Program and site-specific
> research is encouraged across projects to increase understanding of
> the reform process.
>
> **[Instructional Materials, Teachers & Students]{.underline}**
>
> **Centers for Teaching and Learning program (CLT) --** CLTs will
> address teacher competencies and will build the SMT educational
> infrastructure across diverse areas of specialization and geographic
> regions. Local Systemic Change (LSC) projects will continue to couple
> sustained professional development with appropriate instructional
> materials and will build an infrastructure for future CLTs in all
> regions of the country.
>
> **Instructional Materials Development** -- supports the development of
> materials and strategies to promote the improvement of science, math
> and technology instruction at all levels so students can acquire
> sophisticated content knowledge, higher order thinking abilities and
> problem solving skills.
>
> **Presidential Awards for Excellence in Mathematics and Science
> Teaching (PAEMST) --** provides career recognition for outstanding
> K-12 math and science teachers.
>
> **Teacher Enhancement / Student Development** -- supports professional
> development projects to broaden and deepen the content and pedagogical
> knowledge of teachers; also promotes teacher and student development
> through research experiences.
>
> **Teacher Preparation** -- responds to a national need to attract,
> develop and retain well-qualified teachers of science and mathematics;
> aims to reform PreK-12 teacher education with the intent to strengthen
> the content and pedagogical skills needed for delivery of
> standards-based science and mathematics education.

**Undergraduate Support**

> **[Broadening Participation]{.underline}**
>
> **Historically Black Colleges and Universities Undergraduate Program
> (HBCU-UP)** -- provides funds to improve the quality of undergraduate
> science, mathematics, engineering and technology programs through
> curricular reform and enhancement, faculty development, research
> experiences for undergraduates, upgrading of scientific
> instrumentation, and improvement of research infrastructure. A program
> goal is to increase the number of baccalaureate recipients.
>
> **Louis Stokes Alliances for Minority Participation (LSAMP)** -- a
> program to increase the number of minority and other students who
> successfully complete baccalaureates in science, math, engineering and
> technology.
>
> **Model Institutions of Excellence (MIE) --** collaborative support
> for several minority mathematics institutions that have strong track
> records for producing minority students with baccalaureate degrees in
> science, math or engineering disciplines and who go on to graduate
> school in these fields.
>
> **Tribal Colleges Program (TCP) --** a program for Tribal Colleges
> that encourages Native Americans to pursue information technology and
> other science and technology fields of study, as well as increases the
> capacity of tribal colleges to offer relevant courses and enhance K-12
> education in feeder school systems.
>
> **[Curriculum, Laboratory & Faculty]{.underline}**
>
> **Advanced Technological Education (ATE) --** promotes improvements in
> science and mathematics curricula and instruction, intended to benefit
> students who plan to become technicians in the high-performance
> workplace in the near-term. ATE provides opportunities for development
> of the workforce for technological positions that do not require full
> undergraduate programs of study. New emphases will be on information
> technology, manufacturing and teacher development in related areas.
>
> **Course, Curriculum & Laboratory Improvement --** supports adaptation
> and implementation of proven curricula and laboratory instructional
> models, and development of educational materials.
>
> **Distinguished Teaching Scholars -- recognizes** and rewards
> undergraduate faculty whose integration of research and education
> enhances the quality of the future workforce and the scientific
> knowledge of the general public.
>
> **Engineering Education Reform --** promotes systemic reform in
> undergraduate engineering education. For example, the program supports
> development of innovative curricula in nanotechnology and other areas
> of emerging technology. Special attention is given to
> institutionalizing successful innovations that have resulted from this
> program. It also supports smaller scale projects to integrate advanced
> technology research into the curriculum.
>
> **Research Experiences for Undergraduates (REU) --** an NSF-wide
> program that provides opportunities for undergraduate students to
> experience hands-on participation in research or related scholarly
> activities in areas of science, math and engineering.
>
> **Scholarships for Service --** a program that awards scholarships for
> the study of information security in return for a commitment to work
> for a specified time for the federal government.

######## **Graduate and Professional Development Support** {#graduate-and-professional-development-support .unnumbered}

**[Graduate]{.underline}**

> **Graduate Research Fellowships (GRF) --** provide recognition and
> three years of support for advanced study to outstanding graduate
> students in all fields of science, mathematics, and engineering.
>
> **Graduate Research Traineeships (GRT) --** continuing **--** program
> that preceded the IGERT program. This funding is for continuing awards
> made under the original program.
>
> **Graduate Teaching Fellows in K-12 Education program (GK-12) --**
> initiated in FY 1999 to support graduate and advanced undergraduate
> science, math, engineering and technology majors as content resources
> for K-12 teachers. These Fellows assist teachers in the science and
> mathematics content to be used in instruction, demonstrate key science
> and mathematics concepts, and connect elementary and secondary
> learning to the habits and skills required for collegiate study.
>
> **Integrative Graduate Education and Research Training (IGERT) --** an
> agency-wide program that sponsors the development of innovative,
> research-based graduate education and training programs in Ph.D.
> granting institutions.
>
> **Minority Graduate Education** **(MGE) --** continues awards for
> increasing the number of underrepresented minority SME doctorates and
> their representation in the professorate.
>
> **Research Training Grants (RTGs) --** grants in the biological
> sciences designed to give students research experience with trained
> researchers. Funds being redirected to IGERT.
>
> **Vertical Integration of Research and Education in the Mathematical
> Sciences (VIGRE) --** a program designed to broaden educational
> content and opportunities for students (at the undergraduate level) by
> the integration of research and education in the mathematical
> sciences.

