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Title: NSF Science, Engineering and Education for Systainability
Fellows (SEES Fellows)(nsf13595)
Date: 08/18/2014
Replaces: NSF 12-601
NSF Science, Engineering and Education for Sustainability Fellows (SEES
Fellows)
[1]Program Solicitation
NSF 13-595
Replaces Document(s):
NSF 12-601
NSF Logo
National Science Foundation
Directorate for Biological Sciences
Directorate for Computer & Information Science & Engineering
Directorate for Geosciences
Directorate for Education & Human Resources
Directorate for Mathematical & Physical Sciences
Directorate for Social, Behavioral & Economic Sciences
Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):
November 26, 2013
IMPORTANT INFORMATION AND REVISION NOTES
Proposals with a primary focus on topics covered by the Directorate
for Engineering ([2]ENG) are considered "out of scope" for this
revised solicitation; however, proposals may include such topics as a
secondary (or tertiary) focus.
SUMMARY OF PROGRAM REQUIREMENTS
General Information
Program Title:
NSF Science, Engineering and Education for Sustainability Fellows
NSF SEES Fellows
Synopsis of Program:
Through the SEES Fellows Program, NSF seeks to advance science,
engineering, and education to inform the societal actions needed
for environmental and economic sustainability and human well-being
while creating the necessary workforce to address these challenges.
The Program's emphasis is to facilitate investigations that cross
traditional disciplinary boundaries and address issues of
sustainability through a systems approach, building bridges between
academic inquiry, economic growth, and societal needs. The Fellow's
proposed investigation must be interdisciplinary and allow him/her
to obtain research experiences beyond his/her current core
disciplinary expertise. Fellows are required to develop a research
partnership(s) that will advance and broaden the impact/scope of
the proposed research, and present a plan for their own
professional development in the area of sustainability science and
engineering. Proposals with a primary focus on topics covered by
the Directorate for Engineering ([3]ENG) are considered "out of
scope" for this revised solicitation; however, proposals may
include such topics as a secondary (or tertiary) focus.
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.
Applicable Catalog of Federal Domestic Assistance (CFDA) Number(s):
* 47.049 --- Mathematical and Physical Sciences
* 47.050 --- Geosciences
* 47.070 --- Computer and Information Science and Engineering
* 47.074 --- Biological Sciences
* 47.075 --- Social Behavioral and Economic Sciences
* 47.076 --- Education and Human Resources
Award Information
Anticipated Type of Award: Standard Grant
Estimated Number of Awards: 15 to 20
Anticipated Funding Amount: $5,500,000 in FY 14, pending availability
of funds and receipt of sufficient quality proposals.
Eligibility Information
Who May Submit Proposals:
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.
* 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.
* Proposals may also be submitted by individuals who are
unaffiliated or who are affiliated with for-profit organizations,
state or local governments or Federal agencies. When applying as
independent/unaffiliated individuals, Fellow applicants must
register with FastLane prior to submitting their proposals and, if
recommended for an award, must affiliate with a U.S. university,
college, or non-profit, non-academic organization, which will
administer the award.
Who May Serve as PI:
The Principal Investigator (PI) on the NSF SEES Fellows proposal
must be the prospective Fellow. No co-PIs are allowed.
To be eligible to submit a proposal to the NSF SEES Fellows
program, an individual must, as of the proposal deadline date, meet
all of the following criteria:
* Be a U.S. citizen, national, or permanent resident;
* Have earned the doctoral degree, or expect to have earned the
doctoral degree, by the start date of the award;
* Not have worked for more than 36 full-time equivalent months in
one or more positions that require the doctoral degree. If more
than 36 months have elapsed between conferral of the doctoral
degree and the SEES Fellows proposal deadline date, PIs must
include specific language in their Biographical Sketch affirming
that they meet this eligibility requirement;
* Not be employed in a tenure-track (or tenure-track-equivalent)
position at an academic institution or at a non-profit,
non-degree-granting organization such as a museum, observatory, or
research lab.
Limit on Number of Proposals per Organization:
There are no restrictions or limits.
