NSF–NIH funding for math and statistics research that supports biological and biomedical science (NSF 22-600)

NSF–NIH funding for math and statistics research that supports biological and biomedical science (NSF 22-600) is sponsored by National Science Foundation (NSF) and National Institute of General Medical Sciences (NIGMS). This joint initiative supports fundamental research at the intersection of mathematics/statistics and the biological or biomedical sciences.

It funds both new collaborations and innovative work by existing teams through two project tracks with 3- to 4-year award durations.

NSF 22-600: Joint DMS/NIGMS Initiative to Support Research at the Interface of the Biological and Mathematical Sciences (DMS/NIGMS) | NSF - U.S. National Science Foundation Active funding opportunity This document is the current version.

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 22-600: Joint DMS/NIGMS Initiative to Support Research at the Interface of the Biological and Mathematical Sciences (DMS/NIGMS) To save a PDF of this solicitation, select Print to PDF in your browser's print options.

National Science Foundation Directorate for Mathematical and Physical Sciences Division of Mathematical Sciences National Institutes of Health National Institute of General Medical Sciences Submission Window Date(s) (due by 5 p. m.

submitter's local time): September 01, 2022 - September 19, 2022 September 1 - September 18, Annually Thereafter Important Information And Revision Notes This solicitation was revised to include compliance with the NIGMS mission. Innovating and migrating proposal preparation and submission capabilities from FastLane to Research.

gov is part of the ongoing NSF information technology modernization efforts, as described in Important Notice No. 147 . In support of these efforts, proposals submitted in response to this program solicitation must be prepared and submitted via Research. gov or via Grants.

gov and may not be prepared or submitted via FastLane. Any proposal submitted in response to this solicitation should be submitted in accordance with the revised NSF Proposal & Award Policies & Procedures Guide (PAPPG) ( NSF 22-1 ), which is effective for proposals submitted, or due, on or after October 4, 2021.

Summary Of Program Requirements Joint DMS/NIGMS Initiative to Support Research at the Interface of the Biological and Mathematical Sciences (DMS/NIGMS) The Division of Mathematical Sciences (DMS) in the Directorate for Mathematical and Physical Sciences (MPS) at the National Science Foundation (NSF) and the National Institute of General Medical Sciences (NIGMS) at the National Institutes of Health (NIH) plan to support fundamental research in mathematics and statistics necessary to answer questions in the biological and biomedical sciences.

Both agencies recognize the need to promote research at the interface between mathematical and life sciences. This program is designed to encourage new collaborations, as well as to support innovative activities by existing teams.

The joint DMS/NIGMS initiative offers two submission tracks: Track 1 - for projects with a total budget of up to $600,000 for an award duration of 3 years, and Track 2 - for projects with a total budget of up to $1,200,000 for an award duration of 3-4 years. 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.

Zhilan J. Feng, Program Director, NSF/DMS, telephone: (703) 292-7523, email: dms-nigms@nsf. gov Vu Dinh, Program Director, NSF/DMS, telephone: (703) 292-4306, email: vdinh@nsf.

gov John E. Kolassa, Program Director, telephone: (703) 292-4733, email: jkolassa@nsf. gov Tapabrata Maiti, Program Director, telephone: (703) 292-5307, email: tmaiti@nsf.

gov Peggy Wang, Program Director, telephone: 301-594-0800, email: peggy. wang@nih. gov Han Nguyen, Program Director, NIH/NIGMS, telephone: (301) 496-7301, email: han.

nguyen@nih. gov Applicable Catalog of Federal Domestic Assistance (CFDA) Number(s): 47. 049 --- Mathematical and Physical Sciences 93.

859 --- National Institute of General Medical Sciences Anticipated Type of Award: Standard Grant or Continuing Grant or R01 project (if the proposal is selected to be funded by NIGMS) Estimated Number of Awards: Approximately 15 to 25 awards from this competition may be made by either NSF or NIH at the option of the agencies, not the grantee. The number of awards will depend on the quality of received proposals and budget availability.

