How Long After External Peer Review Begins to Results Nsf

NSF 14-ane February 2014

Affiliate Iii - NSF Proposal Processing and Review

Proposals received by NSF are assigned to the appropriate NSF program and, if they meet NSF requirements, for review. All proposals are carefully reviewed by a scientist, engineer, or educator serving as an NSF Plan Officer, and ordinarily past 3 to 10 other persons outside NSF either equally ad hoc reviewers, panelists, or both, who are experts in the detail fields represented by the proposal. Proposers are invited to propose 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 equally one source in the reviewer choice process at the Program Officer'south discretion. In addition, Plan Officers may obtain comments from site visits earlier recommending final action on proposals. Senior NSF staff further review recommendations for awards. A flowchart that depicts the entire NSF proposal and honour procedure (and associated timeline) is included as GPG Showroom III-1.

A comprehensive clarification of the Foundation'due south merit review process is bachelor on the NSF website at: https://www.nsf.gov/bfa/dias/policy/merit_review/.

Proposal review is one step in the NSF program planning and implementation procedure. Embedded in this procedure are cadre strategies that are fundamental to the fulfillment of NSF's mission. More data about NSF's mission and strategies can be found in Empowering the Nation Through Discovery and Innovation: NSF Strategic Program for Fiscal Years (FY) 2011-2016. NSF's mission is particularly well-implemented through the integration of research and education and broadening participation in NSF programs, projects, and activities.

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 scientific discipline and technology enquiry and education. To identify which projects to support, NSF relies on a merit review procedure that incorporates consideration of both the technical aspects of a proposed project and its potential to contribute more than 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 comport 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 bones inquiry 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 than broadly to achieving societal goals. These broader impacts may be achieved 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 projection. 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 action is express, 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, fifty-fifty if assessment of Broader Impacts outcomes for particular projects is done at an aggregated level, PIs are expected to exist accountable for carrying out the activities described in the funded projection. Thus, individual projects should include conspicuously stated goals, specific descriptions of the activities that the PI intends to practice, and a program in identify 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 tin can better empathize their intent.

two. Merit Review Criteria

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

The 2 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 just neither, by itself, is sufficient. Therefore, proposers must fully address both criteria. (GPG Affiliate 2.C.ii.d.(i) contains boosted information for utilize by proposers in development of the Projection Clarification section of the proposal.) Reviewers are strongly encouraged to review the criteria, including GPG Affiliate II.C.two.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 program to exercise it, how they will know if they succeed, and what benefits could accumulate if the project is successful. These issues apply both to the technical aspects of the proposal and the way in which the projection may make broader contributions. To that end, reviewers will exist asked to evaluate all proposals against two criteria:

• Intellectual Merit: The Intellectual Merit criterion encompasses the potential to advance cognition; and


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

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

1. What is the potential for the proposed activity to:

a. Accelerate cognition and agreement within its ain field or across different fields (Intellectual Merit); and

b. Benefit society or advance desired societal outcomes (Broader Impacts)?

ii. To what extent do the proposed activities suggest and explore creative, original, or potentially transformative concepts?

3. Is the plan for conveying out the proposed activities well-reasoned, well-organized, and based on a sound rationale? Does the program contain a mechanism to assess success?

4. How well qualified is the individual, team, or organization to carry the proposed activities?

v. Are in that location adequate resources available to the PI (either at the dwelling house organization or through collaborations) to comport out the proposed activities?

B. Selection of Reviewers

The NSF guidelines for the selection of reviewers are designed to ensure selection of experts who can requite program officers the proper information needed to make a recommendation in accordance with the NSB approved criteria for selection of projects. Optimally, reviewers should take:

1. Special knowledge of the science and engineering subfields involved in the proposals to be reviewed to evaluate competence, intellectual merit, and utility of the proposed activity. Inside reasonable limits, reviewers' fields of specialty should be complementary inside a reviewer group.


