NSF 20-558: PFE: Research Initiation in Engineering Formation (PFE: RIEF)

Program Solicitation NSF 20-558

U.S. National Science Foundation Directorate for Engineering

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

     November 10, 2020

     Second Tuesday in November, Annually Thereafter

     December 03, 2025

Extension due to period of lapsed appropriations

Important Information and Revision Notes

Language was added to clarify the intended audience of prospective PIs for this solicitation. Expectations about the mentoring component of this program were clarified.

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

General Information

Program Title:

PFE: Research Initiation in Engineering Formation (PFE: RIEF)

Synopsis of Program:

The PFE: Research Initiation in Engineering Formation (PFE: RIEF) program has two goals: 1) Support research in the Professional Formation of Engineers (PFE), and 2) Increase the community of researchers conducting PFE research. PIs are expected to have little or no experience conducting social science or education research. PFE: RIEF is not intended for established researchers in engineering education or other social science fields to initiate new projects. Those researchers should consider the Research in the Formation of Engineers program (https://www.nsf.gov/funding/opportunities/rfe-research-formation-engineers).

The NSF Engineering (ENG) Directorate has launched a multi-year initiative, the Professional Formation of Engineers, to create and support an innovative and inclusive engineering profession for the 21st Century. Professional Formation of Engineers (PFE) refers to the formal and informal education and value systems by which people become engineers. It also includes the ethical responsibility of practicing engineers to sustain and grow the profession. The engineering profession must be responsive to national priorities, grand challenges, and dynamic workforce needs; it must be equally open and accessible to all Americans.

Engineering faculty possess both deep technical expertise in their engineering discipline and the primary responsibility for the process of professional formation of future engineers. As such, engineering faculty are in a unique position to help address critical challenges in engineering formation. The Professional Formation of Engineers: Research Initiation in Engineering Formation (PFE: RIEF) program enables engineering faculty who are renowned for teaching, mentoring, or leading educational reform efforts on their campus to develop expertise in conducting engineering education research.

NSF Priorities

NSF welcomes submissions from all researchers, particularly those earlier in their careers and those working in research areas aligned with agency and administration priorities. NSF also expects the highest standards of scientific rigor, integrity, and adherence to tenets of Gold Standard Science in proposals, as appropriate for the field of science and research modality.

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.

• Alice L. Pawley, email: eer-programs@nsf.gov
• Matthew A. Verleger, email: eer-programs@nsf.gov

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

• 47.041 - Engineering

Award Information

Anticipated Type of Award: Standard Grant or Continuing Grant

Estimated Number of Awards: 15

Anticipated Funding Amount: $3,000,000

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

Proposal Preparation and Submission Instructions

A. Proposal Preparation Instructions

• Letters of Intent: Not required

• Preliminary Proposal Submission: Not required

• Full Proposals:

  • For proposals submitted via Research.gov, PAPPG guidelines apply.
  • For proposals submitted via Grants.gov, NSF Grants.gov Application Guide guidelines apply.

B. Budgetary Information

• Cost Sharing Requirements:

  Inclusion of voluntary committed cost sharing is prohibited.

• Indirect Cost (F&A) Limitations:

  Not Applicable

• Other Budgetary Limitations:

  Other budgetary limitations apply. Please see the full text of this solicitation for further information.

C. Due Dates

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

       November 10, 2020

       Second Tuesday in November, Annually Thereafter

       December 03, 2025

  Extension due to period of lapsed appropriations

Proposal Review Information Criteria

Merit Review 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

Award Conditions:

Standard NSF award conditions apply.

Reporting Requirements:

Standard NSF reporting requirements apply.

I. Introduction

Engineering faculty have deep understanding of their technical fields and the primary responsibility for educating future engineers. Engineering faculty have used novel classroom techniques or developed programs to enhance the education of their students, develop interest in engineering at the K-12 level, and inform the public. Many of these faculty are interested in gathering evidence for the effectiveness of these practices or understanding the factors that affect their students' learning. The Professional Formation of Engineers: Research Initiation in Engineering Formation (PFE: RIEF) program is designed to provide these faculty with the opportunity to conduct this research while at the same time being mentored on social science research approaches. The intent is that by completing a PFE: RIEF project, engineering faculty will be prepared to take a stronger leadership role in research on the professional formation of engineers, thus expanding the community of engineering education researchers. An award under PFE: RIEF is one possible pathway toward securing research funding from the RFE program.

The Professional Formation of Engineers: Research Initiation in Engineering Formation (PFE: RIEF) solicitation is a funding opportunity in the Engineering Directorate's (ENG) multi-year initiative, the Professional Formation of Engineers, established to create and support an innovative and inclusive engineering profession for the 21st Century.

