Program Solicitation NSF 21-500

National Science Foundation Directorate for Computer and Information Science and Engineering      Division of Computer and Network Systems      Division of Computing and Communication Foundations      Division of Information and Intelligent Systems      Office of Advanced Cyberinfrastructure Directorate for Social, Behavioral and Economic Sciences      Division of Social and Economic Sciences      Division of Behavioral and Cognitive Sciences Directorate for Mathematical and Physical Sciences      Division of Mathematical Sciences Directorate for Engineering      Division of Electrical, Communications and Cyber Systems Directorate for Education and Human Resources      Division of Graduate Education

Submission Window Date(s) (due by 5 p.m. submitter's local time):

     January 21, 2021 - January 29, 2021

      LARGE proposals

     Proposals Accepted Anytime

      SMALL, MEDIUM, and EDU projects

Important Information And Revision Notes

Summary Of Program Requirements

General Information

Program Title:

Synopsis of Program:

In today's increasingly networked, distributed, and asynchronous world, cybersecurity involves hardware, software, networks, data, people, and integration with the physical world. Society's overwhelming reliance on this complex cyberspace, however, has exposed its fragility and vulnerabilities that defy existing cyber-defense measures; corporations, agencies, national infrastructure and individuals continue to suffer cyber-attacks. Achieving a truly secure cyberspace requires addressing both challenging scientific and engineering problems involving many components of a system, and vulnerabilities that stem from human behaviors and choices. Examining the fundamentals of security and privacy as a multidisciplinary subject can lead to fundamentally new ways to design, build and operate cyber systems, protect existing infrastructure, and motivate and educate individuals about cybersecurity.

The goals of the SaTC program are aligned with the National Science and Technology Council's (NSTC) Federal Cybersecurity Research and Development Strategic Plan (RDSP) and National Privacy Research Strategy (NPRS) to protect and preserve the growing social and economic benefits of cyber systems while ensuring security and privacy. The RDSP identified six areas critical to successful cybersecurity research and development: (1) scientific foundations; (2) risk management; (3) human aspects; (4) transitioning successful research into practice; (5) workforce development; and (6) enhancing the research infrastructure. The NPRS, which complements the RDSP, identifies a framework for privacy research, anchored in characterizing privacy expectations, understanding privacy violations, engineering privacy-protecting systems, and recovering from privacy violations. In alignment with the objectives in both strategic plans, the SaTC program takes an interdisciplinary, comprehensive and holistic approach to cybersecurity research, development, and education, and encourages the transition of promising research ideas into practice.

The SaTC program welcomes proposals that address cybersecurity and privacy, and draw on expertise in one or more of these areas: computing, communication and information sciences; engineering; education; mathematics; statistics; and social, behavioral, and economic sciences. Proposals that advance the field of cybersecurity and privacy within a single discipline or interdisciplinary efforts that span multiple disciplines are both welcome.

Proposals must be submitted pursuant to one of the following designations, each of which may have additional restrictions and administrative obligations as specified in this program solicitation.

• CORE: This designation is the main focus of the SaTC research program, spanning the interests of NSF's Directorates for Computer and Information Science and Engineering (CISE), Engineering (ENG), Mathematical and Physical Sciences (MPS), and Social, Behavioral and Economic Sciences (SBE).
• EDU: The Education (EDU) designation will be used to label proposals focusing entirely on cybersecurity education.
• TTP: The Transition to Practice (TTP) designation will be used to label proposals that are focused exclusively on transitioning existing research results to practice.

CORE and TTP proposals may be submitted in one of the following project size classes:

• Small projects: up to $500,000 in total budget, with durations of up to three years; and
• Medium projects: $500,001 to $1,200,000 in total budget, with durations of up to four years.

CORE proposals (but not TTP or EDU proposals) may also be submitted in the following project size class:

• Large projects: $1,200,001 to $3,000,000 in total budget, with durations of up to five years.

EDU proposals are limited to $400,000 in total budget, with durations of up to three years. Proposals that demonstrate a collaboration, reflected in the PI, co-PI, and/or Senior Personnel composition, between a cybersecurity subject matter expert (researcher or practitioner) and an education researcher may request up to $500,000 for three years.

Cognizant Program Officer(s):

Please note that the following information is current at the time of publishing. See program website for any updates to the points of contact.

• Jeremy J. Epstein, Program Director, CISE/CNS, telephone: (703) 292-8338, email: jepstein@nsf.gov
• Nina Amla, Program Director, CISE/CCF, telephone: (703) 292-7991, email: namla@nsf.gov
• Robert Beverly, Program Director, CISE/OAC, telephone: (703) 292-7068, email: rbeverly@nsf.gov
• Daniel R. Cosley, Program Director, CISE/IIS, telephone: (703) 292-8832, email: dcosley@nsf.gov
• Sol Greenspan, Program Director, CISE/CCF, telephone: (703) 292-8910, email: sgreensp@nsf.gov
• Leland M. Jameson, Program Director, MPS/DMS, telephone: (703) 292-4883, email: ljameson@nsf.gov
• James Joshi, Program Director, CISE/CNS, telephone: (703) 292 8950, email: jjoshi@nsf.gov
• Sara Kiesler, Program Director, SBE/SES, telephone: (703) 292-8643, email: skiesler@nsf.gov
• Wei-Shinn Ku, Program Director, CISE/IIS, telephone: (703) 292-8318, email: weiku@nsf.gov
• Rosa Lukaszew,Program Director, ENG/ECCS, telephone: (703) 292-8103, email: rlukasze@nsf.gov
• Daniela Oliveira, Program Director, CISE/CNS, telephone: (703) 292-4352, email: doliveir@nsf.gov
• Victor P. Piotrowski, Program Director, EHR/DGE, telephone: (703) 292-5141, email: vpiotrow@nsf.gov
• Andrew D. Pollington, Program Director, MPS/DMS, telephone: (703) 292-4878, email: adpollin@nsf.gov
• Balakrishnan Prabhakaran, Program Director, CISE/IIS, telephone: (703) 292-4847, email: bprabhak@nsf.gov
• Indrajit Ray, Program Director, CISE/CNS, telephone: (703) 292-8950, email: iray@nsf.gov
• Phillip A. Regalia, Program Director, CISE/CCF, telephone: (703) 292-2981, email: pregalia@nsf.gov
• Alexander Sprintson, Program Director, CISE/CNS, telephone: (703) 292-8950, email: asprints@nsf.gov
• Nigamanth Sridhar, Program Director, EHR/DGE, telephone: (703) 292-7294, email: nsridhar@nsf.gov
• Li Yang, Program Director, EHR/DGE, telephone: (703) 292-2677, email: liyang@nsf.gov

