Title: Broadening Participation Research Initiation Grants in Engineering
2013 (BRIGE) (nsf13534)
Date: 03/06/2013
Replaces: NSF 11-576
Broadening Participation Research Initiation Grants in Engineering 2013
(BRIGE)
[1]Program Solicitation
NSF 13-534
Replaces Document(s):
NSF 11-576
NSF Logo
National Science Foundation
Directorate for Engineering
Division of Chemical, Bioengineering, Environmental, and
Transport Systems
Division of Civil, Mechanical and Manufacturing Innovation
Division of Electrical, Communications and Cyber Systems
Engineering Education and Centers
Industrial Innovation and Partnerships
Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):
April 29, 2013
IMPORTANT INFORMATION AND REVISION NOTES
A revised version of the NSF Proposal & Award Policies & Procedures
Guide (PAPPG), [2]NSF 13-1, was issued on October 4, 2012 and is
effective for proposals submitted, or due, on or after January 14,
2013. Please be advised that the guidelines contained in [3]NSF 13-1
apply to proposals submitted in response to this funding opportunity.
Proposers who opt to submit prior to January 14, 2013, must also
follow the guidelines contained in [4]NSF 13-1.
Please be aware that significant changes have been made to the PAPPG
to implement revised merit review criteria based on the National
Science Board (NSB) report, [5]National Science Foundation's Merit
Review Criteria: Review and Revisions. While the two merit review
criteria remain unchanged (Intellectual Merit and Broader Impacts),
guidance has been provided to clarify and improve the function of the
criteria. Changes will affect the project summary and project
description sections of proposals. Annual and final reports also will
be affected.
A by-chapter summary of this and other significant changes is provided
at the beginning of both the [6]Grant Proposal Guide and the [7]Award
& Administration Guide.
Please note that this program solicitation may contain supplemental
proposal preparation guidance and/or guidance that deviates from the
guidelines established in the [8]Grant Proposal Guide.
As noted in Section II. Program Description and Section V. Proposal
Preparation and Submission Instruction, plans for broadening
participation and for activities related to diversity and inclusion
must be an integral part of the Project Description and not a separate
document in the Special Information and Supplementary Documentation
section.
As noted in Section IV. Eligibility Information, PI eligibility
restrictions have been modified. The PI may not be a Principal
Investigator or Co-Principal Investigator on an NSF-funded research
grant that has an award date prior to that of the BRIGE award.
SUMMARY OF PROGRAM REQUIREMENTS
General Information
Program Title:
Broadening Participation Research Initiation Grants in Engineering
(BRIGE)
Synopsis of Program:
The Broadening Participation Research Initiation Grants in
Engineering (BRIGE) solicitation is designed to promote the
development of early career faculty who will become champions for
diversity and broadening participation of underrepresented groups
in engineering throughout their careers. BRIGE awards will enable
early career faculty to integrate effective diversity and
broadening participation strategies in their engineering research,
education, and innovation activities.
Throughout this solicitation, the term underrepresented groups will
refer to and include the following: women, persons with
disabilities, and ethnic/racial groups that are in the minority in
engineering, which include African Americans, Hispanics, Native
Americans, Alaska Natives, and Native Pacific Islanders. Proposals
from early career faculty who are members of underrepresented
groups as well as from Minority Serving Institutions (including
Historically Black Colleges and Universities, Hispanic Serving
Institutions, Tribal Colleges and Universities, and Predominantly
Black Institutions) are especially encouraged.
"WEBINAR: A webinar will be held within 6 weeks of the release date
of this solicitation to answer any questions about the
solicitation. Details will be posted on the Broadening
Participation in Engineering (BPE) website:
[9]http://www.nsf.gov/funding/pgm_summ.jsp?pims_id=504870&org=EEC&f
rom=home as they become available."
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.
