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Dear Colleague Letter

Special Guidelines for Submitting Collaborative Proposals Under the U.S. NSF/GEO - FAPESP Lead Agency Opportunity on Collaborative Research on Geosciences

Supports collaborative geoscience partnerships between researchers in the U.S. and the Brazilian state of São Paulo, promoting research excellence and international collaboration through a streamlined submission and merit review process under the lead agency.
Supports collaborative geoscience partnerships between researchers in the U.S. and the Brazilian state of São Paulo, promoting research excellence and international collaboration through a streamlined submission and merit review process under the lead agency.

Dear Colleagues:

SCOPE

The Directorate for Geosciences (GEO) of the U.S. National Science Foundation (NSF) and the State of São Paulo Research Foundation (FAPESP) are pleased to announce an NSF/GEO-FAPESP Lead Agency Opportunity. The goal of this opportunity is to stimulate research excellence and reduce barriers to working internationally. Through a Lead Agency model, GEO and FAPESP will address these issues by allowing U.S. and State of São Paulo researchers to submit a single collaborative proposal that will undergo a single review process.

The U.S. NSF and FAPESP/Brazil signed a Memorandum of Understanding (MOU) on March 27, 2023. The MOU provides an overarching framework to encourage collaboration between U.S. and State of São Paulo research communities and sets out the principles by which jointly supported activities might be developed. The MOU provides for a Lead Agency arrangement whereby proposals will be submitted to both NSF and FAPESP.

As an initiation of the partnership, proposals will be accepted for collaborative research that addresses questions relevant to FAPESP and programs in the Directorate for Geosciences. This document provides guidelines for the preparation, submission, review, and award of NSF/GEO-FAPESP collaborative proposals.

Participating Programs are listed below.

NSF/GEO Program Descriptions or Solicitations under the following Divisions/Section:

FAPESP Programs:

Proposals may come from any area accepted by the participating NSF programs. The proposals may align with the special programs of FAPESP listed below, but this is not mandatory.

Continuous Funding Stream:

Other opportunities that participate in this lead agency activity include:

Proposals are expected to adhere to the requirements, funding limits, proposal deadlines and grant durations of the respective agency from which the funding is sought. For FAPESP, a specific funding mechanism was created for the NSF collaboration that can be accessed here: https://fapesp.br/17293/. The project must describe an integrated collaborative effort where the participation of proponents from both countries is essential for the success of the investigation.

Proposals submitted in response to this DCL are expected to be reviewed by existing programs and funded from existing program budgets in the Directorate for Geosciences. Proposers are advised that all documents submitted to NSF or FAPESP may be shared with the other agency in order to implement the two-way agency activities.

PROPOSAL PREPARATION AND SUBMISSION

  1. NSF will act as the Lead Agency.
  2. The PI should identify the area of research and contact the relevant NSF program director(s) prior to submitting an expression of interest to confirm that the research idea is within the purview of research areas within the Directorate for Geosciences.
  3. Once the NSF program director(s) have concurred that the research idea is a good fit, the U.S. based PI should submit an Expression of Interest (EOI). All NSF proposals submitted to this opportunity should be preceded by an Expression of Interest (EOI), sent to NSF at least 60 calendar days in advance of the date the proposers intend to submit a full proposal. If the program requires the submission of a concept outline, the EOI should be submitted at least 60 calendar days prior to the due date for the concept outline. The EOI template is available at https://www.nsf.gov/od/oise/IntlCollaborations/docs/NSF-GEO_FAPESP_EOI_Form.pdf and should be returned to NSFGEO-FAPESP@nsf.gov and the program director who encouraged the submission of the EOI. This EOI identifies the investigators and their organizations in both countries, provides a brief summary of the project, and provides the estimated budget associated with contributions of PIs in each country.
  4. PIs proposing research that requires access to research vessels are encouraged to check general information at https://www.nsf.gov/news/news_summ.jsp?cntn_id=191729&org=OCE.
  5. If the proposed project includes use of research facilities, each funding agency will normally be responsible for the costs incurred by the scientists from their country. Investigators must follow the guidance from their funding agency about support to use research facilities.
  6. For State of São Paulo and U.S. researchers, involvement in a joint international proposal will count towards the limit on the number of proposal submissions an individual can make to a funding opportunity, if a limit is specified by NSF or FAPESP.
  7. NSF will inform the proposer who submitted the EOI whether or not the proposed submission is invited to proceed under the Lead Agency process. The proposer will then share that decision with their collaborators.
  8. Proposers who are invited to submit a full proposal will do so in accordance with the proposal preparation requirements of the agencies, complying with the NSF/GEO proposal submission requirements and submitting through NSF's Research.gov system (https://www.research.gov/research-web/) or Grants.gov (https://grants.gov). The Sao Paulo PI is also expected to submit a copy of the full proposal to FAPESP via SAGe, https://sage.fapesp.br/SAGe_WEB/jsp/loginAdm.jsp.
  9. The full proposal should indicate the proposal is to be considered under the Lead Agency Opportunity by prefacing the title with "NSFGEO-FAPESP:" after any solicitation specific title requirements, if applicable.

