Proposal and Award Policies and Procedures Guide

PROPOSAL & AWARD POLICIES & PROCEDURES GUIDE (PAPPG)
Table of Contents
Introduction:
A.
B.
C.
D.
E.
F.

About the National Science Foundation
Foreword
Acronym List
Definitions & NSF-Grantee Relationships
NSF Organizations
NSF Electronic Capabilities Modernization Status

Part I:

Proposal Preparation and Submission Guidelines

Chapter I:

Pre-Submission Information ............................................................................... I-1

A.
B.
C.

D.

E.

F.

G.

H.

NSF Proposal Preparation and Submission ...................................................................................... I-1
NSF Programs and Funding Opportunities ........................................................................................ I-1
Categories of Funding Opportunities ................................................................................................. I-2
1.
Dear Colleague Letters ......................................................................................................... I-2
2.
Program Descriptions ............................................................................................................ I-2
3.
Program Announcements ..................................................................................................... I-2
4.
Program Solicitations ............................................................................................................ I-2
Types of Submissions ........................................................................................................................ I-3
1.
Letters of Intent ..................................................................................................................... I-3
2.
Preliminary Proposals ........................................................................................................... I-3
a.
Invite/Not Invite Decisions ........................................................................................ I-3
b.
Encourage/Discourage Decisions ............................................................................ I-3
3.
Full Proposals ........................................................................................................................ I-4
Who May Submit Proposals ............................................................................................................... I-5
Categories of Proposers
......................................................................... I-5
1.
Universities and Colleges ...................................................................................................... I-5
2.
Non-profit, non-academic organizations ............................................................................... I-5
3.
For-profit organizations ......................................................................................................... I-5
4.
State and Local Governments ............................................................................................... I-5
5.
Unaffiliated Individuals .......................................................................................................... I-5
6.
International organizations .................................................................................................... I-5
7.
Other Federal agencies ......................................................................................................... I-6
When to Submit Proposals ................................................................................................................. I-6
1.
Target Dates .......................................................................................................................... I-6
2.
Deadline Dates ...................................................................................................................... I-6
Special Exceptions to NSF’s Deadline Date Policy ........................................................................... I-6
Natural or Anthropogenic Disasters ................................................................................................... I-6
Closure of NSF
.................................................................................................................... I-7
3.
Submission Windows ............................................................................................................ I-7
How to Submit Proposals ................................................................................................................... I-7
1.
Electronic Requirements ....................................................................................................... I-7
2.
Submission Instructions ........................................................................................................ I-7
3.
Requirements Relating to Data Universal Numbering System (DUNS)
Numbers and Registration in the System for Award Management (SAM) ............................ I-7
4.
NSF ID .................................................................................................................................. I-8
5.
Proposal Receipt ................................................................................................................... I-8
Proposal Processing .......................................................................................................................... I-8

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Chapter II:
A.
B.

C.

Proposal Preparation Instructions ..................................................................... II-1

Conformance with Instructions for Proposal Preparation................................................................... II-1
Format of the Proposal ....................................................................................................................... II-2
1.
Proposal Pagination Instructions ........................................................................................... II-2
2.
Proposal Margin and Spacing Requirements ....................................................................... II-2
3.
Page Formatting .................................................................................................................... II-3
Proposal Contents .............................................................................................................................. II-3
1.
Single-Copy Documents ....................................................................................................... II-3
a.
Authorization to Deviate from NSF Proposal Preparation Requirements ................ II-3
b.
List of Suggested Reviewers or Reviewers Not to Include ...................................... II-3
c.
Proprietary or Privileged Information........................................................................ II-3
d.
Proposal Certifications ............................................................................................. II-3
e.
Collaborators & Other Affiliations Information .......................................................... II-6
2.
Sections of the Proposal ....................................................................................................... II-6
a.
Cover Sheet ............................................................................................................. II-7
b.
Project Summary ...................................................................................................... II-9
c.
Table of Contents ..................................................................................................... II-9
d.
Project Description ................................................................................................... II-9
(i)
Content ....................................................................................................... II-9
(ii)
Page Limitations and Inclusion of Uniform Resource Locators
(URLs) within the Project Description ......................................................... II-10
(iii)
Results from Prior NSF Support.................................................................. II-10
(iv)
Unfunded Collaborations ............................................................................. II-11
(v)
Group Proposals ......................................................................................... II-11
(vi)
Proposals for Renewed Support ................................................................. II-11
e.
References Cited...................................................................................................... II-11
f.
Biographical Sketch(es) ........................................................................................... II-11
(i)
Senior Personnel ......................................................................................... II-11
(a)
Professional Preparation ................................................................ II-12
(b)
Appointments ................................................................................. II-12
(c)
Products ......................................................................................... II-12
(d)
Synergistic Activities ...................................................................... II-12
(ii)
Other Personnel .......................................................................................... II-12
(iii)
Equipment Proposals ................................................................................. II-13
g.
Budget and Budget Justification............................................................................... II-13
(i)
Salaries and Wages .................................................................................... II-13
(a)
Senior Personnel Salaries & Wages Policy ................................... II-13
(b)
Administrative and Clerical Salaries & Wages Policy .................... II-14
(c)
Procedures ..................................................................................... II-14
(d)
Confidential Budgetary Information ................................................ II-14
(ii)
Fringe Benefits ............................................................................................ II-14
(iii)
Equipment ................................................................................................... II-15
(iv)
Travel ....................................................................................................... II-15
(a)
General .......................................................................................... II-15
(b)
Domestic Travel ............................................................................. II-15
(c)
International Travel ........................................................................ II-15
(v)
Participant Support ...................................................................................... II-15
(vi)
Other Direct Costs ....................................................................................... II-16
(a)
Materials and Supplies (including Costs of Computing Devices) .. II-16
(b)
Publication/Documentation/Dissemination..................................... II-16
(c)
Consultant Services (also referred to as Professional
Service Costs) ................................................................................ II-16
(d)
Computer Services ......................................................................... II-17
(e)
Subawards ..................................................................................... II-17
(f)
Other .......................................................................................... II-17
(vii)
Total Direct Costs ........................................................................................ II-17
(viii)
Indirect Costs .............................................................................................. II-17

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(ix)
(x)
(xi)
(xii)

Total Direct and Indirect Costs .................................................................... II-18
Amount of This Request .............................................................................. II-18
Cost Sharing................................................................................................ II-18
Allowable and Unallowable Costs ............................................................... II-19
(a)
Entertainment ................................................................................. II-19
(b)
Meals and Coffee Breaks ............................................................... II-19
(c)
Alcoholic Beverages ....................................................................... II-19
h.
Current and Pending Support .................................................................................. II-19
i.
Facilities, Equipment and Other Resources ............................................................. II-20
j.
Special Information and Supplementary Documentation ......................................... II-20
k.
Appendices ............................................................................................................... II-22
D.
Special Processing Instructions ......................................................................................................... II-23
1.
Proprietary or Privileged Information.....................................................................................
2.
Beginning Investigators (applies to proposals submitted to the Biological
Sciences Directorate only .....................................................................................................
3.
Collaborative Proposals ........................................................................................................
4.
Proposals Involving Vertebrate Animals ............................................................................... II-28
5.
Proposals Involving Human Subjects
6.
Dual Use Research of Concern ........................................................................................... II-34
7.
Projects Requiring High-Performance Computing Resources, Large Amounts of Data
Storage, or Advanced Visualization Resources
E.
Types of Proposals .............................................................................................................................
1.
Rapid Response Research (RAPID) Proposals ................................................................... II-23
2.
EArly-concept Grants for Exploratory Research (EAGER) Proposals .................................. II-23
3.
Research Advanced by Interdisciplinary Research and Engineering (RAISE) .....................
4.
Grant Opportunities for Academic Liaison with Industry (GOALI) ........................................
5.
Ideas Lab ............................................................................................................................... II-24
6.
Facilitation Awards for Scientists and Engineers with Disabilities (FASED) ......................... II-25
7.
Conference Proposals ........................................................................................................... II-31
8.
Equipment Proposals ........................................................................................................... II-27
9.
Travel Proposals ................................................................................................................... II-32
10.
NSF Center Proposals .......................................................................................................... II-33
11.
Research Infrastructure Proposals ........................................................................................ II-33
Exhibit II-1:
Proposal Preparation Checklist
II-35
Exhibit II-2
Potentially Disqualifying Conflicts of Interest ........................................................................ II-38
Exhibit II-3:
Drug-Free Workplace Certification ........................................................................................ II-39
Exhibit II-4
Debarment and Suspension Certification ............................................................................. II-41
Exhibit II-5
Lobbying Certification ............................................................................................................ II-43
Exhibit II-6
Nondiscrimination Certification .............................................................................................. II-44
Exhibit II-7:
Definitions of Categories of Personnel .................................................................................. II-45

Chapter III:

NSF Proposal Processing and Review .............................................................. III-1

A.

Merit Review Principles and Criteria .................................................................................................. III-1
Intellectual Merit ................................................................................................................................. III-2
Broader Impacts ................................................................................................................................. III-2
B.
Selection of Reviewers ....................................................................................................................... III-2
C.
Proposal File Updates ........................................................................................................................ III-3
D.
Revisions to Proposals Made During the Review Process ................................................................ III-4
E.
Funding Recommendation ................................................................................................................. III-4
F.
NSF’s Risk Management Framework and the Decision to Award or Decline Proposals ................... III-4
G.
Review Information Provided to PI ..................................................................................................... III-6
H.
Release of Grantee Proposal Information .......................................................................................... III-7
Exhibit III-1:
NSF Proposal & Award Process & Timeline ......................................................................... III-8

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Chapter IV:
A.
B.
C.
D.
E.

Proposal Withdrawal .......................................................................................................................... IV-1
Proposals Not Accepted or Returned Without Review ...................................................................... IV-2
Declinations ........................................................................................................................................ IV-2
Reconsideration ................................................................................................................................. IV-2
Resubmission ..................................................................................................................................... IV-4

Chapter V:
A.
B.

Non-Award Decisions and Transactions ........................................................... IV-1

Renewal Proposals.............................................................................................. V-1

Traditional Renewal............................................................................................................................ V-1
Accomplishment-Based Renewal ...................................................................................................... V-1

Part II:

Award, Administration and Monitoring of Grants and Cooperative Agreements

Chapter VI:

NSF Awards ............................................................................................................VI-1

A.
B.
C.
D.

E.

Acceptance of Assistance Agreements ................................................................................................. VI-1
Award Instrument .................................................................................................................................. VI-1
NSF Award Conditions .......................................................................................................................... VI-1
NSF Grant Periods ................................................................................................................................ VI-2
1.
Definitions ................................................................................................................................. VI-2
2.
Significance of Grant Period .................................................................................................... VI-2
3.
Changes in a Grant Period ....................................................................................................... VI-2
a.
Start Date .................................................................................................................... VI-2
b.
End Date ..................................................................................................................... VI-2
c.
No-Cost Extension ...................................................................................................... VI-2
d.
Two-Year Extensions for Special Creativity ................................................................ VI-3
Additional Funding Support ................................................................................................................... VI-3
1.
Types of Additional Funding Support ....................................................................................... VI-3
2.
Renewed Support .................................................................................................................... VI-3
3.
Support under Continuing Grants ............................................................................................ VI-3
4.
Supplemental Support .............................................................................................................. VI-4

Chapter VII: Grant Administration ............................................................................................ VII-1
A.

B.

C.

Monitoring Project Performance ........................................................................................................... VII-1
1.
Grantee Responsibilities ......................................................................................................... VII-1
2.
Grantee Notifications to NSF and Requests for NSF Approval .............................................. VII-1
Changes in Project Direction or Management ..................................................................................... VII-1
1.
Changes in Objectives, Scope or Methods/Procedures ......................................................... VII-1
a.
Changes in Objectives or Scope ................................................................................ VII-1
b.
Significant Changes in Methods or Procedures ......................................................... VII-2
c.
Significant Changes, Delays or Events of Unusual Interest ...................................... VII-2
2.
Changes in PI/PD, co-PI/co-PD or Person-Months Devoted to the Project............................ VII-2
a.
Long-Term Disengagement of PI/PD or co-PI/co-PD ............................................... VII-2
b.
Change in Person-Months Devoted to the Project..................................................... VII-2
c.
Addition of co-PI/co-PD .............................................................................................. VII-3
d.
Withdrawal of PI/PD or co-PI/co-PD ......................................................................... VII-3
e.
Substitute (Change) PI/PD or co-PI/co-PD ............................................................... VII-3
f.
Disposition of a Grant When a PI/PD Transfers from One Organization to Another
Organization ............................................................................................................... VII-3
3.
Subawarding, Transferring or Contracting Out Part of an NSF Award
(Subaward) .............................................................................................................................. VII-4
Cost Sharing .................................................................................................................................... VII-5
1.
General ................................................................................................................................... VII-5
2.
Mandatory Cost Sharing Commitments .................................................................................. VII-5

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3.
Mandatory Cost Sharing Records and Reports ...................................................................... VII-5
Technical Reporting Requirements ...................................................................................................... VII-6
1.
Annual Project Reports ........................................................................................................... VII-6
2.
Final Project Report................................................................................................................. VII-7
3.
Project Outcomes Report for the General Public .................................................................... VII-7
Section Contents ..................................................................................................................... VII-7
4.
Compliance with Technical Reporting Requirements ............................................................. VII-8
5.
Grant Closeout ........................................................................................................................ VII-8
E.
Record Retention and Audit ................................................................................................................. VII-8
Exhibit VII-1
Consolidated Listing of Program- and Cost-Related Grantee Notifications
to, and Requests for Approval From, the National Science Foundation ................................. VII-9
D.

Chapter VIII: Financial Requirements and Payments ............................................................. VIII-1
A.
B.
C.

Standards for Financial Management ................................................................................................. VIII-1
Definitions ............................................................................................................................................ VIII-1
Payment Requirements ....................................................................................................................... VIII-2
1.
Requesting Payments ............................................................................................................ VIII-2
2.
Payment Policies .................................................................................................................... VIII-2
3.
Request for Payment.............................................................................................................. VIII-3
4.
Special Payment Grantees .................................................................................................... VIII-3
5.
Working Capital Advance ....................................................................................................... VIII-4
6.
Grantee Banking Information for Payments ........................................................................... VIII-4
D.
Cash Refunds And Credits To NSF .................................................................................................... VIII-4
1.
Final Unobligated Balance ..................................................................................................... VIII-4
2.
Erroneous Payments .............................................................................................................. VIII-4
3.
Interest Earned on Advance Payments.................................................................................. VIII-4
4.
Program Income ..................................................................................................................... VIII-6
5.
Other Cost Credits .................................................................................................................. VIII-7
E.
Award Financial Reporting Requirements and Final Disbursement ................................................... VIII-7
Exhibit III-1
Request for Advance or Reimbursement Form (SF 270) ...................................................... VIII-9

Chapter IX:
A.
B.

C.
D.

E.