######## **Professional Development** {#professional-development .unnumbered}

> **ADVANCE/Professional Opportunities for Women in Research in
> Education (POWRE) --** an NSF-wide effort aimed at increasing the
> prominence of women in science, engineering research and education.
> POWRE is being replaced by a new program called ADVANCE, created to
> advance professional opportunities for women.
>
> **The Faculty Early Career Development Program (CAREER) --** an
> NSF-wide activity that supports junior faculty within the context of
> their overall career development.
>
> **Postdoctoral Fellowships in Science, Mathematics, Engineering and
> Technology Education (PFSMETE)** -- encourages Ph.D. graduates in
> these fields to attain the skills needed to assume leadership roles in
> education reform at all levels. They offer the opportunity and
> challenge of complementing disciplinary science and engineering
> expertise with skills in education, thus opening new career options to
> the fellowship recipients.
>
> **Presidential Faculty Fellows (PFF)/NSF Young Investigators (NYI)/
> Presidential Young Investigators (PYI)** -- programs devoted to
> increasing the participation and experience of young researchers. PFF
> is being re-directed into CAREER. NYI and PYI are currently being
> phased out and replaced by CAREER.

######## **Other Programs** {#other-programs .unnumbered}

> **Evaluation --** a continuum of accountability activities such as
> monitoring, databases, impact studies, and program evaluations with an
> orientation to the measurement, data collection, and reporting
> requirements necessary to support the Government Performance and
> Results Act (GPRA).
>
> **Grant Opportunities for Academic Liaison with Industry (GOALI)** --
> a program that brings university and industry collaborators together
> at the conceptual phase of a research and education endeavor.
>
> **Informal Science Education (ISE) --** incorporates projects that
> provide opportunities outside a formal school setting where K-12
> individuals of all interests and backgrounds can increase their
> appreciation and understanding of science, math, engineering and
> technology.
>
> **Presidential Awards for Excellence in Science, Mathematics and
> Engineering Mentoring (PAESMEM) --** administered on behalf of the
> White House by the National Science Foundation, this program seeks to
> identify outstanding mentoring efforts/programs designed to enhance
> the participation of groups underrepresented in science, mathematics
> and engineering.
>
> **Programs for Gender Equity (PGE) --** supports education and
> research activities that foster increased participation of women and
> girls in science, mathematics, engineering and technology.
>
> **Programs for Persons with Disabilities (PPD) --** supports efforts
> to increase the participation and achievement in SMET education and
> research of individuals with disabilities. Emphasis is placed on
> projects building and strengthening alliances among higher education,
> K-12 educational systems, and business and industry.

**H-1B Nonimmigrant Petitioner Account --** established by Title IV of
the American Competitiveness and Workforce Improvement Act of 1998 (P.L.
105-277); requires that a prescribed percentage of funds in the Account
be made available to NSF for the following activities:

> **Computer Science, Engineering, and Mathematics Scholarships (CSEMS)
> --** merit-based scholarships are to be provided for new or continued
> enrollment at institutions of higher education by eligible low-income
> individuals pursuing associate, undergraduate, or graduate degrees in
> the disciplines specified.
>
> **Grants for Mathematics, Engineering, or Science Enrichment Courses
> --** are intended to provide opportunities to students for enrollment
> in year-round academic enrichment courses in mathematics, engineering,
> or science.
>
> **Systemic Reform Activities --** are intended to supplement systemic
> reform activities administered under the Educational System Reform
> (ESR) Subactivity.

**[IDEAS]{.underline} -- Discovery at and across the frontier of science
and engineering, and connections to its use in society.**

**Centers of Research Excellence in Science and Technology (CREST) --**
aims to increase the number of underrepresented minorities in science,
math, engineering and technology by making substantial resources
available to upgrade the capabilities of the most research-productive
minority institutions.

**National Consortium for Violence Research** -- supports research on
the causes of violent behavior; encourages young researchers, especially
underrepresented minorities, to enter this field; and disseminates
research results to research and policy communities.

**Chemistry Centers --** includes the Environmental Molecular Sciences
Institutes and the Center for Molecular Sciences, which advance
understanding and control at the level of fundamental molecular science.

**Climate Change Technology Initiative (CCTI) ^1^ --** an interagency
initiative which promotes research aimed at technologies, such as
products and production methods that reduce greenhouse gas emissions and
increase the efficiency of energy and materials used in transportation,
buildings and manufacturing, for reducing U.S. carbon emissions at the
lowest possible cost.

**Partnerships for Advanced Tech in Housing (PATH) ^1^ --** an
interagency program to develop and promote the adoption of advanced
housing technologies that will reduce energy consumption in building,
heating/cooling and maintenance of the nation\'s residential housing.

**Critical Infrastructure Protection (CIP) ^1^** -- cross-disciplinary
research on improved performance and sustainability of critical
infrastructure systems, i.e. communication, housing, transportation.

**Cyber Security for the 21^st^ Century ^1^** -- a program sponsored by
the Office of Personnel Management and NSF that will offer college
scholarships to students with concentrations in information security in
exchange for their public service after graduation. This program will
create a new generation of computer security specialists who will work
to defend our nation's computer systems and networks.

**Earthquake Engineering Research Centers** -- centers that bring
together multi-institutional teams of investigators to provide the
knowledge and technology base for industry and public agencies to build
and retrofit structures and other infrastructure to prevent damage from
earthquakes. These centers take a systems approach, integrate research
and education, and develop partnerships with industry and the public
agencies responsible for earthquake hazard mitigation at the local
level.

**Engineering Research Centers and Groups (ERCs) --** university-based
centers that facilitate the development of new knowledge and technology.
These centers share several important characteristics: a unifying
long-term, coordinated approach to complex engineering problems, an
emphasis on partnerships and knowledge transfer linkages with industry,
and significant educational and outreach programs aimed at integrating
education and research. The ERCs link cross-disciplinary teams of
investigators across institutional boundaries to advance fundamental
knowledge in nanoscale science and engineering, develop a wide range of
new technologies, and prepare model curricula to educate new generations
for this emerging field.