Professional Formation of Engineers (PFE) refers to the formal and informal processes and value systems through which people become engineers. It also includes the ethical responsibility of practicing engineers to sustain and grow the profession in order to improve quality of life for all peoples. Processes of formation are holistic, carefully attending to how knowledge and identity interrelate in the larger context of one's career and life.

Professional Formation includes, but is not limited, to:

• Introductions to the profession at any age;
• Acquisition of deep technical and professional skills, knowledge, and abilities in both formal and informal settings/domains;
• Development of outlooks, perspectives, ways of thinking, knowing, and doing;
• Development of professional identity as an engineer and its intersection with other role identities; and
• Acculturation to the profession, its standards, and norms.

Research is welcome that considers the construction of engineering knowledge, engineering identity, and the engineering profession, as well as interventions that expand the boundaries of each of these.

Professional formation occurs within a complex system that includes formal classrooms; informal settings such as maker spaces (hands-on, do-it-yourself environments where community members gather to create, invent, and learn); co-curricular activities; industry experiences (including co-ops and internships); community-based learning experiences; as well as early career (co-op or internship) work, research experiences, mentor/mentee, and sponsor/sponsoree relationships, etc. To facilitate such activities, engineers must understand and navigate this complex system for successful professional formation and practice. They must oversee and participate in developing and maintaining this system, with smooth and clear pathways to and through the profession. Pathways may include, but are not limited to, formal and informal education, apprenticeship, credentialing, and licensure.

Engineering formation activities serve societal needs by supporting an innovative and inclusive engineering profession for the 21st Century. Challenges facing the engineering profession require new ideas about how to reshape processes of professional formation in multiple areas, such as:

1. Advancing holistic engineering formation. The US labor market requires a sufficient number of talented and well educated US engineers with outlooks, perspectives, and ways of thinking, knowing, and doing appropriate for professional practice across economic sectors. These include not only technical competence but also twenty-first century skills, "T-shaped" skills, critical thinking, creativity, entrepreneurship, and mindsets supporting sustainability. These competencies relate to several ABET-identified learning outcomes, including abilities to analyze social context in both historical and contemporary settings; to communicate effectively in listening, speaking, writing, and visual representation; to engage effectively in teams; to reflect and act ethically; to engage in lifelong learning; and to design in context. Creating greater opportunities and preparation for engineers to engage interdisciplinary endeavors, especially in relation to complex systems (e.g., electric power grid; food-water-energy systems; telecommunications systems; machine learning and robotics; healthcare system; etc.) will enable the future workforce to adapt to changes in national priorities and emergent technologies.
2. Expanding pathways to and through engineering. Research projects that align with this theme explore how engineering programs can create pathways for students with a broad range of backgrounds, interests, and experiences; investigate how informal or real world experiences germane to engineering -- such as military service or being a "maker" -- serve as pathways to engineering; identify and implement engineering norms of knowing, thinking, and doing that increase opportunities for engineers from all groups; develop engineering identities and processes of acculturation to the profession that are compatible with Americans of all backgrounds; or investigate how to fundamentally restructure courses, curricula, or programs to substantially boost success of all students. Research on approaches that lower barriers for students to transfer into or between engineering programs, from other majors or community colleges for example, is also sought.
3. Exploring citizen engineering, credentialing and expertise. Research in this area explores how to build capacity within communities and the general public to make well-informed decisions about engineering priorities; develop processes for engineers and the public to collaboratively define, ideate, and implement creative solutions related to major challenges in society; explores the relationships among credentialing, expertise, and formation of engineers, developing new methods to assess, credential, and accredit engineering formation; characterizes how credentials are valued and interpreted in different settings; considers alternatives for obtaining professional credentials or expertise at manageable cost and time invested.
4. Developing engineering-specific theories of how engineers are formed. Theories on development of engineering epistemologies and identities, and methodologies to characterize different aspects of professional formation processes at the level of individuals, groups, institutions, and in society at large.
5. Understanding how change in engineering formation processes travels, translates, transfers, diffuses, and/or scales. This topic includes studies on how to improve the translation of engineering formation research to practice or scale innovations to have systemic impact. This topic also supports activities that inform engineering formation efforts and investments or spawn new research.

These, and many other challenges in the professional formation of engineers, require expertise in both engineering and the social sciences to understand the issues and develop solutions. The PFE: RIEF program specifically targets those individuals who are passionate educators and/or have technical disciplinary research programs, allowing them to build from this base to develop wider innovations in the professional formation of engineers grounded in engineering education research.

