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NSF 03-518: Multidisciplinary Research into Critical Infrastructure and Related Systems - Mitigation, Preparedness, Response and Recovery Regarding Disasters and Other Extreme Events

Program Solicitation

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Document History

  • Posted: December 20, 2002
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Multidisciplinary Research into Critical Infrastructure and Related Systems -
Mitigation, Preparedness, Response and Recovery Regarding Disasters and Other Extreme Events

Program Solicitation
NSF 03-518

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National Science Foundation
Division of Civil and Mechanical Systems
Division of Social and Economic Sciences



Full Proposal Deadline(s) (due by 5 p.m proposer's local time):
    March 31, 2003

Summary Of Program Requirements

General Information

Program Title:

Multidisciplinary Research into Critical Infrastructure and Related Systems -
Mitigation, Preparedness, Response and Recovery Regarding Disasters and Other Extreme Events

Synopsis of Program:

This announcement calls for multidisciplinary proposals focusing on basic research into the mitigation, preparedness, response and recovery of societies to disasters and extreme events affecting critical infrastructure and related systems.  Proposals for this announcement will be funded by:

  • The Infrastructure and Information Systems (IIS) program,  in the Directorate of Engineering (ENG), Division of Civil and Mechanical Systems (CMS),
  • The Decision, Risk and Management Sciences (DRMS) program within the Directorate of Social, Behavioral and Economic Sciences (SBE), Division of Social and Economic Sciences (SES).

Cognizant Program Officer(s):

  • Deborah Frisch, Program Director, Directorate for Social, Behavioral & Economic Sciences, Division of Social and Economic Sciences, 995 N, telephone: (703) 292-7261, fax: (703) 292-9068, email: dfrisch@nsf.gov

  • Miriam Heller, Program Director, Directorate for Engineering, Division of Civil & Mechanical Systems, 545 S, telephone: (703) 292-8360, fax: (703) 292-9053, email: mheller@nsf.gov

  • Robert E. O'Connor, Program Director, Directorate for Social, Behavioral & Economic Sciences, Division of Social and Economic Sciences, 995 N, telephone: (703) 292-7263, fax: (703) 292-9068, email: roconnor@nsf.gov

  • Dennis Wenger, Program Director, Directorate for Engineering, Division of Civil & Mechanical Systems, 545 S, telephone: (703) 292-7014, fax: (703) 292-9053, email: dwenger@nsf.gov

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

  • 47.041 --- Engineering
  • 47.075 --- Social, Behavioral and Economic Sciences

Eligibility Information

  • Organization Limit: Proposals may only be submitted by U.S. academic institutions eligible under the NSF Grant Proposal Guide in support of individual investigators or small groups. Synergistic partnerships with industries and related institutions are encouraged when appropriate. Awards under this announcement will be made only to U.S. academic institutions.
  • PI Eligibility Limit: Eligible research proposals must include at least one investigator from engineering and at least one investigator from a social science discipline. Projects may have more than two investigators, but at least one must represent engineering and one the social sciences.
  • Limit on Number of Proposals: 1. Only one proposal may be submitted by any researcher as either a Principal Investigator or co-Principal Investigator. Collaborative proposals from researchers at two or more institutions planning to work jointly on proposed research are allowed.

Award Information

  • Anticipated Type of Award: Standard Grant
  • Estimated Number of Awards: 3 to 10
  • Anticipated Funding Amount: $1,000,000 . $100,000 to $150,000 per year for 1 to 3 years pending the availability of funds.

Proposal Preparation and Submission Instructions

A. Proposal Preparation Instructions
  • Full Proposal Preparation Instructions: Standard GPG Guidelines apply.
B. Budgetary Information
  • Cost Sharing Requirements: Cost Sharing is not required.
  • Indirect Cost (F&A) Limitations: Not Applicable.
  • Other Budgetary Limitations: Not Applicable.
C. Due Dates
  • Full Proposal Deadline Date(s) (due by 5 p.m proposer's local time):
      March 31, 2003

Proposal Review Information

  • Merit Review Criteria: National Science Board approved criteria apply.

Award Administration Information

  • Award Conditions: Standard NSF award conditions apply.
  • Reporting Requirements: Standard NSF reporting requirements apply.