Anticipated Funding Amount: Up to $5,000,000 per year for new proposals (up to $2,000,000 from NSF and up to $3,000,000 from NIGMS), subject to availability of funds and receipt of meritorious proposals. Track 1 – for exploratory projects of high-risk, high-reward, or those from new collaborative teams, with total budgets of up to $600,000 for an award duration of 3 years.

Track 2 - for projects of large scope from well-established teams, with total budgets of up to $1,200,000 for an award duration of 3-4 years.

Who May Submit Proposals: The categories of proposers eligible to submit proposals to the National Science Foundation are identified in the NSF Proposal & Award Policies & Procedures Guide (PAPPG), Chapter I.E. Unaffiliated individuals are not eligible to submit proposals in response to this solicitation. There are no restrictions or limits. Limit on Number of Proposals per Organization: There are no restrictions or limits.

Limit on Number of Proposals per PI or co-PI: There are no restrictions or limits. 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: Submission Window Date(s) (due by 5 p.

m. submitter's local time): September 01, 2022 - September 19, 2022 September 1 - September 18, 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.

Additional reporting requirements apply. Please see the full text of this solicitation for further information. The extraordinary growth of available data has created tremendous opportunities for revolutionary mathematics-driven advances in biological and biomedical research.

In this initiative, the National Institute of General Medical Sciences (NIGMS) and the National Science Foundation's Division of Mathematical Sciences (NSF/DMS) partner to promote research at the interface of the biological, biomedical, and mathematical sciences.

The expertise of DMS in mathematical, computational, and statistical sciences and the complementary expertise of NIGMS in biological and biomedical research are expected to provide support for novel and transformative quantitative life sciences research.

A successful proposal is expected to address clearly stated biological/biomedical questions, make a compelling case for and develop innovative mathematical/computational/statistical methods or integrate disparate mathematical/computational/statistical fields, and articulate a well-defined plan for the mathematics or statistics to drive biological/biomedical discovery within the funded period.

A clear description on the contribution of the mathematical/computational/statistical work to improved understanding of biological/biomedical problems is required. Research collaborations that include scientists from both the life and mathematical science communities are expected.

Proposals from single investigators must provide convincing evidence that the principal investigator has the necessary expertise in both mathematics/statistics and life sciences. While projects from existing collaborations are allowed, we strongly encourage exploratory, high-risk and high-reward Track 1 proposals from new teams of researchers.

All proposals in response to this solicitation must address important questions in the biological and biomedical sciences that are within the NIGMS mission ( https://www. nigms. nih.

gov/research-areas ), which is to support fundamental research that increases our understanding of basic biological processes and lays the foundation for future advances in disease diagnosis, treatment, and prevention. NIGMS supports research and technology development that is aimed at understanding general principles, mechanisms, and processes through Scientific Divisions with diverse interests.

NIGMS does not focus on single classes of cells, tissues, organs, or diseases unless they are used as models for elucidating basic principles. ( http://www. nigms.

nih. gov/about/Pages/contactbyarea. aspx ).

Proposals that do not conform to the NIGMS mission will be returned without review. Note : Proposals submitted to this solicitation for work based on topics or approaches for which the PI, co-PI or Senior Personnel previously received support from the joint DMS/NIGMS program will be returned without review.

The Division of Mathematical Sciences (DMS) within the Directorate for Mathematical and Physical Sciences (MPS) and the National Institute of General Medical Sciences (NIGMS) anticipate supporting innovative research in the mathematical and statistical sciences motivated by biological and biomedical applications.

Appropriate application areas of biological and biomedical sciences are those currently supported by the National Institute of General Medical Sciences (cf. , https://www. nigms.

nih. gov/research-areas ; https://www. nigms.

nih. gov/Research/specificareas/mathbio ). Investigators are strongly encouraged to contact the Management Team via email ( DMS-NIGMS@nsf.

gov ) before submitting a proposal to discuss suitability. Email inquiries should (i) identify the key personnel (PI, co-PI, and Senior Personnel) and their research expertise, (ii) provide a brief description of the biological/biomedical application and the novelty of the proposed quantitative approach.