2. Broader or more generalized noesis of the science and engineering subfields involved in the proposals to be reviewed to evaluate the broader impacts of the proposed action. Reviewers with broad expertise are required for proposals involving substantial size or complexity, broad disciplinary or multidisciplinary content, or meaning national or international implications.


3. Broad knowledge of the infrastructure of the scientific discipline and applied science enterprise, and its educational activities, to evaluate contributions to societal goals, scientific and engineering personnel, and distribution of resources to organizations and geographical areas.


4. To the extent possible, diverse representation within the review group. The goal is to attain a residue amidst various characteristics. Important factors to consider include: type of organization represented, reviewer diversity, historic period distribution and geographic balance.

C. Proposal File Updates

It is the responsibility of the proposing organization to thoroughly review each proposal prior to submission. On occasion, however, a problem is identified with a portion of the proposal after the proposal has been submitted electronically to NSF.

The FastLane Proposal File Update Module allows the system to request the replacement of files or revision of other Proposal Attributes, associated with a previously submitted proposal. (Note: The FastLane Proposal File Update module may not exist used for submission of revised budgets. All monetary revisions must be submitted through utilize of the FastLane Revised Proposal Upkeep Module. Encounter Paragraph D. below for further information.) A asking for a proposal file update must be submitted by an private who is authorized to submit proposals on behalf of the organization, and electronically signed by the Authorized Organizational Representative (AOR). An update request must contain a justification that addresses:

1. why the changes or file replacements are being requested; and


2. whatever differences between the original and proposed replacement files.

A request for a proposal file update automatically will be accustomed if submitted prior to:

• the deadline date;


• initiation of external peer review in cases when a target date is utilized;⁴² and


• initiation of external peer review in the case of an unsolicited proposal.

A asking for a proposal file update afterwards the timeframes specified to a higher place will require acceptance by the cognizant NSF Programme Officer. Such requests may be submitted only to correct a technical problem with the proposal (i.e., formatting or impress problems). Changes in the content of the proposal should not exist requested after the timeframes specified above. When a request is accustomed, the proposed files or revisions to proposal attributes will immediately supplant the existing files and become role of the official proposal.

PIs can access the Proposal File Update Module via the "Proposal Functions" section of FastLane. Authorized individuals in the organization'due south Sponsored Projects Office (or equivalent) can initiate or review requests for proposal file updates using the "Submit Proposals/Supplements/File Updates/Withdrawals" Module via the FastLane "Research Assistants Functions.⁴³

NSF will consider but one request for a proposal file update per proposal at a time. It is anticipated that it will be a rare occurrence for more than one file update request to be submitted for a proposal.

D. Revisions to Proposals Made During the Review Process

In the event of a pregnant development (eastward.g., research findings, changed circumstances, unavailability of PI or other senior personnel, etc.) that might materially affect the upshot of the review of a pending proposal, the proposer must contact the cognizant Program Officer to discuss the issue. Submitting boosted data must not be used as a means of circumventing folio limitations or stated deadlines.

Earlier recommending whether or not NSF should support a particular project, the NSF Programme Officer may, subject to certain constraints outlined below, engage in discussions with the proposing PIs.

Negotiating budgets generally involves discussing a lower or college amount of total support for the proposed project. The NSF Plan Officer may propose reducing or eliminating costs for specific upkeep items that are clearly unnecessary or unreasonable for the activities to be undertaken, especially when the review process supports such changes; withal, this would generally not include faculty salaries, bacon rates, fringe benefits, or tuition. Note: indirect price rates are non subject area to negotiation. The NSF Program Officer may discuss with PIs the "bottom line" award amount, i.eastward., the total NSF funding that will be recommended for a project. NSF Program Officers may not renegotiate cost sharing or other organizational commitments.

When such discussions result in a upkeep reduction of 10% or more from the amount originally proposed, a corresponding reduction should be made in the scope of the projection. Proposers must use the FastLane Revised Proposal Budget Module to submit this data.⁴⁴ A revised proposal upkeep likewise must include a Budget Impact Argument that describes the impact of the upkeep reduction on the telescopic of the project.

