Funding Opportunity for Ethical and Responsible Research in Alabama

Funding Opportunity for Ethical and Responsible Research in Alabama is sponsored by State of Alabama (specific agency not identified). This grant aims to foster responsible research practices that can lead to improved integrity in academic and professional pursuits within Alabama.

NSF 24-604: Ethical and Responsible Research (ER2) | NSF - U.S. National Science Foundation Archived funding opportunity This solicitation is archived. Important information for proposers and award recipients All proposals must be submitted in accordance with the requirements specified in the funding opportunity and in the Proposal & Award Policies & Procedures Guide (PAPPG) and its supplements .

All NSF grants and cooperative agreements are subject to the applicable set of NSF award terms and conditions . NSF has updated its research security policies for NSF funded projects. NSF 24-604: Ethical and Responsible Research (ER2) Posted: September 5, 2024 Download the solicitation (PDF, 0.

9mb) U.S. National Science Foundation Directorate for Social, Behavioral and Economic Sciences SBE Office of Multidisciplinary Activities Office of International Science and Engineering Directorate for Biological Sciences Directorate for Computer and Information Science and Engineering Directorate for Engineering Directorate for Geosciences Directorate for Mathematical and Physical Sciences Directorate for STEM Education Directorate for Technology, Innovation and Partnerships Full Proposal Target Date(s) : Fourth Thursday in January, Annually Thereafter Important Information And Revision Notes The solicitation has been updated to remove the requirement for a Mentoring Student Researchers section in the Project Description, update the types of research questions of interest to the program, replace the Institutional Transformation Project proposal type with the Partnership for Transformational Research (PTR) Project proposal type, and add the requirement that each PTR proposal include a Project Management Plan (PMP) as a supplementary document.

The ER2 program does not normally consider proposals that focus on medical education or medical research. Questions about the topical scope of the ER2 program should be directed to the program officers listed in this solicitation.

Any proposal submitted in response to this solicitation should be submitted in accordance with the NSF Proposal & Award Policies & Procedures Guide (PAPPG) that is in effect for the relevant due date to which the proposal is being submitted.

The NSF PAPPG is regularly revised and it is the responsibility of the proposer to ensure that the proposal meets the requirements specified in this solicitation and the applicable version of the PAPPG. Submitting a proposal prior to a specified deadline does not negate this requirement.

Summary Of Program Requirements Ethical and Responsible Research (ER2) The ER2 program supports projects that focus on what constitutes or promotes responsible and ethical research in science, technology, engineering, and mathematics (STEM) fields.

The ER2 program promotes the development, improvement, and dissemination of responsible and ethical research practices and aims to build on organizational cultures that value and reward such practices. Proposers to the ER2 program may examine responsible and ethical research practices across one or more career stages. This can include, for example, the research practices of students, postdoctoral fellows, faculty, or practitioners.

ER2 projects could seek to improve responsible and ethical research practices in teams, organizations, or communities, or between researchers and the public. ER2 projects may include the development of interventions that promote responsible and ethical research practices, including in multidisciplinary, inter-organizational, cross-sector, translational, or international contexts.

An ER2 project can also identify challenges that undermine or erode responsible and ethical research practices in STEM fields and evaluate measures to prevent or mitigate such challenges. A comprehensive approach to responsible and ethical research not only influences individual behavior, but it also contributes to an inclusive, equitable, and respectful research culture.

Thus, proposers could examine organizational or other factors that positively influence responsible and ethical research practices in STEM fields. Proposals from or involving substantial collaboration with organizations in EPSCoR -eligible jurisdictions, minority-serving institutions , women's colleges, or organizations primarily serving persons with disabilities are encouraged.

Proposals that include international collaborations are encouraged if the unique resources, expertise, facilities, or locations of international partners enhance the merit of the proposed work. Please see the NSF PAPPG for guidance on international collaborations. Broadening Participation In STEM: NSF has a mandate to broaden participation in science and engineering, as articulated and reaffirmed in law since 1950.

Congress has charged NSF to “develop intellectual capital, both people and ideas, with particular emphasis on groups and regions that traditionally have not participated fully in science, mathematics, and engineering. 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.

ER2 Program Staff, SBE/SMA, telephone: (703) 292-8700, email: nsfsbe-er2@nsf.

gov Applicable Catalog of Federal Domestic Assistance (CFDA) Number(s): --- Mathematical and Physical Sciences --- Computer and Information Science and Engineering --- Social Behavioral and Economic Sciences --- Office of International Science and Engineering --- Office of Integrative Activities (OIA) --- NSF Technology, Innovation and Partnerships Anticipated Type of Award: Standard Grant Estimated Number of Awards: 10 Anticipated Funding Amount: $5,400,000 This solicitation will consider proposals for four types of projects: Conference Projects with a total maximum budget of $50,000 and a duration of up to 12 months.