II. Program Description

A wide range of research topics related to the Professional Formation of Engineers can be addressed in PFE: RIEF proposals; the emphasis of PFE: RIEF is on initiating research projects in professional formation of engineers rather than supporting research on any specific topic. PFE: RIEF projects should combine engineering approaches with those from learning and cognitive sciences, engineering education, social sciences, and related fields in synergistic ways and enable engineering faculty to develop expertise in engineering education research.

PFE: RIEF awards are intended to expand the community of engineering faculty conducting research related to professional formation of engineers. Possible outcomes commensurate with the goals of this program are:

• Support engineering faculty in developing expertise in professional formation of engineers.
• Increase the number of faculty and universities who will initiate projects and programs in research on professional formation of engineers.

The intent of the PFE: RIEF program is to expand the community of engineering faculty conducting research related to engineering formation rather than to create an additional funding channel for researchers with social science expertise.

III. Award Information

Anticipated Type of Award: Continuing Grant or Standard Grant

Estimated Number of Awards: 15

Anticipated Funding Amount: $3,000,000

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:

Who May Serve as PI:

The PFE: RIEF program is designed to expand the community of engineering faculty equipped to conduct research in professional formation of engineers. At least one (co) PI must be a member of an engineering department AND not have received engineering education or professional formation funding through EEC in the last three years.

Submissions from faculty with active disciplinary research programs, or faculty seeking a shift in their research focus, are especially encouraged. The program is not intended to create an additional funding channel for researchers with expertise in social science or education research; such researchers should apply to the Research in the Formation of Engineers program (https://www.nsf.gov/funding/opportunities/rfe-research-formation-engineers), or other related NSF opportunities.

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.

Additional Eligibility Info:

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.

You must prepare your proposal according to Chapter II.D.2 of the PAPPG, unless this solicitation specifies different instructions. Always use the version of the PAPPG in effect on your proposal's due date.

• For proposals submitted via Research.gov, PAPPG guidelines apply.
• For proposals submitted via Grants.gov, NSF Grants.gov Application Guide guidelines apply.

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.

Guidelines for PFE: RIEF Proposal Preparation

The focus of the PFE: RIEF program is enabling engineering faculty who are passionate about teaching, mentoring, or leading educational reform efforts on their campus to initiate collaborative partnerships in engineering education research related to the professional formation of engineers. Please follow the instructions given in the PAPPG in preparing your proposal. Given the focus of the PFE: RIEF program on faculty development and cross-disciplinary collaboration, PFE: RIEF proposals also need to include the following information in the Project Description:

• Problem Definition: PFE: RIEF projects should be motivated by, and clearly state, a perceived problem in engineering formation which requires insights, expertise, and/or theory from engineering and social science or humanities disciplines. The proposal should pose research questions that will be formally investigated during the project and which are informed by and address gaps in the literature. The research questions and research design should also be informed by an appropriate theoretical framework, and can be developed with consultation from the engineering education research mentor.
• Research Design: Explain in detail how you will answer your research questions. Elements of the research design should include sampling, data collection, and data analysis methods.
• Evaluation: Evaluation refers to monitoring of the research process to ensure that the project stays on track. The evaluation plan should include both formative and summative evaluation. An evaluator external to the PI's organization is not required, but the evaluator should not be an individual who is involved in the research activities. Potential evaluators include faculty with evaluation expertise at the PI's institution, an institutional evaluation office, or an advisory board of experts.
• PI Mentoring Plan: Since the intent of the PFE: RIEF program is to expand the community of researchers in the professional formation of engineers, there should be a mentoring plan by which the engineering faculty PI will learn how to conduct engineering education or social science research. Mentor(s) should provide feedback to the engineering faculty PI, guiding that PI in both knowledge acquisition and conducting the research for the project. Details of the mentoring plan should be explicitly described in the proposal, including: communication frequency and modality, topical areas for mentorship (specific research methods or other components relevant to the research), and a plan to monitor the health and effectiveness of the mentorship relationship.
• PI Motivation and Future Plans: Provide background on the PI's relevant expertise and/or experience facilitating engineering formation processes. Describe any current and ongoing efforts to improve the professional formation of engineers that are being undertaken by the PI, particularly those related to mentoring, introducing future engineers to professional skills and engineering practice, instilling values and professional ethics, or acculturating future engineers to the profession. Describe how this project will connect the PI's prior experiences to future PFE research. Activities to be undertaken during the project--such as acquisition of preliminary data, professional development, or exploratory research--should lead to formulation of ongoing research projects. Future projects should lead to competitive grant applications to NSF at the conclusion of the PFE: RIEF award. Describe how the planned activities will lay the groundwork for, or be incorporated into, future research in areas including professional formation and other areas of interest to NSF. A specific goal of the PFE: RIEF program is to increase the range of faculty who submit to EEC programs in the future.