Grantee Standards ................................................................................................ IX-1

Conflict of Interest Policies .................................................................................................................... IX-1
Responsible Conduct of Research (RCR) ............................................................................................ IX-3
1.
Background .............................................................................................................................. IX-3
2.
Institutional Responsibilities ..................................................................................................... IX-3
Financial Management Systems Standards.......................................................................................... IX-3
Property Management Standards ......................................................................................................... IX-3
1.
Title to Equipment .................................................................................................................... IX-4
a.
Title to Equipment – Non-Profit Organizations ............................................................ IX-4
b.
Title to Equipment – Commercial Organizations ......................................................... IX-4
2.
Conditions for Acquisition and Use of Equipment .................................................................... IX-4
3.
Principles Relating to Use of NSF-Supported Research Instrumentation & Facilities ............. IX-5
4.
Property Management Standards When Title Retained by NSF ............................................. IX-5
5.
Excess Government Personal Property ................................................................................... IX-5
a.
Policy ........................................................................................................................... IX-5
b.
Eligibility ...................................................................................................................... IX-6
c.
Procedures .................................................................................................................. IX-6
d.
Visiting Holding Agency Facilities ............................................................................... IX-7
e.
Dollar Limitation........................................................................................................... IX-7
f.
Restrictions.................................................................................................................. IX-7
g.
Costs ........................................................................................................................... IX-8
h.
Title .............................................................................................................................. IX-8
i.
Accountability and Recordkeeping .............................................................................. IX-9
Procurement Standards ........................................................................................................................ IX-9

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Chapter X:
A.

B.

C.

D.

E.

Basic Considerations .............................................................................................................................. X-1
1.
Conflicting Guidelines................................................................................................................ X-1
2.
Other Considerations ................................................................................................................ X-1
a.
Maximum Obligation .................................................................................................... X-1
b.
Pre-Award (Pre-Start Date) Costs................................................................................ X-1
c.
Post-End Date Costs .................................................................................................... X-2
3.
Prior Written Approvals ............................................................................................................. X-2
a.
General ......................................................................................................................... X-2
b.
NSF Prior Approval Policy............................................................................................ X-2
Direct Costs ............................................................................................................................................ X-3
1.
Compensation – Personal Services .......................................................................................... X-3
a.
Salaries and Wages ..................................................................................................... X-3
b.
Fringe Benefits ............................................................................................................. X-3
2.
Administrative and Clerical Salaries and Wages ..................................................................... X-3
3.
Intra-University (IHE) Consulting .............................................................................................. X-3
4.
Federal Employees ................................................................................................................... X-4
Other Direct Costs .................................................................................................................................. X-4
1.
Rearrangements and Alterations (Construction) ....................................................................... X-4
2.
News Release Costs ................................................................................................................. X-4
3.
Rental or Lease of Facilities or Special Purpose Equipment .................................................... X-4
4.
Relocation Costs ....................................................................................................................... X-4
5.
Travel and Temporary Dependent Care Costs ......................................................................... X-5
Indirect Costs ......................................................................................................................................... X-5
1.
NSF Policy................................................................................................................................. X-5
2.
NSF Cognizant Organizations ................................................................................................... X-6
Fee Payments under NSF Grants .......................................................................................................... X-6

Chapter XI:
A.

B.

C.

D.

E.

Allowability of Costs .............................................................................................. X-1

Other Post Award Requirements and Considerations ........................................ XI-1

Non-Discrimination Statutes .................................................................................................................. XI-1
1.
General ..................................................................................................................................... XI-1
2.
Title VI of the Civil Rights Act of 1964 ...................................................................................... XI-1
3.
Section 504 of the Rehabilitation Act of 1973 .......................................................................... XI-2
4.
Title IX of the Education Amendments of 1972 (Sex Discrimination) ...................................... XI-2
5.
Age Discrimination Act of 1975 ................................................................................................ XI-2
6.
Equal Employment Opportunity under E.O. 11246 .................................................................. XI-3
7.
Limited English Proficiency under E.O. 13166 ......................................................................... XI-3
Protection of Living Organisms ............................................................................................................. XI-3
1.
Human Subjects ....................................................................................................................... XI-3
2.
Research Involving Recombinant or Synthetic Nucleic Acid Molecules .................................. XI-4
3.
Vertebrate Animals ................................................................................................................... XI-4
4.
Government Permits and Activities Abroad ............................................................................. XI-5
5.
Life Science Dual Use Research of Concern (DURC) ............................................................. XI-5
Construction, Rearrangements and Alterations .................................................................................... XI-6
1.
Davis-Bacon Act ....................................................................................................................... XI-6
2.
Bonding and Insurance ............................................................................................................ XI-6
3.
Seismic Safety of Buildings ...................................................................................................... XI-6
Intellectual Property............................................................................................................................... XI-6
1.
Patents and Inventions ............................................................................................................. XI-6
2.
Copyright .................................................................................................................................. XI-8
3.
Special Patent and Copyright Situations .................................................................................. XI-9
4.
Dissemination and Sharing of Research Results ................................................................... XI-10
5.
Tangible Property ................................................................................................................... XI-10
Publication/Distribution of Grant Materials
..................................................................................... XI-10
1.
NSF Policy .............................................................................................................................. XI-10

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F.

G.
H.

I.
J.
K.
L.
M.

2.
Costs ...................................................................................................................................... XI-11
3.
Responsibilities ...................................................................................................................... XI-11
4.
Grantee Obligations ............................................................................................................... XI-11
International Considerations ............................................................................................................... XI-11
1.
Travel to Foreign Countries .................................................................................................... XI-11
a.
Policy ......................................................................................................................... XI-11
b.
Use of US-Flag Air Carriers ...................................................................................... XI-12
c.
Use of Foreign-Flag Air Carriers ............................................................................... XI-12
2.
Charter Flights ........................................................................................................................ XI-13
3.
Projects in a Foreign Country................................................................................................. XI-13
4.
Passports and Visas............................................................................................................... XI-14
Intergovernmental Review of Federal Programs ................................................................................ XI-14
Handling of Information ....................................................................................................................... XI-14
1.
Questionnaires: Data Collection Under NSF Grants ............................................................. XI-14
2.
Release of Information by NSF .............................................................................................. XI-14
Tax Status ........................................................................................................................................... XI-15
Protection of Properties in the National Register of Historic Places ................................................... XI-15
Environmental Compliance ................................................................................................................. XI-15
National Security ................................................................................................................................. XI-15
Miscellaneous ...................................................................................................................................... XI-16
1.
Liabilities and Losses ............................................................................................................. XI-16
2.
Pre-College Students and Experimental Curriculum
Development Projects ............................................................................................................ XI-16
3.
Use of Metric Measurements ................................................................................................. XI-16

Chapter XII: Grant Administration Disputes and Misconduct ................................................ XII-1
A.

B.
C.

Suspension and Termination Procedures ............................................................................................ XII-1
1.
Definitions ................................................................................................................................ XII-1
2.
Suspension and Termination .................................................................................................. XII-1
3.
Termination by Mutual Agreement .......................................................................................... XII-2
4.
NSF Suspension or Termination Review Procedure .............................................................. XII-2
Informal Resolution of Grant Administration Disputes ......................................................................... XII-3
Research Misconduct .......................................................................................................................... XII-4
1.
NSF Policies and Responsibilities ........................................................................................... XII-4
2.
Role of Grantees ..................................................................................................................... VII-4
3.
Reporting Possible Misconduct ............................................................................................... XII-5

Subject Index

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Introduction:
A.

About the National Science Foundation

The National Science Foundation (NSF) is an independent federal agency created by Congress in 1950 to “promote
the progress of science; [and] to advance the national health, prosperity and welfare” by supporting research and
education in all fields of science and engineering.
From those first days, NSF has had a unique place in the Federal Government: it is responsible for the overall health
of science and engineering across all disciplines. In contrast, other Federal agencies support research focused on
specific missions such as health or defense. The Foundation also is committed to ensuring the nation’s supply of
scientists, engineers, and science and engineering educators.
NSF funds research and education in most fields of science and engineering. It does this through grants and
cooperative agreements to approximately 2,000 colleges, universities, K-12 school systems, businesses, informal
science organizations and other research organizations throughout the US. The Foundation accounts for about onefourth of Federal support to academic institutions for basic research.
The Foundation considers proposals 1 submitted by organizations on behalf of individuals or groups for support in
most fields of research. Interdisciplinary proposals also are eligible for consideration.
NSF does not normally support technical assistance, pilot plant efforts, research requiring security classification, the
development of products for commercial marketing, or market research for a particular project or invention. Research
with disease-related goals, including work on the etiology, diagnosis or treatment of physical or mental disease,
abnormality, or malfunction in human beings or animals, is normally not supported. Animal models of such conditions
or the development or testing of drugs or other procedures for their treatment also are not eligible for support.
However, research in bioengineering, with diagnosis- or treatment-related goals, that applies engineering principles
to problems in biology and medicine while advancing engineering knowledge is eligible for support. Bioengineering
research to aid persons with disabilities also is eligible.
NSF does not have any programs involving the construction of public works in metropolitan areas, no development
assistance programs, no programs requiring State plans as a condition of assistance, none involving coordination of
planning in multi-jurisdictional areas and no programs of grants to State and local governments as defined in Section
6501(4) of Title 31 of the United States Code (USC).
NSF receives over 50,000 proposals each year for research, education and training projects, of which approximately
11,000 are funded. In addition, the Foundation receives over 15,000 applications for graduate and postdoctoral
fellowships. One of NSF’s flagship programs, the NSF Graduate Research Fellowship Program (GRFP) helps ensure
the vitality and diversity of the scientific and engineering workforce and the program awards about 2,000 fellowships
each year. Guidance regarding the GRFP program may be found in the program solicitation, as well as in the GRFP
Administrative Guide. The agency operates no laboratories itself but does support National Research Centers, user
facilities, certain oceanographic vessels and Antarctic research stations. The Foundation also supports cooperative
research between universities and industry, US participation in international scientific and engineering efforts, and
educational activities at every academic level.
NSF is structured much like a university, with divisions/offices for the various disciplines and fields of science and
engineering and for science, math, engineering and technology education. NSF also uses a variety of management
mechanisms to coordinate research in areas that cross traditional disciplinary boundaries. The Foundation is assisted
by advisors from the scientific and engineering communities who serve on formal committees or as ad hoc reviewers
of proposals. This advisory system, which focuses on both program directions and specific proposals, involves
approximately 50,000 scientists and engineers each year. NSF staff members who are experts in a certain field or
area make award recommendations; Principal Investigators (PIs) receive unattributed verbatim copies of peer
reviews.

1

For purposes of this Guide, the term “proposal” is interchangeable with the term “application.”

Grantees are wholly responsible for conducting their project activities and preparing the results for publication. Thus,
the Foundation does not assume responsibility for such findings or their interpretation.
Facilitation Awards for Scientists and Engineers with Disabilities provide funding for special assistance or equipment
to enable persons with disabilities to work on NSF-supported projects. See Chapter II.E.6. for instructions regarding
preparation of these types of proposals.
NSF has Text Telephone (TTY) and Federal Information Relay Service (FIRS) capabilities that enable individuals
with hearing or speech impairments to communicate with the Foundation about NSF programs, employment or
general information. TTY may be accessed at (703) 292-5090 and (800) 281-8749, FIRS at (800) 877-8339.
The NSF Information Center may be reached at (703) 292-5111.

B.

Foreword

The Proposal & Award Policies & Procedures Guide (PAPPG) is comprised of documents relating to the Foundation's
proposal and award process for the assistance programs of the National Science Foundation. The PAPPG, in
conjunction with NSF’s Grant General Conditions, serves as the Foundation’s implementation of 2 CFR § 200,
Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. If the PAPPG is
silent on a specific area covered by 2 CFR § 200, the requirements specified in 2 CFR § 200 must be followed.
It has been designed for use by both our customer community and NSF staff and consists of two parts:
•

Part I, sets forth NSF’s proposal preparation and submission guidelines. The coverage provides guidance
for the preparation and submission of proposals to NSF. Some NSF programs have program solicitations
that modify the general provisions of the PAPPG, and, in such cases, the guidelines provided in the
solicitation must be followed.
The policy and procedural guidance contained in the NSF Grants.gov Application Guide should be followed
when preparing and submitting proposals to NSF via Grants.gov.

•

Part II of the NSF Proposal & Award Policies & Procedures Guide sets forth NSF policies and procedures
regarding the award, administration, and monitoring of grants and cooperative agreements. Coverage
includes the NSF award process, from issuance and administration of an NSF award through closeout.
Guidance is provided regarding other grant requirements or considerations that either are not universally
applicable or do not follow the award cycle. Part II also implements other Public Laws, Executive Orders
(E.O.) and other directives insofar as they apply to grants, and is issued pursuant to the authority of Section
11(a) of the NSF Act (42 USC §1870). When NSF Grant General Conditions or an award notice reference a
particular section of the PAPPG, then that section becomes part of the award requirements through
incorporation by reference.

The PAPPG does not apply to NSF contracts. For information relating to NSF contracts, consult the Guide to the
NSF Contracting Process.
General
information
about
NSF
programs
may
be
found
on
the
NSF
website
at
http://www.nsf.gov/funding/browse_all_funding.jsp. Additional information about special requirements of individual
NSF programs may be obtained from the appropriate Foundation program office. Information about most program
deadlines
and
target
dates
for
proposals
are
available
on
the
NSF
website
at
http://www.nsf.gov/funding/pgm_list.jsp?org=NSF&ord=date. Program deadline and target date information also
appears in individual program announcements and solicitations and on relevant NSF Divisional/Office websites.
Catalog of Federal Domestic Assistance
NSF programs fall under the following categories in the latest Catalog of Federal Domestic Assistance (CFDA) issued
by the Office of Management and Budget and the General Services Administration:
47.041
47.049
47.050
47.070
47.074
47.075
47.076
47.079
47.083

-- Engineering
-- Mathematical and Physical Sciences
-- Geosciences
-- Computer and Information Science and Engineering
-- Biological Sciences
-- Social, Behavioral and Economic Sciences
-- Education and Human Resources
-- Office of International Science & Engineering
-- Office of Integrative Activities

Any questions or comments regarding the NSF Proposal & Award Policies & Procedures Guide should be addressed
to the Policy Office, Division of Institution & Award Support, at (703) 292-8243 or by e-mail to [email protected].

C.