Applicable Catalog of Federal Domestic Assistance (CFDA) Number(s):

• 47.041 --- Engineering
• 47.049 --- Mathematical and Physical Sciences
• 47.070 --- Computer and Information Science and Engineering
• 47.075 --- Social Behavioral and Economic Sciences
• 47.076 --- Education and Human Resources

Award Information

Anticipated Type of Award: Standard Grant or Continuing Grant

Estimated Number of Awards: 78

NSF anticipates approximately 15 EDU awards, 35 Small awards, 25 Medium awards, and 3 Large awards.

Anticipated Funding Amount: $69,000,000 per year, dependent on the availability of funds.

Eligibility Information

Who May Submit Proposals:

Proposals may only be submitted by the following:

• Institutions of Higher Education (IHEs) - Two- and four-year IHEs (including community colleges) accredited in, and having a campus located in the US, acting on behalf of their faculty members. Special Instructions for International Branch Campuses of US IHEs: If the proposal includes funding to be provided to an international branch campus of a US institution of higher education (including through use of subawards and consultant arrangements), the proposer must explain the benefit(s) to the project of performance at the international branch campus, and justify why the project activities cannot be performed at the US campus.
• Non-profit, non-academic organizations: Independent museums, observatories, research labs, professional societies and similar organizations in the U.S. associated with educational or research activities.

Who May Serve as PI:

By the submission deadline, any PI, co-PI, or other senior project personnel must hold either:

• a tenured or tenure-track position, or
• a primary, full-time, paid appointment in a research or teaching position

at a US-based campus of an organization eligible to submit to this solicitation (see above), with exceptions granted for family or medical leave, as determined by the submitting organization. Individuals with primary appointments at for-profit non-academic organizations or at overseas branch campuses of U.S. institutions of higher education are not eligible.

Proposals from Minority Serving Institutions (MSIs) are particularly encouraged.

Limit on Number of Proposals per Organization:

There are no restrictions or limits.

Limit on Number of Proposals per PI or Co-PI: 4

An individual can participate as a PI, co-PI or senior personnel on no more than four SaTC proposals. There is a limit of:

• two proposals designated as CORE (across Small, Medium, and Large);
• one proposal designated as TTP (across Small and Medium); and
• one proposal designated as EDU.

These limits apply for the period from October 1st to September 30th of the following year to all proposals in response to this solicitation and are unrelated to any limits imposed in other NSF solicitations. Note that Large proposals have a specific time window for submission; the other project size classes may be submitted any time.

To treat everyone fairly and consistently, these eligibility constraints will be strictly enforced. If an individual exceeds these limits, only proposals received within the limits will be accepted, based on earliest date and time of proposal submission. No exceptions will be made.

Proposals that are withdrawn or returned without review will not count against this proposal limit.

Proposal Preparation and Submission Instructions

A. Proposal Preparation Instructions

• Letters of Intent: Not required
• Preliminary Proposal Submission: Not required
• Full Proposals:
  • Full Proposals submitted via FastLane: NSF Proposal and Award Policies and Procedures Guide (PAPPG) guidelines apply. The complete text of the PAPPG is available electronically on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg.
  • Full Proposals submitted via Grants.gov: NSF Grants.gov Application Guide: A Guide for the Preparation and Submission of NSF Applications via Grants.gov guidelines apply (Note: The NSF Grants.gov Application Guide is available on the Grants.gov website and on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=grantsgovguide).

B. Budgetary Information

• Cost Sharing Requirements:

  Inclusion of voluntary committed cost sharing is prohibited.

• Indirect Cost (F&A) Limitations:

  Not Applicable

• Other Budgetary Limitations:

  Other budgetary limitations apply. Please see the full text of this solicitation for further information.

C. Due Dates

• Submission Window Date(s) (due by 5 p.m. submitter's local time):

       January 21, 2021 - January 29, 2021

        LARGE proposals

       Proposals Accepted Anytime

        SMALL, MEDIUM, and EDU projects

Proposal Review Information Criteria

Merit Review Criteria:

National Science Board approved criteria. Additional merit review criteria apply. Please see the full text of this solicitation for further information.

Award Administration Information

Award Conditions:

Additional award conditions apply. Please see the full text of this solicitation for further information.

Reporting Requirements:

Standard NSF reporting requirements apply.

I. Introduction

II. Program Description

III. Award Information

IV. Eligibility Information

Who May Submit Proposals:

Proposals may only be submitted by the following:

• Institutions of Higher Education (IHEs) - Two- and four-year IHEs (including community colleges) accredited in, and having a campus located in the US, acting on behalf of their faculty members. Special Instructions for International Branch Campuses of US IHEs: If the proposal includes funding to be provided to an international branch campus of a US institution of higher education (including through use of subawards and consultant arrangements), the proposer must explain the benefit(s) to the project of performance at the international branch campus, and justify why the project activities cannot be performed at the US campus.
• Non-profit, non-academic organizations: Independent museums, observatories, research labs, professional societies and similar organizations in the U.S. associated with educational or research activities.

Who May Serve as PI:

By the submission deadline, any PI, co-PI, or other senior project personnel must hold either:

• a tenured or tenure-track position, or
• a primary, full-time, paid appointment in a research or teaching position

at a US-based campus of an organization eligible to submit to this solicitation (see above), with exceptions granted for family or medical leave, as determined by the submitting organization. Individuals with primary appointments at for-profit non-academic organizations or at overseas branch campuses of U.S. institutions of higher education are not eligible.

Proposals from Minority Serving Institutions (MSIs) are particularly encouraged.

Limit on Number of Proposals per Organization:

There are no restrictions or limits.

