NSF 13-533: Centers of Research Excellence in Science and Technology (CREST) and HBCU Research Infrastructure for Science and Engineering (RISE)

Program Solicitation NSF 13-533

National Science Foundation Directorate for Education & Human Resources      Division of Human Resource Development

Letter of Intent Due Date(s) (required) (due by 5 p.m. proposer's local time):

     April 22, 2013

CREST Centers and HBCU-RISE

Supplement Due Date(s) (due by 5 p.m. proposer's local time):

     Proposals Accepted Anytime

SBIR/STTR Diversity Collaborative Supplements

Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):

     April 24, 2013

Broadening Participation Research Projects

     June 06, 2013

CREST Centers, CREST Partnership Supplements and HBCU-RISE

Important Information And Revision Notes

A revised version of the NSF Proposal & Award Policies & Procedures Guide (PAPPG), 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 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 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, 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 Grant Proposal Guide and the 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 Grant Proposal Guide.

Revision Summary

The organizational eligibility for CREST Center proposals has been expanded to include institutions that serve populations of students with disabilities, as designated by the National Science Foundation.

This solicitation includes a Broadening Participation Research in STEM Education track.

Summary Of Program Requirements

General Information

Program Title:

Centers of Research Excellence in Science and Technology (CREST)
and HBCU Research Infrastructure for Science and Engineering (HBCU-RISE)

Synopsis of Program:

The Centers of Research Excellence in Science and Technology (CREST) program provides support to enhance the research capabilities of minority-serving institutions through the establishment of centers that effectively integrate education and research. CREST promotes the development of new knowledge, enhancements of the research productivity of individual faculty, and an expanded presence of students historically underrepresented in science, technology, engineering, and mathematics (STEM) disciplines. HBCU-RISE awards specifically target HBCUs to support the expansion of institutional research capacity as well as an increase in the production of doctoral students, especially those from groups underrepresented in STEM, at those institutions.

The CREST program supports the following types of projects:

CREST Center awards provide multi-year support (typically 5-year) for eligible minority-serving institutions (MSI) that demonstrate a strong research and education base, a compelling vision for research infrastructure improvement, and a comprehensive plan with the necessary elements to achieve and sustain national competitiveness in a clearly defined and focused area of science or engineering research. Successful center proposals will demonstrate a clear vision and synergy with the broad goals of the CREST Program and the Human Resource Development Division with respect to development of a diverse STEM workforce. CREST Centers are expected to provide leadership in the involvement of groups traditionally underrepresented in STEM at all levels (faculty, students, and postdoctoral researchers) within the Center. Centers are expected to use either proven or innovative mechanisms to address issues such as recruitment, retention and mentorship of participants from underrepresented groups.

CREST Partnership Supplements support the establishment or strengthening of partnerships and collaborations between CREST centers and nationally or internationally recognized research centers including NSF-supported research centers.

HBCU Research Infrastructure for Science and Engineering (RISE) awards support the development of research capability at Historically Black Colleges and Universities that offer doctoral degrees in science and engineering disciplines. Supported projects must have a unifying research focus in one of the research areas supported by NSF, a direct connection to the long-term plans of the host department(s) and the institutional mission, and plans for expanding institutional research capacity as well as increasing the production of doctoral students, especially those underrepresented in STEM.

Broadening Participation Research (BPR) in STEM Education projects create and study new models and innovations in STEM teaching and learning; enhance the understanding of the underlying issues affecting the differential participation and success rates of students from underrepresented groups; add to the research knowledge base; and inform STEM education practices and interventions. Broadening Participation Research proposals should describe evidence-based research studies that contribute to understanding the participation of and successful outcomes for underrepresented groups in STEM. Proposals should consider new evidence-based strategies and practices and institutional structure models for broadening participation in STEM and increasing the capacity of scholars in minority-serving institutions to conduct this type of research.

SBIR/STTR Phase IIa Diversity Collaboration Supplements provide an opportunity for existing SBIR/STTR Phase IIa projects to initiate collaborations with minority-serving institutions that have active CREST and HBCU-RISE awards. These supplemental proposals are administered by and co-funded with the NSF Directorate for Engineering Division of Industrial Innovation and Partnerships (ENG/IIP).

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.

