September 16, 2005

1. Proposals responding to this solicitation do not require cost sharing. Although no cost-sharing funds are required for these proposals, clear evidence of the jurisdiction's commitment must be included with the proposal. The level of commitment will differ among proposers because of the variability of resources available among jurisdictions. At a minimum, a letter of support from a senior official (e.g., organizational Chief Financial Officer or organizational Vice President for Research) should outline the commitment of resources and facilities to sustain and support the project throughout the period of funding, and to maintain these resources beyond the period of support. Such evidence of jurisdictional and/or organizational support should be submitted as supplementary documents in the FastLane proposal.

2. The proposal section labeled Project Description may not exceed 25 pages. See Project Description Requirements in Section V.A. for full details.

EPSCoR Research Infrastructure Improvement Grant Program (RII)
Trajectory Toward Sustainable Scientific Success

The Experimental Program to Stimulate Competitive Research (EPSCoR) is a program designed to fulfill the National Science Foundation's (NSF) mandate to promote scientific progress nationwide. The EPSCoR program is directed at those jurisdictions that have historically received lesser amounts of NSF Research and Development (R&D) funding. Twenty-five states, the Commonwealth of Puerto Rico and the U. S. Virgin Islands currently participate. Through this program, NSF establishes partnerships with government, higher education and industry that are designed to effect lasting improvements in a region/jurisdiction's research infrastructure, R&D capacity and hence, its national R&D competitiveness.

Research infrastructure improvement (RII) Grants are 36 or 48 month awards of up to a total of $9 million to support infrastructure improvements in research areas selected by the jurisdiction's EPSCoR governing committee as having the best potential to improve future R&D competitiveness.

Section 3(e) of the National Science Foundation (NSF) Act of 1950, as amended, states that: "...it shall be an objective of the Foundation to strengthen research and education in the sciences and engineering, including independent research by individuals, throughout the United States, and to avoid undue concentration of such research and education." Through its Congressional mandate, NSF promotes and advances scientific progress nationwide. However, in 1978, public concern about undue geographical concentration of federal funding of academic research and development (R&D) led Congress to further authorize NSF to conduct the Experimental Program to Stimulate Competitive Research (EPSCoR). These Congressional instructions, which established the Experimental Program to Stimulate Competitive Research, have been restated in subsequent Congressional authorizations of the Foundation's budget. Eligibility for EPSCoR participation is restricted to those jurisdictions that have historically received lesser amounts of NSF R&D funding and have demonstrated a commitment to develop their research bases and to improve the quality of science, technology, engineering, and mathematics (STEM) research conducted at their universities and colleges. Twenty-seven jurisdictions including twenty-five states, the Commonwealth of Puerto Rico and the U. S. Virgin Islands currently participate in the NSF EPSCoR program. (See section I, paragraph C, for additional EPSCoR eligibility information).

1. EPSCoR MISSION, GOALS AND OBJECTIVES

The mission of EPSCoR is to assist the National Science Foundation in its statutory function "to strengthen research and education in science and engineering throughout the United States and to avoid undue concentration of such research and education." EPSCoR goals are: a) to provide strategic programs and opportunities for EPSCoR participants that stimulate sustainable improvements in their R&D capacity and competitiveness; and b) to advance science and engineering capabilities in EPSCoR jurisdictions for discovery, innovation and overall knowledge-based prosperity.

2. EPSCoR Objectives

Within this framework of mission and goals, EPSCoR objectives are:

• to catalyze key research themes and related activities within EPSCoR jurisdictions that empower knowledge generation, dissemination and application;
• to activate effective jurisdictional and regional collaborations among academic, government and private sector stakeholders that advance scientific research, promote innovation and provide multiple societal benefits;
• to broaden participation in science and engineering by institutions, organizations and people within EPSCoR jurisdictions;
• to use EPSCoR for development, implementation and evaluation of future programmatic experiments that motivate positive change and progression.

3. Criteria for Eligibility to Participate in NSF's Experimental Program to Stimulate Competitive Research (EPSCoR) Program

The eligibility criterion for EPSCoR participation is based on a jurisdiction's most recent three-year history of research funds awarded by NSF relative to the Foundation's total research budget for that same period. Each year, the NSF EPSCoR Office compiles summary data for the preceding three years of NSF research funding by jurisdiction. The data are reported by the NSF Office of Budget, Finance and Award Management (BFA) and listed on the NSF's Budget Internet Information System (BIIS). The NSF EPSCoR website also lists these summary data and the eligibility criteria for new jurisdictions. Twenty-five states, the Commonwealth of Puerto Rico and the U. S. Virgin Islands currently participate in the NSF EPSCoR program.