Acronym List

ABR
ACH
ACM$
AD
ADPE
AOR
BFA
CAAR
CA/FATC

CA/PTC
CEQ
CFR
CGI
CMIA
COI
Co-PD
Co-PI
DACS
DAS
DCL
DD
DFM
DGA
DHHS
DIAS
DOC
DUNS
DURC
EAGER
EFT
E.O.
F&A
FAPIIS
FAQs
FAR
FASED
FDP
FEMA
FIRS
FOIA
FWA
GC-1
GOALI
GOE

Accomplishment-Based Renewal
Automated Clearing House (US Treasury)
Award Cash Management Service
Assistant Director
Automatic Data Processing Equipment
Authorized Organizational Representative
Budget, Finance & Award Management
Cost Analysis & Audit Resolution Branch
Cooperative Agreement
Financial/Administrative Terms and
Conditions
Cooperative Agreement Programmatic
Terms and Conditions
Council on Environmental Quality
Code of Federal Regulations
Continuing Grant Increment
Cash Management Improvement Act
Conflict of Interest
Co-Project Director
Co-Principal Investigator
Division of Acquisition and Cooperative
Support
Division of Administrative Services
Dear Colleague Letter
Division Director
Division of Financial Management
Division of Grants and Agreements
Department of Health and Human
Services
Division of Institution and Award Support
Department of Commerce
Data Universal Numbering System
Dual Use Research of Concern
EArly-Concept Grants for Exploratory
Research
Electronic Funds Transfer
Executive Order
Facilities & Administrative Costs
Federal Awardee Performance and
Integrity Information System
Frequently Asked Questions
Federal Acquisition Regulation
Facilitation Awards for Scientists and
Engineers with Disabilities
Federal Demonstration Partnership
Federal Emergency Management Agency
Federal Information Relay Service
Freedom of Information Act
Federal-wide Assurance
Grant General Conditions
Grant Opportunities for Academic Liaison
with Industry
Government-Owned Equipment

GPO
GSA
IACUC
IBC
IRB
IRS
ISE
LFM
LFO
LOI
MREFC
NEPA
NIH
NSB
NSF
ODI
OGC
OHRP
OIA
OIG
OLAW
OMB
ONR
PAPPG
PD
PHS
PI
PNAG
PO
RAISE
RAPID
REU
ROA
RTC
RUI
SAM
SBA
SBIR
SF
SF LLL
SPO
SSN
STTR
TDD
TTY
URL
USC
USDA

Government Printing Office
General Services Administration
Institutional Animal Care and Use
Committee
Institutional Biosafety Committee
Institutional Review Board
Internal Revenue Service
International Science & Engineering
Large Facilities Manual
Large Facilities Office
Letters of Intent
Major Research Equipment and Facilities
Construction Account
National Environmental Policy Act
National Institutes of Health
National Science Board
National Science Foundation
Office of Diversity and Inclusion
Office of the General Counsel
Office for Human Research Protections
Office of Integrative Activities
Office of Inspector General
Office of Laboratory Animal Welfare
Office of Management and Budget
Office of Naval Research
Proposal & Award Policies & Procedures
Guide
Project Director
Public Health Service
Principal Investigator
Prospective New Awardee Guide
Program Officer
Research Advanced by Interdisciplinary
Science and Engineering
Rapid Response Research Grants
Research Experiences for
Undergraduates
Research Opportunity Awards
Research Terms and Conditions
Research in Undergraduate Institutions
System for Award Management
Small Business Administration
Small Business Innovation Research
Standard Form
Disclosure of Lobbying Activities
Sponsored Projects Office
Social Security Number
Small Business Technology Transfer
Telephonic Device for the Deaf
Text Telephone
Uniform Resource Locator
United States Code
US Department of Agriculture

D.

Definitions & NSF-Grantee Relationships

1.

Definitions

a.
An
AUTHORIZED
ORGANIZATIONAL
REPRESENTATIVE
(AOR)/AUTHORIZED
REPRESENTATIVE means the administrative official who, on behalf of the proposing organization is
empowered to make certifications and assurances and can commit the organization to the conduct of a
project that NSF is being asked to support as well as adhere to various NSF policies and grant
requirements.
b.
A GRANT AGREEMENT 2 means a legal instrument of financial assistance between NSF and a
grantee that, consistent with 31 U.S.C. 6302, 6304:
(1)
Is used to enter into a relationship the principal purpose of which is to transfer anything of value
from NSF to the grantee to carry out a public purpose authorized by a law of the United States (see 31
U.S.C. 6101(3)); and not to acquire property or services for NSF’s direct benefit or use;
(2)
Is distinguished from a cooperative agreement in that it does not provide for substantial involvement
between NSF and the grantee in carrying out the activity contemplated by the NSF award.
NSF awards the following two types of grants:
(a)
A STANDARD GRANT means a type of grant in which NSF agrees to provide a specific level of
support for a specified period of time with no statement of NSF intent to provide additional future support
without submission of another proposal.
(b)
A CONTINUING GRANT means a type of grant in which NSF agrees to provide a specific level of
support for an initial specified period of time, usually a year, with a statement of intent to provide additional
support for the project for additional periods, provided funds are available and the results achieved warrant
further support.
c.
A COST REIMBURSEMENT AWARD means a type of grant under which NSF agrees to reimburse
the grantee for work performed and/or costs incurred by the grantee up to the total amount specified in the
grant. Such costs must be allowable in accordance with the applicable cost principles. Accountability is
based primarily on technical progress, financial accounting and fiscal reporting. Except under certain
programs and under special circumstances, NSF grants and cooperative agreements are normally cost
reimbursement type awards.
d.
A FIXED AMOUNT AWARD means a type of award in which NSF provides a specific level of
support without regard to actual costs incurred under the award. This type of NSF award reduces some of
the administrative burden and recordkeeping requirements for both the grantee and NSF. Accountability is
based primarily on performance and results.
e.
A COOPERATIVE AGREEMENT means a legal instrument of financial assistance between NSF
and an awardee that, consistent with 31 U.S.C. 6302–6305:
(1)
Is used to enter into a relationship the principal purpose of which is to transfer anything of value
from NSF to the recipient to carry out a public purpose authorized by a law of the United States (see 31
U.S.C. 6101(3)); and not to acquire property or services for NSF’s direct benefit or use;

2

For purposes of this Guide, except where explicitly noted, the term “grant” is interchangeable with the term
“cooperative agreement”, and the term “grantee” is interchangeable with the “awardee” of a cooperative agreement.

(2)
Is distinguished from a grant in that it provides for substantial involvement between NSF and the
grantee in carrying out the activity contemplated by the NSF award.
In the case of NSF, assistance awards involve the support or stimulation of scientific and engineering
research, science and engineering education or other related activities. NSF is authorized to use grants or
cooperative agreements for this purpose. Grants, however, are the primary mechanism of NSF support.
f.
A GRANTEE means the organization or other entity that receives a grant and assumes legal and
financial responsibility and accountability both for the awarded funds and for the performance of the grantsupported activity. NSF grants are normally made to organizations rather than to individual Principal
Investigator/Project Director(s). Categories of eligible proposers may be found in Chapter I.
g.
PRINCIPAL INVESTIGATOR/PROJECT DIRECTOR (PI/PD) means the individual(s) designated
by the proposer, and approved by NSF, who will be responsible for the scientific or technical direction of
the project. NSF does not infer any distinction in scientific stature among multiple PIs, whether referred to
as PI or co-PI.
If more than one, the first one listed will serve as the contact PI, with whom all
communications between NSF program officials and the project relating to the scientific, technical, and
budgetary aspects of the project should take place. The PI and any identified co-PIs, however, will be
jointly responsible for submission of the requisite project reports. The term "Principal Investigator" generally
is used in research projects, while the term "Project Director" generally is used in centers, large facilities,
and other projects. For purposes of this Guide, PI/co-PI is interchangeable with PD/co-PD.

2.

NSF-Grantee Relationships

a.
Grants will be used by NSF when the accomplishment of the project objectives requires minimal
NSF involvement during performance of the activities. Grants establish a relationship between NSF and
the grantee in which:
(1)
NSF agrees to provide up to a specified amount of financial support for the project to be performed
under the conditions and requirements of the grant. NSF will monitor grant progress and assure compliance
with applicable standards.
(2)
The grantee agrees to: perform the project as proposed; the prudent management of the funds
provided; and carry out the supported activities in accordance with the provisions of the grant. (See Chapter
VI.B for the documents that comprise an NSF grant.)
b.
Cooperative agreements will be used by NSF when the accomplishment of the project objectives
requires substantial ongoing Foundation involvement during the project performance period. Substantial
agency involvement may be necessary when an activity is technically and/or managerially complex and
would require extensive or close coordination between NSF and the awardee. This, however, does not
affect NSF’s right to unilaterally suspend or terminate support for cause or consider termination in
accordance with Chapter XII, if it is in the best interest of NSF or the Government. The doctrine of
substantial involvement is set forth in the Federal Grant and Cooperative Agreement Act of 1977 (31 USC
6301-6308).
Examples of projects suitable for cooperative agreements include: management of research centers, large
curriculum projects, multi-user facilities, projects which involve complex subcontracting, construction or
operations of major in-house university facilities and major instrumentation development, and projects in
which NSF participates with other stakeholder agencies or organizations that have influence over project
direction and/or development.
Under a cooperative agreement, the awardee has primary responsibility for the conduct of the project. To
the extent that NSF does not reserve responsibility for coordinating or integrating the project activities with
other related activities or does not assume a degree of shared responsibility for certain aspects of the
project, all such responsibilities remain with the awardee. While NSF will monitor the cooperative

agreement in accordance with the terms and conditions of the award, the Foundation will not assume overall
control of a project or unilaterally change or direct the project activities.
The cooperative agreement will specify the extent to which NSF will advise, review, approve or otherwise
be involved with project activities, as well as NSF’s right to require more clearly defined deliverables. NSF
may provide advice, guidance or assistance of a technical, management, or coordinating nature and may
require that the awardee obtain NSF prior approval of specific decisions, milestones, or project activities.
Substantial Involvement is incorporated in key areas of accountability in both financial and programmatic
award terms; examples include prior agency approval requirements, type and frequency of project plans,
special reporting requirements, and project and awardee reviews that NSF will conduct during the term of
the award.
Cooperative agreements for construction are generally funded through a separate appropriation from
Congress for Major Research Equipment and Facilities Construction (MREFC). NSF maintains the MREFC
appropriations in a separate budget account, for major construction projects that successfully undergo a
rigorous selection process. MREFC funds cannot be co-mingled with funds for activities other than
construction; therefore, NSF issues a separate award for operations and other activities related to
commissioning and management of the facility or major instrument. The awardee is required to maintain
an accounting system capable of segregating MREFC and operating costs, and to ensure that such costs
are applied accordingly.
Many large facility awards, including those for NSF-supported Federally Funded Research and
Development Centers (FFRDCs), consist of a cooperative agreement as an umbrella award, establishing
the overall basic provisions of the agreements, and separate cooperative support agreements with specific
terms and conditions for construction activities, management and operations, research activities that are
co-sponsored by other agencies, and any other focused activities that NSF needs to monitor separately
from the overall objectives of the cooperative agreement.

E.

NSF Organizations

The NSF organizations/offices described below are normally of most direct interest to the NSF proposer
and awardee community. Consult the NSF website at http://www.nsf.gov/staff/orglist.jsp for the most
current listing of NSF offices/directorates and an organizational chart.

1.

National Science Board

The National Science Board was established by Congress in 1950, and along with the Director, constitutes
the National Science Foundation. The Board provides oversight for, and establishes the policies of, the
agency within the framework of applicable national policies set forth by the President and the Congress. In
this capacity, the Board identifies issues that are critical to NSF’s future, approves NSF’s strategic budget
directions, approves annual budget submissions to the Office of Management and Budget, approves new
programs and major awards, analyzes NSF’s budget to ensure progress and consistency along the
strategic direction set for NSF, and ensures balance between initiatives and core programs. In addition,
the Board is to serve as an independent body of advisors to both the President and Congress on broad
national policy issues and, together with the Director, recommends and encourages the pursuit of national
policies related to science and engineering research and education. The Board is composed of 24
members appointed by the President. The NSF Director also serves as an ex officio voting member of the
Board. Members are selected on the basis of their distinguished service in science and engineering
research and education, and are representative of scientific, engineering, and educational leadership
throughout the Nation.

2.

Program Divisions/Offices

Program Divisions/Offices are responsible for the scientific, technical and programmatic review and
evaluation of proposals and for recommending that proposals be declined or awarded. The scientific,
engineering and/or educational aspects of an award will be monitored by the NSF Program Officer identified
in the award notice. (See Chapter III for a detailed description of the NSF Merit Review Process.) Integral
staff in the program division/office relative to the NSF proposal and award process are:
a.
NSF Program Officers. Program Officers are considered subject matter experts in both technical
and programmatic areas. They conduct merit review of proposals and recommend which projects should
be funded by the Foundation.
b.
NSF Division Directors. Division Directors are NSF executives whose responsibilities include longrange planning, contributing to the achievement of the Foundation’s strategic goals and objectives, and
providing stewardship for budgetary and other resources. They are responsible for ensuring the integrity of
the merit review and award process.

3.

Division of Grants & Agreements (DGA)

The Division of Grants & Agreements (DGA) is responsible for the award of all NSF assistance awards
recommended for support by the NSF program offices, with the exception of the Foundation’s large facility
cooperative agreements. From pre-award through closeout, DGA conducts a variety of business, financial,
and administrative reviews to ensure compliance with award terms and conditions, and consistency with
applicable NSF policies and Federal rules and regulations. DGA provides stewardship and support to a
diverse set of stakeholders including grantees, NSF Directorates/Offices and others within the national
scientific research and education communities, as well as maintains a leadership role in the federal grants
arena. In carrying out NSF's primary mission of providing basic research support, DGA interacts on a
continuing basis with academic and non-academic institutions, private industry, state and local
governments, and other Federal agencies.

Grants & Agreements Officers (Grants Officers) have delegated authority to issue awards on behalf of the
Foundation and their approval constitutes a legal obligation of federal funds for awardees to expend to fulfill
the scope of the approved proposal. In addition, Grants Officers are responsible for issuing all award
amendments and certain postaward prior approvals, for monitoring awardee compliance with the award
terms and conditions, and for the administration and closeout of these awards.

4.

Division of Institution & Award Support (DIAS)

DIAS is responsible for the development and implementation of proposal and award policies & procedures,
clearance of NSF proposal-generating documents, risk assessment and post-award monitoring activities,
cost analysis and award support, audit resolution, electronic award and systems administration, and
outreach to the external community. DIAS also represents and advocates for the needs of the research
community in NSF electronic research administration activities, including the modernization of NSF’s
externally-facing FastLane system through Research.gov.
a.
DIAS, through the Policy Office, is responsible for the development, coordination, and issuance of
NSF pre- and postaward policies for the assistance programs of the National Science Foundation. The
Policy Office provides guidance on policies and procedures related to NSF's electronic proposal and award
systems. The responsibility for reviewing and providing official clearance approval for all NSF proposalgenerating documents also resides in the Policy Office.
Another important function of the Policy Office is the coordination of outreach programs for external
stakeholders and NSF staff. Through a variety of mechanisms, the Policy Office coordinates the release
of timely and relevant information regarding NSF policies and procedures, proposal preparation, and award
management to the broad research community. In addition to working closely with professional research
administration associations, the Policy Office coordinates two major grants conferences held at various
locations throughout the US, typically in the spring and fall each year.
b.
DIAS staff in the Cost Analysis and Audit Resolution (CAAR) Branch perform cost analyses and
resolve audit findings pertaining to the allowability, allocability, and appropriateness of costs claimed under
all NSF assistance awards. CAAR responsibilities include the performance of accounting systems reviews,
financial capability reviews, budget reviews, and award monitoring and business assistance. CAAR also
negotiates indirect cost rates for organizations that have Federal awards where NSF provides the
preponderance of funding.
c.
DIAS staff in the Systems Office are responsible for the administration, oversight, and interpretation
of business rules for assistance awards across NSF electronic corporate systems. It is also responsible for
systems analysis and requirements development necessary for the implementation of assistance awards
business rules.

5.

Division of Acquisition and Cooperative Support (DACS)

DACS provides acquisition and cooperative agreement award support for the Foundation. The Contracts
Branch is responsible for planning, solicitation, negotiation, award and administration of professional,
administrative, and research support contracts for NSF. The Cooperative Support Branch (CSB) is
responsible for planning, solicitation, negotiation, award and administration of cooperative agreements for
FFRDCs and major research facilities in various stages of construction and operations, including multiinstitutional and international programs. This includes participation and input on NSF project advisory
teams, business process reviews and redesign, risk assessments, and administrative assistance.

6.