• Victor A. Santiago, Program Director, telephone: (703) 292-4673, fax: (703) 292-9018, email: vsantiag@nsf.gov

• Claudia Rankins, Program Director, telephone: (703) 292-8109, fax: (703) 292-9018, email: crankins@nsf.gov

• Nicole E. Godwin, Program Specialist, telephone: (703) 292-8378, fax: (703) 292-9018, email: ngodwin@nsf.gov

• Juan E. Figueroa, Program Officer, ENG/IIP, SBIR/STTR, telephone: (703) 292-7054, fax: (703) 292-9057, email: jfiguero@nsf.gov

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

• 47.076 --- Education and Human Resources

Award Information

Anticipated Type of Award: Standard Grant or Continuing Grant

Estimated Number of Awards: 11 to 13 - Up to 2 Broadening Participation Research in STEM Education standard grants and up to 2 SBIR/STTR Diversity Collaborative Supplements in fiscal year 2013. Up to 3 CREST Center continuing grants, up to 4 CREST Partnership Supplements, and up to 2 HBCU-RISE standard grants in fiscal year 2014.

Anticipated Funding Amount: $6,000,000

across fiscal years 2013 and 2014 for new awards, pending the availability of funds - In fiscal year 2013, up to $500,000 for Broadening Participation Research standard grants and up to $100,000 from CREST and $100,000 from ENG/IIP for co-funded SBIR/STTR Diversity Collaborative Supplements. In fiscal year 2014, $3,000,000 for CREST Centers ($1,000,000 1st year commitments), $400,000 for CREST partnership supplements and $2,000,000 for HBCU-RISE standard grants.

Eligibility Information

Organization Limit:

• CREST Center proposals are invited from minority-serving institutions of higher education in the United States. This denotes institutions that have undergraduate enrollments of 50% or more (based on total student enrollment) of members of minority groups underrepresented among those holding advanced degrees in science and engineering fields: African Americans, Alaska Natives, American Indians, Hispanic Americans, Native Hawaiian, and Native Pacific Islanders. Eligibility as a minority-serving institution will be determined by reference to the Integrated Postsecondary Education Data System (IPEDS) of the US Department of Education National Center for Education Statistics (http://nces.ed.gov/ipeds/). Proposals are also invited from institutions of higher education that primarily serve populations of students with disabilities (https://www.nsf.gov/od/broadeningparticipation/nsf_frameworkforaction_0808.pdf).

  HBCU-RISE proposals are invited from Historically Black Colleges and Universities that offer doctoral degrees in science (including social, behavioral, and economic science), technology, engineering and mathematics disciplines.
  
  SBIR /STTR diversity collaborative supplement proposals are invited from current SBIR/STTR Phase IIA grantees and their CREST or HBCU-RISE institution partners.

  BPR in STEM Education proposals are invited from institutions meeting the organizational eligibility for CREST or HBCU - RISE proposals.

PI Limit:

Principal Investigators for CREST, HBCU-RISE, BPR, and SBIR/STTR awards must be employed by a CREST, HBCU-RISE, BPR or SBIR/STTR-eligible institution, respectively.

Limit on Number of Proposals per Organization:

Only one CREST Center proposal may be submitted per eligible institution. An institution may have only one active CREST award, irrespective of focus area. Centers that have completed two prior, consecutive 5-year CREST awards may not recompete. However, new research teams from former awardee institutions may submit proposals in disciplinary areas that are significantly different from those of the previous award(s).

Only one HBCU-RISE proposal may be submitted per eligible institution. An institution may have only one active HBCU-RISE award.

An eligible institution can submit no more than two Broadening Participation Research in STEM Education proposals per year.

Limit on Number of Proposals per PI:

Eligible individuals may be listed as the principal investigator or co-principal investigator on only one CREST or HBCU-RISE proposal.

Proposal Preparation and Submission Instructions

A. Proposal Preparation Instructions

• Letters of Intent: Submission of Letters of Intent is required for CREST Centers & HBCU-RISE. Please see the full text of this solicitation for further information.

• 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: https://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: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=grantsgovguide)

B. Budgetary Information

• Cost Sharing Requirements: Inclusion of voluntary committed cost sharing is prohibited.