Mathematical scientists (pure, applied, computational, and/or statistical) and others capable of developing innovative methods and tools in mathematical sciences, are encouraged to apply. Successful projects to the joint DMS/NIGMS initiative are anticipated to impact and advance biological/biomedical research and lead to advances in the mathematical sciences.

Interdisciplinary collaborations between mathematical/statistical and biological/biomedical scientists are expected and highly preferred.

Examples of relevant research areas/topics of inquiry to the joint DMS/NIGMS initiative include, but are not limited to: New mathematical, computational, and statistical methods that address the efficiency, robustness, quality control, uncertainty qualification, and reproducibility in biological and biomedical research Mechanistic and/or first principle-based modeling of biological/biomedical systems with novel mathematical or computational approaches at all levels of biological systems (e.g., molecular, cellular, organismal, and population levels) Novel and foundational mathematical/computational/statistical approaches for data science research of complex biological/biomedical systems (e.g., unique data analysis approaches, new approaches for integrating multiple data types, data imputation, interpretable AI/ML/deep learning models, model validation, methods for model evaluation, transferable models, novel approaches for data cataloging and structuring for use in analysis) Parameter estimation, inference and uncertainty quantification for multi-scale deterministic and/or stochastic models for complex biological processes, model validation and robustness evaluation Predictive models from high-dimensional or sparse biological/biomedical data with uncertainty Integrated multiscale approaches for connecting multiple spatiotemporal scales of biological processes Special formatting and submission requirements for proposals to the joint DMS/NIGMS initiative are described under Proposal Preparation and Submission Instructions.

PIs are strongly encouraged to follow these guidelines carefully; proposals that do not strictly adhere to requirements will be returned without review. This program provides two tracks that support projects of different scale and scope: DMS/NIGMS Track 1: This track provides support for projects with a total budget (including indirect costs) of up to $600,000 for an award duration of up to 3 years.

Successful Track 1 projects are anticipated to be high-risk, high-reward exploratory projects, or those from new teams of collaborators with complementary research expertise. DMS/NIGMS Track 2: This track provides support for projects with a total budget (including indirect costs) of up to $1,200,000 for an award duration of 3-4 years. This joint program will not fund foreign institutions.

International collaborators are welcome to participate in the projects, but they must obtain support from their respective international funding organizations. Certain expenses, such as expenses which occur during short-term visits may be covered by the US host institution. However, these expenses must be explained in the budget discussion and be justified.

Evidence of support for the foreign component of the proposed research must be provided in the proposal. Anticipated Type of Award: Standard Grant or Continuing Grant or R01 project (if the proposal is selected to be funded by NIGMS) Estimated Number of Awards: 15 to 25 Approximately 15 to 25 awards from this competition may be made by either NSF or NIH at the option of the agencies, not the grantee.

The number of awards will depend on the quality of received proposals and budget availability. Anticipated Funding Amount: $5,000,000 Up to $5,000,000 per year for new proposals (up to $2,000,000 from NSF and up to $3,000,000 from NIGMS), subject to availability of funds and receipt of meritorious proposals.

Track 1 – for exploratory projects of high-risk, high-reward, or those from new collaborative teams, with total budgets of up to $600,000 for an award duration of 3 years. Track 2 - for projects of large scope from well-established teams, with total budgets of up to $1,200,000 for an award duration of 3-4 years.

Upon conclusion of the review process, meritorious proposals may be recommended for funding by either NIGMS or NSF, at the option of the agencies, not the grantee. Subsequent grant administration procedures will be in accordance with the individual policies of the awarding agency. IV.

Eligibility Information Who May Submit Proposals: The categories of proposers eligible to submit proposals to the National Science Foundation are identified in the NSF Proposal & Award Policies & Procedures Guide (PAPPG), Chapter I.E. Unaffiliated individuals are not eligible to submit proposals in response to this solicitation. There are no restrictions or limits.