Limit on Number of Proposals per PI or Co-PI: 1
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, Part I: Grant Proposal Guide
(GPG) Guidelines apply. The complete text of the GPG is
available electronically on the NSF website at:
[4]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:
[5]http://www.nsf.gov/publications/pub_summ.jsp?ods_key=grant
sgovguide).
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
* Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):
November 26, 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: Additional award conditions apply. Please see the
full text of this solicitation for further information.
Reporting Requirements: Standard NSF reporting requirements apply.
TABLE OF CONTENTS
[6]Summary of Program Requirements
I. [7]Introduction
II. [8]Program Description
III. [9]Award Information
IV. [10]Eligibility Information
V. [11]Proposal Preparation and Submission Instructions
A. [12]Proposal Preparation Instructions
B. [13]Budgetary Information
C. [14]Due Dates
D. [15]FastLane/Grants.gov Requirements
VI. [16]NSF Proposal Processing and Review Procedures
A. [17]Merit Review Principles and Criteria
B. [18]Review and Selection Process
VII. [19]Award Administration Information
A. [20]Notification of the Award
B. [21]Award Conditions
C. [22]Reporting Requirements
VIII. [23]Agency Contacts
IX. [24]Other Information
I. INTRODUCTION
A sustainable world is one in which human needs are met equitably
without harm to the environment, and without sacrificing the ability
of future generations to meet their needs. Meeting this formidable
challenge requires a substantial increase in our understanding of the
integrated system of society, the natural world, and the alterations
humans bring to Earth. NSF's Science, Engineering, and Education for
Sustainability (SEES) activities aim to address this need through
support for interdisciplinary research and education.
Fundamental to all sustainability research is the simultaneous
consideration of social, economic, and environmental systems and the
long-term viability of those systems. Concepts that underlie the
science of sustainability include complex adaptive systems theory,
emergent behavior, multi-scale processes, as well as the
vulnerability, adaptive capacity, and resilience of coupled
human-environment systems. An important research goal is to understand
how patterns and processes at the local and regional scales are shaped
by and feed into processes and patterns that manifest at the global
scale over the long term. These topics guide research to explore
alternate ways of managing the environment, migrating from finite
resources to renewable or inexhaustible resources, and applying
technology to improve human well-being. Conceptual frameworks for
sustainability, including general theories and models, are critically
needed for such informed decision-making.
SEES activities span the entire range of scientific domains at NSF and
aim to: 1) support interdisciplinary research and education that can
facilitate the move towards global sustainability; 2) build linkages
among existing projects and partners and add new participants in the
sustainability research enterprise; and 3) develop a workforce trained
in the interdisciplinary scholarship needed to understand and address
the complex issues of sustainability. The SEES Fellows program
addresses all three of these SEES aims. Proposals with a primary focus
on topics covered by the Directorate for Engineering ([25]ENG) are
considered "out of scope" for this revised solicitation; however,
proposals may include such topics as a secondary (or tertiary) focus.
II. PROGRAM DESCRIPTION
There is a critical need to develop the workforce in the area of
sustainability science and engineering. Through SEES Fellows, NSF
seeks to advance science, engineering, and education to inform the
societal actions needed for environmental and economic sustainability
and sustainable human well-being while creating the necessary
workforce to address these challenges. The program's emphasis is to
facilitate investigations that cross traditional disciplinary
boundaries and address issues of sustainability through a systems
approach, building bridges between academic inquiry, economic growth,
and societal needs. The Fellow's proposed investigation must be
interdisciplinary and allow him/her to obtain research experience
beyond his/her current core disciplinary expertise.
A goal of the SEES Fellows Program is to support research that would
not fit neatly into a single NSF disciplinary research program.
Fellows are required to develop a partnership(s) that will advance and
broaden the impact/scope of the proposed research. Partners may
include, but are not limited to, a NSF Research Coordination Network
(RCN), center or facility; industry; National Laboratory; state,
regional, or local resource management agency; Non-Government
Organization (NGO); foreign institution; or international
organization.