• Indirect Cost (F&A) Limitations: Not Applicable

• Other Budgetary Limitations: Not Applicable

C. Due Dates

• Letter of Intent Due Date(s) (required) (due by 5 p.m. proposer's local time):

       April 22, 2013

  CREST Centers and HBCU-RISE

• Supplement Due Date(s) (due by 5 p.m. proposer's local time):

       Proposals Accepted Anytime

  SBIR/STTR Diversity Collaborative Supplements

• Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):

       April 24, 2013

  Broadening Participation Research Projects

       June 06, 2013

  CREST Centers, CREST Partnership Supplements and HBCU-RISE

Proposal Review Information Criteria

Merit Review Criteria: National Science Board approved criteria. 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

Summary of Program Requirements

1. Introduction
   
   
2. Program Description
   
   
3. Award Information
   
   
4. Eligibility Information
   
   
5. Proposal Preparation and Submission Instructions
   1. Proposal Preparation Instructions
   2. Budgetary Information
   3. Due Dates
   4. FastLane/Grants.gov Requirements
      
      
6. NSF Proposal Processing and Review Procedures
   1. Merit Review Principles and Criteria
   2. Review and Selection Process
      
      
7. Award Administration Information
   1. Notification of the Award
   2. Award Conditions
   3. Reporting Requirements
      
      
8. Agency Contacts
   
   
9. Other Information

I. Introduction

Centers of Research Excellence in Science and Technology (CREST) is a program in the Division of Human Resource Development (HRD), which is part of the Directorate for Education and Human Resources (EHR) of the National Science Foundation.

CREST and HBCU-RISE support efforts to strengthen the science and engineering research and education capacity at institutions with strong track records of producing STEM graduates from underrepresented populations. In doing so, these programs help to fulfill an important outcome goal of the NSF Strategic Plan: to cultivate a world-class, broadly inclusive science and engineering workforce and expand scientific literacy of all citizens. They comprise an important element within the HRD Theory of Change framework, in that the capability of minority-serving institutions to be engaged in the global research enterprise and in the highest levels of scholarly achievement will be more fully enabled. In addition to enhancing research capacity, CREST and HBCU-RISE projects also further the NSF goal of preparing tomorrow's innovation workforce that is enriched by the assets of diverse participants from a range of groups and communities. This STEM workforce will engage diverse teams that can offer new ways to solve problems and provide unique perspectives to improve performance and outcomes.

CREST and HBCU-RISE promote faculty engagement in research activities at the highest level. An educational environment based on discovery will be vibrant, with both undergraduate and graduate students engaged in the process of discovery and innovation through modern and relevant curricula, courses, and research experiences. Students will have opportunities to become significant participants in the broader community of scholarship in their respective fields. Minority-serving institutions offer an opportunity to engage student and faculty populations from underrepresented groups in numbers that can have a significant impact, consistent with the NSF goal to broaden participation and with the NSF mission: to promote the progress of science; to advance the national health, prosperity, and welfare; to secure the national defense and to ensure that research is fully integrated with education so that today's revolutionary work will also be training tomorrow's top scientists and engineers.

The CREST Program is particularly interested in building knowledge in areas related to the following research questions, which are critical for the development of research capacity at minority serving institutions and for the ultimate benefit of student and faculty populations from underrepresented groups that are served by those institutions:

• What are the underlying issues affecting the differential participation and success rates in STEM disciplines of students, postdoctoral researchers and faculty from underrepresented groups?
• What are the obstacles faced in promoting graduate study in STEM for students at minority-serving institutions and how may these effectively be overcome?
• How does enhanced research capacity and active, leading-edge scholarly enterprise transform minority-serving institutions?
• How do minority-serving institutions contribute to a diverse STEM graduate student body, postdoctoral trainee population, and faculty to impact STEM innovation and productivity?
• How does leading-edge research activity influence the knowledge, skills, and behaviors of undergraduate and graduate students who are in STEM fields and who may be considering STEM fields for their educational experiences?

CREST Centers and HBCU-RISE award activities should be informed by the body of knowledge that surrounds these (and other) important educational research questions; and they will in turn add to that knowledge base for fundamental investigations into these topics.