Division of Financial Management (DFM)

DFM is responsible for the financial policy and financial management of NSF. The division is responsible
for NSF’s financial reporting, grantee business office relationships and payment of vendors. The Cash
Management Branch of DFM is available to assist grantee financial and business officials in matters of
payment and financial reporting discussed in Chapter VIII of the PAPPG.

7.

Large Facilities Office (LFO)

LFO is the Foundation’s primary resource for all policy or process issues related to the development,
implementation, and oversight of Major Research Equipment and Facilities Construction projects, and is
the NSF-wide resource on project management for large facilities. The Large Facilities Office Head has the
institutional authority and resources to effectively develop mandatory policies, which are approved by
Senior Management, for all phases of large facility construction and retirement. The Large Facilities Office
Head is consulted on all policy issues relating to large facility development. The Large Facilities Office Head
provides expert assistance on non-scientific and non-technical aspects of project planning, budgeting,
implementation, and management for large facilities to further strengthen the oversight capabilities of NSF.
The Large Facilities Office Head also facilitates the use of best management practices by fostering
coordination and collaboration throughout NSF to share application of lessons learned from prior large
facility projects.

8.

Office of the General Counsel (OGC)

OGC is the legal advisor and advocate for the Foundation, providing legal advice and counsel on all aspects
of the Foundation's programs, policies, and operations, as well as areas affecting science and technology
more broadly. Advice is provided in a wide variety of areas, such as: contracts and grants; ethics and
conflicts of interest; Freedom of Information Act; Privacy Act; labor and personnel law; environmental law;
Federal fiscal and administrative law and procedure; and international law and agreements.

9.

Office of Diversity & Inclusion (ODI)

ODI is responsible for responding to all civil rights matters pertaining to NSF programs or activities receiving
Federal financial assistance. (See Chapter XI.A for additional information.)

10.

Office of Inspector General (OIG)

OIG is an independent oversight office that reports directly to the National Science Board and the Congress.
It is responsible for conducting audits, reviews, and investigations of NSF programs, and of organizations
and individuals that apply for or receive NSF funding. OIG also investigates allegations of research
misconduct, such as plagiarism, falsification, or fabrication, involving researchers who request or receive
NSF funding (see Chapter XII.C.1). The OIG staff includes scientists, attorneys, auditors, law enforcement
personnel, evaluators, and information technology specialists. OIG audits focus on NSF’s internal agency
programs, as well as grants, contracts, and cooperative agreements funded by NSF. Their purpose is to
ensure that the financial, administrative, and program activities of NSF are conducted efficiently and
effectively, and that the NSF awardee organization’s claimed costs are allowable, reasonable and properly
allocated.
OIG investigations focus on program integrity and financial or nonfinancial wrongdoing by organizations
and individuals who submit proposals to, receive awards from, conduct business with, or work for NSF.
Statutory law enforcement authority was granted to OIG by the US Attorney General.
Anyone including grant recipients, administrators, and NSF personnel, should contact the OIG (1-800-4282189 or [email protected]) to report instances of possible misconduct, fraud, waste, or abuse.

F.

NSF Electronic Capabilities Modernization Status

NSF has undertaken a multi-year effort to modernize and transition grantee electronic capabilities from
FastLane to Research.gov. During this time, electronic capabilities will be developed and launched in
Research.gov. These capabilities may simultaneously still be available in FastLane for a period of time
prior to being ultimately retired and the functionality available exclusively through Research.gov. In order
to assist grantees, NSF has developed a matrix that lists NSF’s grantee electronic capabilities, and whether
they can be found in FastLane, Research.gov or both. This matrix will be updated as appropriate,
independent of the Proposal & Award Policies & Procedures Guide revision cycle. The Electronic
Capabilities
Modernization
Status
website
is
available
at:
http://www.nsf.gov/bfa/dias/policy/estatus_matrix.jsp.

PART I: NSF’S PROPOSAL PREPARATION AND SUBMISSION
GUIDELINES
Part I, sets forth NSF’s proposal preparation and submission guidelines for proposals. The coverage
provides guidance for the preparation and submission of proposals to NSF. Some NSF programs have
program solicitations that modify the general provisions of the PAPPG, and, in such cases, the guidelines
provided in the solicitation must be followed.

Chapter I: Pre-Submission Information
A.

NSF Proposal Preparation and Submission

Unless specified in an NSF program solicitation, proposals submitted to NSF must be submitted via use of
either the NSF FastLane System or Grants.gov. Further information on each system is provided below.
•

Proposal Preparation and Submission via the NSF FastLane System. The policy and
procedural guidance contained in Part I of the PAPPG relates specifically to proposals submitted
via the NSF FastLane System. FastLane may be used for proposal preparation, submission, file
updates, and postaward administrative activities. Detailed information about the FastLane System
is available from the FastLane website at https://www.fastlane.nsf.gov.

•

Proposal Preparation and Submission via Grants.gov. The policy and procedural guidance
contained in the NSF Grants.gov Application Guide relates specifically to proposals submitted via
Grants.gov. Grants.gov was established as a governmental resource to electronically find grant
opportunities as well as to apply for federal awards. Grants.gov is a central storehouse for
information on over 1,000 grant programs from the 26 Federal grant-making agencies and provides
access to approximately $550 billion annually in awards. Detailed information about Grants.gov is
available from the Grants.gov website at http://www.grants.gov.

Contact with NSF program personnel prior to proposal preparation and submission is encouraged. Some
NSF programs have program solicitations that modify the general provisions of Part I of the PAPPG and/or
the Grants.gov Application Guide, and, in such cases, the guidelines provided in the solicitation must be
followed. (See Section C.4 below for further information on NSF program solicitations.)

B.

NSF Programs and Funding Opportunities

NSF does not normally support technical assistance, pilot plant efforts, research requiring security
classification, the development of products for commercial marketing, or market research for a particular
project or invention. Research with disease-related goals, including work on the etiology, diagnosis or
treatment of physical or mental disease, abnormality, or malfunction in human beings or animals, is normally
not supported. Animal models of such conditions or the development or testing of drugs or other procedures
for their treatment also are not eligible for support. However, research in bioengineering, with diagnosisor treatment-related goals, that applies engineering principles to problems in biology and medicine while
advancing engineering knowledge is eligible for support. Bioengineering research to aid persons with
disabilities also is eligible.
The NSF website provides the most comprehensive source of information on NSF Directorates/Offices
(including contact information), programs and funding opportunities. Use of this website by potential
proposers is strongly encouraged. In addition, "NSF Update" is an information-delivery system designed
to keep potential proposers and other interested parties apprised of new NSF funding opportunities and
publications, important changes in proposal and award policies and procedures, and upcoming NSF Grants
Conferences. Subscribers are informed through e-mail or the user's web browser each time new
Proposal & Award
Policies & Procedures Guide

I-1

NSF 17-1

publications are issued that match their identified interests. "NSF Update" is available on NSF's website
at: https://public.govdelivery.com/accounts/USNSF/subscriber/new?qsp=823.
Grants.gov provides an additional electronic capability to search for Federal government-wide grant
opportunities. NSF funding opportunities may be accessed via this mechanism. Further information on
Grants.gov may be obtained at http://www.grants.gov.

C.

Categories of Funding Opportunities

NSF utilizes a variety of mechanisms to communicate opportunities for research and education support, as
well as to generate proposals. A brief description of each category of funding opportunity follows.
1.

Dear Colleague Letters

Dear Colleague Letters (DCLs) are intended to provide general information to the community, clarify or
amend an existing policy or document, or inform the NSF proposer community about upcoming
opportunities or special competitions for supplements to existing awards. In addition, DCLs are often used
to draw attention to an impending change in NSF policies or programs.
2.

Program Descriptions

The term "program description" includes broad, general descriptions of programs and activities in NSF
Directorates/Offices and Divisions. Program descriptions are posted on Directorate/Division websites to
encourage the submission of proposals in specific program areas of interest to NSF.
Program descriptions, like program announcements, utilize the generic eligibility and proposal preparation
instructions specified in Part I of the PAPPG, as well as the National Science Board (NSB)-approved merit
review criteria. See Chapter III for additional information.
3.

Program Announcements

The term "program announcement" refers to formal NSF publications that announce NSF programs.
Program announcements utilize the generic eligibility and proposal preparation guidelines specified in Part
I of the PAPPG and incorporate the NSB-approved merit review criteria.
4.

Program Solicitations

The term "program solicitation" refers to formal NSF publications that encourage the submission of
proposals in specific program areas of interest to NSF. They generally are more focused than program
announcements, and normally apply for a limited period of time. Competition among proposals is more
precisely defined than with program announcements, and proposals received compete directly with each
other for NSF funding. Program solicitations are issued when the funding opportunity has one or more of
the following features:
•

provides supplemental proposal preparation guidance or deviates from the guidelines established
in Part I of the PAPPG;

•

contains additional review criteria relevant to the program;

•

requires submission of a letter of intent (see Chapter I.D.1) or preliminary proposal (see Chapter
I.D.2);

•

deviates from (or restricts) the standard categories of proposers specified in Section E. below;

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•

limits the number of proposals that may be submitted by any organization and/or
researcher/educator; 1

•

requires cost sharing;

•

requires a limitation in indirect (F&A) costs;

•

specifies additional award conditions or reporting requirements;

•

anticipates use of a cooperative agreement.

D.

Types of Submissions

1.

Letters of Intent

Some NSF program solicitations require or request submission of a letter of intent (LOI) in advance of
submission of a full proposal. An LOI is not a binding document. The predominant reason for its use is to
help NSF program staff gauge the size and range of the competition, enabling earlier selection and better
management of reviewers and panelists. In addition, the information contained in an LOI is used to help
avoid potential conflicts of interest in the review process.
An LOI normally contains the Principal Investigator’s (PI’s) and co-PI's names, a proposed title, a list of
possible participating organizations (if applicable), and a synopsis that describes the work in sufficient detail
to permit an appropriate selection of reviewers. Proposers that plan to submit a collaborative proposal from
multiple organizations should submit a single LOI for the entire project, given that NSF considers a
collaborative proposal to be a unified research project. An LOI is not externally evaluated or used to decide
on funding. The requirement to submit an LOI will be identified in the program solicitation, and such letters
are submitted electronically to NSF. Failure to submit a required LOI identified in a program solicitation will
result in a full proposal not being accepted or returned without review.
2.

Preliminary Proposals

Some NSF program solicitations require or request submission of a preliminary proposal in advance of
submission of a full proposal. The three predominant reasons for requiring submission of a preliminary
proposal are to:
•

reduce the proposers' unnecessary effort in proposal preparation when the chance of success is
very small. This is particularly true of exploratory initiatives when the community senses that a
major new direction is being identified, or competitions that will result in a small number of awards;

•

increase the overall quality of the full submission; and

•

assist NSF program staff in managing the review process and in the selection of reviewers.

The NSF program solicitation will specify content and submission requirements when preliminary proposals
are to be used. Preliminary proposals are prepared by the PI using the Proposal Preparation Module in
FastLane. On the Cover Sheet, the PI clicks on the "Preliminary Proposal" check box. The PI completes
only the sections appropriate to the preliminary proposal. The PI then forwards the proposal to the
appropriate office at his/her organization, and the Authorized Organizational Representative (AOR) signs
and submits the preliminary proposal via use of NSF’s electronic systems.

1Unless

otherwise specified, the term “organization” refers to all categories of proposers.

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One of the following two types of decisions may be received from NSF upon submission of a preliminary
proposal. The program solicitation will specify the type of decision to be rendered for a particular program.
a.

Invite/Not Invite Decisions

This type of mechanism is used when the NSF decision made on the preliminary proposal is final, affecting
the PI's eligibility to submit a full proposal. Only submitters of favorably reviewed preliminary proposals are
invited and eligible to submit full proposals. The PI and the organization's Sponsored Projects Office will be
electronically notified of NSF's decision to either invite submission of a full proposal or decline NSF support.
b.

Encourage/Discourage Decisions

This type of mechanism is used when the NSF decision made on the preliminary proposal is advisory only.
This means that submitters of both favorably and unfavorably reviewed preliminary proposals are eligible
to submit full proposals. The PI and the organization's Sponsored Projects Office will be notified of NSF's
decision to either encourage or discourage submission of a full proposal.
3.

Full Proposals

The full proposal should present the (1) objectives and scientific, engineering, or educational significance
of the proposed work; (2) suitability of the methods to be employed; (3) qualifications of the investigator and
the grantee organization; (4) effect of the activity on the infrastructure of science, engineering and
education, if applicable; and (5) amount of funding required. It should present the intellectual merit and
broader impacts of the proposed project clearly and should be prepared with the care and thoroughness of
a paper submitted for publication. The requisite proposal preparation instructions are contained in Chapter
II. Sufficient information should be provided to enable reviewers to evaluate the proposal in accordance
with the two merit review criteria established by the National Science Board. (See Chapter III for additional
information on NSF processing and review of proposals.)
NSF expects strict adherence to the rules of proper scholarship and attribution. The responsibility for proper
scholarship and attribution rests with the authors of a proposal; all parts of the proposal should be prepared
with equal care for this concern. Authors other than the PI (or any co-PI) should be named and
acknowledged. Serious failure to adhere to such standards can result in findings of research misconduct.
NSF policies and rules on research misconduct 2 are discussed in the Chapter XII.C, as well as 45 CFR
Part 689.
The Metric Conversion Act of 1975, as amended, and Executive Order 12770 of 1991 encourage Federal
agencies to use the Metric System (SI) in procurement, grants and other business-related activities.
Proposers are encouraged to use the Metric System of weights and measures in proposals submitted to
the Foundation. Grantees also are encouraged to use metric units in reports, publications and
correspondence relating to proposals and awards.

E.

Who May Submit Proposals

NSF welcomes proposals on behalf of all qualified scientists, engineers and educators. The Foundation
strongly encourages women, minorities and persons with disabilities to participate fully in its programs. In
accordance with Federal statutes, regulations and NSF policies, no person on grounds of race, color, age,
sex, national origin or disability shall be excluded from participation in, be denied the benefits of, or be
2

Research misconduct refers to fabrication, falsification, or plagiarism in proposing or performing research funded by
NSF, reviewing research proposals submitted to NSF, or in reporting research results funded by NSF. Organizations
involved in international collaborations might find the following document provided by the Organisation for Economic
Co-operation and Development (OECD) to be useful: "Best Practices for Ensuring Scientific Integrity and Preventing
Misconduct”

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subjected to discrimination, under any program or activity receiving financial assistance from NSF, although
some programs may have special requirements that limit eligibility.
Scientists, engineers and educators usually initiate proposals that are officially submitted by their employing
organization. Before formal submission, the proposal may be discussed with appropriate NSF program
staff. Graduate students are not encouraged to submit research proposals, but should arrange to serve as
research assistants to faculty members. Some NSF divisions accept proposals for Doctoral Dissertation
Research Grants when submitted by a faculty member on behalf of the graduate student.
Categories of Proposers
Except where a program solicitation establishes more restrictive eligibility criteria, individuals and
organizations in the following categories may submit proposals:
1.
Universities and Colleges  Universities and two- and four-year colleges (including community
colleges) accredited in, and having a campus located in, the US acting on behalf of their faculty members.
Such organizations also are referred to as academic institutions. Academic institutions located outside the
US fall under paragraph 6. below.
2.
Non-profit, non-academic organizations  Independent museums, observatories, research
laboratories, professional societies and similar organizations located in the US that are directly associated
with educational or research activities.
3.
For-profit organizations  US commercial organizations, especially small businesses with strong
capabilities in scientific or engineering research or education. An unsolicited proposal from a commercial
organization may be funded when the project is of special concern from a national point of view, special
resources are available for the work, or the proposed project is especially meritorious. NSF is interested in
supporting projects that couple industrial research resources and perspectives with those of universities;
therefore, it especially welcomes proposals for cooperative projects involving both universities and the
private commercial sector.
4.
State and Local Governments  State educational offices or organizations and local school
districts may submit proposals intended to broaden the impact, accelerate the pace, and increase the
effectiveness of improvements in science, mathematics and engineering education in both K-12 and postsecondary levels.
5.
Unaffiliated Individuals  Unaffiliated individuals in the US and US citizens rarely receive direct
funding support from NSF. Recipients of federal funds must be able to demonstrate their ability to fully
comply with the requirements specified in 2 CFR § 200, Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards. As such, unaffiliated individuals are strongly
encouraged to affiliate with an organization that is able to meet the requirements specified in 2 CFR § 200.
Unaffiliated individuals must contact the appropriate program officer prior to preparing and submitting a
proposal to NSF.
6.
International organizations  NSF rarely provides support to international organizations. NSF
will consider proposals for cooperative projects involving US and international organizations, provided
support is requested only for the US portion of the collaborative effort.
7.
Other Federal agencies  NSF does not normally support research or education activities by
scientists, engineers or educators employed by Federal agencies or Federally Funded Research and
Development Centers (FFRDCs). Under unusual circumstances, other Federal agencies and FFRDCs
may submit proposals directly to NSF. A proposed project is only eligible for support if it meets one or more
of the following exceptions, as determined by a cognizant NSF Program Officer:
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•

Special Projects. Under exceptional circumstances, research or education projects at other
Federal agencies or FFRDCs that can make unique contributions to the needs of researchers
elsewhere or to other specific NSF objectives may receive NSF support.