Based on the above calculation, a jurisdiction is eligible to participate in the EPSCoR program if the level of research support is equal to or less than 0.75 percent. Adjustment is made in the rare instances where a single large NSF-funded national or international facility skews the data.

4. Criteria for Eligibility to Participate in the Research Infrastructure Improvement (RII) Grant Program

Research Infrastructure Improvement (RII) Grant Program eligibility is based on a jurisdiction's most recent three-year history of research funds awarded by NSF relative to the Foundation's total research budget for that same period. Based on the above calculation, a jurisdiction is eligible to participate in the RII program if the level of research support is equal to or less than 0.70 percent. Adjustment is made in the rare instances where a single large NSF-funded national or international facility skews the data.

Any currently participating EPSCoR state that does not meet the eligibility criterion for the RII competition will continue to be eligible for EPSCoR Co-Funding and EPSCoR Outreach (described below) for a period of three years.

5. EPSCoR Investment Strategy

EPSCoR’s investment portfolio is consistent with the Foundation’s Strategic Outcome Goals of PEOPLE, IDEAS, and TOOLS as described:

• People - A diverse, competitive, and globally-engaged U.S. workforce of scientists, engineers, technologists and well-prepared citizens.
• Ideas - Discovery across the frontier of science and engineering, connected to learning, innovation and service to society.
• Tools - Broadly accessible, state-of-the-art science and engineering facilities, tools and other infrastructure that enable discovery, learning and innovation.

EPSCoR uses four major strategies to achieve its goal of improving the R&D competitiveness of the EPSCoR researchers and institutions. These strategies are: Research Infrastructure Improvement Grants, Planning Support, Co-funding, and Outreach Travel Support for NSF staff.

• Research Infrastructure Improvement (RII) Grants - Research Infrastructure Improvement Grants are 36-48 month awards of up to $9 million to support infrastructure improvements in research areas selected by the jurisdiction's EPSCoR governing committee as having the best potential to improve future R&D competitiveness. Successful awards will focus on the building of the core strength needed to develop collaborative methods for the solution of important problems having both regional and national importance (see Program Description below).
• Planning Support: Proposals for EPSCoR planning grants may be considered from new EPSCoR eligible jurisdictions. The planning proposal (no more than one per jurisdiction) may request support up to a maximum of $200,000 for a period of 12-18 months. Eligible jurisdictions may seek planning support to formulate and prepare future proposals that will focus infrastructure development towards building strength for solving regional problems of national importance.

A jurisdiction wishing to submit a planning grant proposal must notify the NSF EPSCoR Office with a letter of intention to submit and then meet with NSF EPSCoR officials to discuss the conceptual project, potential partners and estimated cost. Depending on the outcome of these discussions, the jurisdiction may be invited to submit an EPSCoR planning proposal, using NSF's grant proposal guidelines.

The EPSCoR Office, on a case-by-case basis, may consider support for other types of planning activities, e.g., support for planning reformative activities resulting from declined proposals.

• Co-Funding - Joint support may be provided for certain meritorious proposals submitted to the Foundation's ongoing research and education programs and special competitions. Co-funding is an internal NSF funding mechanism that does not involve any action on the part of the proposer. EPSCoR Co-funding is a major NSF cross- directorate activity, applicable to programs in all Directorates, the Office of Integrative Activities, the Office of International Science and Engineering, and the Office of Polar Programs.
• Outreach Travel Support- Financial support is provided for outreach visits by NSF staff to inform the EPSCoR research community about NSF priorities, programs, and policies and to more fully acquaint NSF staff with the R&D resources and further potential residing within EPSCoR jurisdictions.

This solicitation describes the Research Infrastructure Improvement (RII) Grant program, which includes funding opportunities for specific collaborative planning activities. Further information on EPSCoR Planning, Co-funding and Outreach Travel Support strategies can be found under “Investment Strategy“ on the EPSCoR website.

RII Program Description

It is anticipated that in FY 2007, the RII Grants Program will expand to offer the potential for intensive support of Strength-Based Research Collaborations (SBRC). These collaborations will join together the strongest investigators from one or more jurisdictions and bring their expertise to bear on an identified science and engineering challenge with regional relevance and national importance. "Regional" can be geographical, virtual or both. The SBRCs will take advantage of the best talent and technical capability from each participant in order to pursue frontier research and innovation in well-defined areas. Here, innovation is defined as the combined use of human creativity, scientific knowledge and engineering design to produce new materials, devices, structures, processes and systems of social and/or economic value. The anticipated SBRC Program will complement the RII Program by providing a mechanistic linkage between building capacity and attaining national competitiveness.