I. Introduction

Our modern society is dependent upon an infrastructure of critical human-made structures and systems. These systems include such engineered elements as telecommunications, transportation, energy, water and wastewater, financial institutions, and the built environment, and related social, political, emergency planning and response and economic systems. These interrelated systems provide the "lifelines" of modern society. When they are damaged, destroyed, disrupted, or simply unable to function at an adequate capacity, the results can be disastrous for society.

Disruption to these systems can be initiated by a variety of natural (e.g., earthquakes, floods), technological (e.g., power failures caused by overloaded grids, toxic releases initiated by failed mechanical systems) and intentional, human-induced (terrorist attacks) hazards. Due to the inherent complexity of these engineered systems and their interrelationships with political, social, and economic systems, cascading failures resulting in decreased system capacities and an increase in demands often create disasters for affected communities.

Over the last few years, NSF has sponsored workshops and research pertaining to decision-making, risk, and infrastructure in this context, e.g.,

The concept of an extreme event is meant to highlight the commonalities in the ways that we can understand, predict, and respond to these different kinds of events. The issues that lie at this intersection are the target of this soliciation.

II. Program Description

This solicitation aims to capitalize on these previous efforts and encourage team formation to define and address research in decision-making at the intersection of multiple disciplines, specifically social sciences and engineering, in a multihazard context.

To be eligible for this solicitation, proposals must have the following three components, which are elaborated upon below:

  1. multidisciplinary,
  2. focus on critical infrastructure and related systems,
  3. focus upon all hazards.

See the section on Eligibility for specific requirements.

Multidisciplinary

The topic is inherently multidisciplinary. Engineering elements are central to the design, construction, operation, management and repair of these critical infrastructure elements and the built environment. In addition, these systems interact with and are influenced by various social, political and economic systems. A variety of fields are related to this research area, including, but not limited to, anthropology, climatology, cognitive science, computer science, decision theory, ecology, economics, civil engineering, mechanical engineering, electrical engineering, environmental engineering, geography, geosciences, mathematics, political science, psychology, risk analysis, sociology and urban planning.

Focus on Critical Infrastructure and Related Systems

Research may focus upon a broad range of critical infrastructure systems, including energy, transportation, water and wastewater, electrical, and telecommunications. Furthermore, proposals are welcome on investigations into buildings and other elements of the built environment. Equally important, research should examine the interrelationships of these engineered elements with such related social, political, economic and emergency preparedness and response systems.

Focus on All Hazards

Proposals are desired that focus on all types of hazards, be they natural, technological or intentionally human-induced. Furthermore, research into complex hazard interaction and its impact upon cascading infrastructure system disruption and risk-management is encouraged. Eligible research proposals may examine infrastructure disruption in relationship to natural, technological and intentionally human-induced hazards. Proposals are welcome which focus on any of the standard phases of the disaster process, including mitigation, preparedness, response and recovery. Mitigation includes research on the prevention of disasters. Proposals examining the relationship between such phases as recovery and mitigation, preparedness and response, and response and recovery are encouraged. 

III. Eligibility Information

Eligible research proposals must examine:

  • the relationship between elements of the built and social environments, and 
  • infrastructure disruption in relationship to natural, technological and intentionally human-induced hazards.

    • To accomplish this, eligible research proposals must include at least one investigator from engineering and at least one investigator from a social science discipline. Projects may have more than two investigators, but at least one must represent engineering and one the social sciences.

    IV. Award Information

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

    V. Proposal Preparation And Submission Instructions

    A. Proposal Preparation Instructions

    Full Proposal Instructions:

    Proposals submitted in response to this program announcement/solicitation should be prepared and submitted in accordance with the general guidelines contained in the NSF Grant Proposal Guide (GPG). The complete text of the GPG is available electronically on the NSF Website at: https://www.nsf.gov/cgi-bin/getpub?gpg. Paper copies of the GPG may be obtained from the NSF Publications Clearinghouse, telephone (301) 947-2722 or by e-mail from pubs@nsf.gov.

    Proposers are reminded to identify the program announcement/solicitation number (03-518) in the program announcement/solicitation block on the NSF Cover Sheet For Proposal to the National Science Foundation. Compliance with this requirement is critical to determining the relevant proposal processing guidelines. Failure to submit this information may delay processing.