**Experimental Program to Stimulate Competitive Research (EPSCoR) --**
established in 1978, EPSCoR participation is limited to states that have
historically received lesser amounts of federal funding for academic
research and development and have demonstrated a commitment to develop
their research bases and to improve the quality of science, mathematics,
and engineering research conducted at their universities and colleges.
Current participants include the Commonwealth of Puerto Rico and 19
states -- Alabama, Alaska, Arkansas, Idaho, Kansas, Kentucky, Louisiana,
Maine, Mississippi, Montana, Nebraska, Nevada, North Dakota, Oklahoma,
South Carolina, South Dakota, Vermont, West Virginia and Wyoming.

**Food Safety ^1^ --** an interagency initiative to address food-borne
microbial hazards, supported by the Engineering directorate.

**Global Learning and Observations to Benefit the Environment (GLOBE)
--** an interagency program which brings together K-12 students,
teachers, and scientists from around the world who work together to help
us learn more about the environment. By participating in GLOBE, teachers
guide their students through daily, weekly, and seasonal environmental
observations, such as air temperature and precipitation. Using the
Internet, students send their data to the GLOBE Student Data Archive.
Scientists and other students use this data for their research.

**High-Performance Computing, Information and Communications (HPCCIT)
^1,\ 2^ --** an NSTC crosscut whose programs invest in long-term R&D to
advance computing, information, and communications in the U.S. This
includes information technology research (ITR) listed under the NSF
Information Technology initiative.

**Next Generation Internet (NGI) ^1^ --** the focus is on high
performance connectivity between academic research institutions,
contributing to basic infrastructure for high-end research applications,
and taking a major role in developing the national scalable
high-performance network infrastructure for the U.S. research and
education community. NGI is part of the HPCCIT crosscut.

**Human Dimensions of Global Change** -- comprised of two centers
supported by SBE: Indiana University-Bloomington Center focuses on how
humans and institutions affect forest clearance and reforestation;
Center at Carnegie Mellon University employs an integrated,
multi-disciplinary, model-based approach to the analysis of complex
global change problems.

**Industry/University Cooperative Research Centers (I/UCRC) --** centers
to develop long-term partnerships among industry, academe and
government. They provide a steady stream of enabling technologies
critical to advancing industrial manufacturing processes, information
technology support systems, and new product lines.

**Information Technology Centers** -- supports fundamental research in
information technology that incorporates scientific applications or
addresses social, ethical and workforce issues; part of the Information
Technology Research initiative.

**Innovation Partnerships** -- The Office of Innovation Partnerships,
initiated in FY 2000 as a result of Congressional action, stimulates the
innovation process and strengthens economic development in diverse
research and education settings, with emphasis on geographic areas that
are not currently participating fully in NSF programs. Academic
institutions, non-profit organizations, and private sector organizations
are encouraged to develop partnership arrangements to build
infrastructure and bring together human resources across institutions
and sectors.

**Integrated Science for Ecosystems Challenges (ISEC) ^1^ --** an
interagency initiative designed to develop the knowledge base,
information infrastructure and modeling framework to help resource
managers predict/assess environmental and economic impacts of stress on
vulnerable terrestrial and marine ecosystems.

**Interagency Education Research Initiative (IERI) --** initiated in FY
1999 in partnership with the Department of Education and the National
Institute for Child Health and Human Development to support research
efforts in areas including: school readiness for learning, reading, and
mathematics; K-3 learning in reading and mathematics; and K-12 teacher
education in reading, mathematics, and science. Special emphasis is
placed on application of educational technologies to K-12 education.

**Long-Term Ecological Research (LTER) --** promotes investigations of
whole ecosystems and their component organisms and processes at sites
that represent major biomes. The 24 LTER sites include coastal
ecosystems; human-dominated, urban ecosystems; the Arctic tundra of
Alaska; the deserts of New Mexico; the rainforests of Puerto Rico; and
the Dry Valleys of Antarctica. Projects are multidisciplinary and
actively encourage collaborative research with non-ecological
investigators.

**Materials Research Science and Engineering Centers (MRSEC)**--
formerly known as Materials Research Laboratories (MRL), support
interdisciplinary and multidisciplinary materials research and education
while addressing fundamental problems in science and engineering that
are important to society.

**Mathematical Sciences Research Institutes** -- centers to stimulate
research in the mathematical sciences, bringing together in a
programmatically focused scientific environment, top people in a given
research subject, where new ideas can be developed and exploited.

**National Center for Ecological Analysis and Synthesis (NCEAS) --**
located in downtown Santa Barbara, CA, scientists at NCEAS conduct
collaborative research on major fundamental and applied problems in
ecology. The goal is to identify major ecological patterns and
understand the processes that generate them -- NCEAS provides the
atmosphere, facilities, equipment, and staff to help reach this goal.
The National Science Foundation, the State of California, and the
University of California at Santa Barbara provide funding for NCEAS.

**National Center for Geographic Information and Analysis** -- center
that supports research to advance the theory, methods and techniques of
geographic analysis based on geographic information systems (GIS) and
other spatial analysis tools that are integral to large-scale research,
planning and management.

**National Earthquake Hazards Reduction Program (NEHRP) --** seeks to
advance fundamental engineering and related scientific knowledge to
mitigate the impacts of earthquakes, including support for fundamental
research that leads to more earthquake-resistant buildings and
facilities.

**Partnership for a New Generation of Vehicles (PNGV) ^1^ --** a federal
program to reduce manufacturing cost and time for all vehicles; to
increase fuel efficiency and reduce vehicle emissions; and to develop a
new class of vehicles with three times the fuel efficiency of today's
autos and comparable performance and cost of ownership. NSF does not
maintain a focused PNGV program, but rather supports PNGV-related
efforts through its disciplinary and other established programs.