•

National and International Programs. The Foundation may fund research and logistic support
activities of other Government agencies or FFRDCs directed at meeting the goals of special
national and international research programs for which the Foundation bears special responsibility,
such as the US Antarctic Research Program.

•

International Travel Awards. In order to ensure appropriate representation or availability of a
particular expertise at an international conference, staff researchers of other Federal agencies may
receive NSF international travel awards.

Proposers who think their project may meet one of the exceptions listed above must contact a cognizant
NSF Program Officer before preparing a proposal for submission. In addition, a scientist, engineer or
educator who has a joint appointment with a university and a Federal agency (such as a Veterans
Administration Hospital, or with a university and a FFRDC) may submit proposals through the university
and may receive support if he/she is a faculty member of the university, although part of his/her salary may
be provided by the Federal agency. Preliminary inquiry must be made to the appropriate program before
preparing a proposal for submission.

F.

When to Submit Proposals

Proposers should allow adequate time for processing of proposals (see Chapter I.H for further information).
Many NSF programs accept proposals at any time. Other programs, however, establish due dates for
submission of proposals. The following types of due dates are utilized by NSF:
1.
Target Dates: dates after which proposals will still be accepted, although they may miss a
particular panel or committee meeting.
2.
Deadline Dates: dates after which proposals will not be accepted or will be returned without review
by NSF. The deadline date will be waived only in extenuating circumstances. Such a deviation may be
authorized only in accordance with Chapter II.A.
Special Exceptions to NSF’s Deadline Date Policy
In the event of a natural or anthropogenic disaster, or when NSF is closed due to inclement weather or
other reason that interferes with an organization’s ability to meet a proposal submission deadline, NSF has
developed the following guidelines for use by impacted organizations.
Natural or Anthropogenic Disasters - Flexibility in meeting announced deadline dates because of a natural
or anthropogenic disaster that impacts a proposer’s ability to submit a proposal to NSF may be granted
with the approval of the cognizant NSF Program Officer. Where possible, such requests should be
submitted in advance of the proposal deadline. Proposers should contact the cognizant NSF Program
Officer in the Division/Office to which they intend to submit their proposal and request authorization to
submit a proposal after the deadline date. Proposers should then follow the written or verbal guidance
provided by the cognizant NSF Program Officer. The Foundation will work with each impacted organization
on a case-by-case basis to address its specific issue(s). Generally, NSF permits extension of the deadline
by up to five business days.
To submit the proposal after the deadline date, proposers must check the “Special Exception to the
Deadline Date Policy” box on the NSF Cover Sheet, indicating NSF approval has been obtained. A
statement identifying the nature of the event that impacted the ability to submit the proposal on time should
be uploaded under Nature of Natural or Anthropogenic event in the Single Copy Document section in
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FastLane. If available, written approval from the cognizant NSF Program Officer also should be uploaded
under the Additional Single Copy Documents in the Single Copy Document section in FastLane.
Closure of NSF – When NSF is closed due to inclement weather or other reason 3, deadline(s) that occurred
during the closure will be extended to the following business day after the closure ends.
3.
Submission Windows: designated periods of time during which proposals will be accepted for
review by NSF. It is NSF’s policy that the end date of a submission window converts to, and is subject to,
the same policies as a deadline date.
These target dates, deadlines, and submission windows are published in specific program descriptions,
program announcements and solicitations that can be obtained through the NSF website. 4 Unless
otherwise stated in a program announcement or solicitation, proposals must be received by the specified
date. If the deadline date falls on a weekend, it will be extended to the following Monday; if the date falls
on a Federal holiday, it will be extended to the following business day. Proposals must be received by 5
p.m. submitter's local time on the established deadline date. 5 Failure to submit by 5.p.m. submitter’s local
time will result in the proposal not being accepted. See Chapter IV.B for additional information.

G.

How to Submit Proposals

1.

Electronic Requirements

Proposals to NSF must be submitted via the NSF FastLane System or via use of Grants.gov. For proposals
prepared and submitted via Grants.gov, the guidelines specified in the NSF Grants.gov Application Guide
apply.

2.

Submission Instructions

The same work/proposal cannot be funded twice. If the proposer envisions review by multiple programs,
more than one program may be designated on the Cover Sheet. The submission of duplicate or
substantially similar proposals concurrently for review by more than one program without prior NSF
approval will result in the return of the redundant proposals. (See Chapter IV.B for further information.)
In submission of a proposal for funding by the Authorized Organizational Representative (AOR), the AOR
is required to provide certain proposal certifications. (See Chapter II.C.1.d for a listing.) This certification
process will occur concurrently with submission of the proposal.

3.
Requirements Relating to Data Universal Numbering System (DUNS) Numbers and
Registration in the System for Award Management (SAM)
Proposers must provide a Dun and Bradstreet (D&B) DUNS number when applying for a new award or
renewal award. NSF requires that organizations registering to use NSF’s electronic systems have a valid
and active SAM registration and have a valid DUNS number. NSF will validate that each proposer’s DUNS
number and SAM registration are active and valid prior to allowing submission of a proposal to NSF. Any
subrecipients named in the proposal also are required to obtain a DUNS number and register in FastLane.
Subrecipients named in the proposal, however, do not need to be registered in SAM.

3

This policy is not intended to cover NSF closures due to lapses in appropriation. In such cases, specific guidance
will be issued, as appropriate.
4A listing of upcoming target dates and deadlines, sorted by date and by program area is available on the NSF website
at: http://nsf.gov/funding/pgm_list.jsp?org=NSF&ord=date.
5 Letters of intent or preliminary proposals also follow the 5 p.m. submitter's local time standard.

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The SAM is the primary registrant database for the US Government. SAM collects, validates, stores, and
disseminates data in support of agency acquisition missions, including Federal agency contract and
assistance awards. This SAM registration must be maintained with current information at all times during
which the organization has an active award or a proposal under consideration by NSF. Failure to comply
with the SAM registration requirement prior to proposal submission may impact the processing of the
proposal. To register in the SAM, go to https://www.sam.gov. Proposers are advised that entity registration
will become active after three to five days when the Internal Revenue Service (IRS) validates the Tax ID
Number.
The organization also is responsible for updating all SAM registration information as it changes. Once an
award is made, failure to maintain current and complete information within SAM will impact receipt of
funding. To maintain an active status in SAM, an organization’s registration must be renewed and
revalidated at least every 12 months from the date of the previous registration. If the registration is not
renewed, it will expire. An expired registration will impact the organization’s ability to submit proposals or
receive grant payments.
SAM is the NSF system of record for organizational information, including financial and address information.
The Legal Business Name and Physical Address information are automatically input into the proposer’s
SAM registration from D&B, and it is the organization’s responsibility to keep this information updated.

4.

NSF ID

The NSF ID is a unique numerical identifier assigned to users by NSF. The NSF ID will be used throughout
NSF’s electronic systems 6 as a login ID and identification verification. Each individual user of NSF systems,
(e.g., Fastlane and Research.gov) should not have more than one NSF ID. Users with more than one NSF
ID should contact the Help Desk at (800) 673-6188 or (703) 292-8142 or by e-mail to [email protected] for
assistance.
Submission of Social Security Numbers (SSNs) only will be requested where it is necessary for business
purposes, e.g., financial reimbursement. An SSN is solicited under NSF Act of 1950, as amended.

5.

Proposal Receipt

Once the proposal is submitted, PIs can check the status of the proposal via use of NSF’s electronic
systems. If a proposal number is not reflected in the electronic systems, contact the Help Desk at (800)
673-6188 or (703) 292-8142 or by e-mail to [email protected].
Communications about the proposal should be addressed to the cognizant NSF Program Officer with
reference to the proposal number. Proposers are strongly encouraged to use NSF’s electronic systems to
verify the status of their submission to NSF.

H.

Proposal Processing

Proposers should allow up to six months for programmatic review and processing (see Chapter III for
additional information on the NSF merit review process). In addition, proposers should be aware that the
NSF Division of Grants and Agreements generally makes awards within 30 days after the program
division/office makes its recommendation. Grants being made to organizations that have not received an
NSF award within the preceding five years, or involving special situations (such as coordination with another
6 NSF has developed a matrix entitled, Electronic Capabilities Modernization Status, that lists NSF’s grantee electronic
capabilities, and whether they can be found in FastLane, Research.gov or both. This matrix will be updated as
appropriate, independent of the PAPPG revision cycle. The Electronic Capabilities Modernization Status website is
available at: http://www.nsf.gov/bfa/dias/policy/estatus_matrix.jsp.

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Federal agency or a private funding source), cooperative agreements, and other unusual arrangements
may require additional review and processing time. Proposals that are time-sensitive (e.g., conference and
group travel) will be accepted for review only if, in the opinion of the cognizant Program Officer, they are
received in sufficient time to permit appropriate NSF review and processing to support an award in advance
of the activity to be supported. Every effort is made to reach a decision and inform the proposer promptly.
Until an award is made, NSF is not responsible for any costs incurred by the proposing organization.

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Chapter II:

Proposal Preparation Instructions

Each proposing organization that is new to NSF or has not had an active NSF assistance award within the
previous five years should be prepared to submit basic organization and management information and
certifications, when requested, to the applicable award-making division within the Office of Budget, Finance
& Award Management (BFA). The requisite information is described in the NSF Prospective New Awardee
Guide. The information contained in this Guide will assist the organization in preparing documents which
NSF requires to conduct administrative and financial reviews of the organization. This Guide also serves
as a means of highlighting the accountability requirements associated with Federal awards.
To facilitate proposal preparation, Frequently Asked Questions (FAQs) regarding proposal preparation and
submission are available on the NSF website. 1
Proposers should also be aware of core strategies that are essential to the fulfillment of NSF’s mission, as
articulated in Investing in Science, Engineering, and Education for the Nation’s Future: NSF Strategic Plan,
2014-2018. These strategies are integrated in the program planning and implementation process, of which
proposal review is one part. NSF’s mission is particularly well-implemented through the integration of
research and education and broadening participation in NSF programs, projects, and activities.
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 NSF awardee organizations. These
organizations recruit, train, and prepare a diverse science, technology, engineering, and mathematics
(STEM) workforce to advance the frontiers of science and participate in the US 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 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,
organizations, 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.

Conformance with Instructions for Proposal Preparation

It is important that all proposals conform to the instructions provided in the proposal preparation instructions
contained in Part I of the PAPPG or the NSF Grants.gov Application Guide. Conformance is required and
will be strictly enforced unless an authorization to deviate from standard proposal preparation requirements
has been approved. NSF will not accept or will return without review proposals that are not consistent with
these instructions. See Chapter IV.B for additional information. NSF authorization to deviate from these
instructions must be received prior to proposal submission. Deviations may be authorized in one of two
ways:
1.

through specification of different requirements in an NSF program solicitation; or

2.

by the written approval of the cognizant NSF Assistant Director/Office Head or designee. These
approvals to deviate from NSF proposal preparation instructions may cover a particular program or
programs or, in rare instances, an individual deviation for a particular proposal.

Proposers may deviate from these instructions only to the extent authorized. Proposals must include an
authorization to deviate from standard NSF proposal preparation instructions in one of the following ways,
as appropriate: (a) by identifying the solicitation number that authorized the deviation in the appropriate
1FAQs

regarding FastLane proposal preparation and submission also are available in FastLane.

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block on the Cover Sheet; or (b) for individual deviations, by identifying the name, date and title of the NSF
official authorizing the deviation.

B.

Format of the Proposal

Prior to submission, it is strongly recommended that proposers conduct an administrative review to ensure
that proposals comply with the proposal preparation guidelines established in Part I of the PAPPG or the
NSF Grants.gov Application Guide. The Proposal Preparation Checklist (Exhibit II-1) may be used to assist
in this review. The checklist is not intended to be an all-inclusive repetition of the required proposal contents
and associated proposal preparation guidelines. It is, however, meant to highlight certain critical items so
they will not be overlooked when the proposal is prepared.
Upon entering the proposal preparation module, the PI will be prompted to select the applicable response
that describes the nature and type of proposal being developed:
1.

Whether the proposal is:

•
•
•

A collaborative proposal from one organization (see Chapter II.D.3.a);
A collaborative proposal from multiple organizations (see Chapter II.D.3.b); or
Not a collaborative proposal.

2.

The type of proposal being developed:

•
•
•
•
•
•
•
•
•
•
•
•
•

Research (see Chapter II, Sections A through C);
RAPID (see Chapter II.E.1);
EAGER (see Chapter II.E.2);
Research Advanced by Interdisciplinary Science and Engineering (RAISE)(see Chapter II.E.3);
Grant Opportunities for Academic Liaison with Industry (GOALI) (see Chapter II.E.4);
Ideas Lab (see Chapter II.E.5);
FASED Proposal (see Chapter II.E.6);
Conference Proposal (see Chapter II.D.7);
Equipment Proposal (see Chapter II.D.8);
Travel Proposal see Chapter II.D.9);
Center Proposal (see relevant funding opportunity);
Proposal for Research Infrastructure (see relevant funding opportunity) or
Fellowship Proposal (see relevant funding opportunity).

The requested proposal information noted above will be used to determine the applicable proposal
preparation business rules that must be followed. Proposers are strongly advised to review the applicable
sections of Part I of the PAPPG pertinent to the type of proposal being developed PRIOR to submission.
Additional information on NSF auto-compliance checks run during the proposal preparation and submission
process can be found at http://www.nsf.gov/bfa/dias/policy/autocompliance.jsp.

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1.

Proposal Pagination Instructions

Proposers are advised that FastLane does not automatically paginate a proposal. Each section of the
proposal that is uploaded as a file should be individually paginated prior to being uploaded to the electronic
system.
2.