The title of PFE: RIEF proposals should begin with "Research Initiation:".

Please be aware that engineering education research projects involving human subjects must receive approval from the proposer's Institutional Review Board (IRB) before funds will be awarded.

Also note that EEC sponsors grantee meetings at which PIs are encouraged to present results from their projects.

B. Budgetary Information

Cost Sharing:

Inclusion of voluntary committed cost sharing is prohibited.

Other Budgetary Limitations:

Maximum award amount is $200,000. Maximum award duration is 24 months.

C. Research.gov/Grants.gov Requirements

You can submit proposals in response to this solicitation through Research.gov or Grants.gov, unless otherwise noted.

Information on how to prepare and submit proposals is available on the Submitting Your Proposal page on NSF.gov.

VI. NSF Proposal Processing and Review Procedures

Information on NSF's proposal processing and review procedures is available on the Overview of the NSF Proposal and Award Process page on NSF.gov.

A. Merit Review Principles and Criteria

All NSF proposals are evaluated through use of the two National Science Board-approved merit review criteria:

• Intellectual Merit, which encompasses the potential to advance knowledge.
• Broader Impacts, which encompass the potential to benefit society and contribute to the achievement of specific, desired societal outcomes.

Information on NSF's merit review principles and process can be found on the How We Make Funding Decisions page on NSF.gov.

Additional Solicitation Specific Review Criteria

• Extent to which the project will expand the community of engineering education researchers: Reviewers will consider the prior experience of the engineering faculty PI. It is expected that the PI will have little or no experience conducting education or social science research. Development of new curricula or education programs does not count as social science research experience, although extensive work evaluating such programs does.
• Merit of the mentoring plan: Reviewers will consider the extent to which the mentoring plan is clear, well thought out, and practical for developing the research capabilities of the PI, the qualifications of the mentor(s) at providing the necessary mentoring, and the extent to which the mentoring plan will provide the PI with the skills and abilities needed to conduct independent research in engineering education.

B. Review and Selection Process

Proposals submitted in response to this program solicitation will be reviewed by Ad hoc Review and/or Panel Review.

After a proposal passes an initial compliance check, it will be reviewed by an NSF Program Officer. In most cases, two or more experts will also review it (either as ad hoc reviewers, panelists or both).

Visit the Overview of the NSF Proposal and Award Process page for more information on the proposal review and selection process.

In alignment with Executive Order 14332 (Improving Oversight of Federal Grantmaking), all else being equal after merit review, NSF may give preference to institutions with lower indirect cost rates.

VII. Award Administration Information

A. Notification of the Award

Notification of an award is made to the submitting organization by an NSF Grants and Agreements Officer.

B. Award Conditions

Information on NSF award conditions can be found on the Award Terms and Conditions page on NSF.gov and Chapter VII of the PAPPG.

Administrative and National Policy Requirements:

Information on administrative and national policy requirements can be found on the National Policy Requirements for Recipients of NSF Awards page on NSF.gov.

Consistent with the requirements specified in 2 CFR § 200.332, recipients of NSF awards must adhere to the requirements for pass-through entities in establishing and managing subawards issued ensuring alignment with Administration and NSF policies and priorities.

In alignment with Executive Order 14332 (Improving Oversight of Federal Grantmaking), proposers should be aware that NSF awards offered under this funding opportunity may include termination for convenience provisions.

C. Reporting Requirements

Unless your award notice says otherwise, NSF requires the principal investigator of every grant to submit annual project reports and a project outcomes report for the general public. For complete reporting requirements, see Chapter VII of the PAPPG.

VIII. Agency Contacts

For questions related to the use of NSF systems contact:

• Research.gov: NSF IT Service Desk at rgov@nsf.gov or 1-800-381-1532. The Service Desk is open from 7 a.m. to 9 p.m. Eastern time, Monday through Friday (except for federal holidays).

For questions relating to Grants.gov contact:

• Grants.gov: The Grants.gov Contact Center at support@grants.gov or 1-800-518-4726. (Contact if the Authorized Organizational Representative (AOR) has not received a confirmation message from Grants.gov within 48 hours of submitting an application.)

IX. Other Information

For information on NSF directorates, programs and funding opportunities, go to NSF.gov.

About the National Science Foundation

The U.S. National Science Foundation is an independent federal agency created by the "National Science Foundation Act of 1950." More information about NSF can be found on NSF.gov.

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