Limit on Number of Proposals per PI or Co-PI: 4

An individual can participate as a PI, co-PI or senior personnel on no more than four SaTC proposals. There is a limit of:

• two proposals designated as CORE (across Small, Medium, and Large);
• one proposal designated as TTP (across Small and Medium); and
• one proposal designated as EDU.

These limits apply for the period from October 1st to September 30th of the following year to all proposals in response to this solicitation and are unrelated to any limits imposed in other NSF solicitations. Note that Large proposals have a specific time window for submission; the other project size classes may be submitted any time.

To treat everyone fairly and consistently, these eligibility constraints will be strictly enforced. If an individual exceeds these limits, only proposals received within the limits will be accepted, based on earliest date and time of proposal submission. No exceptions will be made.

Proposals that are withdrawn or returned without review will not count against this proposal limit.

Additional Eligibility Info:

Subawards are not permitted to overseas campuses/offices of US-based proposing organizations.

V. Proposal Preparation And Submission Instructions

A. Proposal Preparation Instructions

Full Proposal Preparation Instructions: Proposers may opt to submit proposals in response to this Program Solicitation via FastLane or Grants.gov.

• Full proposals submitted via FastLane: Proposals submitted in response to this program solicitation should be prepared and submitted in accordance with the general guidelines contained in the NSF Proposal & Award Policies & Procedures Guide (PAPPG). The complete text of the PAPPG is available electronically on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg. Paper copies of the PAPPG may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-8134 or by e-mail from nsfpubs@nsf.gov. Proposers are reminded to identify this program solicitation number in the program solicitation block on the NSF Cover Sheet For Proposal to the National Science Foundation. Compliance with this requirement is critical to determining the relevant proposal processing guidelines. Failure to submit this information may delay processing.
• Full proposals submitted via Grants.gov: Proposals submitted in response to this program solicitation via Grants.gov should be prepared and submitted in accordance with the NSF Grants.gov Application Guide: A Guide for the Preparation and Submission of NSF Applications via Grants.gov. The complete text of the NSF Grants.gov Application Guide is available on the Grants.gov website and on the NSF website at: (https://www.nsf.gov/publications/pub_summ.jsp?ods_key=grantsgovguide). To obtain copies of the Application Guide and Application Forms Package, click on the Apply tab on the Grants.gov site, then click on the Apply Step 1: Download a Grant Application Package and Application Instructions link and enter the funding opportunity number, (the program solicitation number without the NSF prefix) and press the Download Package button. Paper copies of the Grants.gov Application Guide also may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-8134 or by e-mail from nsfpubs@nsf.gov.

In determining which method to utilize in the electronic preparation and submission of the proposal, please note the following:

Collaborative Proposals. All collaborative proposals submitted as separate submissions from multiple organizations must be submitted via the NSF FastLane system. PAPPG Chapter II.D.3 provides additional information on collaborative proposals.

See PAPPG Chapter II.C.2 for guidance on the required sections of a full research proposal submitted to NSF. Please note that the proposal preparation instructions provided in this program solicitation may deviate from the PAPPG instructions.

The following information SUPPLEMENTS (note that it does NOT replace) the guidelines provided in the NSF Proposal & Award Policies & Procedures Guide (PAPPG). See also Section II, Program Description, in this solicitation for additional guidance.

All proposals must be submitted to the CNS division, regardless of the proposal's designation.

Proposal Titles:

Proposal titles must begin with the acronym SaTC, followed by a colon, and the acronym that indicates the designation. Select an acronym from the following list:

• SaTC core research designation: CORE;
• Transition to Practice designation: TTP; or
• Cybersecurity Education designation: EDU.

CORE proposals can be Small, Medium, or Large. The acronym, CORE, should be followed by a colon, then the project size class (Small, Medium, or Large) followed by a colon, and then the title of the proposed project. For example, if you are submitting a CORE Small proposal, the title of your proposal would be SaTC: CORE: Small: Title. Similarly, since TTP proposals can be Small or Medium, the acronym TTP should be followed by a colon, the project class (Small or Medium) followed by a colon and then the title of the proposed project.

If you submit a proposal as part of a set of collaborative proposals, the words "Collaborative Research" followed by a colon should appear in the title before the designation (CORE, TTP, or EDU) and project size class identifier (for CORE, Small, Medium, or Large; for TTP, Small or Medium). For example, if you are submitting a collaborative set of proposals for a Medium project to the SaTC TTP designation, the title of each proposal would be Collaborative Research: SaTC: TTP: Medium: Title. The titles of Cybersecurity Education proposals must contain EDU. For example, the title of a collaborative EDU proposal should be Collaborative Research: SaTC: EDU: Title.

Project Summary:

SaTC proposals are grouped into "review panels" of related proposals for merit review and discussion. Panelists are selected for their expertise in the panel topic area. The suggested topic areas indicate the areas of panelist expertise that are most important for understanding the innovative aspects of the proposal.

All proposals must include a prioritized list of 1-3 keywords separated by ";". The keywords must be drawn from the list of topic areas listed below, described in detail in Section II Program Description, that best characterizes the project. Proposals submitted to the EDU designation must choose Cybersecurity Education as one of the keywords, and proposals submitted to the TTP designation must choose Transition to Practice as one of the keywords.

• Authentication and Access Control
• Cryptography, Applied
• Cryptography, Theory
• Cyber-Physical Systems
• Cybersecurity Education
• Data Science, ML and AI
• Formal Methods and Language-based Security
• Hardware Security Architecture
• Hardware Security Design
• Human-Centric Computing
• Information Authenticity
• Intrusion Detection
• Mathematics and Statistics
• Networking, Wired
• Networking, Wireless
• Privacy, Applied
• Privacy, Theory
• Social, Behavioral and Economic Sciences
• Software
• Systems
• Transition to Practice

Project Description:

Describe the research and education activities to be undertaken in up to 15 pages for Small, Medium, and Education proposal designations. Large class proposals should describe the research and education activities in up to 20 pages. See also Section II, Program Description, in this solicitation for additional guidance.