Proposal Margin and Spacing Requirements

The proposal must conform to the following requirements:
a.

Use one of the following typefaces identified below:

•
•
•

Arial 2, Courier New, or Palatino Linotype at a font size of 10 points or larger;
Times New Roman at a font size of 11 points or larger; or
Computer Modern family of fonts at a font size of 11 points or larger.

A font size of less than 10 points may be used for mathematical formulas or equations, figures, table or
diagram captions and when using a Symbol font to insert Greek letters or special characters. PIs are
cautioned, however, that the text must still be readable.
b.

No more than six lines of text within a vertical space of one inch.

c.

Margins, in all directions, must be at least an inch.

These requirements apply to all uploaded sections of a proposal, including supplementary
documentation.
3.

Page Formatting

Proposers are strongly encouraged to use only a standard, single-column format for the text.
The guidelines specified above establish the minimum type size requirements; however, PIs are advised
that readability is of paramount importance and should take precedence in selection of an appropriate font
for use in the proposal. Small type size makes it difficult for reviewers to read the proposal;
consequently, the use of small type not in compliance with the above guidelines may be grounds
for NSF to return the proposal without review. Adherence to type size and line spacing requirements
also is necessary to ensure that no proposer will have an unfair advantage, by using smaller type or line
spacing to provide more text in the proposal.

C.

Proposal Contents

1.

Single-Copy Documents

Certain categories of information that are submitted in conjunction with a proposal are for "NSF Use Only."
As such, the information is not provided to reviewers for use in the review of the proposal. With the
exception of proposal certifications (which are submitted via the Authorized Organizational Representative
function 3), these documents should be submitted via the FastLane Proposal Preparation Module. A
summary of each of these categories follows:

2

Macintosh users also may use Helvetica and Palatino typefaces.
instructions for this process are available in FastLane.

3Further

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a.

Authorization to Deviate from NSF Proposal Preparation Requirements (if applicable)

Instructions for obtaining authorization to deviate from NSF proposal preparation instructions are provided
in Chapter II.A.
b.

List of Suggested Reviewers or Reviewers Not to Include (optional)

Proposers may include a list of suggested reviewers (including email address and institutional affiliation)
who they believe are especially well qualified to review the proposal. Proposers also may designate
persons they would prefer not review the proposal, indicating why. These suggestions are optional. Exhibit
II-2 contains information on conflicts of interest that may be useful in preparation of this list.
The cognizant Program Officer handling the proposal considers the suggestions and may contact the
proposer for further information. The decision whether or not to use the suggestions, however, remains
with the Program Officer.
c.

Proprietary or Privileged Information (if applicable)

Instructions for submission of proprietary or privileged information are provided in Chapter II.D.1.
d.

Proposal Certifications

With the exception of the Disclosure of Lobbying Activities (SF LLL) identified below, the procedures for
submission of the proposal certifications differ from those used with other single-copy documents. The
AOR must use the "Authorized Organizational Representative function" in FastLane to sign and submit the
proposal, including the proposal certifications. It is the proposing organization's responsibility to assure
that only properly authorized individuals perform this function. 4
The required proposal certifications are as follows:
•

Certification for Authorized Organizational Representative (AOR) or Individual Proposer:
The AOR is required to complete certifications regarding the accuracy and completeness of
statements contained in the proposal, as well as to certify that the organization (or individual)
agrees to accept the obligation to comply with award terms and conditions.

•

Certification Regarding Conflict of Interest: The AOR is required to complete certifications
stating that the organization has implemented and is enforcing a written policy on conflicts of
interest (COI), consistent with the provisions of Chapter IX.A: that, to the best of his/her knowledge,
all financial disclosures required by the conflict of interest policy were made; and that conflicts of
interest, if any, were, or prior to the organization’s expenditure of any funds under the award, will
be, satisfactorily managed, reduced or eliminated in accordance with the organization’s conflict of
interest policy. Conflicts that cannot be satisfactorily managed, reduced or eliminated, and
research that proceeds without the imposition of conditions or restrictions when a conflict of interest
exists, must be disclosed to NSF via use of NSF’s electronic systems.

•

Drug-Free Workplace: The AOR is required to complete a certification regarding the Drug-Free
Workplace Act. See Exhibit II-3 for the full text of the Drug-Free Workplace Certification.

•

Debarment and Suspension: The AOR is required to complete a certification regarding
Debarment and Suspension. See Exhibit II-4 for the full text of the Debarment and Suspension
Certification.

4Detailed

instructions for completion of this process are available in FastLane.

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•

Certification Regarding Lobbying: When the proposal exceeds $100,000, the AOR is required
to complete a certification regarding lobbying restrictions. The Certification for Contracts, Grants,
Loans and Cooperative Agreements is included in full text on the FastLane submission screen as
well as in Exhibit II-5. The box for "Disclosure of Lobbying Activities" must be checked on the Cover
Sheet only if, pursuant to paragraph 2 of the certification, submission of the SF LLL is required. 5

•

Certification Regarding Nondiscrimination: The AOR is required to complete a certification
regarding compliance with NSF nondiscrimination regulations and policies. See Exhibit II-6 for the
full text of the Nondiscrimination Certification. This certification sets forth the nondiscrimination
obligations with which all grantees must comply. These obligations also apply to subrecipients or
contractors under the award. The proposer, therefore, shall obtain the NSF Nondiscrimination
Certification from each organization that applies to be, or serves as a subrecipient or contractor
under the award (for other than the provision of commercially available supplies, materials,
equipment or general support services) prior to entering into the subaward or contract arrangement.

•

Certification Regarding Flood Hazard Insurance: Two sections of the National Flood Insurance
Act of 1968 (42 USC § 4012a and § 4106) bar Federal agencies from giving financial assistance
for acquisition or construction purposes in any area identified by the Federal Emergency
Management Agency (FEMA) as having special flood hazards unless the:
(1)
community in which that area is located participates in the national flood insurance
program; and
(2)

building (and any related equipment) is covered by adequate flood insurance.

By signing the certification pages, AORs for prospective grantees located in FEMA-designated
special flood hazard areas are certifying that adequate flood insurance has been or will be obtained
in the following situations:
(1)
for NSF grants for the construction of a building or facility, regardless of the dollar amount
of the grant; and
(2)
for other NSF grants when more than $25,000 has been budgeted in the proposal for repair,
alteration or improvement (construction) of a building or facility.
Prospective grantees should contact their local government or a federally-insured financial
institution to determine what areas are identified as having special flood hazards and the availability
of flood insurance in their community.
•

Certification Regarding Responsible Conduct of Research (RCR) 6: The AOR is required to
complete a certification that the institution has a plan to provide appropriate training and oversight
in the responsible and ethical conduct of research to undergraduates, graduate students, and
postdoctoral researchers who will be supported by NSF to conduct research.
Additional information on NSF’s RCR policy is available in the Chapter IX.B. While training plans
are not required to be included in proposals submitted to NSF, institutions are advised that they
are subject to review upon request.

5Detailed

instructions for submission of the SF LLL are available in FastLane.
A wide array of information exists to help inform development of an institution’s RCR training plan. For example,
many professional societies as well as governmental licensing authorities for professional scientists and engineers
have adopted policies or best practices that might be usefully considered. In addition, research is illuminating existing
practices surrounding ethical issues, and providing an evaluation of pedagogical innovations in ethics education.
6

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

Certification Regarding Organizational Support: The AOR is required to complete a certification
that there is organizational support for the proposal as required by Section 526 of the America
COMPETES Reauthorization Act of 2010. This support extends to the portion of the proposal
developed to satisfy the broader impacts review criterion as well as the intellectual merit review
criterion, and any additional review criteria specified in the solicitation. Organizational support will
be made available, as described in the proposal, in order to address the broader impacts and
intellectual merit activities to be undertaken.

•

Certification Regarding Federal Tax Obligations: When the proposal exceeds $5,000,000, the
AOR is required to complete a certification regarding Federal tax obligations. By signing the
certification pages, the AOR certifies that, to the best of his/her knowledge and belief, the proposing
organization:
(1)

has filed all Federal tax returns required during the three years preceding this certification;

(2)

has not been convicted of a criminal offense under the Internal Revenue Code of 1986;
and

(3)
has not, more than 90 days prior to this certification, been notified of any unpaid Federal
tax assessment for which the liability remains unsatisfied, unless the assessment is the subject of
an installment agreement or offer in compromise that has been approved by the Internal Revenue
Service and is not in default, or the assessment is the subject of a non-frivolous administrative or
judicial proceeding.
•

Certification Regarding Unpaid Federal Tax Liability: If the proposer is a corporation, the AOR
(or equivalent) is required to complete a certification that the corporation has no unpaid Federal tax
liability that has been assessed, for which all judicial and administrative remedies have been
exhausted or lapsed, and that is not being paid in a timely manner pursuant to an agreement with
the authority responsible for collecting the tax liability.

•

Certification Regarding Criminal Convictions: If the proposer is a corporation, the AOR (or
equivalent) is required to complete a certification that the corporation has not been convicted of a
felony criminal violation under any Federal law within the 24 months preceding the date on which
the certification is signed.

•

Certification Regarding Dual Use Research of Concern: The AOR is required to complete a
certification that the organization will be or is in compliance with all aspects of the United States
Government Policy for Institutional Oversight of Life Sciences Dual Use Research of Concern.

e.

Collaborators & Other Affiliations Information

The following information regarding collaborators and other affiliations must be separately provided for each
individual identified as senior project personnel:


Collaborators and co-Editors. A list of all persons in alphabetical order (including their current
organizational affiliations) who are currently, or who have been collaborators or co-authors with the
individual on a project, book, article, report, abstract or paper during the 48 months preceding the
submission of the proposal. Also include those individuals who are currently or have been coeditors of a journal, compendium, or conference proceedings during the 24 months preceding the
submission of the proposal. If there are no collaborators or co-editors to report, this should be so
indicated.

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•

Graduate Advisors and Postdoctoral Sponsors. A list of the names in alphabetical order by last
name of the individual’s own graduate advisor(s) and principal postdoctoral sponsor(s), and their
current organizational affiliations, if known.

•

Ph.D. Advisor. A list of all persons with whom the individual has had an association as a Ph.D.
advisor.

The information is used to help identify potential conflicts or bias in the selection of reviewers. See Exhibit
II-2 for additional information on potential reviewer conflicts.
2.

Sections of the Proposal

The sections described below represent the body of a research proposal submitted to NSF. Failure to
submit the required sections will result in the proposal not being accepted 7, or being returned without
review. See Chapter IV.B for additional information.
A full research proposal must contain the following sections 8. Note that the NSF Grants.gov Application
Guide may use different naming conventions, and sections may appear in a different order than in
FastLane, however, the content is the same:
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
k.

Cover Sheet
Project Summary
Table of Contents
Project Description
References Cited
Biographical Sketch(es)
Budget and Budget Justification
Current and Pending Support
Facilities, Equipment and Other Resources
Special Information and Supplementary Documentation
Single Copy Documents
•
Data Management Plan
•
Postdoctoral Mentoring Plan (if applicable)
•
Collaborators & Other Affiliations Information

Proposal preparation instructions for RAPID, EAGER, RAISE, GOALI, FASED, conference, equipment,
travel, center, major research equipment and facility projects, and fellowships may deviate from the above
content requirements. Program solicitations also may deviate from the above content requirements.

7
8

Proposal Not Accepted is defined as FastLane will not permit submission of the proposal.
See Chapter II.E for the proposal preparation requirements for other types of proposals submitted to NSF.

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All proposals to NSF will be reviewed using the two NSB-approved merit review criteria described
in greater length in Chapter III.
a.

Cover Sheet

There are four major components of the Cover Sheet. A number of the boxes contained on the Cover
Sheet are pre-filled as part of the FastLane login process. The information requested on the Cover Sheet
is as follows:
(1)

Awardee & Project/Performance Site Primary Location

The information on the Awardee Organization is pre-filled on the Cover Sheet based on the login information
entered.
(2)

Program Description/Announcement/Solicitation Number

Proposers are required to select the applicable program description, announcement, or solicitation. If the
proposal is not submitted in response to a specific program description, announcement, or solicitation,
proposers should select "Proposal and Award Policies and Procedures Guide." Proposers are advised to
select "No Closing Date" when the proposal is not submitted in response to any relevant NSF funding
opportunity (which includes program descriptions, announcements, or solicitations).
(3)

NSF Unit of Consideration

Proposers must follow instructions for selection of an applicable NSF Division/Office and Program(s) to
which the proposal should be directed.
(4)

Remainder of the Cover Sheet

(a)

Title of Proposed Project

The title of the project must be brief, scientifically or technically valid, and suitable for use in the public
press. NSF may edit the title of a project prior to making an award.
(b)

Budget and Duration Information

The proposed duration for which support is requested should be consistent with the nature and complexity
of the proposed activity. The Foundation encourages proposers to request funding for durations of three
to five years when such durations are necessary for completion of the proposed work and are technically
and managerially advantageous. The requested start date should allow at least six months for NSF review,
processing and decision. The PI should consult his/her organization’s Sponsored Projects Office for
unusual situations (e.g., a long lead time for procurement) that create problems regarding the proposed
start date. Specification of a desired start date for the project is important and helpful to NSF staff; however,
requests for specific start dates may not be met.
(c)

PI Information and co-PI Information

Information (including address information) regarding the PI is derived from login information and is not
entered when preparing the Cover Sheet. The proposal also may identify up to four additional co-PIs.
Each individual's name and either NSF ID or primary registered e-mail address, must be entered in the
boxes provided.

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(d)

Previous NSF Award

If the proposal is a renewal proposal, or an accomplishment-based renewal proposal, the applicable box
must be checked. If yes, the proposer will be requested to select the applicable previous award number.
Some NSF program solicitations require submission of both a preliminary and full proposal as part of the
proposal process. In such cases, the following instructions apply:
(i)
During the preliminary proposal stage, the proposing organization should identify the submission
as a preliminary proposal by checking the block entitled, “Preliminary Proposal” on the Cover Sheet;
(ii)
During the full proposal submission stage, the proposing organization should identify in the block
entitled, “Show Related Preliminary Proposal Number”, the related preliminary proposal number assigned
by NSF.
(e)

Other Federal Agencies

If the proposal is being submitted for consideration by another Federal agency, the abbreviated name(s) of
the Federal agency(ies) must be identified in the spaces provided.
(f)

Awardee Organization Information

The awardee organization name, address, DUNS number and Employer Identification Number/Taxpayer
Identification Number are derived from the profile information provided by the organization or pulled by NSF
from the SAM database and are not entered when preparing the Cover Sheet.
Profit-making organizations must identify their status by checking the appropriate boxes on the Cover
Sheet, using the following guidelines:
•

A small business must be organized for profit, independently owned and operated (not a subsidiary
of or controlled by another firm), have no more than 500 employees, and not be dominant in its
field.

•

A minority business must be: (i) at least 51 percent owned by one or more minority or
disadvantaged individuals or, in the case of a publicly owned business, have at least 51 percent of
the voting stock owned by one or more minority or disadvantaged individuals; and (ii) one whose
management and daily business operations are controlled by one or more such individuals.

•

A woman-owned business must be at least 51 percent owned by a woman or women, who also
control and operate it. "Control" in this context means exercising the power to make policy
decisions. "Operate" in this context means being actively involved in the day-to-day management.

