NSF 22-594: Leading Engineering for America's Prosperity, Health, and Infrastructure (LEAP HI)

Program Solicitation NSF 22-594

National Science Foundation Directorate for Engineering      Division of Civil, Mechanical and Manufacturing Innovation

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

July 15, 2022

July 15, Every Other Year Thereafter

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

August 15, 2022 - September 15, 2022

August 15 - September 15, Every Other Year Thereafter

Important Information And Revision Notes

Innovating and migrating proposal preparation and submission capabilities from FastLane to Research.gov is part of the ongoing NSF information technology modernization efforts, as described in Important Notice No. 147. In support of these efforts, proposals submitted in response to this program solicitation must be prepared and submitted via Research.gov or via Grants.gov and may not be prepared or submitted via FastLane.

Any proposal submitted in response to this solicitation should be submitted in accordance with the revised NSF Proposal & Award Policies & Procedures Guide (PAPPG) (NSF 22-1), which is effective for proposals submitted, or due, on or after October 4, 2021.

Summary Of Program Requirements

General Information

Program Title:

Leading Engineering for America's Prosperity, Health, and Infrastructure (LEAP HI)

Synopsis of Program:

The LEAP HI program challenges the engineering research community to take a leadership role in addressing demanding, urgent, and consequential challenges for advancing America's prosperity, health and infrastructure. LEAP HI proposals confront engineering problems that are too complex to yield to the efforts of a single investigator — problems that require sustained and coordinated effort from interdisciplinary research teams, with goals that are not achievable through a series of smaller, short-term projects. LEAP HI projects perform fundamental research that may lead to disruptive technologies and methods, lay the foundation for new and strengthened industries, enable notable improvements in quality of life, or re imagine and revitalize the built environment.

• LEAP HI supports fundamental research projects involving collaborating investigators, of duration up to five years, with total budget between $1 million and $2 million.
• LEAP HI proposals must articulate a fundamental research problem with compelling intellectual challenge and significant societal impact, particularly on economic competitiveness, quality of life, public health, or essential infrastructure. One or more CMMI core topics must lie at the heart of the proposal, and integration of disciplinary expertise not typically engaged in CMMI-funded projects is encouraged.
• LEAP HI proposals must include an Engineering Leadership Plan that creatively communicates the excitement of engineering research to the general public, and particularly to future engineers, as the project unfolds.
• LEAP HI proposals must demonstrate the need for a sustained research effort by an integrated, interdisciplinary team and include a Research Integration Plan that provides a timeline for research activities and clearly explains how the project will be managed to ensure effective integration of project thrusts.

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.

• Bruce Kramer, telephone: (703) 292-5348, email: bkramer@nsf.gov

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

• 47.041 --- Engineering

Award Information

Anticipated Type of Award: Standard Grant or Continuing Grant

Estimated Number of Awards: 3 to 6

awards will be made for proposals submitted to each proposal submission deadline.

Anticipated Funding Amount: $6,000,000 to $12,000,000

Estimated program budget, number of awards, and average award size and duration are subject to the availability of funds.

Eligibility Information

Who May Submit Proposals:

Proposals may only be submitted by the following:

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

Who May Serve as PI:

PIs, co-PIs, or other senior project personnel must hold primary, full-time, paid appointments in research or teaching positions at US-based campuses/offices of eligible organizations.

Limit on Number of Proposals per Organization:

There are no restrictions or limits.

Limit on Number of Proposals per PI or co-PI: 1

No individual may be a PI, CoPI, or Senior Investigator on more than one LEAP HI proposal in a given year. Please be advised that if an individual's name appears, in any of the above-mentioned capacities, on more than ONE proposal, all submittals after the first proposal (based on time-stamp) will be returned without review. No exceptions will be made.

Proposal Preparation and Submission Instructions

A. Proposal Preparation Instructions

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

B. Budgetary Information

• Cost Sharing Requirements:

  Inclusion of voluntary committed cost sharing is prohibited.

