# Simons Collaborations in Mathematics and the Physical Sciences

ClosedReopens Summer 2022
Important Dates
• Award Start Date
Important Dates
• Award Start Date
Contact Info

The Simons Foundation’s Mathematics and Physical Sciences (MPS) division invites applications for the Simons Collaborations in MPS program.

## Rationale

The aim of the Simons Collaborations in MPS program is to stimulate progress on fundamental scientific questions of major importance in mathematics, theoretical physics and theoretical computer science.

## Basis for Awards

A Simons Collaboration in MPS should address a mathematical or theoretical topic of fundamental scientific importance, where a significant, new development creates a novel area for exploration or provides a new direction for progress in an established field. The questions addressed by the collaboration may be concrete or conceptual, but there should be little doubt that answering them would constitute a major scientific milestone. The project should have clearly defined initial activities and goals by which progress and success can be measured. The support from the foundation should be seen as critical for the objectives of the project.

The project should involve outstanding researchers in a range of career stages. Excellence of the scientific leadership is one of the main criteria in the selection process. The project should be organized and managed in a manner engendering a high level of collaboration.

## Collaboration Director and Principal Investigators (PIs)

Each collaboration is led by a collaboration director who is expected to determine the scientific agenda, coordinate the scientific activities of the other members, determine (in collaboration with the other members) the scientific themes, coordinate a collaboration website and organize collaboration meetings and activities as appropriate, including a two-day annual meeting at the foundation. The director will be the foundation’s main point of contact for the activities of the collaboration and will be responsible for monitoring the overall progress of the research effort and deciding on research directions and personnel as the collaboration evolves.

PIs are expected to perform research that advances the goals of the collaboration and to collaborate as appropriate with other members of the collaboration. PIs are also expected to assist the director and other PIs in fulfilling the additional collaboration obligations outlined above.

Attendance at the annual meeting held at the foundation is expected for each collaboration member.

Proposals should specify a core group of PIs. Additional PIs may be added at later stages as the collaboration evolves. Interinstitutional and international collaborations are allowed.

The foundation strongly encourages the participation of PIs from underrepresented groups.

## Level and Duration of Funding

A Simons Collaboration in MPS is budgeted at up to $2 million per year for an initial period of four years, including indirect costs as outlined in the grant policies. The scientific impact of the collaboration will be evaluated at the year-four annual meeting, and an extension of three additional years may be granted. Additional funding beyond year seven will not be considered. The foundation would allow the annual budget to vary from$2 million as long as the total four-year budget is no more than \$8 million. Please be cognizant of the notification and award start dates when preparing the budget, particularly in year one with regards to the timeline for the hiring of postdoctoral fellows.

Each PI, for whom a budget and signature page is submitted, will receive their own award and their institution paid separately. Multiple PIs at the same institution can either receive individual awards, by submitting individual budgets and signature pages, or reside on one award via one budget.

## Allowable Expenses

The funding provided under a Simons Collaboration in MPS grant may be used to support research expenses in the following categories:

• Up to one month of summer salary support and related benefits for the collaboration director and each PI/co-Investigator per grant year — These salary funds are not substitutional (cannot be used to relieve a university of salary costs) and cannot be used to reduce teaching loads below the departmental norm. They can only be used to supplement the salary similarly to a summer salary in the U.S. system.
• Conferences and working meetings appropriate to the needs of the collaboration, including meals, travel, lodging, vehicle rentals for participants and facility fees.
• Teaching reduction to a level not lower than one course per semester for the collaboration director — Teaching reduction for other collaboration members is not an allowable expense.
• Salary support and related benefits, including tuition support, for staff/research scientists and postdoctoral, graduate and/or undergraduate research assistants.
• Support for visitors and collaborators, including domestic and international travel, meals and lodging expenses — Related per diem expenses at standard government rates are allowable.
• Research equipment, supplies and other expenses directly related to the research, including computers, computer support, professional literature, publication expenses and professional membership dues.
• Collaboration-related domestic or international travel for collaboration members per the travel policies of each participating institution. Parking, hotel, taxi, registration and other related travel and conference costs are allowable.
• Salary support for a collaboration administrator.
• Other expenses related to the support and administration of the collaboration (e.g., web design).

Expenditures in other expense categories may be possible but must be approved in advance by the foundation.

Please see the Simons Foundation’s grant policies for further guidelines.