**Physics Frontiers Centers (formerly Physics Centers)** -- a new
program planned for FY 2001, these centers will provide critical
resources and needed infrastructure to exceptionally promising new areas
of physics such as atom lasers, quantum information science,
computational physics, biological physics, and astrophysics.

**Plant Genome Centers** -- portion of the Plant Genome Research
initiative that is devoted to supporting virtual centers (centers
without walls) or collaboratories where coordinated, multi-investigator
teams pursue comprehensive plant genome research programs relevant to
economically important plants and plant processes. Currently active
centers range in size and scope, some with a focus on functional
genomics and others with a focus on developing tools and resources for
plant genomics studies for the scientific community.

**Plant Genome Research --** research that advances our understanding of
the structure, organization and function of plant genomics, and that
accelerates utilization of new knowledge and innovative technologies
toward a more complete understanding of basic biological processes in
plants. This fundamental research has application to agriculture,
forestry, energy, and the environment, as well as the production of
plant-based industrial materials and chemicals.

**Research Opportunity Awards (ROA) --** a component of the Research at
Undergraduate Institutions (RUI) program, ROAs provide opportunities for
faculty at institutions with limited research opportunities to
participate in NSF-funded research at other institutions.

**Research at Undergraduate Institutions (RUI) --** NSF-wide research
program designed to support new multidisciplinary collaborative research
groups at primarily undergraduate institutions. Each group is composed
of faculty members representing at least two disciplinary areas and
includes up to 10 undergraduates.

**Science and Technology Centers (STCs) --** NSF program that serves as
an innovative vehicle for the conduct of world-class research by
bringing together a critical mass of facilities and expertise from
academia, national laboratories and industry, involving multiple
partners and bringing key strengths to the national research enterprise.
Classes 1 and 2 are phasing out; a new third class of STCs will begin in
2000.

**Small Business Innovation Research program (SBIR)** -- a federal
program to stimulate small business participation in research across the
science and engineering disciplines, with a goal of creating new
technologies, industries, businesses and jobs. The program also works to
promote effective linkages among small businesses, university experts,
and state agencies to provide technical business expertise in talented
entrepreneurs.

**Small Business Technology Transfer program (STTR) --** a federal
program that links entrepreneurs to the academic research community,
encouraging commercialization of government-funded research by the
private sector to promote industrial innovation.

**State/Industry/University Cooperative Research Centers (State/I/UCRC)
--** an extension of the I/UCRC model, focusing more actively on state
or regional local economic development; currently being phased out.

**U.S. Global Change Research Program ^1^** -- an interagency federal
effort that provides the foundation for increasing the skill of
predictions of seasonal-to-interannual climate fluctuations (which can
bring excessively wet and dry periods) and long-term climate change. The
USGCRP also sponsors research to understand the vulnerabilities to
changes in important environmental factors, including changes in
climate, ultraviolet (UV) radiation at the Earth\'s surface, and land
cover. The scientific knowledge gained is used to inform decision making
on environmental issues and to ensure the social and economic health of
future generations.

**[TOOLS]{.underline} -- Broadly accessible, state-of-the-art
information bases and shared research and education tools.**

**Academic Research Fleet** -- a fleet of large ships for ocean-wide
investigations, intermediate size ships for regional investigations,
small ships for coastal and estuarine work, and platforms with special
capabilities such as the submersible *Alvin*. The ships are both
privately and federally owned and are operated by academic institutions.
NSF provides a majority of the support for the operation, maintenance,
and upgrade of the fleet.

**Advanced Networking Infrastructure** -- enables and expands scholarly
communication and collaboration by providing network access for
researchers and educators to high performance, remote scientific
facilities including supercomputer facilities and information resources.

**Antarctic Facilities and Operations** -- Antarctic infrastructure,
operations and science support for the three U.S. Antarctic research
stations: McMurdo Station on Ross Island, Palmer Station on Anvers
Island, and Amundsen-Scott South Pole Station. In addition, necessary
facilities include ski-equipped and fixed-wing aircraft, helicopters,
research vessels (including a specially constructed ice-breaking
research vessel), and an ice-strengthened supply and support ship. Over
650 researchers and students utilize the Antarctic facilities each year.

**Antarctic Logistics** -- Antarctic logistics support is supplied in
part by the Department of Defense, including: flight activity and
aircraft maintenance carried out by military personnel in the 109^th^
Airlift Wing (AW) of the New York Air National Guard; support for air
traffic control, weather forecasting, and electronic equipment
maintenance; use of DOD satellites for communications.

**Arctic Logistics** -- Arctic research support and logistics funds;
includes facilities, operations and research support. Arctic facilities
include camps and sites for studies of greenhouse gases, monitoring
stations for research on ultraviolet radiation, ice coring sites for
studies of global climate history, high latitude radar observatories and
magnetometers for upper atmospheric research, use of the U.S. Coast
Guard Cutter Healy, and the use of a vessel from the academic research
fleet for oceanographic research in the Arctic Ocean.

**Cornell Electron-positron Storage Ring (CESR) --** a physics facility
that produces electron and positron colliding beams that allow detailed
studies of physics, including research on the matter-antimatter
asymmetry in the universe as well as a fundamental asymmetry of nature
called CP violation.

**EarthScope: US Array and San Andreas Fault Observatory at Depth
(SAFOD) ^2^** -- a distributed, multi-purpose geophysical instrument
array that will allow scientists to make major advances in our knowledge
and understanding of the structure and dynamics of the North American
continent. These observational facilities provide a framework for broad
integrated studies across the earth sciences, including research on
earthquakes and seismic hazards, magmatic systems and volcanic hazards,
lithospheric dynamics, regional tectonics, continental structure and
evolution, and fluids in the crust. EarthScope investigations will be
done in close partnership with local and state governments, federal
agencies such as the U.S. Geological Survey, and with Canada and Mexico
when investigations border on those countries.