• Indirect Cost (F&A) Limitations:

  Not Applicable

• Other Budgetary Limitations:

  Not Applicable

C. Due Dates

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

  July 15, 2022

  July 15, Every Other Year Thereafter

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

  August 15, 2022 - September 15, 2022

  August 15 - September 15, Every Other Year Thereafter

Proposal Review Information Criteria

Merit Review Criteria:

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

Award Administration Information

Award Conditions:

Standard NSF award conditions apply.

Reporting Requirements:

Standard NSF reporting requirements apply.

I. Introduction

The goal of the LEAP HI program is to support the engineering research community in fulfilling its unique leadership role in advancing America's prosperity, health, and infrastructure by providing substantial funding and project duration to multi-investigator projects that exceed the scope and strain the resources of individual CMMI core programs. LEAP HI proposals must clearly frame a cutting-edge convergent approach to a research problem critically involving one or more CMMI core disciplines. Addressing novel solutions by including disciplinary experts who do not typically propose to CMMI is particularly encouraged.

LEAP HI supports ambitious, well-integrated and far-reaching fundamental research projects that clearly articulate research plans for achieving impactful results that can plausibly reach the threshold of interest by a potential user community in the requested funding period. LEAP HI proposals must demonstrate the need for a sustained research effort by an integrated, convergent team and must include a Research Integration Plan for managing the project that provides a timeline for research activities, explicit mechanisms for coordinating the component thrusts of the project, and ensuring effective communication among team members. LEAP HI proposals should clearly explain the expected contributions of the proposed engineering research to addressing critical societal needs.

II. Program Description

Program Description

The LEAP HI program supports ambitious fundamental research projects that align with one or more CMMI core research areas and demonstrate significant potential for long-term impact on America's prosperity, health, and/or infrastructure. LEAP HI supports projects that are unsuitable for smaller teams or shorter project durations and do not have opportunities to apply for grants of similar size and duration in other, more topically-focused NSF solicitations. Integral to every LEAP HI project is an element that communicates to the public the leadership role of engineering in addressing critical societal needs and the excitement of being involved in that pursuit.

Research

The LEAP HI program is intended to produce results leading to disruptive technologies and methods that lay the foundation for new and strengthened industries, enable notable improvements in quality of life, or re-imagine and revitalize the built environment. A compelling research problem that critically involves one or more CMMI core topics must lie at the heart of a LEAP HI proposal and the integration of novel methods, questions, and knowledge from outside CMMI core disciplines is strongly encouraged. CMMI core topics may be determined from current CMMI core program descriptions, or by consulting with a CMMI Program Director. The LEAP HI program is not intended to support technology translation, although proposers are encouraged to strongly involve potential users in the definition, conduct and evaluation of the research program to ensure that the project outcomes are well-suited to eventual translation to implementation.

Prosperity, Health, and Infrastructure

LEAP HI proposals must motivate and explain the expected long-term societal impact of the proposed project, particularly in the areas of economic competitiveness, quality of life, public health, or essential infrastructure. LEAP HI proposals should demonstrate strong familiarity with current knowledge and practice, define the knowledge gaps that currently impede progress, and justify a set of interrelated research goals and associated strategies that can plausibly produce breakthrough results that can advance the state of understanding to the threshold of interest of a potential user community. This requires a justification that no fundamental obstacles to eventual implementation are considered to be out of scope of the proposed project.

Teams and Timelines

The LEAP HI program is meant for projects requiring a sustained, coordinated effort by teams of researchers with diverse and complementary expertise, including integration of expertise beyond that described in CMMI core program descriptions. LEAP HI proposals must therefore clearly demonstrate that a successful outcome requires the coordinated efforts of all the participants and, furthermore, must establish that the outcomes will be greater than and cannot be achieved by a collection of smaller, independently-funded research projects. In order to encourage coordinated and complementary efforts, LEAP HI proposals must be submitted by a single institution, with other participating faculty and institutions included as sub-awardees (refer to PAPPG Chapter II.D.3.a). LEAP HI proposals should demonstrate the need for persistent effort, and the long-term value of building an extensive knowledge base and developing researchers with deep subject matter expertise.