* Richard N. Smith, telephone: (703) 292-8071, email:
[10]rnsmith@nsf.gov
* Lawrence S. Goldberg, ECCS, telephone: (703) 292-8339, email:
[11]lgoldber@nsf.gov
* Ted A. Conway, CBET, telephone: (703) 292-7091, email:
[12]tconway@nsf.gov
* Juan E. Figueroa, IIP, telephone: (703) 292-7054, email:
[13]jfiguero@nsf.gov
* Mary Toney, CMMI, telephone: (703) 292-7008, email:
[14]mtoney@nsf.gov
Applicable Catalog of Federal Domestic Assistance (CFDA) Number(s):
* 47.041 --- Engineering
Award Information
Anticipated Type of Award: Standard Grant
Estimated Number of Awards: 25 to 30 awards
Anticipated Funding Amount: $5,000,000 anticipated program budget for
FY 2013 pending the availability of funds. The awards are limited to a
maximum of $175,000 in total (direct plus indirect) costs for a
duration of 24 months. Durations may be longer if circumstances
warrant and are justified.
Eligibility Information
Organization Limit:
Proposals may only be submitted by the following:
* Universities and Colleges - Universities and two- and four-year
colleges (including community colleges) accredited in, and having
a campus located in the US, acting on behalf of their faculty
members. Such organizations also are referred to as academic
institutions.
PI Limit:
Only one investigator per proposal is allowed; co-principal
investigators and senior personnel are not permitted.
See Additional Eligibility Information section for further
information.
Limit on Number of Proposals per Organization:
None Specified
Limit on Number of Proposals per PI:
One per solicitation.
Proposal Preparation and Submission Instructions
A. Proposal Preparation Instructions
* Letters of Intent: Not Applicable
* Preliminary Proposal Submission: Not Applicable
* Full Proposals:
+ Full Proposals submitted via FastLane: NSF Proposal and Award
Policies and Procedures Guide, Part I: Grant Proposal Guide
(GPG) Guidelines apply. The complete text of the GPG is
available electronically on the NSF website at:
[15]http://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg.
+ 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:
[16]http://www.nsf.gov/publications/pub_summ.jsp?ods_key=gran
tsgovguide)
B. Budgetary Information
* Cost Sharing Requirements: Inclusion of voluntary committed cost
sharing is prohibited.
* Indirect Cost (F&A) Limitations: Not Applicable
* Other Budgetary Limitations: Not Applicable
C. Due Dates
* Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):
April 29, 2013
Proposal Review Information Criteria
Merit Review Criteria: National Science Board approved criteria apply.
Additional merit review considerations apply. Please see the full text
of this solicitation for further information.
Award Administration Information
Award Conditions: Standard NSF award conditions apply.
Reporting Requirements: Standard NSF reporting requirements apply.
TABLE OF CONTENTS
[17]Summary of Program Requirements
I. [18]Introduction
II. [19]Program Description
III. [20]Award Information
IV. [21]Eligibility Information
V. [22]Proposal Preparation and Submission Instructions
A. [23]Proposal Preparation Instructions
B. [24]Budgetary Information
C. [25]Due Dates
D. [26]FastLane/Grants.gov Requirements
VI. [27]NSF Proposal Processing and Review Procedures
A. [28]Merit Review Principles and Criteria
B. [29]Review and Selection Process
VII. [30]Award Administration Information
A. [31]Notification of the Award
B. [32]Award Conditions
C. [33]Reporting Requirements
VIII. [34]Agency Contacts
IX. [35]Other Information
I. INTRODUCTION
The National Science Foundation (NSF) through its Divisions and
Directorates has as one of its goals to educate and prepare a diverse
and able Science, Technology, Engineering, and Mathematics (STEM)
workforce who are motivated and prepared to participate at the
frontiers of research and innovation. The Engineering Directorate
(ENG) supports the development of a diverse and well-prepared
workforce of engineering graduates, particularly those with advanced
degrees, and contributes to enhancing the ability of early career
faculty members to succeed in their careers as researchers,
innovators, and educators through its [36]Broadening Participation in
Engineering Program (BPE).
The Broadening Participation Research Initiation Grants in Engineering
(BRIGE) solicitation is one element of the BPE program and is
specially designed to promote increased participation of early career
faculty in all fields of engineering research and to support the
integration of effective diversity and broadening participation
strategies in their engineering research, education, and innovation
activities. By promoting the development and success of early career
faculty with a passion for broadening participation, ENG expects that
BRIGE award winners will become champions for diversity and broadening
participation of underrepresented groups in engineering throughout
their careers.