**GEMINI** -- an international collaboration that is building 8-meter
telescopes in both the Northern and Southern Hemispheres. Observatories
are located in Mauna Kea, Hawaii and Cerro Pachon, Chile. Gemini will
offer world-class and unique opportunities to the scientific community
both in the infrared optimization of the telescope and in the use of
adaptive optics.

**High-Performance Instrumented Airborne Platform for Environmental
Research (HIAPER) ^2^ --** a medium sized jet aircraft capable of
operating in the upper troposphere to lower stratosphere and associated
next-generation instrumentation, which will allow research on many of
the outstanding issues in the atmosphere, biosphere, hydrosphere and
cryosphere.

**Incorporated Research Institutions for Seismology (IRIS) --** facility
to provide rapid analysis of earthquakes, aid in monitoring nuclear
proliferation, permit imaging of the internal physical structure of the
Earth, and make data on seismic events available to researchers
worldwide.

**Large Hadron Collider (LHC) ^2^** -- an international project housed
at the CERN laboratory in Switzerland, the LHC will be the world's
highest energy accelerator facility. The LHC will enable a search for
the Higgs particle, the existence and properties of which will provide a
deeper understanding of the origin of mass of the known elementary
particles. It will also enable a search for particles predicted by a
powerful theoretical tool framework known as supersymmetry which will
provide clues as to how the four known forces evolved from different
aspects of the same "unified" force in the early universe.

**Laser Interferometer Gravitational Wave Observatory (LIGO) --** The
LIGO construction project began in FY 1992 as a collaboration between
physicists and engineers at the California Institute of Technology and
the Massachusetts Institute of Technology to test the dynamical features
of Einstein's theory of gravitation and to study the properties of
intense gravitational fields from their radiation. Today, several other
institutions are also involved. LIGO consists of identical, but widely
separated detectors, one in Hanford, Washington, and the other in
Livingston, Louisiana, that will be used for fundamental physics
experiments to directly detect gravitational waves and gather data on
their sources.

**Millimeter Array ^2^** -- a memorandum of understanding merging U.S.
and European design and development efforts for an expanded array to be
called the Atacama Large Millimeter Array (ALMA) was signed between the
National Science Foundation and a consortium of European institutions
and funding agencies. ALMA will be the world's most sensitive, highest
resolution millimeter-wavelength telescope, operating in the wavelength
range from 3 to 0.4 mm. It will combine an angular resolution comparable
to that of the Hubble Space Telescope with the sensitivity of a single
antenna nearly 100 meters in diameter. The array will provide a testing
ground for theories of star birth and stellar evolution, galaxy
formation and evolution, and the evolution of the universe itself. It
will reveal the inner workings of the central black hole "engines" which
power quasars, and will make possible a search for earth-like planets
around hundreds of nearby stars.

**Major Research Instrumentation program (MRI) --** designed to improve
the condition of scientific and engineering equipment for research and
research training in our nation's academic institutions. This program
seeks to improve the quality and expand the scope of research and
research training in science and engineering, and to foster the
integration of research and education by providing instrumentation for
research-intensive learning environments.

**National Superconducting Cyclotron Laboratory (NSCL)** -- located at
Michigan State University, this facility provides important research
opportunities to the community with particular emphasis on nuclear
astrophysics.

**Nanofabrication** -- a network of five university user facilities that
offer advanced nano- and micro-fabrication capabilities to researchers
in all fields.

**National Astronomy and Ionosphere Center (NAIC) --** the
305-meter-diameter radio and radar telescope located at Arecibo, Puerto
Rico. NAIC is a visitor-oriented national research center devoted to
scientific investigations in radio and radar astronomy and atmospheric
sciences. NAIC provides telescope users with a wide range of research
and observing instrumentation, including receivers, transmitters,
movable line feeds, and digital data acquisition and processing
equipment.

**National Science, Mathematics, Engineering and Technology Education
Digital Library (NSDL) --** NSDL's goal is to advance the methods used
to collect, store, organize and use widely distributed knowledge
resources that contain diverse types of information and content stored
in a variety of electronic forms.

**National Center for Atmospheric Research (NCAR) --** serves the entire
atmospheric sciences research community and part of the ocean sciences
community. Facilities available to university, NCAR, and other
researchers include an advanced computational center providing resources
and services well suited for the development and execution of large
models and for the archiving and manipulation of large data sets. NCAR
also provides research aircraft that can be equipped with sensors to
measure dynamic, physical, and chemical states of the atmosphere. In
addition, one airborne and one portable ground-based radar and other
surface sensing systems are available for atmospheric research.

**National Ecological Observatory Network (NEON) ^2^ --** 10
observatories nationwide that will serve as national research platforms
for integrated, cutting-edge, interdisciplinary research in field
biology. Collectively, the network will form a large array that will
allow scientists to conduct experiments on ecological systems at all
levels of biological organization from molecular genetics to whole
ecosystems and across scales ranging from seconds to geological time and
from microns to regions and continents. Part of the Biocomplexity in the
Environment Initiative.

**National High Field Fourier Transform Ion Cyclotron Resonance (FT-ICR)
Mass Spectrometry Center** -- a chemistry facility used to measure the
atomic composition of complex molecular systems; part of the National
High Magnetic Field Laboratory.

**Network for Earthquake Engineering Simulation (NEES) ^2^** -- a
project funded through the MRE account that will upgrade, modernize,
expand and network major facilities including: (a) shake tables used for
earthquake simulations; (b) large reaction walls for pseudo-dynamic
testing; (c) centrifuges for testing soils under earthquake loading; and
(d) field testing facilities.