Supplementary Documents:

In the Supplementary Documents Section, upload the following:

1. A list of Project Personnel and Partner Institutions (Note: In collaborative proposals, the lead institution should provide this information for all participants):

Provide current, accurate information for all personnel and institutions involved in the project. NSF staff will use this information in the merit review process to manage reviewer selection. The list must include all PIs, co-PIs, Senior Personnel, paid/unpaid Consultants or Collaborators, Subawardees, Postdocs, and project-level advisory committee members. This list should be numbered and include (in this order) Full name, Organization(s), and Role in the project, with each item separated by a semi-colon. Each person listed should start a new numbered line. For example:

1. Mary Smith; XYZ University; PI
2. John Jones; University of PQR; Senior Personnel
3. Jane Brown; XYZ University; Postdoc
4. Bob Adams; ABC Community College; Paid Consultant
5. Susan White; DEF Corporation; Unpaid Collaborator
6. Tim Green; ZZZ University; Subawardee

2. Collaboration Plans:

Because the success of collaborative research efforts is known to depend on thoughtful coordination mechanisms that regularly bring together the various participants of the project, all Medium proposals that include more than one investigator and all Large proposals must include a Collaboration Plan of up to 2 pages. The length of and degree of detail provided in the Collaboration Plan should be commensurate with the complexity of the proposed project. Where appropriate, the Collaboration Plan might include: 1) the specific roles of the project participants in all organizations involved; 2) information on how the project will be managed across all the investigators, institutions, and/or disciplines; 3) identification of the specific coordination mechanisms that will enable cross-investigator, cross-institution, and/or cross-discipline scientific integration (e.g., yearly conferences, graduate student exchange, project meetings at conferences, use of the grid for video conferences, software repositories, etc.), and 4) specific references to the budget line items that support collaboration and coordination mechanisms. If a Large proposal, or a Medium proposal with more than one investigator does not include a Collaboration Plan of up to 2 pages, that proposal will be returned without review.

Collaborations plans are optional for Small and EDU proposals with multiple investigators and/or institutions.

3. Data Management Plan (required):

Proposals must include a Supplementary Document of no more than two pages labeled "Data Management Plan." The data management plan must be substantive and specific to the project and should address all project-relevant aspects of data privacy and security. In addition to addressing how the project will conform to NSF's policy on the dissemination and sharing of research results, the Data Management Plan should address the following topics if they are relevant to the project:

• Handling of sensitive data: sensitivity of the data to be collected, ethics of data collection and identification of harms that could arise from its collection or inadvertent dissemination, techniques that will be used to protect the privacy of individuals and organizations associated with the data; and plans to request Institutional Review Board (IRB) approval for data collection, aggregation, and analysis.
• Data sharing: methods for providing other researchers with controlled access to datasets and the time period during which data will be available. If the project will develop software or hardware, the Data Management Plan should discuss not only what access other researchers will have to source code or hardware design artifacts (e.g., specific open source licenses) and the physical location of the data repository (e.g., commercial cloud, private server, campus server), but also the method by which other researchers may access these products of the project (e.g., GitHub repository).
• Authorization for data access and protection of data: policies for authorizing access to the data and techniques (including security protections) that will be used to prevent the unauthorized dissemination of the data.

See Chapter II.C.2.j of the PAPPG for full policy implementation.

For additional information on the Dissemination and Sharing of Research Results, see: https://www.nsf.gov/bfa/dias/policy/dmp.jsp.

4. Broadening Participation in Computing (BPC) Plans for Medium and Large projects:

Each Medium or Large project that with a lead or nonlead organization (department, school, or institute) that primarily carries out research and education in computer science, computer engineering, information science, and/or other closely-related field, must, by the time of award, have in place an approved BPC plan. In this ongoing pilot phase, CISE will work with each PI team prior to making an award to ensure that plans are meaningful and include concrete metrics for success. CISE will also provide opportunities for PIs to share BPC experiences and innovations through program PI meetings. PIs of Medium or Large proposals are therefore strongly encouraged to consider this eventual requirement as they develop their proposals, and to include descriptions (of one to three pages) of their planned BPC activities under Supplementary Documents in their submissions. Feedback will be provided on such plans.

No other Supplementary Documents, except as permitted by the NSF Proposal & Award Policies & Procedures Guide, are allowed.

Single Copy Documents:

Collaborators and Other Affiliations Information: Proposers should follow the guidance specified in Chapter II.C.1.e of the NSF PAPPG.

Note the distinction to item (1) under Supplementary Documents above: the listing of all project participants is collected by the project lead and entered as a Supplementary Document, which is then automatically included with all proposals in a project. The Collaborators and Other Affiliations are entered for each participant within each proposal and, as Single Copy Documents, are available only to NSF staff.

Submission Checklist:

In an effort to assist proposal preparation, the following checklist is provided as a reminder of the items that should be checked before submitting a SaTC proposal to this solicitation. This list is a summary of the requirements described above. For the items marked with (RWR), the proposal will be returned without review if the required item is noncompliant as of the date of proposal submission.

• The last line of the Project Summary must consist of the word "Keywords" followed by a colon and between 1-3 keywords, separated by semi-colons, corresponding to the list of topic areas (listed above).
• (RWR) The Project Description must have a section labeled "Relevance to SaTC" that discusses the potential impact of the research with respect to the goals of the SaTC program, and justifies the selection of the keywords.
• (RWR) Maximum budget shown on the Cover Sheet and on the budget sheets must not exceed $500,000 for Small proposals, $1,200,000 for Medium proposals, $3,000,000 for Large proposals, and $400,000 ($500,000 if special conditions listed above are met) for EDU proposals.
• (RWR) If more than one PI is involved, a collaboration plan (up to 2 pages) must be provided for Medium projects as a Supplementary Document, even if all investigators are affiliated with the same institution.
• (RWR) A collaboration plan (up to 2 pages) must be provided for Large projects as a Supplementary Document.
• (RWR) The Project Description must not exceed 15 pages for Small, Medium, and EDU proposals, and 20 pages for Large proposals.
• A Project Personnel and Partner Institutions list as a Supplementary Document should be included.

Proposals that do not comply with the requirements marked as RWR will be returned without review.

B. Budgetary Information

Cost Sharing:

Inclusion of voluntary committed cost sharing is prohibited.