(g)

Project/Performance Site Primary Location

If the project will be performed at the awardee organization, check the designated box. If the project,
however, will be performed at a location other than the awardee, provide the following information (where
applicable):
•
•
•
•
•
•

Organization Name (identify the organization name of the primary site where the work will be
performed, if different than the awardee);
Street;
City;
State;
Country; and
9-digit Zip Code.

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For projects that support research infrastructure and tools, such as vessels, facilities, and telescopes, the
project/performance site should correspond to the physical location of the research asset. For research
assets or projects that are geographically distributed, the proposer should report information for the primary
site, as defined by the proposer. For example, proposals for the operations and maintenance of research
vessels may list the project/performance site as the vessel’s home port.
(h)

Other Information

Should any of the following items on the Cover Sheet apply to a proposal, the applicable box(es) must be
checked.
•
Beginning Investigator (See Chapter II.D.2) (Note: this box is applicable only to proposals submitted
to the Biological Sciences Directorate.)
•
Disclosure of Lobbying Activities (See Chapter II.C.1.d)
•
Proprietary or Privileged Information (See Chapter II.C.1.c and II.D.1)
•
Historic Places (See Chapter II.C.2.j)
•
Vertebrate Animals 9 (See Chapter II.D.4)
•
Human Subjects 10 (See Chapter II.D.5)
•
International Activities Country Name(s) -- For each proposal that describes an international
activity, proposers should list the primary countries involved. A maximum of five countries may be
listed. An international activity is defined as research, training, and/or education carried out in
cooperation with international counterparts either overseas or in the US using virtual technologies.
Proposers also should enter the country/countries with which project participants will engage and/or
travel to attend international conferences. If the specific location of the international conference is
not known at the time of the proposal submission, proposers should enter “Worldwide”. (See
Chapter II.C.2.j)
b.

Project Summary

Each proposal must contain a summary of the proposed project not more than one page in length. The
Project Summary consists of an overview, a statement on the intellectual merit of the proposed activity, and
a statement on the broader impacts of the proposed activity.
The overview includes a description of the activity that would result if the proposal were funded and a
statement of objectives and methods to be employed. The statement on intellectual merit should describe
the potential of the proposed activity to advance knowledge. The statement on broader impacts should
describe the potential of the proposed activity to benefit society and contribute to the achievement of
specific, desired societal outcomes.
The Project Summary should be written in the third person, informative to other persons working in the
same or related fields, and, insofar as possible, understandable to a scientifically or technically literate lay
reader. It should not be an abstract of the proposal.
The Project Summary may ONLY be uploaded as a Supplementary Document if use of special characters
is necessary. Such Project Summaries must be formatted with separate headings for Overview, Intellectual
Merit and Broader Impacts. Failure to include these headings will result in the proposal being returned
without review.

9

If the proposal includes use of vertebrate animals, supplemental information is required. See Chapter II.D.7 for
additional information.
10 If the proposal includes use of human subjects, supplemental information is required. See Chapter II.D.8 for
additional information.

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c.

Table of Contents

A Table of Contents is automatically generated for the proposal. The proposer cannot edit this form.
d.

Project Description (including Results from Prior NSF Support)

(i)

Content

The Project Description should provide a clear statement of the work to be undertaken and must include
the objectives for the period of the proposed work and expected significance; the relationship of this work
to the present state of knowledge in the field, as well as to work in progress by the PI under other support.
The Project Description should outline the general plan of work, including the broad design of activities to
be undertaken, and, where appropriate, provide a clear description of experimental methods and
procedures. Proposers should address what they 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. The
project activities may be based on previously established and/or innovative methods and approaches, but
in either case must be well justified. These issues apply to both the technical aspects of the proposal and
the way in which the project may make broader contributions.
The Project Description must contain, as a separate section within the narrative, a section labeled
“Broader Impacts”. This section should provide a discussion of the broader impacts of the proposed
activities. Broader impacts may be accomplished through the research itself, through the activities that are
directly related to specific research projects, or through activities that are supported by, but are
complementary to the project. NSF values the advancement of scientific knowledge and activities that
contribute to the achievement of societally relevant outcomes. Such outcomes include, but are not limited
to: full participation of women, persons with disabilities, and underrepresented minorities in science,
technology, engineering, and mathematics (STEM); improved STEM education and educator development
at any level; increased public scientific literacy and public engagement with science and technology;
improved well-being of individuals in society; development of a diverse, globally competitive STEM
workforce; increased partnerships between academia, industry, and others; improved national security;
increased economic competitiveness of the US; and enhanced infrastructure for research and education.
Plans for data management and sharing of the products of research, including preservation, documentation,
and sharing of data, samples, physical collections, curriculum materials and other related research and
education products should be described in the Special Information and Supplementary Documentation
section of the proposal (see Chapter II.C.2.j for additional instructions for preparation of this section).
(ii)

Page Limitations and Inclusion of Uniform Resource Locators (URLs) within the Project
Description

Brevity will assist reviewers and Foundation staff in dealing effectively with proposals. Therefore, the
Project Description (including Results from Prior NSF Support, which is limited to five pages) may not
exceed 15 pages. Visual materials, including charts, graphs, maps, photographs and other pictorial
presentations are included in the 15-page limitation. PIs are cautioned that the Project Description must
be self-contained and that URLs must not be used because: 1) the information could circumvent page
limitations; 2) the reviewers are under no obligation to view the sites; and 3) the sites could be altered or
deleted between the time of submission and the time of review.
Conformance to the 15-page limit will be strictly enforced and may not be exceeded unless a deviation has
been specifically authorized. (Chapter II.A contains information on deviations.)

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(iii)

Results from Prior NSF Support

The purpose of this section is to assist reviewers in assessing the quality of prior work conducted with
current or prior NSF funding. If any PI or co-PI identified on the proposal has received NSF support with
a start date 11 in the past five years (including any current funding and no cost extensions), information on
the award is required for each PI and co-PI, regardless of whether the support was directly related to the
proposal or not. In cases where the PI or any co-PI has received more than one award (excluding
amendments to existing awards), they need only report on the one award that is most closely related to the
proposal. Support includes not just salary support, but any funding awarded by NSF. NSF awards such
as standard or continuing grants, Graduate Research Fellowship, Major Research Instrumentation, travel,
conference, and center awards, etc., are subject to this requirement.
The following information must be provided:
(a)

the NSF award number, amount and period of support;

(b)

the title of the project;

(c)

a summary of the results of the completed work, including accomplishments, supported by the
award. The results must be separately described under two distinct headings: Intellectual Merit
and Broader Impacts;

(d)

a listing of the publications resulting from the NSF award (a complete bibliographic citation for each
publication must be provided either in this section or in the References Cited section of the
proposal); if none, state “No publications were produced under this award.”

(e)

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;
and

(f)

if the proposal is for renewed support, a description of the relation of the completed work to the
proposed work.

If the project was recently awarded and therefore no new results exist, describe the major goals and broader
impacts of the project. Note that the proposal may contain up to five pages to describe the results. Results
may be summarized in fewer than five pages, which would give the balance of the 15 pages for the Project
Description.
(iv)

Unfunded Collaborations

Any substantial collaboration with individuals not included in the budget should be described in the
Facilities, Equipment and Other Resources section of the proposal (see Chapter II.C.2.i) and documented
in a letter of collaboration from each collaborator. Such letters should be provided in the supplementary
documentation section of the FastLane Proposal Preparation Module and follow the format instructions
specified in Chapter II.C.2.j. Collaborative activities that are identified in the budget should follow the
instructions in Chapter II.D.3.
(v)

Group Proposals

NSF encourages submission of proposals by groups of investigators; often these are submitted to carry out
interdisciplinary projects. Unless stipulated in a specific program solicitation, however, such proposals will
be subject to the 15-page Project Description limitation established in Section (ii) above. PIs who wish to

11

Previously referred to as the effective date.

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exceed the established page limitations for the Project Description must request and receive a deviation in
advance of proposal submission. (Chapter II.A contains information on deviations.)
(vi)

Proposals for Renewed Support

See Chapter V for guidance on preparation of renewal proposals.
e.

References Cited

Reference information is required. Each reference must include the names of all authors (in the same
sequence in which they appear in the publication), the article and journal title, book title, volume number,
page numbers, and year of publication. (See also Chapter II.C.2.d(iii)(d)) If the proposer has a website
address readily available, that information should be included in the citation. It is not NSF's intent, however,
to place an undue burden on proposers to search for the URL of every referenced publication. Therefore,
inclusion of a website address is optional. A proposal that includes reference citation(s) that do not specify
a URL is not considered to be in violation of NSF proposal preparation guidelines and the proposal will still
be reviewed.
Proposers must be especially careful to follow accepted scholarly practices in providing citations for source
materials relied upon when preparing any section of the proposal. While there is no established page
limitation for the references, this section must include bibliographic citations only and must not be used to
provide parenthetical information outside of the 15-page Project Description.
f.

Biographical Sketch(es)

(i)

Senior Personnel

A biographical sketch (limited to two pages) is required for each individual identified as senior personnel.
(See Exhibit II-7 for the definitions of Senior Personnel.) Proposers may elect to use third-party solutions,
such as NIH’s SciENcv to develop and maintain their biographical sketch. However, proposers are advised
that they are still responsible for ensuring that biographical sketches created using third-party solutions are
compliant with NSF proposal preparation requirements.
The following information must be provided in the order and format specified below. Inclusion of additional
information beyond that specified below may result in the proposal being returned without review.
Do not submit any personal information in the biographical sketch. This includes items such as: home
address; home telephone, fax, or cell phone numbers; home e-mail address; drivers’ license numbers;
marital status; personal hobbies; and the like. Such personal information is not appropriate for the
biographical sketch and is not relevant to the merits of the proposal. NSF is not responsible or in any way
liable for the release of such material. (See also Chapter III.H).
(a)

Professional Preparation

A list of the individual’s undergraduate and graduate education and postdoctoral training (including location)
as indicated below:
Undergraduate Institution(s)
Graduate Institution(s)
Postdoctoral Institution(s)
(b)

Location
Location
Location

Major
Major
Area

Degree & Year
Degree & Year
Inclusive Dates (Years)

Appointments

A list, in reverse chronological order, of all the individual’s academic/professional appointments beginning
with the current appointment.
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(c)

Products

A list of: (i) up to five products most closely related to the proposed project; and (ii) up to five other significant
products, whether or not related to the proposed project. Acceptable products must be citable and
accessible including but not limited to publications, data sets, software, patents, and copyrights.
Unacceptable products are unpublished documents not yet submitted for publication, invited lectures, and
additional lists of products. Only the list of ten will be used in the review of the proposal.
Each product must include full citation information including (where applicable and practicable) names of
all authors, date of publication or release, title, title of enclosing work such as journal or book, volume,
issue, pages, website and URL, or other Persistent Identifier.
If only publications are included, the heading “Publications” may be used for this section of the Biographical
Sketch.
(d)

Synergistic Activities

A list of up to five examples that demonstrate the broader impact of the individual’s professional and
scholarly activities that focuses on the integration and transfer of knowledge as well as its creation.
Examples could include, among others: innovations in teaching and training (e.g., development of curricular
materials and pedagogical methods); contributions to the science of learning; development and/or
refinement of research tools; computation methodologies, and algorithms for problem-solving; development
of databases to support research and education; broadening the participation of groups underrepresented
in STEM; and service to the scientific and engineering community outside of the individual’s immediate
organization.
In FastLane, biographical sketches for senior personnel may no longer be grouped together and
uploaded in a single PDF file associated with the PI. Each individual’s biographical sketch must be
uploaded as a single PDF file associated with that individual.
(ii)

Other Personnel

For the personnel categories listed below, the proposal also may include information on exceptional
qualifications that merit consideration in the evaluation of the proposal. Such information should be clearly
identified as “Other Personnel” biographical information and uploaded as a single PDF file in the Other
Supplementary Documents section of the proposal.
(a)

Postdoctoral associates

(b)

Other professionals

(c)

Students (research assistants)

(iii)

Equipment Proposals

For equipment proposals, the following must be provided for each auxiliary user:
(a)

Short biographical sketch; and

(b)

List of up to five publications most closely related to the proposed acquisition.

Such information should be clearly identified as “Equipment Proposal” biographical information and
uploaded as a single PDF file in the Other Supplementary Documents section of the proposal.
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g.

Budget and Budget Justification

Each proposal must contain a budget for each year of support requested. The budget justification must be
no more than three pages per proposal. The amounts for each budget line item requested must be
documented and justified in the budget justification as specified below. For proposals that contain a
subaward(s), each subaward must include a separate budget justification of no more than three pages.
See g.(vi)(e) below for further instructions on proposals that contain subawards.
The proposal may request funds under any of the categories listed so long as the item and amount are
considered necessary, reasonable, allocable, and allowable under 2 CFR § 200, Subpart E, NSF policy,
and/or the program solicitation. For-profit entities are subject to the cost principles contained in the Federal
Acquisition Regulation, Part 31. Amounts and expenses budgeted also must be consistent with the
proposing organization's policies and procedures and cost accounting practices used in accumulating and
reporting costs.
Proposals for large facilities also should consult NSF’s Large Facilities Manual for additional budgetary
preparation guidelines.
(i)

Salaries and Wages (Lines A and B on the Proposal Budget)

(a)

Senior Personnel Salaries & Wages Policy

NSF regards research as one of the normal functions of faculty members at institutions of higher
education. Compensation for time normally spent on research within the term of appointment is deemed
to be included within the faculty member’s regular organizational salary.
As a general policy, NSF limits the salary compensation requested in the proposal budget for senior
personnel to no more than two months of their regular salary in any one year. This limit includes salary
compensation received from all NSF-funded grants. This effort must be documented in accordance with
2 CFR § 200, Subpart E, including 2 CFR § 200.430(i), If anticipated, any compensation for such personnel
in excess of two months must be disclosed in the proposal budget, justified in the budget justification, and
must be specifically approved by NSF in the award notice budget. 12 Under normal rebudgeting authority,
as described in Chapters VII and X, a recipient can internally approve an increase or decrease in person
months devoted to the project after an award is made, even if doing so results in salary support for senior
personnel exceeding the two month salary policy. No prior approval from NSF is necessary as long as that
change would not cause the objectives or scope of the project to change. NSF prior approval is necessary
if the objectives or scope of the project change.
These same general principles apply to other types of non-academic organizations.
(b)

Administrative and Clerical Salaries & Wages Policy

In accordance with 2 CFR § 200.413, the salaries of administrative and clerical staff should normally be
treated as indirect (F&A) costs. Direct charging of these costs may be appropriate only if all the conditions
identified below are met:
(i)
Administrative or clerical services are integral to a project or activity;
(ii)
Individuals involved can be specifically identified with the project or activity;
(iii)
Such costs are explicitly included in the approved budget or have the prior written approval of the
cognizant NSF Grants Officer; and
12NSF

awardees remain subject to the provisions of OMB M-01-06, “Clarification of OMB A-21 Treatment of Voluntary
Uncommitted Cost Sharing and Tuition Remission Costs,” regarding requirements for committing and tracking “some
level” of faculty (or senior researcher) effort as part of the organized research base.

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(iv)

The costs are not also recovered as indirect costs.