Fellows are required to have two mentors, one for the proposed
research at the host institution (the institution that will administer
the award) and the other for the partnership. The host mentor and
partner mentor must be from different institutions, and must provide
different disciplinary expertise.
Fellows must also present a plan for their own professional
development in the area of sustainability science and engineering.
Activities may include, but are not limited to, obtaining training in
a new discipline, gaining expertise on new methods/tools, serving in a
leadership role in a professional society or industry group, mentoring
students, undertaking efforts to broaden participation of
under-represented groups in sustainability science, developing an
education activity, developing a professional network or working on a
project that focuses on public engagement.
Fellows may include a plan for leading and teaching a course at the
undergraduate or graduate level that ideally relates directly to their
proposed sustainability science or engineering research, partnerships,
or professional development activities. [DEL: :DEL] If proposed, the
institution where the teaching would take place must cover the
Fellow's salary plus fringe benefit costs for time committed to the
course. The teaching is limited to no more than one course per term,
and no more than three courses throughout the period of the SEES
Fellows award. This restriction is meant to provide the Fellow
adequate time to engage in research collaborations and other
professional development, and the teaching experience would be in
addition to other professional development activities described in the
proposal.
The challenge of sustainability is of global concern, and
international partnerships are encouraged. As with all partnerships,
these should represent true intellectual collaborations that are
mutually beneficial, and leverage the expertise, specialized skills,
facilities, and/or resources of all partners. While the formal host
institution for the SEES Fellow must be in the United States (for
award administration requirements), Fellows may spend extended periods
at other locations, including international sites, as called for by
the research, partnerships, and professional development plans.
Fellows are responsible for obtaining any required visas for foreign
travel, research permits, and import/export documents. Please review
NSF's web page "Information for U.S. Travelers" at
[26]http://www.nsf.gov/od/oise/for-travelers-main.jsp.
Fellows must propose a well-integrated, synergistic research plan with
their chosen host institution, an effective research partnership(s),
and a meaningful professional-development plan. Overall, the proposal
should reflect the Fellow's own research interests and professional
goals presented in relationship to overall impact on science,
engineering and education for sustainability. Because there may be
different expectations within different disciplinary fields and/or
different partnering organizations, a wide range of research and
professional activities may be appropriate for the NSF SEES Fellows
program. More information about NSF's SEES investment area can be
found on the SEES webpage at: [27]http://www.nsf.gov/sees/.
NSF enables career-life balance through a variety of mechanisms.
Support to address dependent care issues may be available for
awardees. For more information, please see
[28]http://www.nsf.gov/career-life-balance/.
III. AWARD INFORMATION
Anticipated Type of Award: Standard Grant
Estimated Number of Awards: 15 to 20
Anticipated Funding Amount: $5,500,000 in FY 14, pending availability
of funds and receipt of sufficient quality proposals.
IV. ELIGIBILITY INFORMATION
Who May Submit Proposals:
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.
* 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.
* Proposals may also be submitted by individuals who are
unaffiliated or who are affiliated with for-profit organizations,
state or local governments or Federal agencies. When applying as
independent/unaffiliated individuals, Fellow applicants must
register with FastLane prior to submitting their proposals and, if
recommended for an award, must affiliate with a U.S. university,
college, or non-profit, non-academic organization, which will
administer the award.
Who May Serve as PI:
The Principal Investigator (PI) on the NSF SEES Fellows proposal
must be the prospective Fellow. No co-PIs are allowed.
To be eligible to submit a proposal to the NSF SEES Fellows
program, an individual must, as of the proposal deadline date, meet
all of the following criteria:
* Be a U.S. citizen, national, or permanent resident;
* Have earned the doctoral degree, or expect to have earned the
doctoral degree, by the start date of the award;
* Not have worked for more than 36 full-time equivalent months in
one or more positions that require the doctoral degree. If more
than 36 months have elapsed between conferral of the doctoral
degree and the SEES Fellows proposal deadline date, PIs must
include specific language in their Biographical Sketch affirming
that they meet this eligibility requirement;
* Not be employed in a tenure-track (or tenure-track-equivalent)
position at an academic institution or at a non-profit,
non-degree-granting organization such as a museum, observatory, or
research lab.