  10. A copy of the proposed requested budget to FAPESP should be included as part of the full proposal as a supplementary document. The Budget Justification section of the full proposal should justify the full State of São Paulo and U.S. project budgets, both of which must be clearly discussed and differentiated in the budget justification. Proposals that request duplicative funding may be returned without review.

    It is anticipated that proposals will aim for a balanced partnership, with equivalent research commitment and efforts from both parties. Due to differences in currency and fundable items, equivalent financial requests from both sides are not expected.

    Full proposal budgets should not vary from those specified in the EOI by more than 10% and any such changes should be fully justified. It is recommended that proposers speak with the cognizant program director regarding any changes.

  11. In addition to any other requirements, the following documents are to be provided as Supplementary Documents for the full proposal:

    11.1 Information on personnel requesting funding from FAPESP is to be provided as specified below. This information is for administrative purposes only and is not intended to characterize the level or value of the contribution of these individuals to the project. Personnel requesting funding from FAPESP should not be listed on the cover sheet of the NSF proposal. If the specific funding opportunity to which you are submitting provides different instructions regarding information on international collaborators, you should follow those instructions.

    11.2 Listing of all personnel requesting funding from FAPESP – Required. Upload the following information in the order noted as a single PDF in Other Supplementary Documents. Clearly label the document as "Personnel requesting funding from FAPESP."

    1. For the equivalent of Senior/Key Personnel (as defined in the NSF PAPPG Exhibit II-3) requesting funding from FAPESP, list:
      • Name
      • Email Address
      • Organizational Affiliation
      • Organization's Location
      • Role in the proposed project
    2. For each organization requesting funding from FAPESP, list the total budget requested, expressed in USD and in reais. This should be a single number per requesting organization, not the full budget or budget justification. Guidance on submission of the full budget and the budget justification is provided above under item 10.
    3. If additional collaborators from countries not participating in this Lead Agency Opportunity are engaged in the proposed project, please provide the information listed in item 1.A. above for them in a separate single PDF in Other Supplementary Documents. Clearly label the document as "Listing of additional international personnel." Total budget number requested for these collaborators is not required.

    11.3 Biographical Sketch - Required for the equivalent of Senior/Key Personnel (as defined in the NSF PAPPG Exhibit II-3) requesting funding from FAPESP. Upload a biographical sketch separately for each individual who is the equivalent of Senior/Key Personnel requesting funding from FAPESP as a PDF in Other Personnel Biographical Information following these instructions:  https://www.nsf.gov/od/oise/IntlCollaborations/image/Intl-Bio-Instructions.pdf. Clearly label each document with the individual's name and "Biographical Sketch."