The collaboration budget can include discretionary funds to be held at the foundation and made available at a later date, at the discretion of the director, for workshops and meetings held at the participating institutions, the addition of PIs to the collaboration and other related collaboration expenses (e.g., addition of a postdoctoral fellow).

Budgets should reflect the anticipated yearly expenses. Discretionary funds should be used to address future needs that could not have been anticipated or estimated prior to the submission of the proposal.

The costs for the annual meeting held at the foundation will be paid directly by the foundation and will not factor into these discretionary funds.

## Eligibility Requirements

Personnel: The collaboration director must hold a tenured faculty, or equivalent, position at a U.S. or Canadian educational institution, on a campus within these countries, with a Ph.D. program in the director’s department at the time of application. PIs and co-Investigators (co-Is) must hold a tenured or tenure-track faculty, or equivalent, position at an educational institution at the time of application. There are no restrictions on the department and/or discipline of the director or PIs/co-Is. PIs, co-Is and other collaboration participants may be from non-U.S. institutions. A co-I must be employed by or be affiliated with a PI institution or another organization participating in the project under a consortium agreement. Please see the foundation’s grant policies for further information regarding requirements and responsibilities of PIs and co-Is.

An individual may be part of more than one letter of intent (LOI) or full proposal, as long as all eligibility requirements are met. There is no LOI limit per institution or individual. An active PI on a currently funded collaboration project can be part of an LOI or proposal but cannot participate on more than one funded collaboration. Additionally, active Math+X Investigators cannot be a funded director or PI in a collaboration.

Institutions: Funding to U.S. national labs or salary support of scientists employed at these labs is not allowed. Scientists employed at national labs may be non-funded collaboration members, and collaboration funding may be used to support travel or local expenses related to the participation of the lab-based scientist in collaboration activities or to support travel and local expenses of students or postdoctoral fellows appointed at universities who work with collaboration members at national labs. For-profit institutions are also not eligible to receive grant funds.

## Unspent Funds

The director and PIs may apply for up to a 12-month no-cost extension request for non-PI summer salary and fringe benefit funds unexpended at the conclusion of the collaboration or the individual’s award. Unspent funds at the end of the collaboration must be returned to the foundation.

## Reporting

The director will provide the foundation with one progress report for the entire collaboration annually. Each PI’s institution will be responsible for submitting a separate financial statement for each award annually.

## Number of Awards

The foundation expects to award up to two new collaborations in 2022.

## How to Apply

Letter of Intent:
Collaboration directors must submit an LOI through proposalCENTRAL (https://proposalcentral.com/). LOIs are due by October 6, 2021, at 11:59:59 p.m. EDT.

Please refer to the How to Apply tab for further instructions.

Notification of the status of the LOI will be sent by December 1, 2021.

Please note that the volume of interest in this program is such that the foundation is not able to provide guidance on potential proposals. We use the LOI stage to assess suitability and novelty. The foundation recommends submitting an LOI if an applicant believes his/her research meets the criteria outlined in the RFA.

## Full Proposal

A review of the LOI may lead to a request for a full proposal, which will be due by February 15, 2022, at 11:59:59 p.m. EST.

After review of the full proposals, project teams may be invited to come to the foundation to present their research plan.

## Our Commitment to Diversity, Equity and Inclusion

Many of the greatest ideas and discoveries come from a diverse mix of minds, backgrounds and experiences. The Simons Foundation is committed to grantmaking that inspires and supports greater diversity and inclusiveness by cultivating a funding environment that ensures representation of all identities and differences and equitable access to information and resources for all applicants and grantees.

The Simons Foundation provides equal opportunities to all applicants for funding without regard to race, religion, color, age, sex, pregnancy, national origin, sexual orientation, gender identity, genetic disposition, neurodiversity, disability, veteran status or any other protected category under federal, state and local law. The foundation also funds programs directed at supporting scientists from disadvantaged backgrounds or underrepresented groups, often working closely with professional societies and other funding agencies.

Important Dates
• Award Start Date
Contact Info

Please see the general instructions for application submission.

Important Note: The collaboration director (referred to below as ‘applicant PI’) and his/her institution must submit the Letter of Intent (LOI) and full proposal application. The director will be the designated contact for the collaboration and will act as the applicant. The director will be responsible for coordinating all proposal attachments as outlined below. If awarded, each PI, for whom a budget and signature page is submitted, will receive their own award and their institution paid separately.

Please be sure to submit an LOI using the appropriate application (Mathematics and Physical Sciences — Simons Collaborations in Mathematics and the Physical Sciences).