II. PROGRAM DESCRIPTION
The BRIGE solicitation encourages proposals that are innovative and
potentially transformative in terms of engineering research, which are
strengthened through careful integration of effective activities to
promote broadening participation. BRIGE awards are for beginning
investigators (see Section IV: Additional Eligibility Information
below) to undertake activities such as exploratory investigations,
acquisition of preliminary data, and development of collaborations.
Investigators are encouraged to include discussion of future long-term
research goals, which include incorporation of broadening
participation, as described in this solicitation, as a sustainable
component of their scholarly enterprise. Research proposed in this
program must be within the scope of areas supported by programs within
the Engineering Directorate.
The broadening participation plan in BRIGE proposals should describe
activities that will broaden the participation of individuals from
underrepresented groups in the engineering disciplines supported by
the Engineering Directorate. These activities should involve
engineering research projects that use innovative ways to attract and
retain members of underrepresented groups to careers in engineering,
especially at the advanced degree level. The proposed research should
describe how these broadening participation activities will strengthen
the quality of the research and how the research activities will
promote diversity. PIs will be expected to develop a capability to
serve as role models for promotion of broadening participation and as
mentors for members of underrepresented groups that will make up the
new generation of engineers.
BRIGE is part of the strategy of the Engineering Directorate to make
its programs more inclusive in the future and to contribute to a
diverse professoriate. One measure of success of the program will be
the number of future proposals received and awarded by ENG to BRIGE
grantees. Another measure will be the extent to which BRIGE supported
activities are integrated into the Broader Impacts component of future
proposals, including CAREER.
In preparing the proposal, PIs should refer carefully to Section V.A.
with respect to the organization of the proposal. In addition, PIs
should be aware that reviewers will be asked to consider (a) the
integration of broadening participation into the research activities
and (b) the potential of the research initiation activities to produce
sufficient preliminary results to serve as the basis for future
competitive research proposals to ENG, consistent with the long-term
research and education goals of the PI. Awardees will be expected to
include the impact of their projects in these two areas within the
required Annual and Final Reports.
Early career faculty who are themselves members of underrepresented
groups as well as from Minority Serving Institutions (including
Historically Black Colleges and Universities, Hispanic Serving
Institutions, Tribal Colleges and Universities, and Predominantly
Black Institutions) are especially encouraged to apply.
III. AWARD INFORMATION
Anticipated Type of Award: Standard Grant. The Directorate for
Engineering expects to invest $5,000,000 in the BRIGE program for FY
2013 and to fund 25 to 30 grants. The number of awards is subject to
the availability of funds. The awards are limited to a maximum of
$175,000 in total (direct plus indirect) costs for a duration of 24
months. Durations may be longer if circumstances warrant and are
justified.
IV. ELIGIBILITY INFORMATION
Organization Limit:
Proposals may only be submitted by the following:
* Universities and Colleges - Universities and two- and four-year
colleges (including community colleges) accredited in, and having
a campus located in the US, acting on behalf of their faculty
members. Such organizations also are referred to as academic
institutions.
PI Limit:
Only one investigator per proposal is allowed; co-principal
investigators and senior personnel are not permitted.
See Additional Eligibility Information section for further
information.
Limit on Number of Proposals per Organization:
None Specified
Limit on Number of Proposals per PI:
One per solicitation.
Additional Eligibility Info:
Principal investigators are eligible to apply to this BRIGE
solicitation only if all of the following criteria are met at the
time of submission deadline. The Principal Investigator:
* must be a Citizen or Permanent Resident of the United States;
* must hold a primary appointment in an engineering department;
* must be a in a full time, tenure-track faculty position for less
than three years. This includes tenure track positions at other
universities prior to the current appointment. Official leaves of
absence (illness, family, etc.) may be subtracted from the total
time in the tenure track position, as certified by the PI's
department head/chair in the required letter of support, which is
included in the Special Information and Supplementary
Documentation section of the proposal.
* In addition, at the time that an award is made, the PI may not be
a PI or Co-PI on any awarded National Science Foundation research
grant with the following exceptions:
+ Instrumentation, education, workshop, and other non-research
awards
+ Doctoral dissertation improvement award,
+ A post-doctoral research award such as a SEES Fellowship,
+ A Graduate Research Fellowship or similar fellowship awards
from the NSF.