**National High Magnetic Field Laboratory (NHMFL) --** supports the
research needs of materials scientists and other researchers in
broad-spectrum science and technology. A team of researchers from the
National High Magnetic Field Laboratory (NHMFL) has conducted the first
experiments in continuous magnetic fields of 45 tesla (one million times
the Earth\'s magnetic field) in a new hybrid magnet. This new magnetic
field strength gives scientists a new scale of magnetic energy to create
new states of matter and probe deeper into electronic and magnetic
materials than ever before.

**National Optical Astronomy Observatory (NOAO) --** a national center
for research in ground-based optical and infrared astronomy and solar
physics. NOAO includes Kitt Peak National Observatory outside Tucson,
Arizona; Cerro Tololo Inter-American Observatory in Chile; and the
National Solar Observatory in Arizona and New Mexico. Large optical
telescopes, observing equipment, and research support services are made
available to qualified scientists.

**National Radio Astronomy Observatory (NRAO) --** headquartered at
Charlottesville, Virginia, and operates radio telescopes at sites in
Arizona, New Mexico, and West Virginia. NRAO makes radio astronomy
facilities available to qualified visiting scientists and provides staff
support for use of the large radio antennas, receivers, and other
equipment needed to detect, measure, and identify radio waves from
astronomical objects.

**Ocean Drilling Program (ODP) Facilities --** infrastructure associated
with the Ocean Drilling Program (ODP). ODP activities are an
international exploration of Earth\'s crust beneath the ocean revealing
the composition, structure, and history of the submerged portion of
Earth\'s surface. Ocean drilling involves logging and collecting
geologic samples from the floor of the deep ocean basins through rotary
coring and hydraulic piston coring.

**Partnerships for Advanced Computational Infrastructure (PACI) --**
provides access to, and support for, high-end computing for the national
scientific and engineering community, and the development and
application of the necessary software, tools and algorithms for their
use on scalable, widely distributed resources. Emphasis will be on
scaling applications codes to be ready for transitions to the Terascale
Computing Systems and access and visualization techniques for very large
data resources to support research in disciplinary areas. The education,
outreach and training component of PACI will continue to broaden and
accelerate the capability of the nation to utilize the advanced
computational capabilities being developed.

**Polar Aircraft Modernization (LC-130s) ^2^** -- funding to upgrade
ski-equipped aircraft to meet Air Force standards. These aircraft are
part of Antarctic and Arctic logistical support.

**Research Resources --** focuses on the infrastructural tools necessary
to perform state-of-the-art scientific research. It includes databases
and the informatics tools and techniques needed to manage them,
multi-user instrumentation, development of instrumentation and new
technologies, living stock centers, and marine laboratories and
terrestrial field stations.

**Science & Technology Policy Institute (STPI) (formerly CTI)** -- a
federally funded R&D center established by Congress to support devising
and implementing science and technology policy.

**Science Resources Studies (SRS) --** a division within the Social,
Behavioral and Economic Sciences directorate (SBE), responsible for
collecting, analyzing and disseminating data on the science and
engineering (S&E) enterprise.

**South Pole Station ^2^** -- modernization of the existing South Pole
Station. Costs include materials, labor, logistics for transportation of
all materials and personnel to the South Pole, construction support,
inspection and equipment, as well as demolition and disposal. The goals
of the modernization are to maintain a U.S. presence in accord with
national policy, provide a safe working and living environment, provide
a platform for science, and to achieve a 25-year station life.

**Terascale Computing Systems ^2^** -- provides access to scalable,
balanced, terascale computing resources for the broad-based academic
science and engineering community served by NSF; part of the Information
Technology Research Initiative

######## **Other Facilities** {#other-facilities .unnumbered}

**Geosciences (GEO) Facilities** -- include multi-user accelerator-based
mass spectrometers and synchrotron beamlines, and facilities to support
the scientific use of the Global Positioning System.

**Materials Research Facilities --** include the National High Field
Mass Spectrometry Center, NIST Neutron Scattering Facility, Cornell
High-Energy Synchrotron Source (CHESS), and Wisconsin Synchrotron
Radiation Center.

**Physics Facilities --** include the Indiana University Cyclotron
Facility (IUCF) and the Cornell High-Energy Synchrotron Source (CHESS).

**[INITIATIVES]{.underline}** --- **In addition to support for core
research, education and tools, NSF emphasizes priority investments in
interdependent areas which cut across the People, Ideas and Tools goals.
These areas combine exciting opportunities in research and education
with immense potential to generate important benefits to society. The FY
2001 Budget Initiatives are:**

-   Information Technology Research (ITR)

-   Biocomplexity in the Environment (BE)

-   21^st^ Century Workforce

-   Nanoscale Science and Engineering

1.  National Science and Technology Council Crosscuts

2.  Major Research Equipment Programs **--** The Major Research
    Equipment account provides funding for the construction and
    acquisition of major research facilities that provide unique
    capabilities at the cutting edge of science and engineering.
    Projects supported by this account are intended to expand the
    boundaries of technology and will offer significant new research
    opportunities, frequently in totally new directions, for the science
    and engineering community. Operations and maintenance costs of the
    facilities are provided through the Research and Related Activities
    (R&RA) account.