LOI and proposal attachments should be single-spaced and in typeface no smaller than 10-point font. Margins must be at least half an inch in all directions.

Please complete the application as follows:

LOI:

1. Title Page: Enter the title of the application.
2. Enable Other Users to Access this Proposal: This screen allows users to give other users access to the grant application, if necessary.
3. Applicant: This information is preloaded from the applicant PI’s professional profile. The applicant’s name should reflect the name of the collaboration director.
5. Key Personnel: Indicate all key personnel, other than the applicant PI/director, with corresponding institution, including additional PIs, co-Investigators (co-I), collaborators, consultants, postdoctoral research associates and others. Key personnel include individuals who contribute to the scientific development or execution of a project in a substantive, measurable way, whether or not they request salaries or compensation.
• Project Narrative (three-page limit, plus up to one page for references and figures, which can be embedded within the text): Signed by the collaboration director on letterhead, the narrative should outline the topic and scientific approach, explain the logistics of the collaboration and any relevant preliminary results.
• An NIH- or NSF-style Biosketch (five-page limit): A biosketch is to be submitted for each PI and co-I, including the director, and must include:
• professional preparation, positions held and honors and awards;
• a list of current and former collaborators, postdoctoral fellows supervised and Ph.D. students trained within the past five years; and
• a list of up to 10 relevant publications.
NOTE: Any biosketches uploaded in the professional profile will NOT be included as part of the LOI.
• Statement of Current and Pending Support: A statement should be submitted for each PI and co-I, including the director. (Current and pending support should not be submitted for non-funded collaborators.) NSF format is sufficient. The statement should at least provide the award number, source of funding, title of award, dates of project and annual direct costs for each support item listed.
7. PI Demographics: Please enter demographic data for the applicant. For required responses, the applicant can select Prefer Not to Disclose. Please click on Edit Professional Profile and navigate to Personal Data for Applications to update or change selections.

The demographic data provided by applicants to the Simons Foundation will serve multiple purposes: to help us understand how our grantmaking reflects the communities we seek to serve and to equip our staff with critical data to help create equitable funding opportunities as one part of our overall commitment to diversity, equity and inclusion. Demographic data will not be shared with reviewers or otherwise used during the application review process. Aggregate data may be used publicly. Demographic data may be visible to a subset of Simons Foundation staff, such as programmatic and grantmaking staff. If you wish to review our data collection and use practices, please refer to the Simons Foundation’s privacy policy.

8. Validate: Click the Validate button to check for any missing required information or files. All missing required information will be listed on the screen and must be corrected before the application can be submitted.
9. Submit: This section will only appear if the deadline has not passed.

LOI Approval:
A submitted LOI will remain in the queue of the Proposals tab in proposalCENTRAL. If an LOI is approved, the LOI status changes to ‘LOI: Approved’ and the Proposal status changes to ‘Proposal: In Progress’ in the Status column. Click the Edit button to gain access to the full proposal application.

Full Proposal:

1. Title Page: The application title will be prepopulated with the title entered in the LOI section. The title of the full proposal can be changed slightly as long as it adheres to the subject matter in the approved LOI.

• Signed Signature Page Template: Must be completed by the institution of each nonapplicant PI for whom a budget is also being submitted. Please see below for further instructions.
• Collaboration Summary Budget Template: Must be completed by the director, showing the annual amounts allocated to the director, each PI and the director’s discretionary fund. Please see below for further instructions.
• PI Budget & Justification Template: Must be completed by each nonapplicant PI and his/her institution that will be receiving a separate award. Please see below for further instructions.
3. Enable Other Users to Access this Proposal: This screen allows users to give other users access to the grant application, if necessary.
4. Applicant: This information is preloaded from the applicant PI’s professional profile. The applicant’s name should reflect the name of the collaboration director.
6. Key Personnel: Indicate all key personnel, other than the applicant PI/director, with their corresponding institution, including additional PIs, co-Investigators (co-I), collaborators, consultants, postdoctoral research associates and others. Key personnel include individuals who contribute to the scientific development or execution of a project in a substantive, measurable way, whether or not they request salaries or compensation.
7. Budget Period Detail: Provide a detailed, four-year budget for the applicant PI/director. This does not include the discretionary funds held at the foundation. PIs and co-Investigators should be noted as personnel in a budget even if not requesting salary.