Revised proposal budgets must be electronically signed past the AOR.

E. Honor Recommendation

Later scientific, technical and programmatic review and consideration of advisable factors, the NSF Plan Officer recommends to the cognizant Segmentation Director whether the proposal should exist declined or recommended for award. Commonly, last programmatic approval is at the sectionalisation/role level. Considering of the large volume of proposals, this review and consideration procedure may take up to half dozen months. Big or specially complex proposals may crave boosted review and processing time. If the program recommendation is for an honor and terminal division/office or other programmatic approving is obtained, and then the recommendation goes to the Division of Grants and Agreements for review of business, financial and policy implications and the processing and issuance of a grant or cooperative agreement. The Segmentation of Grants and Agreements generally makes awards to academic institutions within 30 days afterwards the programme partitioning/role makes its recommendation. Grants being fabricated to organizations that have not received an NSF award within the preceding five years, or involving special situations (such as coordination with another Federal agency or a private funding source), cooperative agreements, and other unusual arrangements may require additional review and processing time.

Proposers are cautioned that only an appointed NSF Grants and Agreements Officer may make commitments, obligations or awards on behalf of NSF or authorize the expenditure of funds. No commitment on the function of NSF or the Government should be inferred from technical or budgetary discussions with an NSF Programme Officeholder. A PI or system that makes financial or personnel commitments in the absence of a grant or cooperative agreement signed past the NSF Grants and Agreements Officer does then at its own risk.

F. Review Information Provided to PI

When a decision has been made (whether an award or a declination), the following information is released electronically to the PI through FastLane:

• clarification of the context in which the proposal was reviewed;
• copies of all reviews used in the decision (with any reviewer-identifying information redacted);
• re-create of panel summary, if the proposal was reviewed by a panel at any point in the process;
• site-visit reports, if applicable.

In addition, if not otherwise provided in the console summary, the PI is provided an explanation (written or telephoned) of the ground for the declination. A PI besides may request and obtain whatever other releasable material in NSF's file on his/her proposal. Everything in the file, except information that identifies either reviewers or other awaiting or declined proposals is usually releasable to the PI.

Reviews are fabricated available direct to the PI, to provide feedback for the purpose of improving proposed inquiry and enquiry methods, and to assist in preparation of future proposals. They are not intended for any other purpose.

G. Release of Grantee Proposal Information

A proposal that results in an NSF award will be available to the public on request, except for privileged information or fabric that is personal, proprietary or otherwise exempt from disclosure under police. Appropriate labeling in the proposal aids identification of what may be specifically exempt. (See GPG Chapter I.D.3) Such information volition be withheld from public disclosure to the extent permitted by law, including the Freedom of Information Human activity. Without assuming any liability for inadvertent disclosure, NSF will seek to limit disclosure of such information to its employees and to outside reviewers when necessary for merit review of the proposal, or as otherwise authorized past law.

Portions of proposals resulting in grants that incorporate descriptions of inventions in which either the Government or the grantee owns a correct, title, or interest (including a non-sectional license) will non normally exist made bachelor to the public until a reasonable fourth dimension has been immune for filing patent applications. NSF will notify the grantee of receipt of requests for copies of funded proposals so the grantee may advise NSF of such inventions described, or other confidential, commercial or proprietary data contained in the proposal.

⁴¹ Examples illustrating activities probable to demonstrate broader impacts are available electronically on the NSF website at https://www.nsf.gov/pubs/gpg/broaderimpacts.pdf. Back to Text
⁴² The condition of a proposal may exist institute via the "Proposal Functions" section of FastLane. Dorsum to Text
⁴³ Detailed instructions on submitting proposer-initiated proposal file updates are bachelor on the FastLane website at https://www.fastlane.nsf.gov/documents/pfu/pfu.jsp. Back to Text
⁴⁴ Annotation: All preaward monetary revisions must be submitted through use of the Revised Budget Module in Fastlane. Back to Text

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Source: https://www.nsf.gov/pubs/policydocs/pappguide/nsf14001/gpg_3.jsp

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