Limit on Number of Proposals per Organization:
There are no restrictions or limits.
Limit on Number of Proposals per PI or Co-PI: 1
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:
[29]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
[30]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:
([31]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 [32]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. Chapter II, Section D.4 of the Grant Proposal
Guide provides additional information on collaborative proposals.
Important Proposal Preparation Information: FastLane will check for
required sections of the full 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.
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. Unless otherwise
specified in this solicitation, you can decide where to include this
section within the Project Description.
Requirements listed in the NSF Grant Proposal Guide or NSF Grants.gov
Application Guide must be strictly adhered to. SEES Fellows proposals
must also adhere to the following additional guidelines:
1. Cover Sheet. The title of the proposed project must start with
"SEES Fellows:" followed by a short, descriptive title of the
research. If the project will involve international partners, check
the "International Cooperative Activities Country Name" box and
identify the country/countries involved.
2. Project Summary. The Project Summary consists of an overview, a
statement on the intellectual merit of the proposed activity, and a
statement on the broader impacts of the proposed activity. The
overview for SEES Fellowship proposals must: 1) identify the host and
partner mentors and their organizations, 2) explicitly address the
relevance of the proposed research to sustainability as well as to the
goal of the SEES Fellows Program to support interdisciplinary
research, and 3) highlight the Fellow's proposed professional
development activities.
3. Project Description. As noted in the Program Description section
above, a competitive SEES Fellows proposal will include well developed
plans for research, partnerships, and the Fellow's own professional
development. The Project Description must address all three aspects.
The Project Description must also explicitly address the relevance of
the proposed research to sustainability and the goal of the SEES
Fellows Program to support interdisciplinary research.
4. Biographical Sketch. The Biographical Sketch must include
identification of U.S. citizenship or permanent resident status, and
the month and year when your doctoral degree was (or is expected to
be) received. If more than 36 months have elapsed between the date
that the doctoral degree was conferred and the application deadline
for the SEES Fellows solicitation, the Biographical Sketch must
include the following statement: "I affirm that I have not worked for
more than 36 full-time equivalent months in positions for which the
doctoral degree was a requirement." Do not include personal
information such as birth date or place of birth. Only the Fellow's
Biographical Sketch should be uploaded in this section. Biographical
Sketches for the host mentor and partner mentor must be included in
the Supplementary Documentation section, together with their letters
of collaboration.
5. Budget Pages. The proposed SEES Fellow is listed as PI. For
allowable budget items, see the Other Budgetary Limitations section
below.
6. Current and Pending Support. Under pending support, include this
proposal, as well as pending and planned applications to other
fellowship or research programs.
Supplementary Documentation
7. Postdoctoral Researcher Mentoring Plan. Because the potential SEES
Fellow is the PI on the proposal, this does not apply, and nothing
should be uploaded to this module.
8. Letter of Collaboration from Host Mentor. (Maximum 2 pages for
letter; 2 pages for NSF format biographical sketch) The host mentor
must confirm support of the Fellow's plan for research at their
institution as well as agreement with the proposed partnership(s). The
host mentor must include a description of the mentoring activities
that will be provided for the Fellow, such as career counseling,
training in preparing grant applications, guidance on ways to improve
teaching skills, and training in research ethics. The host mentor's
2-page Biographical Sketch (conforming to NSF Grant Proposal Guide or
NSF Grants.gov Application Guide requirements) must be appended to
their letter of collaboration.
9. Letter of Collaboration from Partner Mentor. (Maximum 2 pages for
letter; 2 pages for NSF format biographical sketch) The partner mentor
must outline the nature of the collaboration and explain how the
partnership(s) will advance and broaden the impact/scope of the
proposed research. The letter must also include a description of the
mentoring activities that will be provided for the Fellow. The partner
mentor's 2-page Biographical Sketch (conforming to NSF Grant Proposal
Guide or NSF Grants.gov Application Guide requirements) must be
appended to their letter of collaboration.