NSF expects that awards made under the CREST program will catalyze institutional transformation in terms of the development of research capabilities, commensurate with the institution's mission and long term goals, and that the institutions will evaluate the impact of the award in effecting this transformation. Demonstrated leadership in the involvement of groups traditionally underrepresented in STEM is expected at all levels - students, postdoctoral researchers and faculty. The research activities supported by CREST are expected to enable full participation of faculty, graduate students and undergraduates in a nationally competitive research enterprise. Outcomes and activities - such as publications, involvement in regional, national and international research forums, patents and commercial dissemination of research results, professional development of postdoctoral research associates, training of doctoral and master's students, and involvement of undergraduates in research activities - should all occur in ways that establish the potential for national leadership. The ability of CREST and RISE awards to leverage funding from federal, state and local agencies, as well as to foster industrial and academic collaborations, as part of a sustainable research enterprise, is an important outcome. At the same time, the projects will promote synergy between education and research; develop outreach activities for pre-college students, K-12 educators, and the general public; and serve as a model for research scholarship throughout the institution. A key feature of projects will be a program strategy and plan for recruitment, mentoring, retention, and graduation of students (U.S. citizens, nationals, and permanent residents) in NSF-supported STEM fields, with specific efforts aimed at members of groups underrepresented in science and engineering.

II. Program Description

This solicitation requests proposals for: (1) CREST Center awards; (2) partnership supplements applied to existing CREST awards; (3) HBCU Research Infrastructure for Science & Engineering (HBCU-RISE) awards; (4) supplements to existing Small Business Innovation Research and Small Business Technology Transfer (SBIR/STTR) Phase IIA awards (administered by the NSF Directorate for Engineering); and (5) CREST Broadening Participation Research in STEM Education awards.

1. CREST Centers. CREST Center awards integrate education and research. CREST promotes the development of new knowledge, enhances faculty research productivity, and increases diversity in STEM disciplines. CREST provides multi-year support for eligible minority-serving institutions that demonstrate a strong research and education base, a compelling vision for research infrastructure improvement, and a comprehensive plan with the necessary elements to achieve and sustain national competitiveness in a clearly defined and focused area of science or engineering research. The Center Director must provide the leadership to develop and lead a diverse team, inclusive of women and men, underrepresented minorities, and persons with disabilities, who are U.S. citizens, nationals, or permanent residents, to fulfill the vision of the Center. CREST Centers will engage students, postdoctoral researchers, and faculty from underrepresented groups in numbers that can have a significant impact on an increasingly diverse advanced STEM workforce. CREST Center awards are typically 60-month Continuing Grants of up to $5 million. These funds are used to support science and technology infrastructure improvements identified by the institution as being critical to its future research and development competitiveness.

Proposal Structure: CREST proposals consist of the Center proposal (the Project Description) and its associated research Subproject Narratives. The Center proposal includes discussion of the applicant's overall plan for improving the status of science and engineering research and training and for broadening participation in science and engineering by a diverse student population, as codified by the Center's unifying theme or focus. This Center overview should present a clear explanation of the proposed improvement plan from a scientific, educational and administrative or fiscal point of view. The proposal Project Summary will provide an overview of the proposed activities and will clearly delineate the National Science Foundation criteria of Intellectual Merit and Broader Impacts. More detailed information is provided in Section V of this solicitation.

Research Subprojects: The Project Summary also describes the synergy anticipated by the choice of 3 or 4 subprojects that are consistent with the unifying theme of the Center. Each proposed subproject may involve a subset of Center investigators, but should have a single subproject leader. The Subproject Narratives, prepared separately from the Project Description, will contain the elements of an abbreviated NSF research proposal, but will also contain a copy of the Center Project Summary described above. In addition, each Subproject Narrative will contain a one-page Subproject Relevancy Statement summarizing the subproject's importance to the overall proposal plan, including synergy with the other subprojects, and showing how it supports the overall goals and objectives of the Center proposal. The Subproject Narratives will be independently evaluated following the standard NSF merit review process. Prospective PIs should refer to Section V of this solicitation for more detailed proposal preparation instructions, including specific instructions for preparing and submitting the Subproject Narratives.

Expectations for CREST Proposals and Awardees: The Project Description should include an Evaluation Plan to track progress and strengthen cooperative efforts. General information on project evaluation is provided at the end of Section II of this solicitation. In addition to progress reports required annually via the NSF FastLane system, awardees will be expected to submit reports on project participants, publications, outreach efforts, patents, proposals, leveraged funding efforts and similar data to the CREST data collection system. Awardees may also expect site visits and reverse site visits by NSF-appointed evaluators per the particular terms and conditions established in the award documentation. Midpoint reviews of progress are also typical. CREST personnel will be expected to participate in annual convocations of HRD activities such as the HRD Joint Annual Meeting.