    11.4 Collaborators and Other Affiliations (COA) Information - Required for the equivalent of Senior/Key Personnel (as defined in the NSF PAPPG Exhibit II-3) requesting funding from FAPESP. NSF uses this information to manage reviewer selection and avoid potentially disqualifying conflicts of interest. COA information is not shared with reviewers. Upload COA information separately for each individual who is the equivalent of Senior/Key Personnel requesting funding from FAPESP as a PDF in Single Copy Documents using the COA template (https://www.nsf.gov/bfa/dias/policy/coa/coa_template.xlsx). Clearly label each document with the individual's name and "COA."

    11.5 Synergistic Activities - Not required. This Senior/Key Personnel Document is only applicable to individuals requesting funding from NSF, not international collaborators.

  12. For projects involving human subjects/participants, vertebrate animals, or other specific requirements, proposers should consult both NSF and FAPESP policies.
  13. The full proposal must be submitted by the established deadlines or target dates specified in the relevant NSF/GEO funding opportunity.

MERIT REVIEW

NSF/GEO-FAPESP collaborative proposals will be reviewed alongside all other proposals received in the same funding round or call and will not undergo a separate or special review process.

Proposals will be reviewed in accordance with NSF's merit review criteria: Intellectual Merit and Broader Impacts, and, if applicable, any additional solicitation specific review criteria. NSF and FAPESP ask reviewers, panelists, and/or members of review boards to evaluate the proposed project on its scientific or intellectual merit. A description of the NSF merit review process is provided on the NSF merit review website at: http://www.nsf.gov/bfa/dias/policy/merit_review/index.jsp.

FUNDING DECISIONS

NSF will use its usual internal procedures to determine whether a proposal will be awarded or declined. All potential award decisions will be discussed with FAPESP. Funding decisions are subject to availability of funds.

The lead proposer will be advised by NSF/GEO whether their project has been recommended for funding or will be declined. Proposers will receive copies of the reviewers' unattributed comments and, where applicable, a panel summary.

If a proposal is recommended for funding, the U.S. organizations will be supported by NSF, and the State of São Paulo institutions will be supported by FAPESP. Once NSF has made an award, FAPESP will notify the collaborating institution and request the necessary and relevant documents needed to process its part of the award.

Because the participating funding agencies have different funding cycles, it is possible that some projects will have delayed start dates in order to wait until funds become available.

Should a proposal be declined for funding, proposers should refer to NSF`s resubmission policies. Involvement in a proposal submitted to NSF will count as a submission to FAPESP for purposes of resubmission monitoring. Please note that any resubmitted proposal must be preceded by a new EOI seeking approval to submit.

POSTAWARD CONSIDERATIONS

Award recipients will be expected to comply with the award conditions and reporting requirements of the agencies from which they receive funding.

Award recipients will acknowledge both NSF and FAPESP in any reports or publications arising from the grant.

Extension and supplemental funding requests will be considered by participating agencies using standard procedures. Requests for changes to awards pertaining to the scope of research or significant changes or delays to the research will be communicated to counterpart funding agencies.

All NSF and FAPESP provisions on data storage and public accessibility are applicable to projects funded by either agency.

In accordance with NSF and FAPESP standard procedures, awards are announced publicly.

Questions about this DCL should be addressed to NSFGEO-FAPESP@nsf.gov.

Additionally, NSF's Office of International Science and Engineering (OISE) helps to coordinate the overall engagement between NSF and FAPESP. The current OISE program manager for Brazil is listed at https://www.nsf.gov/od/oise/country-list.jsp.

DATA PROTECTION CONSIDERATIONS

NSF and FAPESP expect to share relevant information and data—whether in connection with the proposal and award process, or thereafter during the post award process. Data are expected to be shared between NSF and FAPESP to enable the secure and efficient processing of full proposals for the NSF-FAPESP Lead Agency Opportunity. Data shared may include proposal attachments, anonymized peer reviews, and panel comments. NSF and FAPESP are committed to maintaining data confidentiality, protection, and privacy and intend to fully abide by their own applicable laws and policies concerning the sharing of data in joint activities. NSF and FAPESP plan to follow their own data retention policies once data is shared from one to the other.

Sincerely,

Alexandra R. Isern
Assistant Director
Directorate of Geosciences

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