+ REU or RET site awards.
+ SBIR or STTR awards that were made while the PI was in
industry
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 Grants.gov or
via the NSF FastLane system.
* 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 Grant Proposal Guide (GPG). The complete text of the GPG
is available electronically on the NSF website at:
[37]http://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg.
Paper copies of the GPG may be obtained from the NSF Publications
Clearinghouse, telephone (703) 292-7827 or by e-mail from
[38]mailto:pubs@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:
([39]http://www.nsf.gov/publications/pub_summ.jsp?ods_key=grantsgo
vguide). 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) 292-7827 or by e-mail
from [40]mailto:pubs@nsf.gov.
Important Proposal Preparation Information: FastLane will check for
required sections of the proposal, in accordance with Grant Proposal
Guide (GPG) instructions described in Chapter II.C.2. The GPG requires
submission of: Project Summary; Project Description; References Cited;
Biographical Sketch(es); Budget; Budget Justification; Current and
Pending Support; Facilities, Equipment & Other Resources; Data
Management Plan; and Postdoctoral Mentoring Plan, if applicable. If a
required section is missing, FastLane will not accept the proposal.
Please note that the proposal preparation instructions provided in
this program solicitation may deviate from the GPG instructions. If
the solicitation instructions do not require a GPG-required section to
be included in the proposal, insert text or upload a document in that
section of the proposal that states, "Not Applicable for this Program
Solicitation." Doing so will enable FastLane to accept your proposal.
Potential applicants are strongly encouraged to read this program
solicitation in its entirety, as well as the Frequently Asked
Questions (FAQs), before sending inquiries to the program contacts
listed in Section VIII of this solicitation.
PI Webinars: Eligible parties intending to submit a full proposal to
BRIGE for FY2013 are encouraged to participate in a 1-hour Webinar
that will be webcast after the release of this solicitation,
approximately 60 days prior to the proposal due date. Several Webinars
will be offered, and specific dates and contact information for
registration will be provided on the BRIGE webpage.
In addition to following the general format contained in the GPG or
NSF Grants.gov Application Guide, proposals submitted in response to
this program solicitation must also adhere to the following special
instructions:
Cover Sheet:
The title of the research project must begin with "BRIGE:" in the
title section of the NSF cover sheet.
The primary division for submission is Engineering Education and
Centers (EEC). The secondary unit of consideration should be the ENG
program within the CMMI, CBET, ECCS, or EEC division with which your
proposed research is most closely affiliated.
Co-principal investigators are not permitted.
Project Summary (one-page limit):
Provide a succinct summary of the research objectives of the proposed
BRIGE award and how these will be integrated with broadening
participation objectives. As required for all proposals to the
National Science Foundation, the Project Summary must include a brief
summary of the Intellectual Merit of the proposed activities,
including the potential for the proposed activities to be
transformative. The Project Summary must also summarize the Broader
Impacts of the proposed work, such as benefits to society,
dissemination of results, and development of infrastructure. In
particular, the Broader Impacts statement should summarize how the
proposed activity will broaden participation of underrepresented
groups in engineering, as described in previous sections of this
solicitation.
PIs are encouraged to review the revised guidance contained in the NSF
Proposal & Award Policies & Procedures Guide (PAPPG), [41]NSF 13-1,
which has been provided to clarify and improve the function of the
Intellectual Merit and Broader Impacts criteria.
Project Description (15 page limit, including tables, figures, and
other visual supplements):
Provide a detailed statement of the proposed integrated research and
broadening participation activities to be undertaken. It should
contain
* A brief description of the PI's overall research and education
goals, as well as specific details on how the PI plans to
integrate broadening participation into those goals.
* A detailed description of the proposed research activities,
including preliminary results and other appropriate background (if
available).
* A description of proposed broadening participation activities and
how they will broaden the participation of individuals from
underrepresented groups in the disciplines supported by the
Engineering Directorate, particularly with respect to advance
degree programs and pathways to future careers in engineering
research and development. The inclusion of an evaluation plan to
determine the effectiveness of the proposed broadening
participation activities is strongly encouraged.
* A clear indication of how broadening participation activities are
integrated with the research and innovation objectives of the
proposal, in a way that can lead to sustainability of those
activities through the career of the PI.