Consistent with the CREST objectives to broaden the participation of populations that are underrepresented in STEM fields, who are U.S. citizens, nationals, or permanent residents, the proposal should clearly describe the diversity objectives of the Center and outline strategies for achieving them. The contribution/role of partner institutions in the diversity plans should also be described. Proposed activities should be presented in sufficient detail to allow assessment of their intrinsic merit and potential effectiveness. The Evaluation Plan should explain how progress will be measured and how strategies will be adapted. Proposers should demonstrate specifically how the project will integrate the research, education and outreach activities of the Center with measurable outcomes of increasing the participation at the post-baccalaureate level U.S. citizens, nationals, and permanent residents, especially those from the underrepresented student populations that they serve.

Each Center shall convene, at least annually, an external advisory group or committee (EAC). The advisors should include representatives from those served by the center (e.g., academic institutions, industry, state and local agencies, national laboratories) and reflect the diversity of participants inherent in the citizenry of the United States. The function of the EAC is to provide guidance and advice to the center as well as to ensure that the Center's activities are consistent with its vision, goals and objectives. Persons with a financial, institutional, or collaborative connection to the Center may not serve as members of the EAC. Each Center shall also have an Internal Steering Committee to include the PI, co-PIs and other applicable stakeholders.

CREST Centers may be organized around the development of individual scientists or engineers, one or more science or engineering departments or equivalent units, or interdisciplinary and multidisciplinary research areas. Multiple-investigator projects are encouraged. Collaborative efforts involving industry, other research universities, federally funded laboratories, or other national, state, or regional research and development institutions are encouraged. Sub-awards to such collaborating institutions are permitted, subject to restrictions outlined in the Grant Proposal Guide. It is expected that CREST funding will add substantial, measurable value to the existing science and technology research capability in areas of high institutional priority. The research team will develop a strong potential to achieve national research competitiveness and to generate sustained non-CREST funding from federal, state, or private-sector sources.

Support may be requested for activities that positively impact the quality of research training and the research preparedness of graduate students, particularly women, persons with disabilities, and underrepresented minorities that are U.S. citizens, nationals or permanent residents. Projects should be designed to enable awardee institutions to enhance the integration of education and research. The proposal should include a component that outlines a strategy for the creative integration of NSF-funded awards at the institution that are related to the proposed project's goals and scope. In identifying the members of the research team, the proposing institution should strongly encourage participation by underrepresented minorities, women, and persons with disabilities, who are U.S. citizens, nationals, or permanent residents, in all organizational levels of Center activities. Whether the proposed activity is considered competitive will be determined by merit review of the appropriateness and relevance of the improvement strategies to CREST program goals, as articulated in Section I of this solicitation.

Special Considerations for CREST Phase II Proposals: A CREST Center nearing the completion of its initial five years of funding may submit a competing renewal proposal for an additional five years of support. The renewal proposal will undergo merit review alongside proposals for new CREST Centers. Accordingly, the achievements and future plans of existing centers will be evaluated comprehensively relative to progress and direction and weighed against the competition for available program funds. The results from the Phase I broadening participation strategy consistent with the CREST goal to develop a diverse, advanced STEM workforce should be articulated clearly in parallel with the institutional transformation arising from the research accomplishments of the first 5 years. The Project Description for a Phase II award should demonstrate a clear vision for a synergistic team of investigators that should be positioned within the second five years of support to achieve a major national recognition for their accomplishments, including research that has the potential to be transformative. The Project Description as well as the Subproject Narratives should provide a systematic articulation of the research, educational, and outreach accomplishments of the Phase I project and how these will drive the future activities of the Center, especially in terms of a new vision and organization. The Phase II Center should be well positioned to demonstrate a transformation of the institutional capacity for engaging U.S. citizens, nationals and permanent residents, who are from populations of women, persons with disabilities and underrepresented minorities, in the advanced STEM workforce. A simple continuation of the Phase I CREST Center, even if the scientific merits of the various research activities are strong, will not yield a competitive proposal.

A recommendation for a Phase II CREST Center award will be subject to availability of funds, as well as the demonstrated potential that funding as a CREST Phase II Center will lead to institutional, programmatic, and STEM workforce transformation that the CREST Program is trying to achieve. Renewed centers will continue to be monitored by NSF. Centers that are not meeting the exceptional expectations of a Phase II Center may have their level of funding reduced or may be terminated.