Limit on Number of Proposals per Organization: There are no restrictions or limits. Limit on Number of Proposals per PI or co-PI: There are no restrictions or limits. 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.

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

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

The following instructions deviate from guidelines in the PAPPG and NSF Grants. gov Application Guide or emphasize changes from the last solicitation. Prospective investigators are strongly encouraged to discuss their proposals with the program directors via email ( DMS-NIGMS@nsf.

gov ) before submission to ask if the proposed project is relevant to both DMS and NIGMS. Biological application areas are restricted to those currently supported by the NIGMS (see http://www. nigms.

nih. gov/Research/ ); projects that do not conform to the NIGMS mission will be returned without review. Proposal Title: Titles of Track 1 proposals submitted to the joint DMS/NIGMS initiative should begin with "DMS/NIGMS 1: " followed by a substantive title.

Titles of Track 2 proposals should begin with "DMS/NIGMS 2:" followed by a substantive title. Project Description: The 15-page project description MUST consist of two distinct parts: (1) A maximum of 12 pages at the beginning of the project description addressing the NSF criterion of Intellectual Merit .

(Note that this NSF criterion corresponds with the NIH criteria of Significance, Investigators, Innovation, Approach, and Environment; see “Additional Solicitation Specific Review Criteria” below); and (2) a separate section at the end of the project description, not more than 3 pages long , clearly titled “ Broader Impacts ,” which must address the NSF criterion of Broader Impacts (see “Merit Review Criteria” below for a full definition and discussion of what constitutes Broader Impacts).

Results from Prior NSF and/or NIH Support: If any Principal Investigator (PI) or co-PI identified on the project has received NSF or NIH funding with (i) an award with an end date in the past five years, or (ii) any current funding, including any no cost extensions, information on the award(s) is required . Each PI and co-PI who has received more than one award must report on the award most closely related to the proposal.

No more than five total pages may be used to describe the results, which must be summarized in a single, separate section, clearly titled “Results from Prior NSF/NIH Support . ” This section may be included in either the 12-pages covering Intellectual Merit or the 3-pages on Broader Impacts, at the PI's discretion.

The following information must be provided: the NSF or NIH award number, amount and period of support; the title of the project; a summary of the results of the completed work, including accomplishments related to the Broader Impact activities supported by the award and, for a research project, any contribution to the development of human resources in science and engineering; publications resulting from the NSF or NIH award; and evidence of research products and their availability, including, but not limited to: data, publications, samples, physical collections, software, and models, as described in any Data Management Plan.

Reviewers will be asked to comment on the quality of the prior work described in this section of the proposal. Project Management Plan : All proposals MUST include a Project Management Plan, no more than 3 pages long , submitted as a separate Supplementary Document .

For projects involving more than one investigator, the plan should discuss the role of each investigator, as well as the governance and organizational structure of the leadership team and the research project, including communication plans, process for making decisions on scientific direction, and procedures for resolving conflicts.

For projects with only one investigator, the plan should document the PI’s necessary qualifications in both biological/biomedical and mathematical sciences. The roles and administrative, technical, and scientific responsibilities for the project should be delineated for the investigator(s) and other collaborators. The distribution of resources to specific components of the project must be delineated in the Project Management Plan.

In the event of an award, the requested allocation may be reflected in a footnote on the NIH Notice of Grant Award (NOGA). This information should be submitted separately as a Supplementary Document. Protection of Human Subjects/Use and Care of Vertebrate Animals: Both NSF and NIH have rules regarding the use of human subjects and/or vertebrate animals in research.

Proposals that involve human subjects or use vertebrate animals MUST INCLUDE the information required by both agencies. See the NSF PAPPG AND the NIH SF 424 application guide for additional information ( https://grants. nih.

gov/grants/how-to-apply-application-guide/forms-g/general/g. 500-phs-human-subjects-and-clinical-trials-information. htm ).