**[HOW WE OPERATE]{.underline}**

***We enable** people to perform by investing in their creative ideas,
providing them with cutting-edge research and education tools, and
supporting an infrastructure for education and learning.*

***We partner** with a dynamic and diverse education and research
community, working in a close trusting partnership while maintaining an
independent perspective. We encourage partnerships among agencies,
industry, academe, the states, and other nations when collaborative
efforts further our goals.*

***We integrate** and synergize the knowledge and skills of diverse
disciplines and constituencies. We promote the mutual sharing of
knowledge and resources. We integrate the processes of discovery,
innovation and learning, and connect them to societal use.*

***We embrace** competitiveness in all of our programs and activities.
We optimize the efficiency and effectiveness of our investments through
the use of the competitive merit review process and peer evaluation of
programs and activities.*

***We manage and communicate** in a professional and effective manner.
We listen intently to our customers, valuing their ideas and opinions.
We effectively build consensus for new ideas and directions. We clearly
articulate and communicate our values, plans, and activities so that
customers and constituencies know what to expect of us. We provide the
very best service possible to our customers.*

***We include** all citizens, groups and constituencies, and promote
equal opportunity for all. We work to ensure that the scientific and
engineering workforce is as extensive and diverse as possible in order
to create a more inclusive and robust enterprise.*

## [OUR ATTRIBUTES]{.underline} {#our-attributes .unnumbered}

*We continually refresh our plans and strategies to assure that the
agency will be:*

***Open** - NSF is committed to the sharing of information and a free
marketplace of ideas. It demonstrates an openness and facility for
relating to all key constituents within and outside the organization.*

***Inclusive** -- NSF takes a holistic view of opportunities and
challenges, embracing diversity in all activities and at all levels.*

***Inspiring** -- Through leadership and creative flair, NSF inspires
agency staff and the community it serves to strive for the greatest
levels of accomplishment. The community seeks out NSF for its quality
and reliable perspective, insights and offerings. NSF has earned an
international reputation that makes the agency a benchmark for other
science and engineering agencies throughout the world.*

***Pace-setting** -- In identifying and supporting ideas with the
greatest creativity, embracing new thinking, and using information
technologies in innovative ways, NSF helps chart new paths for the
science and engineering community.*

***Influential** -- In both the global community and the corridors of
science and technology policymakers, NSF is viewed as a creative
catalyst -- credible, relevant and timely -- as well as an excellent,
statesperson-like organization that brings together other high-level
decision makers.*

***Agile** -- NSF quickly and effectively responds to changing needs and
opportunities. It embraces change through effective systems-thinking and
appropriate feedback mechanisms. NSF is a learning organization that is
committed to self-improvement.*

***Accountable** -- NSF builds public trust by being professional,
practical and orderly in its operating standards and how it manages its
business. NSF and its staff are committed to excellence as a personal
and an organizational standard.*

**NAtional Science Board**

**Dr. Eamon M. Kelly** (*Chair*), President Emeritus and Professor,
Payson Center for International Development & Technology Transfer Tulane
University

**Dr. Anita K. Jones** (*Vice Chair*)**,** Quarles Professor of
Engineering and Applied Science, Department of Computer Science,
University of Virginia

**Dr. John A. Armstrong**, Vice President for Science & Technology, IBM
(Retired)

**Dr. Nina V. Fedoroff**, Willaman Professor of Life Sciences, Director
Life Sciences Consortium, and Director, Biotechnology Institute, The
Pennsylvania State University

**Dr. Pamela A. Ferguson,** Professor of Mathematics, Grinnell College

**Dr. Mary K. Gaillard**, Professor of Physics, University of
California-Berkeley

**Dr. M.R.C. Greenwood**, Chancellor, University of California-Santa
Cruz

**Dr. Stanley V. Jaskolski**, Vice President, Eaton Corporation

**Dr. George M. Langford**, Professor, Department of Biological Science,
Dartmouth College

**Dr. Jane Lubchenco,** Wayne and Gladys Valley Professor of Marine
Biology and Distinguished Professor of Zoology, Oregon State University

**Dr. Joseph A. Miller, Jr.**, Senior Vice President for R&D and Chief
Technology Officer, E.I. du Pont de Nemours & Company

**Dr. Diana S. Natalicio**, President, The University of Texas at El
Paso

**Dr. Robert C. Richardson,** Vice Provost for Research and Professor of
Physics, Department of Physics, Cornell University

**Dr. Michael G. Rossmann,** Hanley Distinguished Professor of
Biological Sciences, Department of Biological Sciences, Purdue
University

**Dr. Vera Rubin**, Research Staff, Department of Terrestrial Magnetism,
Carnegie Institution of Washington

**Dr. Maxine Savitz**, General Manager, Technology Partnerships,
Honeywell

**Dr. Luis Sequeira**, J.C. Walker Professor Emeritus, Departments of
Bacteriology and Plant Pathology, University of Wisconsin-Madison

**Dr. Daniel Simberloff**, Nancy Gore Hunger Professor of Environmental
Science, Department of Ecology and Evolutionary Biology, University of
Tennessee

**Dr. Bob H. Suzuki**, President, California State Polytechnic
University

**Dr. Richard Tapia**, Professor, Department of Computational & Applied
Mathematics, Rice University

**Dr. Chang-Lin Tien**, University Professor and NEC Distinguished
Professor of Engineering, Department of Mechanical Engineering,
University of California-Berkeley

**Dr. Warren M. Washington,** Senior Scientist and Head, Climate Change
Research Section, National Center for Atmospheric Research