* The relationship of the proposed activities to the PI's projected
longer term research goals and how they will facilitate the
development of subsequent research proposals.
Please note that per guidance in the GPG, the Project Description must
contain, as a separate section within the narrative, a discussion of
the broader impacts of the proposed activities. You can decide where
to include this section within the Project Description.
Links to Websites of the PI or other sources of information may not be
included.
References Cited: Refer to guidance in the GPG.
Biographical Sketch(es): Refer to guidance in the GPG.
Current and Pending Support: This is the required documentation of
current and pending support described in the GPG. List the BRIGE
proposal as Pending Support.
Budget (see below for limitations, and consult the GPG for
instructions on budget preparation):
Prepare a realistic project budget that is consistent with the
proposed activities not to exceed $175,000 over 24 months. Durations
may be longer if circumstances warrant and are justrified.
* The PI is the only senior personnel who may be included in the
budget.
* Collaboration with other scientists and/or researchers at other
universities, from industry, or at national laboratories is
encouraged. However, collaborators from those institutions may not
receive support from BRIGE award funds.
* The Budget Justification (not to exceed three pages) should
explain each line item for which funds are requested.
* Proposed budgets should include funds for the PI to attend a
grantees meeting in Arlington VA.
Facilities and Equipment:
Provide a description of available facilities and priorities for its
use, if applicable. Please note that this section is a required part
of the proposal. If not applicable, the proposer should enter "Not
applicable" in the Facilities, Equipment, and Other Resources section
of the proposal.
Special Information and Supplementary Documentation:
* The proposal must include in this section a letter from the PI's
department chair/head or dean, which will include confirmation of
the following criteria: (1) The PI meets the eligibility
requirements described in Section IV of the BRIGE solicitation,
with specific reference to each element of those requirements; (2)
the PI has access to facilities and support for the proposed
activities from the submitting institution; (3) the proposed
integration of research and broadening participation activities is
consistent with the department chair's/head's or dean's assessment
of a successful career plan for the PI.
Neglecting to include this letter at time of submission with each
of the required components will result in the proposal being
Returned Without Review.
* Letters of commitment or collaboration may be included, but
letters of recommendation are not allowed.
* Documentation of official Leave of Absence, if applicable.
* A [42]Post-Doctoral Mentoring Plan, if post-docs will be
supported.
* A [43]Data Management Plan.
B. Budgetary Information
Cost Sharing: Inclusion of voluntary committed cost sharing is
prohibited
C. Due Dates
* Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):
April 29, 2013
D. FastLane/Grants.gov Requirements
* For Proposals Submitted Via FastLane:
Detailed technical instructions regarding the technical aspects of
preparation and submission via FastLane are available at:
[44]https://www.fastlane.nsf.gov/a1/newstan.htm. For FastLane user
support, call the FastLane Help Desk at 1-800-673-6188 or e-mail
[45]fastlane@nsf.gov. The FastLane Help Desk answers general
technical questions related to the use of the FastLane system.
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.
Submission of Electronically Signed Cover Sheets. The Authorized
Organizational Representative (AOR) must electronically sign the
proposal Cover Sheet to submit the required proposal
certifications (see Chapter II, Section C of the Grant Proposal
Guide for a listing of the certifications). The AOR must provide
the required electronic certifications within five working days
following the electronic submission of the proposal. Further
instructions regarding this process are available on the FastLane
Website at: [46]https://www.fastlane.nsf.gov/fastlane.jsp.
* 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: [47]http://www07.grants.gov/applicants/app_help_reso.jsp.
In addition, the NSF Grants.gov Application Guide provides
additional technical guidance regarding 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:
[48]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.
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 the GPG as
[49]Exhibit III-1.
A comprehensive description of the Foundation's merit review process
is available on the NSF website at:
[50]http://www.nsf.gov/bfa/dias/policy/meritreview/.
Proposers should also be aware of core strategies that are essential
to the fulfillment of NSF's mission, as articulated in [51]Empowering
the Nation Through Discovery and Innovation: NSF Strategic Plan for
Fiscal Years (FY) 2011-2016. 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 core strategies 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 provide abundant opportunities where individuals
may concurrently assume responsibilities as researchers, educators,
and students, and where all can engage in joint efforts that infuse
education with the excitement of discovery and enrich research through
the variety of learning perspectives.