Other Budgetary Limitations:

Budgets for Education, Small, and Medium projects must include funding for one or more project representatives (PI/co-PI/senior researcher or NSF-approved replacement) to attend the first SaTC PI meeting held after the beginning of the award. Budgets for Large projects must include funding for one or more project representatives (PI/co-PI/senior researcher or NSF-approved replacement) to attend a SaTC PI meeting to be held every other year for the duration of the projects. The first PI meeting for awards made under this solicitation is expected in Fall 2021. These requirements for PI meeting attendance apply to collaborative proposals as a whole, not to each part of a project.

C. Due Dates

• Submission Window Date(s) (due by 5 p.m. submitter's local time):

       January 21, 2021 - January 29, 2021

        LARGE proposals

       Proposals Accepted Anytime

        SMALL, MEDIUM, and EDU projects

D. FastLane/Research.gov/Grants.gov Requirements

For Proposals Submitted Via FastLane or Research.gov:

To prepare and submit a proposal via FastLane, see detailed technical instructions available at: https://www.fastlane.nsf.gov/a1/newstan.htm. To prepare and submit a proposal via Research.gov, see detailed technical instructions available at: https://www.research.gov/research-portal/appmanager/base/desktop?_nfpb=true&_pageLabel=research_node_display&_nodePath=/researchGov/Service/Desktop/ProposalPreparationandSubmission.html. For FastLane or Research.gov user support, call the FastLane and Research.gov Help Desk at 1-800-673-6188 or e-mail fastlane@nsf.gov or rgov@nsf.gov. The FastLane and Research.gov Help Desk answers general technical questions related to the use of the FastLane and Research.gov systems. Specific questions related to this program solicitation should be referred to the NSF program staff contact(s) listed in Section VIII of this funding opportunity.

For Proposals Submitted Via Grants.gov:

Before using Grants.gov for the first time, each organization must register to create an institutional profile. Once registered, the applicant's organization can then apply for any federal grant on the Grants.gov website. Comprehensive information about using Grants.gov is available on the Grants.gov Applicant Resources webpage: https://www.grants.gov/web/grants/applicants.html. In addition, the NSF Grants.gov Application Guide (see link in Section V.A) provides instructions regarding the technical preparation of proposals via Grants.gov. For Grants.gov user support, contact the Grants.gov Contact Center at 1-800-518-4726 or by email: support@grants.gov. The Grants.gov Contact Center answers general technical questions related to the use of Grants.gov. Specific questions related to this program solicitation should be referred to the NSF program staff contact(s) listed in Section VIII of this solicitation.

Submitting the Proposal: Once all documents have been completed, the Authorized Organizational Representative (AOR) must submit the application to Grants.gov and verify the desired funding opportunity and agency to which the application is submitted. The AOR must then sign and submit the application to Grants.gov. The completed application will be transferred to the NSF FastLane system for further processing.

Proposers that submitted via FastLane or Research.gov may use Research.gov to verify the status of their submission to NSF. For proposers that submitted via Grants.gov, until an application has been received and validated by NSF, the Authorized Organizational Representative may check the status of an application on Grants.gov. After proposers have received an e-mail notification from NSF, Research.gov should be used to check the status of an application.

VI. NSF Proposal Processing And Review Procedures

Proposals received by NSF are assigned to the appropriate NSF program for acknowledgement and, if they meet NSF requirements, for review. All proposals are carefully reviewed by a scientist, engineer, or educator serving as an NSF Program Officer, and usually by three to ten other persons outside NSF either as ad hoc reviewers, panelists, or both, who are experts in the particular fields represented by the proposal. These reviewers are selected by Program Officers charged with oversight of the review process. Proposers are invited to suggest names of persons they believe are especially well qualified to review the proposal and/or persons they would prefer not review the proposal. These suggestions may serve as one source in the reviewer selection process at the Program Officer's discretion. Submission of such names, however, is optional. Care is taken to ensure that reviewers have no conflicts of interest with the proposal. In addition, Program Officers may obtain comments from site visits before recommending final action on proposals. Senior NSF staff further review recommendations for awards. A flowchart that depicts the entire NSF proposal and award process (and associated timeline) is included in PAPPG Exhibit III-1.

A comprehensive description of the Foundation's merit review process is available on the NSF website at: https://www.nsf.gov/bfa/dias/policy/merit_review/.

Proposers should also be aware of core strategies that are essential to the fulfillment of NSF's mission, as articulated in Building the Future: Investing in Discovery and Innovation - NSF Strategic Plan for Fiscal Years (FY) 2018 – 2022. These strategies are integrated in the program planning and implementation process, of which proposal review is one part. NSF's mission is particularly well-implemented through the integration of research and education and broadening participation in NSF programs, projects, and activities.

One of the strategic objectives in support of NSF's mission is to foster integration of research and education through the programs, projects, and activities it supports at academic and research institutions. These institutions must recruit, train, and prepare a diverse STEM workforce to advance the frontiers of science and participate in the U.S. technology-based economy. NSF's contribution to the national innovation ecosystem is to provide cutting-edge research under the guidance of the Nation's most creative scientists and engineers. NSF also supports development of a strong science, technology, engineering, and mathematics (STEM) workforce by investing in building the knowledge that informs improvements in STEM teaching and learning.

NSF's mission calls for the broadening of opportunities and expanding participation of groups, institutions, and geographic regions that are underrepresented in STEM disciplines, which is essential to the health and vitality of science and engineering. NSF is committed to this principle of diversity and deems it central to the programs, projects, and activities it considers and supports.

A. Merit Review Principles and Criteria

The National Science Foundation strives to invest in a robust and diverse portfolio of projects that creates new knowledge and enables breakthroughs in understanding across all areas of science and engineering research and education. To identify which projects to support, NSF relies on a merit review process that incorporates consideration of both the technical aspects of a proposed project and its potential to contribute more broadly to advancing NSF's mission "to promote the progress of science; to advance the national health, prosperity, and welfare; to secure the national defense; and for other purposes." NSF makes every effort to conduct a fair, competitive, transparent merit review process for the selection of projects.