    B. Budgetary Information

    Cost Sharing:

    Cost sharing is not required in proposals submitted under this Program Solicitation.

    C. Due Dates

    Proposals must be submitted by the following date(s):

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

      March 31, 2003

    D. FastLane Requirements

    Proposers are required to prepare and submit all proposals for this announcement/solicitation through the FastLane system. Detailed instructions for proposal preparation and submission via FastLane are available at: http://www.fastlane.nsf.gov/a1/newstan.htm. For FastLane user support, call the FastLane Help Desk at 1-800-673-6188 or e-mail fastlane@nsf.gov. The FastLane Help Desk answers general technical questions related to the use of the FastLane system. Specific questions related to this program announcement/solicitation should be referred to the NSF program staff contact(s) listed in Section VIII of this announcement/solicitation.

    Submission of Electronically Signed Cover Sheets. The Authorized Organizational Representative (AOR) must electronically sign the proposal Cover Sheet to submit the required proposal certifications (see Chapter II, Section C of the Grant Proposal Guide for a listing of the certifications). The AOR must provide the required electronic certifications within five working days following the electronic submission of the proposal. Proposers are no longer required to provide a paper copy of the signed Proposal Cover Sheet to NSF. Further instructions regarding this process are available on the FastLane Website at: http://www.fastlane.nsf.gov

    VI. Proposal Review Information

    A. NSF Proposal Review Process

    Reviews of proposals submitted to NSF are solicited from peers with expertise in the substantive area of the proposed research or education project. These reviewers are selected by Program Officers charged with the oversight of the review process. NSF invites the proposer to suggest, at the time of submission, the names of appropriate or inappropriate reviewers. Care is taken to ensure that reviewers have no conflicts with the proposer. Special efforts are made to recruit reviewers from non-academic institutions, minority-serving institutions, or adjacent disciplines to that principally addressed in the proposal.

    The National Science Board approved revised criteria for evaluating proposals at its meeting on March 28, 1997 (NSB 97-72). All NSF proposals are evaluated through use of the two merit review criteria. In some instances, however, NSF will employ additional criteria as required to highlight the specific objectives of certain programs and activities.

    On July 8, 2002, the NSF Director issued Important Notice 127, Implementation of new Grant Proposal Guide Requirements Related to the Broader Impacts Criterion. This Important Notice reinforces the importance of addressing both criteria in the preparation and review of all proposals submitted to NSF. NSF continues to strengthen its internal processes to ensure that both of the merit review criteria are addressed when making funding decisions.

    In an effort to increase compliance with these requirements, the January 2002 issuance of the GPG incorporated revised proposal preparation guidelines relating to the development of the Project Summary and Project Description. Chapter II of the GPG specifies that Principal Investigators (PIs) must address both merit review criteria in separate statements within the one-page Project Summary. This chapter also reiterates that broader impacts resulting from the proposed project must be addressed in the Project Description and described as an integral part of the narrative.

    Effective October 1, 2002, NSF will return without review proposals that do not separately address both merit review criteria within the Project Summary. It is believed that these changes to NSF proposal preparation and processing guidelines will more clearly articulate the importance of broader impacts to NSF-funded projects.

    The two National Science Board approved merit review criteria are listed below (see the Grant Proposal Guide Chapter III.A for further information). The criteria include considerations that help define them. These considerations are suggestions and not all will apply to any given proposal. While proposers must address both merit review criteria, reviewers will be asked to address only those considerations that are relevant to the proposal being considered and for which he/she is qualified to make judgements.

      What is the intellectual merit of the proposed activity?
      How important is the proposed activity to advancing knowledge and understanding within its own field or across different fields? How well qualified is the proposer (individual or team) to conduct the project? (If appropriate, the reviewer will comment on the quality of the prior work.) To what extent does the proposed activity suggest and explore creative and original concepts? How well conceived and organized is the proposed activity? Is there sufficient access to resources?
      What are the broader impacts of the proposed activity?
      How well does the activity advance discovery and understanding while promoting teaching, training, and learning? How well does the proposed activity broaden the participation of underrepresented groups (e.g., gender, ethnicity, disability, geographic, etc.)? To what extent will it enhance the infrastructure for research and education, such as facilities, instrumentation, networks, and partnerships? Will the results be disseminated broadly to enhance scientific and technological understanding? What may be the benefits of the proposed activity to society?