**Dr. John White, Jr.**, Chancellor, University of Arkansas-Fayetteville

**\*\*Dr. Mark S. Wrighton**, Chancellor, Washington University

**Dr. Rita R. Colwell,** (Member *Ex Officio*), Director, National
Science Foundation

**Dr. Marta Cehelsky,** Executive Officer, National Science Board

\*\* Nominee Pending Senate Confirmation

####  {#section-7 .unnumbered}

#### Director's Policy Group {#directors-policy-group .unnumbered}

+--------------------------------+-------------------------------------+
| Dr. Rita R. Colwell, Director  | Dr. Karl Erb, Director, Office of   |
|                                | Polar Programs (OPP)                |
| Dr. Joseph Bordogna, Deputy    |                                     |
| Director                       | Dr. Margaret Leinen, Assistant      |
|                                | Director, Geosciences (GEO)         |
| > Dr. Ruzena Bajcsy, Assistant |                                     |
| > Director, Computer and       | Mr. Robert Hardy, Staff Associate,  |
| > Information Science and      | Office of the Director (O/D)        |
| > Engineering (CISE)           |                                     |
| >                              | Dr. Louis Martin-Vega, Acting       |
| > Dr. Christine Boesz,         | Assistant Director, Engineering     |
| > Inspector General, Office of | (ENG)                               |
| > the Inspector General        |                                     |
|                                | Ms. Linda P. Massaro, Director,     |
| Dr. Norman Bradburn, Assistant | Office of Information and Resource  |
| Director, Social, Behavioral   | Management (OIRM)                   |
| and Economic Sciences (SBE)    |                                     |
|                                | Dr. Nathaniel G. Pitts, Director,   |
| Dr. Margaret Cavanaugh, Staff  | Office of Integrative Activities    |
| Associate, Office of the       | (OIA)                               |
| Director (O/D)                 |                                     |
|                                | Ms. Kathryn R. Rison, Staff         |
| > Dr. Marta Cehelsky,          | Associate, Office of the Director   |
| > Executive Officer, National  | (O/D)                               |
| > Science Board (NSB)          |                                     |
| >                              | Mr. Lawrence Rudolph, General       |
| > Dr. Mary E. Clutter,         | Counsel, Office of the General      |
| > Assistant Director,          | Counsel (OGC)                       |
| > Biological Sciences (BIO)    |                                     |
| >                              | Mr. Michael Sieverts, Acting        |
| > Mr. Thomas Cooley, Director, | Director, Office of Legislative and |
| > Office of Budget, Finance &  | Public Affairs (OLPA)               |
| > Award Management (BFA)       |                                     |
| >                              | Dr. Judith Sunley, Interim          |
| > Dr. Deborah Crawford, Staff  | Assistant Director, Education and   |
| > Associate, Office of the     | Human Resources (EHR)               |
| > Director (O/D)               |                                     |
|                                | Mr. John Wilkinson, Senior Staff    |
| Dr. Robert A. Eisenstein,      | Associate, Office of the Director   |
| Assistant Director,            | (O/D)                               |
| Mathematical and Physical      |                                     |
| Sciences                       |                                     |
+--------------------------------+-------------------------------------+

If you have questions or comments about this document, please contact:

*Mr. Paul Herer*

*Senior Staff Associate*

*Office of Integrative Activities*

*National Science Foundation*

# Email: <pherer@nsf.gov>

# Enclosure (2):

# 

# Consultation and Outreach Process

# 

# 

# In developing the NSF GPRA Strategic Plan for FY 2001-2006, NSF consulted broadly with the science and engineering community and others who are concerned about the vitality of U.S. science and engineering. Specific comments were solicited from the following groups:

# 

#  National Science Board

#  House Committee on Science

#  Senate Committee on Governmental Affairs

#  Office of Management and Budget

#  NSF Staff Members

#  NSF Advisory Committees

# 

# In addition, NSF solicited the comments of the broad science and engineering community and the public through press coverage and through direct contacts among staff, universities, and professional associations. In December 1999, the draft strategic plan was posted for several months

# on the NSF Website, with a response form to facilitate suggestions and reactions.

# 

# As a result of the input from these groups, NSF made many changes to the document - - most were editorial but many were substantive. This input greatly improved the document itself and its value to NSF and the community.

# 

# The National Science Board, NSF\'s governing body, had a dual role in developing this plan. First, the 24 members of the Board provided a great depth and breadth of expertise in providing individual comments. Secondly, the full Board approved the final document.

# 

# OMB Circular No. A-11 (2000) requires agencies to discuss contrary views. Early in the process of developing the document, NSF did receive a number of contrary views. However, it was able to resolve almost all of these views in ways that improved the plan.

# 

# The only comment that was not completely resolved had to do with the specificity of the strategic outcome goals. Some people considered the outcome goals too broad; they said they would like to see some long-range (ten year-type) goals with measurable indicators.

# 

# While NSF\'s broad goals don\'t specify time periods for completion. OMB Circular A-11 states \"that when general goals are defined in the strategic plan in a way that precludes direct future determination of achievement, the performance goals and indicators in the annual plan should provide the basis for such determination.\" Hence, we intend to develop more specific performance goals in the annual performance plan.

[^1]: One-third of NSF programs assessed annually; assessments take
    place throughout the fiscal year. All programs assessed on a
    three-year cycle. COVs address management of programs and
    achievement of outcome goals; information used by senior management
    and in aggregate for performance reporting.

[^2]: ^2^ Advisory committees review directorate activities annually and
    approve COV reports; assess contributions of directorate in
    achieving NSFs goals; provide reports for use by NSF management and
    in aggregating NSF performance results. Schedule: meet twice
    annually with assessment at end of fiscal year. Advisory committees
    use COV reports as basis for strategic planning discussions with
    directorates.

[^3]: ^3^ NSF-wide programs evaluated by external contractors to assess
    impact of programs. Schedule varies depending on program. MRI= Major
    Research Instrumentation program external contractor reviewed in FY
    2000; CAREER =Faculty Early Career Development program external
    contractor review being organized in FY 2000 for evaluation in FY
    2001; STC= Science and Technology Centers; PFF=Presidential Faculty
    Fellows; GRF=Graduate Research Fellowships program; GRT=Graduate
    Research Traineeships program evaluation completed in FY 2000;
    IGERT= Integrative Graduate Education and Research Training program
    evaluation ongoing in FY 2000.

[^4]: ^4^ Internal staff meetings to review GPRA activities across NSF
    and make recommendations for implementation of GPRA. DPG =
    Director's Policy Group, GIIC= GPRA Infrastructure Implementation
    Council, GIIC WG= GPRA Infrastructure Implementation Council Working
    Group.