In recognition of the importance of sustained, coordinated effort, LEAP HI proposals must include a Supplementary Document detailing the investigator's Research Integration Plan and its timeline, as outlined in section V.A. of this solicitation. In recognition of the importance of comprehensive project management in support of this activity, a dedicated and experienced Project Manager may be proposed as Senior Personnel, at the discretion of the PI. If no Project Manager is proposed the PI will assume the usual project management responsibility. The roles of the Project Manager include coordination of the execution of the tasks detailed in the Project Description and Research Integration Plan, including tracking progress of project thrusts, facilitating coordination of interdependent thrusts, formulation of alternative strategies when needed, allocation of project resources and oversight of data maintenance and sharing. If a Project Manager is proposed, the Project Manager's activities in the project must be described in the Research Integration Plan and the experience, credentials and time commitment of the Project Manager will be evaluated during the proposal review process. If the PI assumes the project management role, the Research Integration Plan should describe the methods that will be used to ensure effective project execution.

Engineering Leadership

The engineering research community has a unique and central role in solving many of the critical challenges facing society that is under-appreciated by our broader society. The LEAP HI program calls upon engineering researchers to assume a leadership role in communicating the excitement of engineering research to the broader community, and particularly young people who are unaware of the rewards of pursuing an engineering career. To this end, each LEAP HI proposal must include a plan for close collaboration with the proposing institution's communications office in communicating the triumphs and setbacks of the project in addressing critical quality-of-life issues throughout the duration of the project. The goal is to give a series of snapshots of the challenging and interesting puzzles that engineering research solves, in addition to the usual press releases that trumpet successes at the project conclusion. That plan must be included in a section titled "Engineering Leadership Plan" in the body of the project description.

III. Award Information

Anticipated Type of Award: Continuing Grant or Standard Grant

Estimated Number of Awards: 3 to 6 will be made each year.

Anticipated Funding Amount: $6,000,000 to $12,000,000

Estimated program budget, number of awards, and average award size and duration are subject to the availability of funds.

IV. Eligibility Information

Who May Submit Proposals:

Proposals may only be submitted by the following:

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

Who May Serve as PI:

PIs, co-PIs, or other senior project personnel must hold primary, full-time, paid appointments in research or teaching positions at US-based campuses/offices of eligible organizations.

Limit on Number of Proposals per Organization:

There are no restrictions or limits.

Limit on Number of Proposals per PI or co-PI: 1

No individual may be a PI, CoPI, or Senior Investigator on more than one LEAP HI proposal in a given year. Please be advised that if an individual's name appears, in any of the above-mentioned capacities, on more than ONE proposal, all submittals after the first proposal (based on time-stamp) will be returned without review. No exceptions will be made.

V. Proposal Preparation And Submission Instructions

A. Proposal Preparation Instructions

Letters of Intent (required):

Submission of a Letter of Intent (LOI) is mandatory. LOIs submitted in prior years are invalid and will not be accepted. LOIs are to be submitted via Research.gov. The LOI will be used to assess anticipated proposals with respect to eligibility requirements and to categorize submissions in preparation for recruiting review panels. Proposers will not receive a response to their LOI from the NSF and timely receipt of an LOI is the only requirement for subsequent submission of a full proposal. Proposers who have submitted an LOI to a previous LEAP HI LOI submission deadline may receive a notice that their LOI is already on file. Please ignore that message and submit the new LOI. Only the most recently submitted LOI will be used.

Enter the requested core LOI information as prompted by Research.gov. In the "synopsis" section, first include the abbreviation of the CMMI Core Program that is most closely aligned with the anticipated proposal submission in parentheses (CMMI Core Programs: AM, BMMB, CIS, DCSD, ECI, EDSE, HDBE, M3X, MOMS, or OE), then briefly describe the intellectual merit, broader impacts, and objectives of the proposed research with enough specificity to allow the proposal to be placed in an appropriate review panel. In the "other comments" section briefly describe the anticipated accomplishments of the project at the end of the requested funding period, the societal impacts that are expected to eventuate from those accomplishments, the potential end-users who will collaborate in the project, and why the project cannot be accomplished by a collection of separate, independently funded projects. Note that LOI submissions are restricted to the limited number of characters that can be added to the data fields provided in Research.gov.