Another core strategy in support of NSF's mission is broadening
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.
([52]GPG 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 [53]GPG 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
a. Advance knowledge and understanding within its own field or
across different fields (Intellectual Merit); and
b. 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.
B. Review and Selection Process
Proposals submitted in response to this program solicitation will be
reviewed by Ad hoc Review and/or Panel Review.
Reviewers will be asked to formulate a recommendation to either
support or decline each proposal. 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 is striving to be able to tell applicants
whether their proposals have been declined or recommended for funding
within six months. The time interval begins on the deadline or target
date, or receipt date, whichever is later. The interval ends when the
Division Director accepts the Program Officer's recommendation.
A summary rating and accompanying narrative will be completed and
submitted by each reviewer. In all cases, reviews are treated as
confidential documents. Verbatim copies of reviews, excluding the
names of the reviewers, 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.
In all cases, 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 and 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.
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 letter, 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 letter; (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 letter. 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
[54]http://www.nsf.gov/awards/managing/award_conditions.jsp?org=NSF.
Paper copies may be obtained from the NSF Publications Clearinghouse,
telephone (703) 292-7827 or by e-mail from [55]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 Award & Administration Guide (AAG) Chapter II, available
electronically on the NSF Website at
[56]http://www.nsf.gov/publications/pub_summ.jsp?ods_key=aag.
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 at least 90 days prior to the
end of the current budget period. (Some programs or awards require
submission of more frequent project reports). Within 90 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 Award & Administration Guide (AAG) Chapter II, available
electronically on the NSF Website at
[57]http://www.nsf.gov/publications/pub_summ.jsp?ods_key=aag.
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:
* Richard N. Smith, telephone: (703) 292-8071, email:
[58]rnsmith@nsf.gov
* Lawrence S. Goldberg, ECCS, telephone: (703) 292-8339, email:
[59]lgoldber@nsf.gov
* Ted A. Conway, CBET, telephone: (703) 292-7091, email:
[60]tconway@nsf.gov
* Juan E. Figueroa, IIP, telephone: (703) 292-7054, email:
[61]jfiguero@nsf.gov
* Mary Toney, CMMI, telephone: (703) 292-7008, email:
[62]mtoney@nsf.gov
For questions related to the use of FastLane, contact:
* FastLane Help Desk, telephone: 1-800-673-6188; e-mail:
[63]fastlane@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:
[64]support@grants.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, National Science Foundation Update
is a free e-mail subscription service 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 Regional Grants
Conferences. Subscribers are informed through e-mail when new
publications are issued that match their identified interests. Users
can subscribe to this service by clicking the "Get NSF Updates by
Email" link on the [65]NSF web site.
Grants.gov provides an additional electronic capability to search for
Federal government-wide grant opportunities. NSF funding opportunities
may be accessed via this new mechanism. Further information on
Grants.gov may be obtained at [66]http://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 http://www.nsf.gov
* Location: 4201 Wilson Blvd. Arlington,
VA 22230
* For General Information (703) 292-5111
(NSF Information Center):
* TDD (for the (703) 292-5090
hearing-impaired):
* To Order Publications or
Forms:
Send an e-mail to: nsfpubs@nsf.gov
or telephone: (703) 292-7827
* 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 Systems
of Records, [69]NSF-50, "Principal Investigator/Proposal File and
Associated Records," 69 Federal Register 26410 (May 12, 2004), and
[70]NSF-51, "Reviewer/Proposal File and Associated Records," 69
Federal Register 26410 (May 12, 2004). 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
Division of Administrative Services
National Science Foundation
Arlington, VA 22230
[71]Policies and Important Links
|
[72]Privacy | [73]FOIA | [74]Help | [75]Contact NSF | [76]Contact Web
Master | [77]SiteMap
National Science Foundation
The National Science Foundation, 4201 Wilson Boulevard, Arlington,
Virginia 22230, USA
Tel: (703) 292-5111, FIRS: (800) 877-8339 | TDD: (800) 281-8749
Last Updated:
11/07/06
[78]Text Only
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