1. Merit Review Principles

These principles are to be given due diligence by PIs and organizations when preparing proposals and managing projects, by reviewers when reading and evaluating proposals, and by NSF program staff when determining whether or not to recommend proposals for funding and while overseeing awards. Given that NSF is the primary federal agency charged with nurturing and supporting excellence in basic research and education, the following three principles apply:

• All NSF projects should be of the highest quality and have the potential to advance, if not transform, the frontiers of knowledge.
• NSF projects, in the aggregate, should contribute more broadly to achieving societal goals. These "Broader Impacts" may be accomplished through the research itself, through activities that are directly related to specific research projects, or through activities that are supported by, but are complementary to, the project. The project activities may be based on previously established and/or innovative methods and approaches, but in either case must be well justified.
• Meaningful assessment and evaluation of NSF funded projects should be based on appropriate metrics, keeping in mind the likely correlation between the effect of broader impacts and the resources provided to implement projects. If the size of the activity is limited, evaluation of that activity in isolation is not likely to be meaningful. Thus, assessing the effectiveness of these activities may best be done at a higher, more aggregated, level than the individual project.

With respect to the third principle, even if assessment of Broader Impacts outcomes for particular projects is done at an aggregated level, PIs are expected to be accountable for carrying out the activities described in the funded project. Thus, individual projects should include clearly stated goals, specific descriptions of the activities that the PI intends to do, and a plan in place to document the outputs of those activities.

These three merit review principles provide the basis for the merit review criteria, as well as a context within which the users of the criteria can better understand their intent.

2. Merit Review Criteria

All NSF proposals are evaluated through use of the two National Science Board approved merit review criteria. In some instances, however, NSF will employ additional criteria as required to highlight the specific objectives of certain programs and activities.

The two merit review criteria are listed below. Both criteria are to be given full consideration during the review and decision-making processes; each criterion is necessary but neither, by itself, is sufficient. Therefore, proposers must fully address both criteria. (PAPPG Chapter II.C.2.d(i). contains additional information for use by proposers in development of the Project Description section of the proposal). Reviewers are strongly encouraged to review the criteria, including PAPPG Chapter II.C.2.d(i), prior to the review of a proposal.

When evaluating NSF proposals, reviewers will be asked to consider what the proposers want to do, why they want to do it, how they plan to do it, how they will know if they succeed, and what benefits could accrue if the project is successful. These issues apply both to the technical aspects of the proposal and the way in which the project may make broader contributions. To that end, reviewers will be asked to evaluate all proposals against two criteria:

• Intellectual Merit: The Intellectual Merit criterion encompasses the potential to advance knowledge; and
• Broader Impacts: The Broader Impacts criterion encompasses the potential to benefit society and contribute to the achievement of specific, desired societal outcomes.

The following elements should be considered in the review for both criteria:

1. What is the potential for the proposed activity to
   1. Advance knowledge and understanding within its own field or across different fields (Intellectual Merit); and
   2. Benefit society or advance desired societal outcomes (Broader Impacts)?
2. To what extent do the proposed activities suggest and explore creative, original, or potentially transformative concepts?
3. Is the plan for carrying out the proposed activities well-reasoned, well-organized, and based on a sound rationale? Does the plan incorporate a mechanism to assess success?
4. How well qualified is the individual, team, or organization to conduct the proposed activities?
5. Are there adequate resources available to the PI (either at the home organization or through collaborations) to carry out the proposed activities?

Broader impacts may be accomplished through the research itself, through the activities that are directly related to specific research projects, or through activities that are supported by, but are complementary to, the project. NSF values the advancement of scientific knowledge and activities that contribute to achievement of societally relevant outcomes. Such outcomes include, but are not limited to: full participation of women, persons with disabilities, and underrepresented minorities in science, technology, engineering, and mathematics (STEM); improved STEM education and educator development at any level; increased public scientific literacy and public engagement with science and technology; improved well-being of individuals in society; development of a diverse, globally competitive STEM workforce; increased partnerships between academia, industry, and others; improved national security; increased economic competitiveness of the United States; and enhanced infrastructure for research and education.

Proposers are reminded that reviewers will also be asked to review the Data Management Plan and the Postdoctoral Researcher Mentoring Plan, as appropriate.

Additional Solicitation Specific Review Criteria

For Large and multi-investigator Medium proposals, reviewers will be asked to:

• Comment on the extent to which the project scope justifies the level of investment requested, and the degree to which the Collaboration Plan adequately demonstrates that the participating investigators will work synergistically to accomplish the project objectives.
• Comment on whether key personnel, and especially lead PIs, have allocated adequate time for both their individual technical contributions and the leadership of collaborative activities necessary to realize the synergistic effects of larger-scale research.

Proposals submitted with the Transition to Practice (TTP) designation will be evaluated with careful attention to the following:

• The degree to which the project plan addresses system development milestones and an evaluation plan for the working system;
• The degree to which a target user group or organization who (that) will serve as an early adopter of the technology is identified;
• The deployment plan for implementing the capability or prototype system into an operational environment;
• The novelty of the intended system, software, or architecture;
• The composition of the proposal team, which should demonstrate not only technical expertise but also skills in project management and systems development;
• The appropriateness of the budget for the effort; and
• The extent of collaboration with the university TTO or similar organization from the PI's institution.

B. Review and Selection Process

Proposals submitted in response to this program solicitation will be reviewed by Ad hoc Review and/or Panel Review, or Reverse Site Review.

Reviewers will be asked to evaluate proposals using two National Science Board approved merit review criteria and, if applicable, additional program specific criteria. A summary rating and accompanying narrative will be completed and submitted by each reviewer. The Program Officer assigned to manage the proposal's review will consider the advice of reviewers and will formulate a recommendation.

After scientific, technical and programmatic review and consideration of appropriate factors, the NSF Program Officer recommends to the cognizant Division Director whether the proposal should be declined or recommended for award. NSF strives to be able to tell applicants whether their proposals have been declined or recommended for funding within six months. Large or particularly complex proposals or proposals from new awardees may require additional review and processing time. The time interval begins on the deadline or target date, or receipt date, whichever is later. The interval ends when the Division Director acts upon the Program Officer's recommendation.