10. Additional Letters of Collaboration. Letters of collaboration (up
to one page each) are allowed to document agreement with other
collaborators discussed in the proposal. These letters should focus on
how the collaboration will advance and broaden the impact/scope of the
proposed research.
B. Budgetary Information
Cost Sharing: Inclusion of voluntary committed cost sharing is
prohibited
Other Budgetary Limitations:
* Salary plus fringe benefits for the Fellow may be up to a maximum
of $264,000, based on 36 months full-time equivalent effort.
Amounts for the Fellow's salary plus fringe benefits may be less
than the stated maximum, based on institutional policies and pay
scales.
* Up to a maximum of $60,000 (for 36 months full-time equivalent
effort) may be requested for expenses directly related to the
proposed research, partnerships and professional development,
including but not limited to salary and fringe benefits for
student research assistants, equipment, domestic and foreign
travel, materials and supplies, computing resources, access to
data, and publication charges. Included in this amount, the Fellow
must budget for trips to NSF for PI meetings in the second and
third year of their award.
* Fellows proposing international partnerships may request up to an
additional $30,000 (for 36 months full-time equivalent effort) for
international travel, subsistence, and other expenses required for
the research, partnerships and professional development
activities. These costs should be clearly explained in the budget
justification, including number of trips and duration of stays.
Please refer to the GPG
([33]http://www.nsf.gov/pubs/policydocs/pappguide/nsf13001/gpg_2.j
sp#IIC2givc) for guidelines on international travel.
* No other direct cost budget items are allowed.
* For Fellows proposing projects requiring less than 36 months
full-time equivalent effort, salary plus fringe benefits, together
with other expenses, must be prorated accordingly.
* To allow for limited teaching time or other activities not paid
for by the award, the proposed duration of the SEES Fellows
project can be for a maximum of 48 months, with up to 36 months of
NSF funding for the Fellow's salary and other expenses.
* Funding for SEES Fellows is provided as an NSF standard grant, and
awards are subject to the standard indirect cost policies and
rates for the awardee (host) institution.
C. Due Dates
* Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):
November 26, 2013
D. FastLane/Grants.gov Requirements
For Proposals Submitted Via FastLane:
To prepare and submit a proposal via FastLane, see detailed
technical instructions available at:
[34]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
[35]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.
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: [36]http://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: [37]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 are strongly encouraged to use
FastLane 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 the GPG as
[38]Exhibit III-1.
A comprehensive description of the Foundation's merit review process
is available on the NSF website at:
[39]http://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 [40]Investing
in Science, Engineering, and Education for the Nation's Future: NSF
Strategic Plan for 2014-2018. 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.
([41]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 [42]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.
Additional Solicitation Specific Review Criteria
SEES:
* Will the proposed activities advance the foundations of
sustainability science and engineering by including a strong
conceptual framework?
* Will the proposed activities integrate across NSF-supported
disciplines and will the applicant expand beyond his or her
current core disciplinary expertise?
Hosts and Partnerships:
* Are the proposed host mentor and partner mentor effective and
committed to enable the Fellow to be successful? Do the host and
partner's organizations have the infrastructure to enable the
Fellow to be successful?
* Will the proposed partnerships advance and broaden the
impact/scope of the proposed research activities?
* Are the partnerships based on mutual benefits and will they
leverage the expertise, specialized skills, facilities, and/or
resources of all partners?
Professional Development:
* Will the proposed professional development activities enhance the
Fellow's career growth while complementing the proposed
interdisciplinary research and partnerships?
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 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.
Once 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
[43]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 [44]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
[45]http://www.nsf.gov/publications/pub_summ.jsp?ods_key=aag.
Special Award Conditions:
NSF SEES-Fellow applicants will be notified if they will be offered an
award. The applicant must accept the award (via email to the cognizant
Program Officer) or withdraw their application within 30 days of
notification. The exact start date of the award will be determined by
NSF after discussion between the cognizant Program Officer and the PI.