Incubation Projects with a total maximum budget of $100,000 and a duration of up to 12 months. Standard Research Projects with a total maximum budget of $400,000 and a duration of up to 3 years. Partnership for Transformational Research Projects with a total maximum budget of $700,000 and a duration of up to 4 years.

Project durations and budgets must be commensurate with the scope of the work proposed and with guidance provided elsewhere in this solicitation regarding anticipated program resources. NSF anticipates a portfolio of awards with a range of budgets and durations up to the maximum amount. Estimated program budget, number of awards, and average award size/duration are subject to the availability of funds.

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 sub-awards 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 laboratories, professional societies and similar organizations located in the U.S. that are directly associated with educational or research activities. The leadership of project teams are expected to have expertise in the STEM areas or fields on which the project focuses, and in ethics, values, evaluation, or pedagogy.

For a Partnership for Transformational Research Project proposal, it is highly recommended that at least one senior member of the administration from each partnering organization serve as part of the research team’s leadership. Limit on Number of Proposals per Organization: There are no restrictions or limits.

Limit on Number of Proposals per PI or co-PI: 2 An individual may appear as PI, co-PI, or Senior/Key Personnel on no more than two proposals submitted in response to this solicitation. In the event that an individual exceeds this limit, the first two proposals received prior to the target date will be evaluated by the program for review, and the remainder of the individual’s proposals will be returned without review.

No exceptions to this rule will be made. Proposal Preparation and Submission Instructions A. Proposal Preparation Instructions Letters of Intent: Not required Preliminary Proposal Submission: Not required 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 ). Cost Sharing Requirements: Inclusion of voluntary committed cost sharing is prohibited. Indirect Cost (F&A) Limitations: Other Budgetary Limitations: Other budgetary limitations apply.

Please see the full text of this solicitation for further information. Full Proposal Target Date(s) : Fourth Thursday in January, Annually Thereafter Proposal Review Information 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 Additional award conditions apply. Please see the full text of this solicitation for further information.

Standard NSF reporting requirements apply. In August of 2017, the NSF Director sent a notice to universities, colleges and other NSF grantee organizations reiterating NSF's requirement, in accordance with Section 7009 of the America COMPETES Act (H. R.

2272) , that each organization must "... provide appropriate training and oversight in the ethical conduct of research to all undergraduates, graduate students, and postdoctoral researchers who will be supported by NSF to conduct research" and "... improve strategies for fostering research integrity."

The CHIPS and Science Act of 2022 (PUBLIC LAW 117–167) modified NSF's responsible and ethical conduct of research (RECR) training and oversight requirements to include "... faculty and other senior personnel who will be supported by NSF to conduct research."

Outcomes from the Ethical and Responsible Research (ER2) program contribute to the knowledge base on what constitutes or promotes responsible and ethical research practices, which can inform the implementation of these federal laws. The ER2 program supports projects that focus on what constitutes or promotes responsible and ethical research in STEM fields.

The ER2 program promotes the development, improvement, and dissemination of responsible and ethical research practices and aims to build on organizational cultures that value and reward such practices. Proposers to the ER2 program may examine responsible and ethical research practices across one or more career stages. This can include, for example, the research practices of students, postdoctoral fellows, faculty, or practitioners.

ER2 projects seek to improve responsible and ethical STEM research practices in teams, organizations, or communities, or between researchers and the public. ER2 projects can include the development of interventions that promote responsible and ethical research practices, including in multidisciplinary, inter-organizational, cross-sector, translational or international contexts.

An ER2 project could also identify challenges that undermine or erode responsible and ethical research practices in STEM fields and evaluate measures to prevent or mitigate such challenges. A comprehensive approach to responsible and ethical research not only influences individual behavior, but it also contributes to an inclusive, equitable, and respectful research culture.

Thus, proposers could examine organizational or other factors that positively influence responsible and ethical research practices in STEM fields. Research questions of interest to the program include but are not limited to: What constitutes responsible and ethical research practice in STEM and why? Which strategies promote effective mentoring, and foster inclusive, equitable, and respectful research environments?

Which organizational practices positively promote responsible and ethical research, and how can these practices be translated and integrated into other settings? What are responsible and ethical approaches to co-designing research activities? This could, for example, involve a research partnership with a local community organization, industry, an Indigenous population, or a group historically underrepresented in STEM.