The purpose of an EPSCoR Research Infrastructure Improvement (RII) Grant is to provide support for lasting improvements in a jurisdiction's academic research infrastructure, its research capacity and capability in identified research areas, and hence, increased national competitiveness. EPSCoR support is intended to add specific value to the jurisdiction's academic infrastructure not generally available through other funding sources. Starting with the FY 2005 competition, RII grants will focus on building the strength needed to develop collaborative efforts for the successful pursuit of significant regional opportunities having national importance.

Each jurisdiction must establish and utilize an EPSCoR governing committee that works closely with leaders in academe, government and the private sector. The committee will identify potential R&D improvement strategies and activities that are most likely to advance the development of a nationally competitive academic R&D capability. Once in place, this academic R&D capability is expected to provide a key ingredient for a definitive innovation plan. The governing committee will also initiate and promote intra-jurisdictional as well as inter-jurisdictional collaborations where the latter may involve both EPSCoR and non-EPSCoR jurisdictions. However, EPSCoR funding can only be requested and used for the EPSCoR-based components.

An EPSCoR Research Infrastructure Improvement proposal must describe the strategy and implementation mechanisms to develop, expand, use, and sustain the science and technology resources that reside in the jurisdiction's universities. In preparation for submitting a proposal, the EPSCoR governing committee within each jurisdiction is expected to have undertaken a comprehensive analysis of the strengths, barriers, and opportunities for further development of its institutions in support of overall objectives in research, education and innovation. Successful infrastructure improvement plans are likely to be those that represent the opportunities for enhanced academic R&D competitiveness among a jurisdiction's universities, including pragmatic plans for generation of sustained non-EPSCoR support. Most importantly, the jurisdiction's infrastructure improvement strategy must identify implementation mechanisms that have a high probability of realizing stated goals and objectives. In all instances, clear specification of performance milestones and a timetable for achieving such milestones is a requirement for EPSCoR support. Major accomplishments from prior EPSCoR support, detailed sustainability plans for achieving sustainable scientific success along with a formative and summative evaluation plan (with measurable metrics) must be include in the proposal. With EPSCoR support, it is expected that the improvement strategies will enable targeted research areas to become nationally competitive and sustained by non-EPSCoR support after the award period. Furthermore, improvement strategies must be targeted to foster strength building in order to initiate collaborative efforts for the solution of important problems having both regional and national significance. Finally, the RII proposal should summarize the coordination and synergy between all the EPSCoR/EPSCoR-like programs in the jurisdiction and then define the role for the proposed NSF EPSCoR RII within this broader context.

1. Examples of Infrastructure Improvements

Infrastructure improvement strategies that sharply focus available fiscal and human resources on research, educational and innovation activities that are consistent with specified long-term jurisdiction and regional objectives are most successful. In conjunction with this focus, the proposed education and innovation projects should demonstrate direct connectivity to the identified research theme(s). EPSCoR strives for improvements that will significantly increase a jurisdiction's or region's R&D competitiveness for large scale and cross-cutting competitions, such as Science & Technology Centers (STC's), Materials Research Science and Engineering Centers (MRSEC's), Engineering Research Centers (ERC's), Integrative Graduate Education and Research Traineeships (IGERT's); Partnerships for Innovation, ADVANCE, Biocomplexity in the Environment, and Nano-Scale Science and Engineering Research. EPSCoR support of a proposed research improvement activity should not duplicate other available federal, jurisdictional, or institutional resources and should add significant value to increase focused competitiveness at the jurisdiction, or larger regional level.

Examples of research infrastructure improvement activities that are consistent with NSF/EPSCoR program objectives are:

Support for competitive levels of "start-up" funding for new faculty including faculty exchange programs with major centers of research activity and/or the acquisition of state-of-the-art research instrumentation;

Support for competitive levels of "keep-up" funding for established faculty who are active researchers but need a critical infrastructure investment to maintain their credibility and competitiveness for future external support;

Development of meaningful partnerships, including regional collaborations, among EPSCoR colleges and universities; partnerships between EPSCoR colleges, universities and nationally recognized centers of R&D activity (e.g. federal and industrial R&D laboratories, NSF-sponsored research centers, and academic institutions with nationally-recognized research capabilities); and productive partnerships between the jurisdiction's research universities and the private sector in the region. Of special value are those alliances that increase linkages between EPSCoR researchers and their counterparts in research and/or technology based small businesses and thereby increase the competitiveness of the jurisdiction's/region's S&T entrepreneurial talent in competitions for federal Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) grants;