2. CREST Partnership Supplements. CREST partnership supplements support the establishment or strengthening of partnerships and collaborations between CREST Centers and nationally or internationally recognized research centers including NSF supported research centers. As with CREST Center proposals, CREST partnership supplements are designed to facilitate self-improvement. Support may be requested for activities that have a direct positive influence on the competitiveness of participating scientists and engineers and the quality of the institution's research and training. Supportable activities may include, but are not limited to: exploratory research projects; acquisition of materials, supplies, research equipment and instrumentation; hiring nationally competitive scientists and/or engineers; visiting scientists and engineers as short- or long-term consultants; faculty attendance at professional meetings and seminars; faculty sabbaticals and exchange programs; education activities directed toward development of a diverse, internationally competitive and globally engaged workforce of scientists, engineers, and citizens well-prepared for a broad set of career paths; undergraduate and graduate research activities; development of outreach and other enhancement programs with neighboring institutions; and strengthening technical support personnel. The benefits to both parties in the proposed collaboration must be clearly articulated.

3. Historically Black Colleges and Universities Research Infrastructure for Science and Engineering (HBCU-RISE). HBCU-RISE awards support the development of research capability at HBCUs that offer doctoral degrees in science and engineering disciplines. Activities supported by RISE include, but are not limited to: faculty release time, technical support for research, faculty professional development, acquisition or upgrading of research equipment, development of new advanced level curricula or courses, and collaborative research efforts with partner universities and national laboratories. Career development opportunities, provision for developing professional skills, fostering an international perspective, instruction in ethics and the responsible conduct of research, and training in communication of the substance and importance of research to nonscientist audiences may be part of the proposed activities. Supported projects must have a unifying research focus in one of the research areas supported by NSF, a direct connection to the long-term plans of the host department(s) and the institutional mission, and plans for expanding institutional research capacity as well as increasing the production of doctoral students, especially those from underrepresented groups, who are U.S. citizens, nationals or permanent residents. The proposal should include a component that outlines a strategy for the creative integration of NSF-funded awards at the institution, which are related to the proposed project's goals and scope. HBCU-RISE funding may, for example, be used to support competitive levels of start-up funding for outstanding new faculty hires with research interests related to the project or to acquire key equipment and instruments, including high-performance computing and networking capabilities.

HBCU-RISE projects must offer considerably more to an institution's capacity to carry out doctoral level research than is afforded by traditional single- or multi-investigator research proposals. In this way, HBCU-RISE support should not replace other available federal, state, or institutional resources and should add significant value to the existing institutional strategic plan. Reviewers will be asked to consider the unique goals of the HBCU-RISE program in developing doctoral program capacity, in additional to supporting research activities. Each HBCU-RISE project should describe an evaluation plan to track progress and strengthen cooperative efforts. In addition, each project will be required to participate in a program-level evaluation to assess outcomes and the program's contributions to advancing the science and engineering research and education capabilities of minority-serving institutions, with special attention to increasing doctoral degree attainment among U.S. citizens, nationals, and permanent residents at those institutions.

It is not necessary for each HBCU-RISE project to convene meetings of an external advisory group or committee. However, each project shall identify an Internal Steering Committee to include the PI, co-PIs and other applicable stakeholders to review the results of the evaluation process and to ensure that the progress is consistent with departmental and institutional goals. HBCU-RISE personnel will be expected to participate in convocations of HRD activities such as the HRD Joint Annual Meeting.

4. Small Business Innovation Research and Small Business Technology Transfer (SBIR/STTR) supplemental funding for diversity collaborations. SBIR/STTR supplements seek to promote partnerships between academe and the small-business community. In particular, SBIR/STTR Phase II grantees may partner with CREST/HBCU-RISE institutions with the intent of developing the scientific or engineering underpinnings of the SBIR Phase II technology. As such, it is not important that the SBIR/STTR supplemental project be related to the research areas for which the institution is receiving CREST/HBCU-RISE support. Inquiries and proposals to this track are not submitted to CREST but directly to SBIR/STTR in the Directorate for Engineering. See, for example, NSF 12-069 Dear Colleague Letter: Supplemental Opportunity for SBIR/STTR for CREST/HBCU-RISE Collaborations - Phase IIA. Information on SBIR/STTR may be obtained from the following link: SBIR/STTR.