What are similarities and differences in responsible and ethical research practices across different STEM fields or sectors (for example, academia, industry and non-profit), and what can these fields or sectors learn from one another about such practices? How does the use of technology such as artificial intelligence inform or change responsible and ethical research practices in STEM?

For example, how could technology impact the ethics of knowledge discovery, authorship, communicating research findings, or data management, or the responsibilities that researchers have to the public? Which approaches enable STEM researchers to engage with the public responsibly or design their research activities in a way that fosters the well-being of the public?

ER2 projects can include qualitative, quantitative, or mixed methods approaches. When working with partners such as local, regional, national, or international communities, the ER2 program expects project teams to treat each partner equitably and respectfully. This could, for example, involve upholding best practices for co-creating knowledge and sharing research findings with each partner.

A proposal submitted to the ER2 program must intersect with one or more of the following STEM areas or fields that NSF supports: Social, Behavioral and Economic Sciences Computer and Information Science and Engineering Mathematical and Physical Sciences Technology, Innovation and Partnerships International Science and Engineering Example research topics of interest to the ER2 program in these STEM areas or fields can be found here .

Proposals should specify plans to share project findings with appropriate research and educational communities and to serve as a resource for such communities. In addition, ER2 award recipients must submit project deliverables such as ethics case studies, modules, and instructor materials to the Online Ethics Center for Engineering and Science (OEC) and share findings at biennial ER2 PI meetings.

The PI meetings may alternate between in-person and virtual formats. ER2 award recipients are responsible for covering their expenses of participating in the PI meetings throughout the duration of their award and must include these costs in the proposed budget. Any costs associated with uploading content to the OEC should also be included in the proposed budget.

In addition to publications housed within NSF's Public Access Repository, many of the ethics materials developed through projects supported by the ER2 program are located at one or more of the following: 1. Ethics Education Library, Center for Study of Ethics in the Professions , Illinois Institute of Technology 2. IDEESE: International Dimensions of Ethics Education in Science & Engineering , University of Massachusetts Amherst 3.

National Center for Principled Leadership & Research Ethics , University of Illinois Urbana-Champaign 4. Online Ethics Center for Engineering and Science (OEC), University of Virginia The ethics resource centers in the above list have received funding from NSF. Some of the materials available through these centers focus on discipline-specific ethical issues whereas others are aimed at broader issues that are common across STEM fields.

The ER2 program supports conferences designed to bring together researchers and other stakeholders, especially those who have not partnered previously, to foster new research, identify emerging challenges and opportunities, or develop new standards on responsible and ethical research practices within STEM communities. The ER2 program does not support gatherings whose primary purpose is to share the results of completed research.

The ER2 program encourages proposers to describe plans for including students and members of historically underrepresented groups as active conference participants. Conference proposals should generally be submitted a year in advance of the proposed event. Conference proposals may be reviewed at any time, but proposers are encouraged to submit no later than the target date for this solicitation.

A proposal of this type must include "Conference" within its title. For general guidance about conferences, including a list of required elements and budget exclusions, follow the PAPPG guidance for preparing Conference Proposals (PAPPG Chapter II. F).

Budget Guidelines for Conference Projects A proposal for an ER2 Conference Project should typically request a budget of no more than $50,000 in total costs and a duration of up to 1 year. The ER2 program will consider requests for conferences that exceed this amount only in special circumstances.

Incubation Projects enable research teams across multiple organizations to collaborate to develop and later submit an ER2 Standard Research or Partnership for Transformational Research proposal. An Incubation Project must span at least two organizations. The project may involve a pilot study and/or a workshop as a component of the incubation activities.

Those who intend to submit an Incubation Project proposal should consult with an ER2 program officer before submitting to ascertain the suitability of the envisioned activity. A proposal of this type must include "Incubation Project" within its title. Budget Guidelines for Incubation Projects A proposal for an ER2 Incubation Project can request a total maximum budget of $100,000 and a duration of up to 1 year.

Standard Research Projects Standard Research Projects should produce new knowledge about what fosters responsible and ethical research practices in one or more STEM fields. Standard Research Project proposals can be collaborative. Budget Guidelines for Standard Research Projects A proposal for an ER2 Standard Research Project can request a total maximum budget of $400,000 and a duration of up to 3 years.

Partnership for Transformational Research (PTR) Projects Partnership for Transformational Research Projects are designed to support the development, implementation, and evaluation of innovative strategies that promote responsible and ethical research practices within a partnership of two or more organizations.