Creation of graduate research training groups, or similar appropriate mechanisms that: integrate research and education; encourage multidisciplinary educational experiences; establish links with industry and national laboratories; and nurture a synergistic "corporate" educational and research responsibility;

Novel concepts for STEM education and human resource development along with the identification of incentives that stimulate leadership, build faculty and student teams that are diverse in gender, race, and ethnicity and that will result in a strong, quantifiable impact on the diversity of the STEM workforce;

Competitive support for the acquisition of equipment for research experiences and instruction by predominately undergraduate research institutions and minority-serving institutions;

Development of nationally competitive, high-performance computing and networking capabilities to strengthen and enrich the cyber infrastructure environment needed for research/educational collaborations.

A Research Infrastructure Improvement grant is not the appropriate mechanism to provide support for individual faculty research projects. Requests for support of such projects should be directed to NSF's regular research and educational grant programs. Because EPSCoR investments are important to enhancing a jurisdiction's competitiveness, it is expected that equipment purchased with EPSCoR funds will remain in the jurisdiction and will not be transferred in the event that a Principal Investigator transfers to another jurisdiction.

To insure maximum impact of limited EPSCoR funds, requests for EPSCoR funding must: (1) add significant and measurable value to research capability in S&T areas of high institutional and jurisdiction priority, (2) present a detailed strategy to generate subsequent, sustained non-EPSCoR funding from federal, jurisdictional, or private sector sources, and (3) contribute to a strength-based strategy for future research and innovation.

2. Eligible Activities

NSF recognizes that local considerations strongly influence the scope and nature of EPSCoR activities within a jurisdiction and therefore, NSF does not require that a set of specific activities be carried out as part of EPSCoR awards.

Proposals requesting funds for research infrastructure improvement may include support for academic, jurisdictional, profit and non-profit organizations, as well as eligible individuals employed by such organizations both inside and outside the jurisdiction. In addition, cooperative programs among research universities within or across EPSCoR jurisdictions, or between a jurisdiction's research universities and predominately undergraduate institutions, are eligible for EPSCoR support. In all cases however, Project Directors/Principal Investigators of proposed EPSCoR projects must be affiliated with research universities, agencies, or organizations within the participant jurisdiction. Whereas the proposed project may employ collaborations between EPSCoR and non-EPSCoR participants, EPSCoR funding can only be requested and used for the EPSCoR-based components. In addition, all activities carried out under an EPSCoR award are subject to the restrictions concerning eligible science, technology, engineering, and mathematics disciplines and activities detailed in the NSF Grant Proposal Guide found on the NSF website at https://www.nsf.gov/cgi-bin/getpub?gpg.

Limit: Only organizations located in jurisdictions that meet EPSCoR criteria are eligible to submit proposals to the Research Infrastructure Improvement Grant competition. The jurisdiction's EPSCoR governing committee must designate a fiscal agent/proposing organization as the awardee for the RII grant. Where possible, this should be the employing organization of the Project Director.

PI Eligibility Limit: None specified.

Limit on Number of Proposals: 1. Only one Research Infrastructure Improvement proposal may be submitted in response to this solicitation by the designated fiscal agent/proposing organization, acting on behalf of a jurisdiction's EPSCoR governing committee. Collaborative proposals are not permitted.

Anticipated Type of Award: Standard or Continuing Grant

Estimated Number of Awards: Up to 6

Duration: Award duration of up to 36 or 48 months

Anticipated Funding Amount: $18 Million in FY06 (pending availability of funds)

Limitation of Awards:

RII award amount not to exceed a total of $9 million over the 36 or 48 month duration.

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

A jurisdiction is permitted to have only one active RII award during the time period of the initial or amended award. Jurisdictions with expiring RII awards will be eligible to compete in the competition nearest the current grant expiration date. In cases where no-cost extensions are required, the jurisdiction's project director must consult with the EPSCoR Office in regard to potential eligibility to submit a new proposal for the next competition.

The following instructions are specific to proposals submitted to the Research Infrastructure Improvement competition and supplement the NSF Grant Proposal Guide (GPG):

PROJECT DESCRIPTION REQUIREMENTS

The Project Description must include the following elements:

1. The current status of the jurisdiction's academic R&D enterprise, including a comprehensive analysis of the strengths, barriers, and opportunities for development of its academic institutions in support of overall jurisdiction R&D objectives. The proposal narrative should provide convincing background and rationale for the projects proposed. The narrative should also explain the relationship of the proposed infrastructure investments and activities to the jurisdiction's science and technology plans and policies.