After programmatic approval has been obtained, the proposals recommended for funding will be forwarded to the Division of Grants and Agreements for review of business, financial, and policy implications. After an administrative review has occurred, Grants and Agreements Officers perform the processing and issuance of a grant or other agreement. Proposers are cautioned that only a Grants and Agreements Officer may make commitments, obligations or awards on behalf of NSF or authorize the expenditure of funds. No commitment on the part of NSF should be inferred from technical or budgetary discussions with a NSF Program Officer. A Principal Investigator or organization that makes financial or personnel commitments in the absence of a grant or cooperative agreement signed by the NSF Grants and Agreements Officer does so at their own risk.

One an award or declination decision has been made, Principal Investigators are provided feedback about their proposals. In all cases, reviews are treated as confidential documents. Verbatim copies of reviews, excluding the names of the reviewers or any reviewer-identifying information, are sent to the Principal Investigator/Project Director by the Program Officer. In addition, the proposer will receive an explanation of the decision to award or decline funding.

VII. Award Administration Information

A. Notification of the Award

Notification of the award is made to the submitting organization by a Grants Officer in the Division of Grants and Agreements. Organizations whose proposals are declined will be advised as promptly as possible by the cognizant NSF Program administering the program. Verbatim copies of reviews, not including the identity of the reviewer, will be provided automatically to the Principal Investigator. (See Section VI.B. for additional information on the review process.)

B. Award Conditions

An NSF award consists of: (1) the award notice, which includes any special provisions applicable to the award and any numbered amendments thereto; (2) the budget, which indicates the amounts, by categories of expense, on which NSF has based its support (or otherwise communicates any specific approvals or disapprovals of proposed expenditures); (3) the proposal referenced in the award notice; (4) the applicable award conditions, such as Grant General Conditions (GC-1)*; or Research Terms and Conditions* and (5) any announcement or other NSF issuance that may be incorporated by reference in the award notice. Cooperative agreements also are administered in accordance with NSF Cooperative Agreement Financial and Administrative Terms and Conditions (CA-FATC) and the applicable Programmatic Terms and Conditions. NSF awards are electronically signed by an NSF Grants and Agreements Officer and transmitted electronically to the organization via e-mail.

*These documents may be accessed electronically on NSF's Website at https://www.nsf.gov/awards/managing/award_conditions.jsp?org=NSF. Paper copies may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-8134 or by e-mail from nsfpubs@nsf.gov.

More comprehensive information on NSF Award Conditions and other important information on the administration of NSF awards is contained in the NSF Proposal & Award Policies & Procedures Guide (PAPPG) Chapter VII, available electronically on the NSF Website at https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg.

Special Award Conditions:

For Education, Small, and Medium awards, special award conditions will require that at least one representative (PI/co-PI/senior researchers or NSF-approved replacement) from each SaTC project attend the first SaTC PI meeting held after the beginning of the award. For Large projects, special award conditions will require that at least one representative (PI/co-PI/senior researcher or NSF-approved replacement) attend a SaTC PI meetings to be held every other year for the duration of the projects. The first PI meeting for awards made under this solicitation is expected in Fall 2021.

C. Reporting Requirements

For all multi-year grants (including both standard and continuing grants), the Principal Investigator must submit an annual project report to the cognizant Program Officer no later than 90 days prior to the end of the current budget period. (Some programs or awards require submission of more frequent project reports). No later than 120 days following expiration of a grant, the PI also is required to submit a final project report, and a project outcomes report for the general public.

Failure to provide the required annual or final project reports, or the project outcomes report, will delay NSF review and processing of any future funding increments as well as any pending proposals for all identified PIs and co-PIs on a given award. PIs should examine the formats of the required reports in advance to assure availability of required data.

PIs are required to use NSF's electronic project-reporting system, available through Research.gov, for preparation and submission of annual and final project reports. Such reports provide information on accomplishments, project participants (individual and organizational), publications, and other specific products and impacts of the project. Submission of the report via Research.gov constitutes certification by the PI that the contents of the report are accurate and complete. The project outcomes report also must be prepared and submitted using Research.gov. This report serves as a brief summary, prepared specifically for the public, of the nature and outcomes of the project. This report will be posted on the NSF website exactly as it is submitted by the PI.

More comprehensive information on NSF Reporting Requirements and other important information on the administration of NSF awards is contained in the NSF Proposal & Award Policies & Procedures Guide (PAPPG) Chapter VII, available electronically on the NSF Website at https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg.

VIII. Agency Contacts

Please note that the program contact information is current at the time of publishing. See program website for any updates to the points of contact.

General inquiries regarding this program should be made to:

• Jeremy J. Epstein, Program Director, CISE/CNS, telephone: (703) 292-8338, email: jepstein@nsf.gov
• Nina Amla, Program Director, CISE/CCF, telephone: (703) 292-7991, email: namla@nsf.gov
• Robert Beverly, Program Director, CISE/OAC, telephone: (703( 292-7068, email: rbeverly@nsf.gov
• Daniel R. Cosley, Program Director, CISE/IIS, telephone: (703) 292-8832, email: dcosley@nsf.gov
• Sol Greenspan, Program Director, CISE/CCF, telephone: (703) 292-8910, email: sgreensp@nsf.gov
• Leland M. Jameson, Program Director, MPS/DMS, telephone: (703) 292-4883, email: ljameson@nsf.gov
• James Joshi, Program Director, CISE/CNS, telephone: (703) 292 8950, email: jjoshi@nsf.gov
• Sara Kiesler, Program Director, SBE/SES, telephone: (703) 292-8643, email: skiesler@nsf.gov
• Wei-Shinn Ku, Program Director, CISE/IIS, telephone: (703) 292-8318, email: weiku@nsf.gov
• Rosa Lukaszew,Program Director, ENG/ECCS, telephone: (703) 292-8103, email: rlukasze@nsf.gov
• Daniela Oliveira, Program Director, CISE/CNS, telephone: (703) 292-4352, email: doliveir@nsf.gov
• Victor P. Piotrowski, Program Director, EHR/DGE, telephone: (703) 292-5141, email: vpiotrow@nsf.gov
• Andrew D. Pollington, Program Director, MPS/DMS, telephone: (703) 292-4878, email: adpollin@nsf.gov
• Balakrishnan Prabhakaran, Program Director, CISE/IIS, telephone: 703-292-4847, email: bprabhak@nsf.gov
• Indrajit Ray, Program Director, CISE/CNS, telephone: (703) 292-8950, email: iray@nsf.gov
• Phillip A. Regalia, Program Director, CISE/CCF, telephone: (703) 292-2981, email: pregalia@nsf.gov
• Alexander Sprintson, Program Director, CISE/CNS, telephone: (703) 292-8950, email: asprints@nsf.gov
• Nigamanth Sridhar, Program Director, EHR/DGE, telephone: (703) 292-7294, email: nsridhar@nsf.gov
• Li Yang, Program Director, EHR/DGE, telephone: (703) 292-2677, email: liyang@nsf.gov