5. Broadening Participation Research in STEM Education (BPR): The Broadening Participation Research in STEM Education track exists across programs in the Division of Human Resource Development and may be found in the following solicitations: Alliances for Graduate Education and the Professoriate (AGEP); Historically Black Colleges and Universities Undergraduate Program (HBCU-UP); Louis Stokes Alliances for Minority Participation (LSAMP); and Tribal Colleges and Universities Program (TCUP). Priorities and restrictions on study populations and awardee institutions may apply depending on the HRD program to which the proposal is submitted. BPR projects have a duration of up to three years.

CREST Broadening Participation Research (BPR) in STEM Education proposals should be designed to create and study new models and innovations in STEM teaching and learning; enhance the understanding of the underlying issues affecting the differential participation and success rates of students from underrepresented groups; add to the research knowledge base; and inform STEM education practices and interventions. Broadening Participation Research proposals should describe evidence-based research studies that contribute to understanding the participation of and successful outcomes for underrepresented groups in STEM. Proposals should consider new evidence-based strategies and practices and institutional structure models for broadening participation in STEM and increasing the capacity of scholars in minority-serving institutions to conduct this type of research.

Proposed research may investigate behavioral, cognitive, affective, learning and social differences as well as organizational, institutional or systemic processes that may impact participation and success in STEM education. Successful proposals will be grounded in appropriate theory and incorporate recent innovations and advances in research methodologies, conceptual frameworks, and/or data gathering and analytic techniques. Proposals should reflect relevant advances in quantitative, qualitative, and mixed-methods research and evaluation methodologies and provide a compelling argument about how the methodologies proposed are appropriately matched with the strategic research questions of the project. Additionally, proposals should demonstrate how the methods chosen will result in rigorous, cumulative, reproducible, and usable findings to merit peer-review and publication.

Broadening Participation Research proposals must include PIs with demonstrable expertise in education research and/or social science research methods and knowledge about STEM programs at MSIs. Proposers are encouraged to establish collaborations to strengthen the research project and to describe in the proposal the nature of the collaboration and the anticipated benefits. As appropriate, proposals should describe mechanisms to effectively and efficiently transfer findings into educational practice for use by other researchers and policymakers.

Proposals can be driven by the fundamental programmatic research questions posed in Section I of this solicitation, or they may pose their own research questions motivated by the goals of the CREST Program. CREST-BPR proposals may be jointly reviewed as appropriate with other NSF education and social science research programs. Proposals from individual researchers as well as collaborative proposals with multiple research partners are encouraged. However, the lead institution for awards funded through the CREST-BPR track must meet the organizational eligibility criteria cited elsewhere in this solicitation.

6. Other Funding Opportunities. CREST also funds Conferences, Symposia, and Workshops; EAGER and RAPID grants; and Grant Supplements for existing awards. Such proposals may be submitted as described in the Grant Proposal Guide (GPG), which is available at https://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg.

For Conferences, Symposia, and Workshops, see GPG, II.D.8.

For Early-concept Grants for Exploratory Research (EAGER), see GPG, II.D.2

For Grants for Rapid Response Research (RAPID), see GPG, II.D.1.

For a supplement through the Cooperative Activity with the Department of Energy, see the Dear Colleague Letter at NSF 10-019.

For funding opportunities through the NSF-Wide Science, Engineering Education for Sustainability (SEES), see the following link: https://www.nsf.gov/funding/pgm_summ.jsp?pims_id=504707

For funding opportunities in CyberLearning, see NSF 11-587, also accessible through the following link: https://www.nsf.gov/funding/pgm_summ.jsp?pims_id=503581

For funding opportunities under the Dear Colleague Letter: Introducing Science Across Virtual Institutes (SAVI), please refer to NSF 11-08

Project Evaluation: All proposals should include an evaluation section that describes how the project evaluator /evaluation team will determine the accomplishment of project goals and the impact of the project. Evaluation should be based on benchmarks, indicators, or expected outcomes related to project goals and activities. The following information serves as a general guide for developing evaluation processes. However, each project should develop an appropriate plan for the proposed activities. Not every element of an evaluation may be needed for each proposed project.