    NSF staff will give careful consideration to the following in making funding decisions:

      Integration of Research and Education
      One of the principal strategies in support of NSF's goals is to foster integration of research and education through the programs, projects, and activities it supports at academic and research institutions. These institutions provide abundant opportunities where individuals may concurrently assume responsibilities as researchers, educators, and students and where all can engage in joint efforts that infuse education with the excitement of discovery and enrich research through the diversity of learning perspectives.
      Integrating Diversity into NSF Programs, Projects, and Activities
      Broadening opportunities and enabling the participation of all citizens -- women and men, underrepresented minorities, and persons with disabilities -- 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.

    B. Review Protocol and Associated Customer Service Standard

    All proposals are carefully reviewed by at least three other persons outside NSF who are experts in the particular field represented by the proposal. Proposals submitted in response to this announcement/solicitation will be reviewed by Ad Hoc and/or panel review.

    Reviewers will be asked to formulate a recommendation to either support or decline each proposal. The Program Officer assigned to manage the proposal's review will consider the advice of reviewers and will formulate a recommendation.

    A summary rating and accompanying narrative will be completed and submitted by each reviewer. In all cases, reviews are treated as confidential documents. Verbatim copies of reviews, excluding the names of the reviewers, are sent to the Principal Investigator/Project Director by the Program Director. In addition, the proposer will receive an explanation of the decision to award or decline funding.

    NSF is striving to be able to tell applicants whether their proposals have been declined or recommended for funding within six months. The time interval begins on the date of receipt. The interval ends when the Division Director accepts the Program Officer's recommendation.

    In all cases, after programmatic approval has been obtained, the proposals recommended for funding will be forwarded to the Division of Grants and Agreements for review of business, financial, and policy implications and the processing and issuance of a grant or other agreement. Proposers are cautioned that only a Grants and Agreements Officer may make commitments, obligations or awards on behalf of NSF or authorize the expenditure of funds. No commitment on the part of NSF should be inferred from technical or budgetary discussions with a NSF Program Officer. A Principal Investigator or organization that makes financial or personnel commitments in the absence of a grant or cooperative agreement signed by the NSF Grants and Agreements Officer does so at their own risk.

    VII. Award Administration Information

    A. Notification of the Award

    Notification of the award is made to the submitting organization by a Grants Officer in the Division of Grants and Agreements. Organizations whose proposals are declined will be advised as promptly as possible by the cognizant NSF Program Division 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.A. for additional information on the review process.)

    B. Award Conditions

    An NSF award consists of: (1) the award letter, which includes any special provisions applicable to the award and any numbered amendments thereto; (2) the budget, which indicates the amounts, by categories of expense, on which NSF has based its support (or otherwise communicates any specific approvals or disapprovals of proposed expenditures); (3) the proposal referenced in the award letter; (4) the applicable award conditions, such as Grant General Conditions (NSF-GC-1); * or Federal Demonstration Partnership (FDP) Terms and Conditions * and (5) any announcement or other NSF issuance that may be incorporated by reference in the award letter. Cooperative agreement awards also are administered in accordance with NSF Cooperative Agreement Terms and Conditions (CA-1). Electronic mail notification is the preferred way to transmit NSF awards to organizations that have electronic mail capabilities and have requested such notification from the Division of Grants and Agreements.

    *These documents may be accessed electronically on NSF's Website at https://www.nsf.gov/home/grants/grants_gac.htm. Paper copies may be obtained from the NSF Publications Clearinghouse, telephone (301) 947-2722 or by e-mail from pubs@nsf.gov.

    More comprehensive information on NSF Award Conditions is contained in the NSF Grant Policy Manual (GPM) Chapter II, available electronically on the NSF Website at https://www.nsf.gov/cgi-bin/getpub?gpm. The GPM is also for sale through the Superintendent of Documents, Government Printing Office (GPO), Washington, DC 20402. The telephone number at GPO for subscription information is (202) 512-1800. The GPM may be ordered through the GPO Website at http://www.gpo.gov.