Letter of Intent Preparation Instructions:

When submitting a Letter of Intent through Research.gov in response to this Program Solicitation please note the conditions outlined below:

• Submission by an Authorized Organizational Representative (AOR) is not required when submitting Letters of Intent.
• A Minimum of 0 and Maximum of 4 Other Senior Project Personnel are permitted
• A Minimum of 0 and Maximum of 20 Other Participating Organizations are permitted
• Submission of multiple Letters of Intent is not permitted

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

• Full Proposals submitted via Research.gov: Proposals submitted in response to this program solicitation should be prepared and submitted in accordance with the general guidelines contained in the NSF Proposal and Award Policies and Procedures Guide (PAPPG). The complete text of the PAPPG is available electronically on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=pappg. Paper copies of the PAPPG may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-8134 or by e-mail from nsfpubs@nsf.gov. The Prepare New Proposal setup will prompt you for the program solicitation number.
• Full proposals submitted via Grants.gov: Proposals submitted in response to this program solicitation via Grants.gov should be prepared and submitted in accordance with the NSF Grants.gov Application Guide: A Guide for the Preparation and Submission of NSF Applications via Grants.gov. The complete text of the NSF Grants.gov Application Guide is available on the Grants.gov website and on the NSF website at: (https://www.nsf.gov/publications/pub_summ.jsp?ods_key=grantsgovguide). To obtain copies of the Application Guide and Application Forms Package, click on the Apply tab on the Grants.gov site, then click on the Apply Step 1: Download a Grant Application Package and Application Instructions link and enter the funding opportunity number, (the program solicitation number without the NSF prefix) and press the Download Package button. Paper copies of the Grants.gov Application Guide also may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-8134 or by e-mail from nsfpubs@nsf.gov.

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

LEAP HI proposals must be submitted from a single lead institution, with subcontracts to collaborating organizations, as specified in PAPPG Chapter II.D.3.a. Submission of a collaborative proposal from one organization. Submission of a collaborative proposal from multiple organizations will not be accepted by the LEAP HI program and will be returned without review.

The following information supplements the NSF PAPPG or NSF Grants.gov Application Guide.

Engineering Leadership Plan. An Engineering Leadership Plan is required for all projects. The plan must be included in a section titled "Engineering Leadership Plan" in the body of the project description. Proposals that fail to include an Engineering Leadership Plan will be returned without review. The Engineering Leadership Plan must provide a plan for close collaboration with the proposing institution's communications office in effectively communicating the role of the project, and the role of engineering specifically, in responding to critical quality-of-life, public health, or essential infrastructure issues, as described in Section II.

Supplementary Documents: Supplementary documents are limited to the specific types of documents listed in the PAPPG, with the following exception:

Research Integration Plan. A Research Integration Plan is required for all projects. The Research Integration Plan must be submitted as a Supplementary Document and may not exceed two pages. Proposals that fail to submit a Research Integration Plan will be returned without review. The Research Integration Plan must be labeled "Research Integration Plan" and must provide a detailed approach for managing the creation of new knowledge through the rigorous integration of disciplinary knowledge spanning disparate engineering and scientific disciplines. The plan should explain the role of each participant in the project and how her or his contributions will be effectively coordinated and integrated to provide timely results that enable the project's objectives to be achieved. If a Project Manager is proposed his or her activities in the project must be described in the Research Integration Plan.

B. Budgetary Information

Cost Sharing:

Inclusion of voluntary committed cost sharing is prohibited.

C. Due Dates

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

  July 15, 2022

  July 15, Every Other Year Thereafter

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

  August 15, 2022 - September 15, 2022

  August 15 - September 15, Every Other Year Thereafter

D. Research.gov/Grants.gov Requirements

For Proposals Submitted Via Research.gov:

To prepare and submit a proposal via Research.gov, see detailed technical instructions available at: https://www.research.gov/research-portal/appmanager/base/desktop?_nfpb=true&_pageLabel=research_node_display&_nodePath=/researchGov/Service/Desktop/ProposalPreparationandSubmission.html. For Research.gov user support, call the Research.gov Help Desk at 1-800-673-6188 or e-mail rgov@nsf.gov. The Research.gov Help Desk answers general technical questions related to the use of the Research.gov 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: https://www.grants.gov/web/grants/applicants.html. In addition, the NSF Grants.gov Application Guide (see link in Section V.A) provides instructions regarding the technical preparation of proposals via Grants.gov. For Grants.gov user support, contact the Grants.gov Contact Center at 1-800-518-4726 or by email: support@grants.gov. The Grants.gov Contact Center answers general technical questions related to the use of Grants.gov. Specific questions related to this program solicitation should be referred to the NSF program staff contact(s) listed in Section VIII of this solicitation.