2. A section on Results from Prior NSF Support must be included.

3. The proposed overall strategy and accompanying implementation mechanisms, which if augmented with the requested infrastructure, will improve the jurisdiction's competitiveness for federal, jurisdictional, and private sector R&D funding.

4. The specific S&T infrastructure improvement investments and activities must advance the jurisdiction's future research competitiveness and develop tightly focused research areas. It is important to show how substantial value will be added to the R&D enterprise and to the educational institutions of the jurisdiction and/or region.

5. A description of planned outreach activities that will expand institutional participation, student career options and facilitate the entry of women and members of underrepresented groups and institutions into STEM fields.

6. A management plan is a critical component of the RII project. The EPSCoR management team is responsible for implementing the proposed research infrastructure improvement activities and managing all aspects of the project. It is important that the project's management team be sufficient in number and level of effort to assume technical and administrative oversight of the project and accomplishment of project milestones. In addition, it is expected that the EPSCoR management team will coordinate with other offices (e.g., sponsored research offices) to identify funding opportunities and facilitate outreach. The management team must make optimal use of resources and respond to emerging opportunities as they develop. The management team is also responsible for enhancing public understanding about the importance of the role of science in service to society.

Specific requirements for the management plan include:

EPSCoR governing committee: The committee should be composed of representatives from academe, government and the private sector. Its role in project governance, including specific management responsibilities for the NSF EPSCoR project as well as for the coordination of the jurisdiction's EPSCoR/EPSCoR-like portfolio, should be clearly elucidated.

EPSCoR management team: The role and responsibilities of the Project Director (and Co-Directors), administrative support personnel and other team members must be clearly defined.

Technical assistance plan: A plan to ensure that adequate scientific, technical, and management expertise and assistance are available. Technical assistance may include, but is not necessarily limited to: (1) assisting with planning of proposals to be submitted to major NSF and other grant competitions; (2) developing frameworks for university-industry-government collaboration; (3) bringing experts to an institution/jurisdiction in a mentoring capacity, either individually or in a workshop context; (4) building foundations for new cross-disciplinary and/or multi-jurisdictional collaborations; and (5) designing and using effective evaluation tools.

Although no cost sharing funds are required for these proposals, clear evidence of the jurisdiction's commitment must be included with the proposal. The level of commitment will differ among applicants because of the variability of resources available among jurisdictions. At a minimum, a letter of support from a senior official (e.g., institutional Chief Financial Officer or institutional Vice President for Research) should outline the commitment of resources and facilities to sustain and support the project throughout the period of funding, and to maintain these resources beyond the period of support. Such evidence of jurisdictional and/or institutional support should be submitted as supplementary documents in the FastLane proposal system.

Funding request can be for a total of up to $9 million with an award duration of up to 36 or 48 months. Annual budgets for NSF support should not exceed $3 million.

Budgets should include sufficient funding for annual jurisdiction or regional EPSCoR conferences.

September 16, 2005

The annual progress and final reports must contain evaluation information collected according to the project's defined metrics. Progress, as quantified by these reported measures, will be used to help determine the feasibility and timing of future funding increments.

As a part of this process, the annual progress and final reports must identify the numbers of women and members of other underrepresented groups in faculty and staff positions and as participants in the activities funded by the award. The annual report must also include the results of efforts to increase the participation of women and members of other underrepresented groups in project staffing and project activities. Future funding will be based, in part, on progress in increasing the numbers of women and members of other underrepresented groups in the activities funded by this award.

The annual report must include evidence of linkages, coordination, and collaboration with other NSF-funded projects in the jurisdiction or regionally that enhance the proposed research infrastructure improvement activities.

The annual report must include compelling evidence of efforts, accomplishments, commitments, and plans to ensure that human and fiscal resources will be available in the future to sustain the project beyond the expiration of the grant. These may include not only quantitative data (e.g., a record of proposals submitted to NSF competitions and an analysis of award success rate), but also a listing of programs and policies proposed or implemented and resources sought or obtained.

The NSF EPSCoR Office will conduct performance effectiveness reviews at the mid-point and in the final year of the award. These reviews will include site visit and/or reverse site visits. Continued funding will be determined by both the annual progress report and by the results of the mid-point evaluation.

The annual and final reports must include identification of numbers of women and members of other underrepresented groups in faculty and staff positions and as participants in the activities funded by the award. See Special Award Condition above.