    C. Reporting Requirements

    For all multi-year grants (including both standard and continuing grants), the PI must submit an annual project report to the cognizant Program Officer at least 90 days before the end of the current budget period.

    Within 90 days after the expiration of an award, the PI also is required to submit a final project report. Failure to provide final technical reports delays NSF review and processing of pending proposals for the PI and all Co-PIs. 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 FastLane, for preparation and submission of annual and final project reports. This system permits electronic submission and updating of project reports, including information on project participants (individual and organizational), activities and findings, publications, and other specific products and contributions. PIs will not be required to re-enter information previously provided, either with a proposal or in earlier updates using the electronic system.

    VIII. Contacts For Additional Information

    General inquiries regarding this program should be made to:

    • Deborah Frisch, Program Director, Directorate for Social, Behavioral & Economic Sciences, Division of Social and Economic Sciences, 995 N, telephone: (703) 292-7261, fax: (703) 292-9068, email: dfrisch@nsf.gov

    • Miriam Heller, Program Director, Directorate for Engineering, Division of Civil & Mechanical Systems, 545 S, telephone: (703) 292-8360, fax: (703) 292-9053, email: mheller@nsf.gov

    • Robert E. O'Connor, Program Director, Directorate for Social, Behavioral & Economic Sciences, Division of Social and Economic Sciences, 995 N, telephone: (703) 292-7263, fax: (703) 292-9068, email: roconnor@nsf.gov

    • Dennis Wenger, Program Director, Directorate for Engineering, Division of Civil & Mechanical Systems, 545 S, telephone: (703) 292-7014, fax: (703) 292-9053, email: dwenger@nsf.gov

    For questions related to the use of FastLane, contact:

    • None Specified.

    IX. Other Programs Of Interest

    The NSF Guide to Programs is a compilation of funding for research and education in science, mathematics, and engineering. The NSF Guide to Programs is available electronically at https://www.nsf.gov/cgi-bin/getpub?gp. General descriptions of NSF programs, research areas, and eligibility information for proposal submission are provided in each chapter.

    Many NSF programs offer announcements or solicitations concerning specific proposal requirements. To obtain additional information about these requirements, contact the appropriate NSF program offices. Any changes in NSF's fiscal year programs occurring after press time for the Guide to Programs will be announced in the NSF E-Bulletin, which is updated daily on the NSF Website at https://www.nsf.gov/home/ebulletin, and in individual program announcements/solicitations. Subscribers can also sign up for NSF's Custom News Service (https://www.nsf.gov/home/cns/start.htm) to be notified of new funding opportunities that become available.

    Related Programs:

    About The National Science Foundation

    The National Science Foundation (NSF) funds research and education in most fields of science and engineering. Awardees are wholly responsible for conducting their project activities and preparing the results for publication. Thus, the Foundation does not assume responsibility for such findings or their interpretation.

    NSF welcomes proposals from all qualified scientists, engineers and educators. The Foundation strongly encourages women, minorities and persons with disabilities to compete fully in its programs. In accordance with Federal statutes, regulations and NSF policies, no person on grounds of race, color, age, sex, national origin or disability shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving financial assistance from NSF, although some programs may have special requirements that limit eligibility.

    Facilitation Awards for Scientists and Engineers with Disabilities (FASED) provide funding for special assistance or equipment to enable persons with disabilities (investigators and other staff, including student research assistants) to work on NSF-supported projects. See the GPG Chapter II, Section D.2 for instructions regarding preparation of these types of proposals.

    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; 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 applicant 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 needing information as part of the review process or in order to coordinate programs; and to another Federal agency, court or party in a court or Federal administrative proceeding if the government is a party. Information about Principal Investigators may be added to the Reviewer file and used to select potential candidates to serve as peer reviewers or advisory committee members. See Systems of Records, NSF-50, "Principal Investigator/Proposal File and Associated Records," 63 Federal Register 267 (January 5, 1998), and NSF-51, "Reviewer/Proposal File and Associated Records," 63 Federal Register 268 (January 5, 1998). 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 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 this burden estimate and any other aspect of this collection of information, including suggestions for reducing this burden, to: Suzanne Plimpton, Reports Clearance Officer, Division of Administrative Services, National Science Foundation, Arlington, VA 22230.

    OMB control number: 3145-0058.



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