Information on the use of human subjects and/or vertebrate animals is considered in the review of the proposals and should be submitted separately as a Supplementary Document . Letters of Collaboration: Letters of collaboration document significant collaborative arrangements and must be limited to stating the intent to collaborate and should not contain endorsements or evaluation of the proposed project or investigators.

The recommended format for letters of collaboration is as follows : "If the proposal submitted by Dr. [insert the full name of the Principal Investigator] entitled [insert the proposal title] is selected for funding by NSF or NIH, it is my intent to collaborate and/or commit resources as detailed in the Project Description or the Facilities, Equipment or Other Resources section of the proposal."

The Project Description should document the need for and nature of collaborations, such as intellectual contributions to the project, permission to access a site, an instrument, or a facility, offer of data, samples and materials for research, logistical support to the research and education program, or mentoring of U.S. students at a foreign site.

All letters of collaboration must be included at the time of submission as separate Supplementary Documents . Departure from this format may result in the proposal being returned without review. Inclusion of voluntary committed cost sharing is prohibited.

Submission Window Date(s) (due by 5 p. m. submitter's local time): September 01, 2022 - September 19, 2022 September 1 - September 18, 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 1-800-673-6188 or e-mail rgov@nsf.

gov . The Research. gov Help Desk answers general technical questions related to the use of the Research.

gov system. Specific questions related to this program solicitation should be referred to the NSF program staff contact(s) listed in Section VIII of this funding opportunity. For Proposals Submitted Via Grants.

gov: Before using Grants. gov for the first time, each organization must register to create an institutional profile. Once registered, the applicant's organization can then apply for any federal grant on the Grants.

gov website. Comprehensive information about using Grants. gov is available on the Grants.

gov Applicant Resources webpage: https://www. grants. gov/web/grants/applicants.

html . In addition, the NSF Grants. gov Application Guide (see link in Section V.

A) provides instructions regarding the technical preparation of proposals via Grants. gov. For Grants. gov user support, contact the Grants.

gov Contact Center at 1-800-518-4726 or by email: support@grants. gov . The Grants.

gov Contact Center answers general technical questions related to the use of Grants. gov. Specific questions related to this program solicitation should be referred to the NSF program staff contact(s) listed in Section VIII of this solicitation. Submitting the Proposal: Once all documents have been completed, the Authorized Organizational Representative (AOR) must submit the application to Grants.

gov and verify the desired funding opportunity and agency to which the application is submitted. The AOR must then sign and submit the application to Grants. gov. The completed application will be transferred to the NSF FastLane system for further processing.

Proposers that submitted via Research. gov may use Research. gov to verify the status of their submission to NSF.

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

gov should be used to check the status of an application. VI. NSF Proposal Processing And Review Procedures Proposals received by NSF are assigned to the appropriate NSF program for acknowledgement and, if they meet NSF requirements, for review.

All proposals are carefully reviewed by a scientist, engineer, or educator serving as an NSF Program Officer, and usually by three to ten other persons outside NSF either as ad hoc reviewers, panelists, or both, who are experts in the particular fields represented by the proposal. These reviewers are selected by Program Officers charged with oversight of the review process.

Proposers are invited to suggest names of persons they believe are especially well qualified to review the proposal and/or persons they would prefer not review the proposal. These suggestions may serve as one source in the reviewer selection process at the Program Officer's discretion. Submission of such names, however, is optional.

Care is taken to ensure that reviewers have no conflicts of interest with the proposal. In addition, Program Officers may obtain comments from site visits before recommending final action on proposals. Senior NSF staff further review recommendations for awards.

A flowchart that depicts the entire NSF proposal and award process (and associated timeline) is included in PAPPG Exhibit III-1. A comprehensive description of the Foundation's merit review process is available on the NSF website at: https://www. nsf.

gov/bfa/dias/policy/merit_review/ . One of the strategic objectives in support of NSF's mission is to foster integration of research and education through the programs, projects, and activities it supports at academic and research institutions. These institutions must recruit, train, and prepare a diverse STEM workforce to advance the frontiers of science and participate in the U.S. technology-based economy.