All other budgets for non-applicant PIs and the collaboration summary budget must be uploaded in the Proposal Attachments section using the provided templates. All budgets must be in U.S. dollars. The director’s budget should not be uploaded in the Proposal Attachments section. template.

8. Budget Summary & Justification: This section summarizes the applicant PI/director’s four-year budget entered in the Budget Period Detail section. Please provide justification for the director’s budget in the categories noted. The character limit for each box is 8,000. Please note that the budget justification should be detailed and appropriate for the funds being requested. An insufficient budget justification will result in the proposal not being considered further.
• Scientific Questions and Research Goals (12-page limit, plus up to two pages for references and figures, which can be embedded within the text): A summary of the scientific questions and research goals, including an outline of relevant previous work of each PI and others involved, and a description of the planned research, including preliminary results (if relevant) and an explanation of how the research of the different PIs will be coordinated.
• Collaboration Summary Budget: A summary budget must be completed by the director, using the provided template, showing the annual amounts allocated to the director, each PI and the director’s discretionary fund, which will be held at the foundation to address future needs that could not have been anticipated or estimated prior to the submission of the proposal. Please add additional lines as necessary for PIs.
• PI Budget & Justification: For each non-applicant PI who will be receiving a separate award, a detailed, four-year budget and justification, using the provided template, must be completed by their institution. For PIs with subcontracts, a subcontract budget and budget justification for each subcontract must be included. All budgets must be in U.S. dollars. The ‘Complete 1st-Detail Yr1′ worksheet should be completed first. The PI Budget Summary worksheet will auto-populate with the amounts provided in the corresponding worksheets; the institution’s signing official must sign this worksheet. The consortium and contractual costs in the detail yearly budgets will auto-populate with the total costs in the sub-budget yearly worksheets.

PIs and co-Investigators must be noted as personnel in a budget even if not requesting salary.

Please note that fields should be completed as appropriate and should not be left blank where information is requested. Budget justifications should be detailed and appropriate for the funds being requested. Insufficient budgets and justifications may result in the proposal not being considered further. Please be cognizant of the notification and award start dates when preparing the budget, particularly in year one with regard to the timeline for the hiring of postdoctoral fellows.

Note: Do not upload the director’s budget. Their budget should be entered in section 7, Budget Period Detail.

• An NIH- or NSF-style Biosketch: A biosketch is to be submitted for each PI and co-I, including the director, and must include:
• professional preparation, positions held and honors and awards;
• a list of current and former collaborators, postdoctoral fellows supervised and Ph.D. students trained within the past five years; and
• a list of up to 10 relevant publications.
• Statement of Current and Pending Support: A statement should be submitted for each PI and co-I, including the director. (Current and pending support should not be submitted for non-funded collaborators.) NSF format is sufficient. It should at least provide the award number, source of funding, title of award, dates of project and annual direct costs for each support item listed.
• 501(c)(3) Equivalency Determination Letter from the IRS or Equivalency Certificate from NGOsource (if applicable):
• See Simons Foundation’s grant policies for requirements for grants to international institutions. The Simons Foundation requires that an institution is the equivalent of a U.S. public charity before making the award.
• If an international institution has been issued a determination letter from the Internal Revenue Service (IRS) of the United States stating exemption under 501(c)(3) and, furthermore, either a 509(a)(1), (2) or (3) classification, a copy of this letter must be uploaded to the application.
• If an international institution has previously been approved as equivalent of a U.S. public charity via NGOsource, a copy of the issued certificate must be uploaded to the application.
• If an international institution does not have the letter or certificate at the application stage, do not upload anything for this attachment type.
• If an international institution is selected for funding and does not have one of the aforementioned documents, the foundation will require that the institution complete an equivalency determination with NGOsource. The foundation will handle all administrative and financial aspects of this determination.
• IRS letters should not be uploaded for U.S. institutions.
• Applicable documentation should be uploaded for the institution of each PI, including the director.
• Signed Signature Page: A signature page must be submitted by the institution of the director and each PI for whom a budget is also being submitted.
• Applicant PI/Director: The signature page for the application must be downloaded in the Signature Page(s) section. It should be signed by the designated signing official from the institution’s sponsored research office (or equivalent). Please note that not all fields on the generated signature page will be populated. Only the signed first page of the applicant’s signature page PDF file needs to be uploaded.
• PIs Submitting a Budget: A blank signature page is available in the Download Templates & Instructions section and must be completed and signed by the institution of each nonapplicant PI for whom a budget is being submitted. The signing official name and contact information should be provided in the signing official placeholder on the first page. Each institution must also provide the name and contact information of the financial officer on the second page of contacts. Completed and signed signature pages should then be re-uploaded in the Proposal Attachments section of the application. Only the signature of the signing official is required for each institution. The signed signature page will indicate that the program terms and applicable proposal attachments have been reviewed and approved by each PI’s institution. Please see the Simons Foundation’s grant policies for a description of the responsibilities of the signing official and financial officer.
10. PI Demographics: Please enter demographic data for the applicant. For required responses, the applicant can select Prefer Not to Disclose. Please click on Edit Professional Profile and navigate to Personal Data for Applications to update or change selections.