PTR Projects should contribute to the knowledge base of what fosters responsible and ethical practices in STEM research communities and serve as a catalyst for embedding such practices at each of the partner organizations. It is highly recommended that at least one senior member of the administration from each partnering organization serve as part of the research team’s leadership.

PTR Projects can be submitted either as separately submitted collaborative proposals or a single proposal with subawards. A proposal of this type must include "Partnership for Transformational Research" within its title. Budget Guidelines for Partnership for Transformational Research Projects A proposal for an ER2 Partnership for Transformational Project can request a total budget of up to $700,000 and a maximum duration of 4 years.

Anticipated Type of Award: Standard Grant Estimated Number of Awards: 10-15 Anticipated Funding Amount: $5,400,000 Estimated total annual funding amount is $5,400,000 subject to the availability of funds. The maximum amount for 4-year awards is $700,000 (including indirect costs), and the maximum amount for 3-year awards is $400,000 (including indirect costs).

Estimated program budget, number of awards and average award size/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 sub-awards 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 laboratories, professional societies and similar organizations located in the U.S. that are directly associated with educational or research activities. The leadership of project teams are expected to have expertise in the STEM areas or fields on which the project focuses, and in ethics, values, evaluation, or pedagogy.

For a Partnership for Transformational Research Project proposal, it is highly recommended that at least one senior member of the administration from each partnering organization serve as part of the research team’s leadership. Limit on Number of Proposals per Organization: There are no restrictions or limits.

Limit on Number of Proposals per PI or co-PI: 2 An individual may appear as PI, co-PI, or Senior/Key Personnel on no more than two proposals submitted in response to this solicitation. In the event that an individual exceeds this limit, the first two proposals received prior to the target date will be evaluated by the program for review, and the remainder of the individual’s proposals will be returned without review.

No exceptions to this rule will be made. Additional Eligibility Info: Other types of organizations who are eligible to submit to NSF can participate as part of an ER2 proposal as a collaborating or subawardee organization as long as they do not serve as the lead organization.

Proposals from or involving substantial collaboration with organizations in EPSCoR-eligible jurisdictions, minority-serving institutions, women's colleges or organizations primarily serving persons with disabilities are encouraged. Proposals that include international collaborations are encouraged if the unique resources, expertise, facilities or locations of international partners enhance the merit of the proposed work.

Please see the NSF PAPPG for guidance on international collaborations. V. Proposal Preparation And Submission Instructions A.

Proposal Preparation Instructions 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 . In determining which method to utilize in the electronic preparation and submission of the proposal, please note the following: Collaborative Proposals.

All collaborative proposals submitted as separate submissions from multiple organizations must be submitted via Research. gov. PAPPG Chapter II. E.

3 provides additional information on collaborative proposals. See PAPPG Chapter II. D.

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. Each Partnership for Transformational Research Project proposal must include a Project Management Plan (PMP) as a supplementary document.

The PMP can be a maximum of two pages. The PMP must include a description of the specific roles and responsibilities of the PIs, co-PIs, and other personnel who are part of the leadership, coordination, design, and/or assessment of the project.

The PMP must describe the governance structure of the research team, and how the research team will ensure consistent and effective communication among its members and across the partner organizations. A PTR proposal that does not include a Project Management Plan will be returned without review. Please refer to Section II, Program Description, for special proposal preparation information and instructions.

Inclusion of voluntary committed cost sharing is prohibited. Other Budgetary Limitations: Other budgetary limitations apply. Please see the full text of this solicitation (Sections V.

B and VII. B) for further information. Full Proposal Target Date(s) : Fourth Thursday in January, Annually 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 1-800-381-1532 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/applicants .

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 Research. gov for further processing.

The NSF Grants. gov Proposal Processing in Research. gov informational page provides submission guidance to applicants and links to helpful resources including the NSF Grants.

gov Application Guide , Grants. gov Proposal Processing in Research. gov how-to guide , and Grants.

gov Submitted Proposals Frequently Asked Questions . Grants. gov proposals must pass all NSF pre-check and post-check validations in order to be accepted by Research.

gov at NSF. When submitting via Grants. gov, NSF strongly recommends applicants initiate proposal submission at least five business days in advance of a deadline to allow adequate time to address NSF compliance errors and resubmissions by 5:00 p.

m. submitting organization's local time on the deadline. Please note that some errors cannot be corrected in Grants.

gov. Once a proposal passes pre-checks but fails any post-check, an applicant can only correct and submit the in-progress proposal in Research. gov. 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/funding/overview . 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.

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