Evaluation plans should be based on a Logic Model or other tool that relates project goals to activities and to outputs, outcomes, and impact (immediate, short-term, and intermediate-term expected changes). Most evaluations are based on evaluation questions that relate to program and project goals. Evaluation plans should be appropriate to the scope of the project; this usually includes both formative and summative evaluations. Formative evaluation plans outline methods for documenting progress toward project goals and should include a feedback feature that allows for continuous improvement of the project activities. In some cases, formative evaluation may be internal to the project. Summative evaluation focuses on the influence of the project on the targeted expected outputs and outcomes, and overall impact of the project. Some projects will utilize experimental or quasi-experimental designs as the basis for their summative evaluation plans.

Evaluations are expected to include both qualitative and quantitative methodology. Expected project outputs, outcomes and impact should be included in the evaluation plan and should, when possible, rely on measures that are valid and reliable with the targeted participants. Outputs are the numbers related to project activities such as the number of faculty in pedagogical workshops, the number of students who completed Ph.D. programs in STEM, or the number of peer-reviewed publications attributed to the project. Outcomes are defined as the results of participation in project activities. Strategic impacts are lasting outcomes attributable to the project. The demonstration of project impact is the result of the overall influence of the project on the goal of the program. An example of impact is increased graduation rates of students who participated in a specific model compared to baseline or a control/comparison group.

Evaluation plans for research projects could include activities related to project integrity and usefulness / utilization / and dissemination of findings. Evaluation activities could include such activities as documenting and describing the operation of the project through all phases and oversight related to appropriate selection of participants, fidelity, and integrity of research design and measures (formative); and assessing the extent to which findings contribute to the knowledge base in the field and are disseminated to those researchers and practitioners who will utilize the findings (summative).

The budget MUST include adequate resources for project evaluation. Project evaluation should be led by an expert independent evaluation team. Evaluators are expected to adhere to the Guiding Principles for Evaluators http://www.eval.org/GPTraining and project evaluations are expected to be consistent with standards established by the Joint Committee on Standards for Educational Evaluation (http://www.jcsee.org/).

The following references may be helpful in designing an evaluation plan:

• Mixed Methods User-Friendly Handbook: http://www.westat.com/Westat/pdf/news/UFHB.pdf
• Framework for Impact of BP Projects: https://www.nsf.gov/od/broadeningparticipation/framework-evaluating-impacts-broadening-participation-projects_1101.pdf
• Framework for Impact of ISE Projects: http://caise.insci.org/uploads/docs/Eval_Framework.pdf
• AAAS Measuring Diversity Report: http://www.nsfagep.org/files/2011/04/MeasuringDiversity-EvalGuide.pdf
• Evidence: An Essential Tool Report: https://www.nsf.gov/pubs/2005/nsf0531/nsf0531.pdf
• Indigenous Evaluation Framework Report: http://portal3.aihec.org/sites/Indigeval/Documents/0-Intro_Contents.pdf
• Evaluation e-library of the American Evaluation Association Resource Library http://www.eval.org/

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III. Award Information

CREST award instruments, duration, and amounts vary among the CREST program components.

• Up to 3 CREST Center awards (new centers and Phase II competitive renewals with their respective research subprojects) are anticipated in the current review cycle. CREST Center awards are for 60 months at up to $1,000,000 annually (i.e., a maximum of $5,000,000). Center awards are made as Continuing Grants. The progress and plans of each center will be reviewed by NSF annually, prior to approving continued NSF support. Centers that are not meeting the expectations of a Phase II Center may have their level of funding reduced or may be terminated. Individual centers may not receive more than 10 years of CREST support. An institution may have only one active CREST center award.

• Up to 4 CREST partnership supplements will be made for a maximum amount of $100,000 per supplement, in amounts that vary with need and are subject to the availability of funds. A supplement will be an amendment to an existing award.

• Up to 2 HBCU-RISE awards will be made during this award cycle. Awards will not exceed $1,000,000 during a three-year period. HBCU-RISE awards will be managed through standard grants. An institution may only have one active HBCU-RISE award.

• Up to 2 CREST SBIR/STTR diversity collaborative supplements will be made during this award cycle. These supplemental awards will be made to eligible SBIR/STTR Phase II awardees in partnership with CREST and HBCU-RISE institutions, as described in Section II.4. These supplemental awards will not exceed $100,000 in NSF support.

• Up to 2 Broadening Participation Research in STEM Education awards will be made during this award cycle. Awards will not exceed $300,000 during a three-year period.

The estimated CREST, HBCU-RISE, SBIR/STTR, and CREST-BPR budgets, number of awards and award size and duration are subject to the availability of funds.