Unaffiliated applicants must affiliate with a host organization in
order to receive the award. A Fellow's Award will not be finalized
until a host organization provides to NSF a revised cover sheet and
budget for the proposed activity signed by an authorized
organizational representative. Guidance regarding this process will be
provided by the NSF Program Officer.
Awards are made to the organization on behalf of the Fellow. If the
Fellow chooses to affiliate with another organization during the grant
and receives approval from the NSF Program Officer, the current
awardee organization must allow the award to be transferred.
Fellows who are granted family or medical leave by the grantee
institution may request supplemental support. Please see
[46]http://www.nsf.gov/career-life-balance/ for additional information
on NSF's career-life balance initiative, and contact your Program
Director.
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
[47]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:
For questions related to the use of FastLane, contact:
* FastLane Help Desk, telephone: 1-800-673-6188; e-mail:
[48]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:
[49]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, "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 [50]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 at
[51]https://public.govdelivery.com/accounts/USNSF/subscriber/new?topic
_id=USNSF_179.
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 [52]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 [53]http://www.nsf.gov
* Location: 4201 Wilson Blvd.
Arlington, VA 22230
* 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: [54]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, [55]NSF-50, "Principal Investigator/Proposal File and
Associated Records," 69 Federal Register 26410 (May 12, 2004), and
[56]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
Office of the General Counsel
National Science Foundation
Arlington, VA 22230
[57]Policies and Important Links
|
[58]Privacy | [59]FOIA | [60]Help | [61]Contact NSF | [62]Contact Web
Master | [63]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
[64]Text Only
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References
1. http://www.nsf.gov/pubs/2013/nsf13595/nsf13595.htm#toc
2. http://www.nsf.gov/dir/index.jsp?org=eng
3. http://www.nsf.gov/dir/index.jsp?org=eng
4. http://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg
5. http://www.nsf.gov/publications/pub_summ.jsp?ods_key=grantsgovguide
6. http://www.nsf.gov/pubs/2013/nsf13595/nsf13595.htm#summary
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8. http://www.nsf.gov/pubs/2013/nsf13595/nsf13595.htm#pgm_desc_txt
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19. http://www.nsf.gov/pubs/2013/nsf13595/nsf13595.htm#awardadmin
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23. http://www.nsf.gov/pubs/2013/nsf13595/nsf13595.htm#cont
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25. http://www.nsf.gov/dir/index.jsp?org=eng
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27. http://www.nsf.gov/sees/
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32. mailto:nsfpubs@nsf.gov
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policydocs/pappguide/nsf13001/gpg_2.jsp#IIC2givc
34. https://www.fastlane.nsf.gov/a1/newstan.htm
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37. mailto:support@grants.gov
38. http://www.nsf.gov/pubs/
policydocs/pappguide/nsf14001/gpg_3ex1.pdf
39. http://nsf.gov/bfa/dias/policy/merit_review/
40. http://www.nsf.gov/pubs/2014/nsf14043/nsf14043.pdf
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46. http://www.nsf.gov/career-life-balance/
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48. mailto:fastlane@nsf.gov
49. mailto:support@grants.gov
50. http://www.nsf.gov/bfa/dias/policy/outreach.jsp
51. https://public.govdelivery.com/accounts/
USNSF/subscriber/new?topic_id=USNSF_179
52. http://www.grants.gov/
53. http://www.nsf.gov/
54. mailto:nsfpubs@nsf.gov
55. http://www.nsf.gov/policies/
SOR_PA_NSF-50_Principal_Investigator_Proposal_File.pdf
56. http://www.nsf.gov/policies/
SOR_PA_NSF-51_Reviewer_Proposal_File.pdf
57. http://www.nsf.gov/policies
58. http://www.nsf.gov/policies/privacy.jsp
59. http://www.nsf.gov/policies/foia.jsp
60. http://www.nsf.gov/help/
61. http://www.nsf.gov/help/contact.jsp
62. mailto:webmaster@nsf.gov
63. http://www.nsf.gov/help/sitemap.jsp
64. http://transcoder.usablenet.com/tt/referrer