The demographic data provided by applicants to the Simons Foundation will serve multiple purposes: to help us understand how our grantmaking reflects the communities we seek to serve and to equip our staff with critical data to help create equitable funding opportunities as one part of our overall commitment to diversity, equity and inclusion. Demographic data will not be shared with reviewers or otherwise used during the application review process. Aggregate data may be used publicly. Demographic data may be visible to a subset of Simons Foundation staff, such as programmatic and grantmaking staff. If you wish to review our data collection and use practices, please refer to the Simons Foundation’s privacy policy.

11. Validate: Click the Validate button to check for any missing required information or files. All missing required information will be listed on the screen and must be corrected before the application can be submitted.
12. Signature Page(s): Once all sections are completed, the signed signature page is to be downloaded in this section of the application, signed by the signing official from the applicant’s institution’s sponsored research office (or equivalent) and then re-uploaded as a proposal attachment.
13. Submit: This section will only appear if the deadline has not passed.
Important Dates
• Award Start Date
Contact Info
1. Can the director upload the proposal attachments for the Principal Investigators (PIs), or do the individual PIs/institutions need to do this?

It does not matter who uploads the required information to the application as long as the required signatures are present on the signature pages and budgets. PIs and their institutions would need to be granted access to the in-progress full proposal application via the Enable Other Users to Access this Proposal section.

2. How will discretionary funds held at the foundation be made available to the director and PIs?

The funds will be provided to the director and PIs as supplements to existing awards. Funds will be disbursed on request of the PI and director after approval by the foundation. These funds can also be used to fund new PIs per a request from the director.

3. Is this program explicitly or implicitly aiming to fund multi-institutional collaborations?

There is no explicit or implicit aim to fund multi-institutional collaborations. There is no requirement that at least one of the PIs be from a different department, university, state or nation. However, this is the likely scenario for many of the proposals.

4. How important is it to have the full group of PIs in place for the LOI or full proposal? Can we add more PIs if we are selected to submit a full proposal or if our proposal is funded?

More PIs can be added at the full proposal stage or after the award is made as long as it is within the budget guidelines. However, LOIs and full proposals will be judged in part on the quality of the proposed PIs.

5. Can the collaboration project include an experimental component?

The foundation would allow experimental components if they are essential to the science. A proposal primarily for experiment would not be appropriate.

6. To whom is the collaboration project awarded?

The institutions for the director of the collaboration and each PI (for whom a budget and signature page are submitted) will receive individual awards as part of the collaboration.

7. Is there a typical number of PIs that is envisioned for the proposal?

No, but we suggest at least four to five.

8. Can a PI hold a deputy director position?

The foundation only recognizes one director per collaboration; any other title provided to PIs in your collaboration or other collaborations is a matter internal to the collaboration.

9. If my LOI is not approved this year, may I reapply next year?

Yes, there is no limit to the number of times one can reapply.

10. I currently hold a Simons Fellowship or a Simons Investigator award. Am I eligible to be a collaboration director or founding PI?

Yes, being a Simons Fellow or a Simons Investigator (in either math, physics, astrophysics, computer science or MMLS) does not disqualify you from applying as part of a collaboration project. However, an active Math+X Investigator cannot be an active collaboration director or PI.

11. Does the letter of intent (LOI) submission require institutional signature(s)?

In the LOI section of the application, the applicant/director needs to select the signing official and financial officer from a list of officials associated with their university or add a new official by entering their email address. The signature page is only required for the full proposal. The project narrative component of the LOI requires a signature by the collaboration director on institutional letterhead.

Other Funding Opportunities
Program Name
Important Dates
Description

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#### Simons Fellows in Mathematics

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#### Simons Fellows in Theoretical Physics

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