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

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

VI. NSF Proposal Processing And Review Procedures

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

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

Proposers should also be aware of core strategies that are essential to the fulfillment of NSF's mission, as articulated in Leading the World in Discovery and Innovation, STEM Talent Development and the Delivery of Benefits from Research - NSF Strategic Plan for Fiscal Years (FY) 2022 - 2026. These strategies are integrated in the program planning and implementation process, of which proposal review is one part. NSF's mission is particularly well-implemented through the integration of research and education and broadening participation in NSF programs, projects, and activities.

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

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

A. Merit Review Principles and Criteria

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

1. Merit Review Principles

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

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

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

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

2. Merit Review Criteria

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

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

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

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

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

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

Broader impacts may be accomplished through the research itself, through the activities that are directly related to specific research projects, or through activities that are supported by, but are complementary to, the project. NSF values the advancement of scientific knowledge and activities that contribute to achievement of societally relevant outcomes. Such outcomes include, but are not limited to: full participation of women, persons with disabilities, and other underrepresented groups 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

Reviewers will be asked to comment on:

• the extent to which the project scope identifies a compelling and innovative research problem critically involving one or more CMMI core disciplines, and which may lead to disruptive technologies and methods, lay the foundation for new and strengthened industries, enable notable improvements in quality of life, or re-imagine and revitalize the built environment, consistent with the LEAP HI objectives.
• the extent to which the project scope justifies the level of investment requested.
• the degree to which the research integration plan demonstrates the commitment of the participating investigators to work synergistically to accomplish the project objectives.
• the degree to which the project will promote public awareness of engineering leadership in addressing societal needs.
• the experience, credentials and time commitment of the Project Manager if one is proposed.

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 generally be completed and submitted by each reviewer and/or panel. 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 or the Division of Acquisition and Cooperative Support 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 an NSF Grants and Agreements Officer. Organizations whose proposals are declined will be advised as promptly as possible by the cognizant NSF Program administering the program. Verbatim copies of reviews, not including the identity of the reviewer, will be provided automatically to the Principal Investigator. (See Section VI.B. for additional information on the review process.)

B. Award Conditions

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

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

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

Administrative and National Policy Requirements

Build America, Buy America

As expressed in Executive Order 14005, Ensuring the Future is Made in All of America by All of America’s Workers (86 FR 7475), it is the policy of the executive branch to use terms and conditions of Federal financial assistance awards to maximize, consistent with law, the use of goods, products, and materials produced in, and services offered in, the United States.

Consistent with the requirements of the Build America, Buy America Act (Pub. L. 117-58, Division G, Title IX, Subtitle A, November 15, 2021), no funding made available through this funding opportunity may be obligated for an award unless all iron, steel, manufactured products, and construction materials used in the project are produced in the United States. For additional information, visit NSF’s Build America, Buy America webpage.

C. Reporting Requirements

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

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

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

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

VIII. Agency Contacts

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

General inquiries regarding this program should be made to:

• Bruce Kramer, telephone: (703) 292-5348, email: bkramer@nsf.gov

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

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

For questions relating to Grants.gov contact:

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

IX. Other Information

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

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

About The National Science Foundation

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

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

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

Facilitation Awards for Scientists and Engineers with Disabilities (FASED) provide funding for special assistance or equipment to enable persons with disabilities to work on NSF-supported projects. See the NSF Proposal & Award Policies & Procedures Guide Chapter II.E.6 for instructions regarding preparation of these types of proposals.

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

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

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

Privacy Act And Public Burden Statements

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

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

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