For questions related to the use of FastLane or Research.gov, contact:

• FastLane and Research.gov Help Desk: 1-800-673-6188
• FastLane Help Desk e-mail: fastlane@nsf.gov.
• Research.gov Help Desk e-mail: rgov@nsf.gov

For questions relating to Grants.gov contact:

• Grants.gov Contact Center: If the Authorized Organizational Representatives (AOR) has not received a confirmation message from Grants.gov within 48 hours of submission of application, please contact via telephone: 1-800-518-4726; e-mail: support@grants.gov.

SaTC Questions: satc@nsf.gov

IX. Other Information

The NSF website provides the most comprehensive source of information on NSF Directorates (including contact information), programs and funding opportunities. Use of this website by potential proposers is strongly encouraged. In addition, "NSF Update" is an information-delivery system designed to keep potential proposers and other interested parties apprised of new NSF funding opportunities and publications, important changes in proposal and award policies and procedures, and upcoming NSF Grants Conferences. Subscribers are informed through e-mail or the user's Web browser each time new publications are issued that match their identified interests. "NSF Update" also is available on NSF's website.

Grants.gov provides an additional electronic capability to search for Federal government-wide grant opportunities. NSF funding opportunities may be accessed via this mechanism. Further information on Grants.gov may be obtained at https://www.grants.gov.

About The National Science Foundation

The National Science Foundation (NSF) is an independent Federal agency created by the National Science Foundation Act of 1950, as amended (42 USC 1861-75). The Act states the purpose of the NSF is "to promote the progress of science; [and] to advance the national health, prosperity, and welfare by supporting research and education in all fields of science and engineering."

NSF funds research and education in most fields of science and engineering. It does this through grants and cooperative agreements to more than 2,000 colleges, universities, K-12 school systems, businesses, informal science organizations and other research organizations throughout the US. The Foundation accounts for about one-fourth of Federal support to academic institutions for basic research.

NSF receives approximately 55,000 proposals each year for research, education and training projects, of which approximately 11,000 are funded. In addition, the Foundation receives several thousand applications for graduate and postdoctoral fellowships. The agency operates no laboratories itself but does support National Research Centers, user facilities, certain oceanographic vessels and Arctic and Antarctic research stations. The Foundation also supports cooperative research between universities and industry, US participation in international scientific and engineering efforts, and educational activities at every academic level.

Facilitation Awards for Scientists and Engineers with Disabilities provide funding for special assistance or equipment to enable persons with disabilities to work on NSF-supported projects. See Grant Proposal Guide Chapter II, Section D.2 for instructions regarding preparation of these types of proposals.

The National Science Foundation has Telephonic Device for the Deaf (TDD) and Federal Information Relay Service (FIRS) capabilities that enable individuals with hearing impairments to communicate with the Foundation about NSF programs, employment or general information. TDD may be accessed at (703) 292-5090 and (800) 281-8749, FIRS at (800) 877-8339.

The National Science Foundation Information Center may be reached at (703) 292-5111.

The National Science Foundation promotes and advances scientific progress in the United States by competitively awarding grants and cooperative agreements for research and education in the sciences, mathematics, and engineering. To get the latest information about program deadlines, to download copies of NSF publications, and to access abstracts of awards, visit the NSF Website at https://www.nsf.gov Location: 2415 Eisenhower Avenue, Alexandria, VA 22314 For General Information (NSF Information Center): (703) 292-5111 TDD (for the hearing-impaired): (703) 292-5090 To Order Publications or Forms:   Send an e-mail to: nsfpubs@nsf.gov or telephone: (703) 292-8134 To Locate NSF Employees: (703) 292-5111

Privacy Act And Public Burden Statements

The information requested on proposal forms and project reports is solicited under the authority of the National Science Foundation Act of 1950, as amended. The information on proposal forms will be used in connection with the selection of qualified proposals; and project reports submitted by awardees will be used for program evaluation and reporting within the Executive Branch and to Congress. The information requested may be disclosed to qualified reviewers and staff assistants as part of the proposal review process; to proposer institutions/grantees to provide or obtain data regarding the proposal review process, award decisions, or the administration of awards; to government contractors, experts, volunteers and researchers and educators as necessary to complete assigned work; to other government agencies or other entities needing information regarding applicants or nominees as part of a joint application review process, or in order to coordinate programs or policy; and to another Federal agency, court, or party in a court or Federal administrative proceeding if the government is a party. Information about Principal Investigators may be added to the Reviewer file and used to select potential candidates to serve as peer reviewers or advisory committee members. See System of Record Notices, NSF-50, "Principal Investigator/Proposal File and Associated Records," and NSF-51, "Reviewer/Proposal File and Associated Records." Submission of the information is voluntary. Failure to provide full and complete information, however, may reduce the possibility of receiving an award.

An agency may not conduct or sponsor, and a person is not required to respond to, an information collection unless it displays a valid Office of Management and Budget (OMB) control number. The OMB control number for this collection is 3145-0058. Public reporting burden for this collection of information is estimated to average 120 hours per response, including the time for reviewing instructions. Send comments regarding the burden estimate and any other aspect of this collection of information, including suggestions for reducing this burden, to:

Suzanne H. Plimpton
Reports Clearance Officer
Policy Office, Division of Institution and Award Support
Office of Budget, Finance, and Award Management
National Science Foundation
Alexandria, VA 22314