NSF's contribution to the national innovation ecosystem is to provide cutting-edge research under the guidance of the Nation's most creative scientists and engineers. NSF also supports development of a strong science, technology, engineering, and mathematics (STEM) workforce by investing in building the knowledge that informs improvements in STEM teaching and learning.

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

Merit Review Principles and Criteria The National Science Foundation strives to invest in a robust and diverse portfolio of projects that creates new knowledge and enables breakthroughs in understanding across all areas of science and engineering research and education.

To identify which projects to support, NSF relies on a merit review process that incorporates consideration of both the technical aspects of a proposed project and its potential to contribute more broadly to advancing NSF's mission "to promote the progress of science; to advance the national health, prosperity, and welfare; to secure the national defense; and for other purposes."

NSF makes every effort to conduct a fair, competitive, transparent merit review process for the selection of projects. 1. Merit Review Principles These principles are to be given due diligence by PIs and organizations when preparing proposals and managing projects, by reviewers when reading and evaluating proposals, and by NSF program staff when determining whether or not to recommend proposals for funding and while overseeing awards.

Given that NSF is the primary federal agency charged with nurturing and supporting excellence in basic research and education, the following three principles apply: All NSF projects should be of the highest quality and have the potential to advance, if not transform, the frontiers of knowledge. NSF projects, in the aggregate, should contribute more broadly to achieving societal goals.

These "Broader Impacts" may be accomplished through the research itself, through activities that are directly related to specific research projects, or through activities that are supported by, but are complementary to, the project. The project activities may be based on previously established and/or innovative methods and approaches, but in either case must be well justified.

Meaningful assessment and evaluation of NSF funded projects should be based on appropriate metrics, keeping in mind the likely correlation between the effect of broader impacts and the resources provided to implement projects. If the size of the activity is limited, evaluation of that activity in isolation is not likely to be meaningful.

Thus, assessing the effectiveness of these activities may best be done at a higher, more aggregated, level than the individual project. With respect to the third principle, even if assessment of Broader Impacts outcomes for particular projects is done at an aggregated level, PIs are expected to be accountable for carrying out the activities described in the funded project.

Thus, individual projects should include clearly stated goals, specific descriptions of the activities that the PI intends to do, and a plan in place to document the outputs of those activities. These three merit review principles provide the basis for the merit review criteria, as well as a context within which the users of the criteria can better understand their intent.

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

Both criteria are to be given full consideration during the review and decision-making processes; each criterion is necessary but neither, by itself, is sufficient. Therefore, proposers must fully address both criteria. (PAPPG Chapter II.

C. 2. d(i).

contains additional information for use by proposers in development of the Project Description section of the proposal). Reviewers are strongly encouraged to review the criteria, including PAPPG Chapter II. C.

2. d(i), prior to the review of a proposal. When evaluating NSF proposals, reviewers will be asked to consider what the proposers want to do, why they want to do it, how they plan to do it, how they will know if they succeed, and what benefits could accrue if the project is successful.

These issues apply both to the technical aspects of the proposal and the way in which the project may make broader contributions.

To that end, reviewers will be asked to evaluate all proposals against two criteria: Intellectual Merit: The Intellectual Merit criterion encompasses the potential to advance knowledge; and Broader Impacts: The Broader Impacts criterion encompasses the potential to benefit society and contribute to the achievement of specific, desired societal outcomes.

The following elements should be considered in the review for both criteria: What is the potential for the proposed activity to Advance knowledge and understanding within its own field or across different fields (Intellectual Merit); and Benefit society or advance desired societal outcomes (Broader Impacts)? To what extent do the proposed activities suggest and explore creative, original, or potentially transformative concepts?

Is the plan for carrying out the proposed activities well-reasoned, well-organized, and based on a sound rationale? Does the plan incorporate a mechanism to assess success? How well qualified is the individual, team, or organization to conduct the proposed activities?

Are there adequate resources available to the PI (either at the home organization or through collaborations) to carry out the proposed activities? Broader impacts may be accomplished through the research itself, through the activities that are directly related to specific research