Conditions (i) (ii) and (iv) above are particularly relevant for consideration at the budget preparation stage.
(c)

Procedures

The names of the PI(s), faculty, and other senior personnel and the estimated number of full-time-equivalent
person-months for which NSF funding is requested, and the total amount of salaries requested per year,
must be listed. For consistency with the NSF cost sharing policy, if person months will be requested for
senior personnel, a corresponding salary amount must be entered on the budget. If no person months and
no salary are being requested for senior personnel, they should be removed from Section A of the budget.
Their name(s) will remain on the Cover Sheet and the individual(s) role on the project should be described
in the Facilities, Equipment and Other Resources section of the proposal.
For postdoctoral associates and other professionals, the total number of persons for each position must be
listed, with the number of full-time-equivalent person-months and total amount of salaries requested per
year. For graduate and undergraduate students, secretarial, clerical, technical, etc., whose time will be
charged directly to the project, only the total number of persons and total amount of salaries requested per
year in each category is required. Compensation classified as salary payments must be requested in the
salaries and wages category. Salaries requested must be consistent with the organization’s regular
practices. The budget justification should detail the rates of pay by individual for senior personnel,
postdoctoral associates, and other professionals.
(d)

Confidential Budgetary Information

The proposing organization may request that salary data on senior personnel not be released to persons
outside the Government during the review process. In such cases, the item for senior personnel salaries in
the proposal may appear as a single figure and the person-months represented by that amount omitted. If
this option is exercised, senior personnel salaries and person-months must be itemized in a separate
statement, and forwarded to NSF in accordance with the instructions specified in Chapter II.D.1. This
statement must include all of the information requested on the proposal budget for each person involved.
NSF will not forward the detailed information to reviewers and will hold it privileged to the extent permitted
by law. The information on senior personnel salaries will be used as the basis for determining the salary
amounts shown in the budget. The box for "Proprietary or Privileged Information" must be checked on the
Cover Sheet when the proposal contains confidential budgetary information. 13
(ii)

Fringe Benefits (Line C on the Proposal Budget)

If the proposer’s usual accounting practices provide that its contributions to employee benefits (leave,
employee insurance, social security, retirement, other payroll-related taxes, etc.) be treated as direct costs,
NSF grant funds may be requested to fund fringe benefits as a direct cost. These are typically determined
by application of a calculated fringe benefit rate for a particular class of employee (full time or part-time)
applied to the salaries and wages requested. They also may be paid based on actual costs for individual
employees, if that institutional policy has been approved by the cognizant federal agency. See 2 CFR §
200.431 for the definition and allowability of inclusion of fringe benefits on a proposal budget.
(iii)

Equipment (Line D on the Proposal Budget)

Equipment is defined as tangible personal property (including information technology systems) having a
useful life of more than one year and a per-unit acquisition cost which equals or exceeds the lesser of the
capitalization level established by the proposer for financial statement purposes, or $5,000. It is important
to note that the acquisition cost of equipment includes modifications, attachments, and accessories

13Detailed

instructions for submission of confidential budgetary information are available in FastLane.

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necessary to make the property usable for the purpose for which it will be purchased. Items of needed
equipment must be adequately justified, listed individually by description and estimated cost.
Allowable items ordinarily will be limited to research equipment and apparatus not already available for the
conduct of the work. General purpose equipment such as office equipment and furnishings, and information
technology equipment and systems are typically not eligible for direct cost support. Special purpose or
scientific use computers or associated hardware and software, however, may be requested as items of
equipment when necessary to accomplish the project objectives and not otherwise reasonably available.
Any request to support such items must be clearly disclosed in the proposal budget, justified in the budget
justification, and be included in the NSF award budget. See 2 CFR § 200.313 for additional information.
(iv)

Travel (Line E on the Proposal Budget)

(a)

General

When anticipated, travel and its relation to the proposed activities must be specified, itemized and justified
by destination and cost. Funds may be requested for field work, attendance at meetings and conferences,
and other travel associated with the proposed work, including subsistence. In order to qualify for support,
however, attendance at meetings or conferences must be necessary to accomplish proposal objectives, or
disseminate its results. Travel support for dependents of key project personnel may be requested only when
the travel is for a duration of six months or more either by inclusion in the approved budget or with the prior
written approval of the cognizant NSF Grants and Agreements Officer. Temporary dependent care costs
above and beyond regular dependent care that directly result from travel to conferences are allowable costs
provided that the conditions established in 2 CFR § 200.474 are met.
Allowance for air travel normally will not exceed the cost of round-trip, economy airfares. Persons traveling
under NSF grants must travel by US-Flag Air carriers, if available.
(b)

Domestic Travel

Domestic travel includes travel within and between the US, its territories and possessions. 14 Travel, meal
and hotel expenses of grantee employees who are not on travel status are unallowable. Costs of
employees on travel status are limited to those specifically authorized by 2 CFR § 200.474.
(c)

International Travel

Travel outside the areas specified above is considered international travel. When anticipated, the proposal
must include relevant information, including countries to be visited (also enter names of countries on the
proposal budget), dates of visit, if known.
(v)

Participant Support (Line F on the Proposal Budget)

This budget category refers to direct costs for items such as stipends or subsistence allowances, travel
allowances, and registration fees paid to or on behalf of participants or trainees (but not employees) in
connection with NSF-sponsored conferences or training projects. Any additional categories of participant
support costs other than those described in 2 CFR § 200.75 (such as incentives, gifts, souvenirs, t-shirts
and memorabilia), must be justified in the budget justification, and such costs will be closely scrutinized by
NSF. (See also Chapter II.E.7) For some educational projects conducted at local school districts, however,
the participants being trained are employees. In such cases, the costs must be classified as participant
14

According to the IRS, US territories and possessions are as follows: Puerto Rico, US Virgin Islands, Guam, American
Samoa, the Commonwealth of the Northern Mariana Islands, Midway Island, Wake Island, Palmyra Island, Howland
Island, Johnston Island, Baker Island, Kingman Reef, Jarvis Island, and other US islands, cays, and reefs that are not
part of any of the fifty states. See also: http://www.irs.gov/Individuals/International-Taxpayers/Persons-Employed-InU.S.-Possessions.

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support if payment is made through a stipend or training allowance method. The school district must have
an accounting mechanism in place (i.e., sub-account code) to differentiate between regular salary and
stipend payments.
To help defray the costs of participating in a conference or training activity, funds may be proposed for
payment of stipends, per diem or subsistence allowances, based on the type and duration of the activity.
Such allowances must be reasonable, in conformance with the policy of the proposing organization and
limited to the days of attendance at the conference plus the actual travel time required to reach the
conference location. Where meals or lodgings are furnished without charge or at a nominal cost (e.g., as
part of the registration fee), the per diem or subsistence allowance should be correspondingly reduced.
Although local participants may participate in conference meals and coffee breaks, funds may not be
proposed to pay per diem or similar expenses for local participants in the conference.
Funds may be requested for the travel costs of participants. If so, the restrictions regarding class of
accommodations and use of US-Flag air carriers are applicable. 15 In training activities that involve field
trips, costs of transportation of participants are allowable. The number of participants to be supported must
be entered in the parentheses on the proposal budget. Participant support costs must be specified,
itemized and justified in the budget justification section of the proposal. Indirect costs (F&A) are not allowed
on participant support costs. Participant support costs must be accounted for separately should an award
be made.
(vi)

Other Direct Costs (Lines G1 through G6 on the Proposal Budget)

Any costs proposed to an NSF grant must be allowable, reasonable and directly allocable to the supported
activity. When anticipated, the budget must identify and itemize other anticipated direct costs not included
under the headings above, including materials and supplies, publication costs, computer services and
consultant services. Examples include aircraft rental, space rental at research establishments away from
the grantee organization, minor building alterations, payments to human subjects, and service charges.
Reference books and periodicals may be charged to the grant only if they are specifically allocable to the
project being supported by NSF.
(a)
Materials and Supplies (including Costs of Computing Devices) (Line G1 on the Proposal
Budget)
When anticipated, the proposal budget justification must indicate the general types of expendable materials
and supplies required. Supplies are defined as all tangible personal property other than those described in
paragraph (d)(iii) above. A computing device is considered a supply if the acquisition cost is less than the
lesser of the capitalization level established by the proposer or $5,000, regardless of the length of its useful
life. In the specific case of computing devices, charging as a direct cost is allowable for devices that are
essential and allocable, but not solely dedicated, to the performance of the NSF award. Details and
justification must be included for items requested to support the project.
(b)
Publication/Documentation/Dissemination (Line G2 on the Proposal Budget)
The proposal budget may request funds for the costs of documenting, preparing, publishing or otherwise
making available to others the findings and products of the work conducted under the grant. This generally
includes the following types of activities: reports, reprints, page charges or other journal costs (except costs
for prior or early publication); necessary illustrations; cleanup, documentation, storage and indexing of data
and databases; development, documentation and debugging of software; and storage, preservation,
documentation, indexing, etc., of physical specimens, collections or fabricated items.

15

See Chapter XI.F and Grant General Conditions (GC-1) Article 10 for additional information on travel restrictions.

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(c)

Consultant Services (also referred to as Professional Service Costs) (Line G3 on the
Proposal Budget)

The proposal budget may request costs for professional and consultant services. Professional and
consultant services are services rendered by persons who are members of a particular profession or
possess a special skill, and who are not officers or employees of the proposing organization. Costs of
professional and consultant services are allowable when reasonable in relation to the services rendered
and when not contingent upon recovery of costs from the Federal government. Anticipated services must
be justified and information furnished on each individual’s expertise, primary organizational affiliation,
normal daily compensation rate, and number of days of expected service. Consultants’ travel costs,
including subsistence, may be included. If requested, the proposer must be able to justify that the proposed
rate of pay is reasonable. Additional information on the allowability of consultant or professional service
costs is available in 2 CFR § 200.459. In addition to other provisions required by the proposing organization,
all contracts made under the NSF award must contain the applicable provisions identified in 2 CFR § 200
Appendix II.
(d)

Computer Services (Line G4 on the Proposal Budget)

The cost of computer services, including computer-based retrieval of scientific, technical and educational
information, may be requested only where it is institutional policy to charge such costs as direct charges.
A justification based on the established computer service rates at the proposing organization must be
included. The proposal budget also may request costs for leasing of computer equipment. As noted in
Chapter II.C.2.g(iii), general purpose (such as word processing, spreadsheets, communication) computer
equipment should not be requested. Note: See paragraph (a) above for guidance on acquisition of
computing devices.
(e)

Subawards 16 (Line G5 on the Proposal Budget)

Except for the purchase of materials and supplies, equipment or general support services allowable under
the grant, no portion of the proposed activity may be subawarded, transferred, or contracted out to another
organization without written prior NSF authorization. Such authorization must be provided either through
inclusion of the subaward(s) on an NSF award budget or by receiving written prior approval from the
cognizant NSF Grants and Agreements Officer after an award is issued.
If known at the time of proposal submission, the intent to enter into such arrangements must be disclosed
in the proposal. A separate budget and a budget justification of no more than three pages, must be provided
for each subrecipient, if already identified, along with a description of the work to be performed.
All proposing organizations are required to make a case-by-case determination regarding the role of a
subrecipient versus contractor for each agreement it makes. 2 CFR § 200.330 provides characteristics of
each type of arrangement to assist proposing organizations in making that determination. However,
inclusion of a subaward or contract in the proposal budget or submission of a request after issuance of an
NSF award to add a subaward or contract will document the organizational determination required.
It is NSF’s expectation that, consistent with 2 CFR § 200.414, NSF grantees will use the domestic
subrecipient’s applicable US federally negotiated indirect cost rate(s). If no such rate exists, the NSF
awardee may either negotiate a rate or will fund the subrecipient using the de minimis indirect cost rate
recovery of 10% of modified total direct costs.
It is also NSF’s expectation that NSF granteeswill use the international subrecipient’s applicable US
federally negotiated indirect cost rate(s). However, if no such rate exists, the NSF awardee will fund the
international subrecipient using the de minimis indirect cost rate recovery of 10% of modified total direct
costs.
16A subaward may be provided through any form of legal agreement, including an agreement that the proposing
organization considers a contract. The substance of the relationship is more important than the form of the agreement.

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(f)

Other (Line G6 on the Proposal Budget)

Any other direct costs not specified in Lines G1 through G5 must be identified on Line G6. Such costs must
be itemized and detailed in the budget justification.
(vii)

Total Direct Costs (Line H on the Proposal Budget)

The total amount of direct costs requested in the budget, to include Lines A through G, must be entered on
Line H.
(viii)

Indirect Costs (also known as Facilities and Administrative Costs (F&A) for Colleges and
Universities) (Line I on the Proposal Budget)

Except where specifically identified in an NSF program solicitation, the applicable US federally negotiated
indirect cost rate(s) must be used in computing indirect costs (F&A) for a proposal. Use of an indirect cost
rate lower than the organization’s current negotiated indirect cost rate is considered a violation of NSF’s
cost sharing policy. The amount for indirect costs should be calculated by applying the current negotiated
indirect cost rate(s) to the approved base(s). Indirect cost recovery for colleges, universities, and other
organizations of higher education are additionally restricted by 2 CFR § 200, Appendix III, paragraph C.7.
which specifies Federal agencies are required to use the negotiated F&A rate that is in effect at the time of
the initial award throughout the life of the sponsored agreement. Additional information on the charging of
indirect costs to an NSF award is available in Chapter X.D.
Domestic proposing organizations that do not have a current negotiated rate agreement with a cognizant
Federal agency, and who are requesting more than a de minimis 10% recovery of modified total direct costs
should prepare an indirect cost proposal based on expenditures for its most recently ended fiscal year.
Based on the information provided in the indirect cost proposal, NSF may negotiate an award-specific rate
to be used only on the award currently being considered for funding. No supporting documentation is
required for proposed rates of 10% or less of modified total direct costs. The contents and financial data
included in indirect cost proposals vary according to the make-up of the proposing organization.
Instructions
for
preparing
an
indirect
cost
rate
proposal
can
be
found
at:
http://www.nsf.gov/bfa/dias/caar/docs/idcsubmissions.pdf. NSF formally negotiates indirect cost rates for
the organizations for which NSF has rate cognizance. NSF does not negotiate rates for organizations that
are not direct recipients of NSF funding (e.g., subrecipients). The prime grantee is responsible for ensuring
that proposed subrecipient costs, including indirect costs, are reasonable and appropriate.
International organizations that do not have a current US federally negotiated indirect cost rate(s) are limited
to a de minimis indirect cost rate recovery of 10% of modified total direct costs. International grantees that
have a US federally negotiated indirect cost rate(s) may recover indirect costs at the current negotiated
rate.
(ix)

Total Direct and Indirect Costs (F&A) (Line J on the Proposal Budget)

The total amount of direct and indirect costs (F&A) (sum of Lines H and I) must be entered on Line J.
(x)

Fees (Line K on the Proposal Budget)

This line is available for use only by the SBIR/STTR programs.
(xi)
Amount of This Request (Line L on the Proposal Budget)
The total amount of funds requested by the proposer.

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(xii)

Cost Sharing (Line M on the Proposal Budget)

The National Science Board issued a report entitled “Investing in the Future: NSF Cost Sharing Policies for
a Robust Federal Research Enterprise” (NSB 09-20, August 3, 2009), which contained eight
recommendations for NSF regarding cost sharing. In implementation of the Board’s recommendation,
NSF’s guidance 17 is as follows:
Voluntary Committed and Uncommitted Cost Sharing
As stipulated in 2 CFR §200.99, “Voluntary committed cost sharing means cost sharing specifically pledged
on a voluntary basis in the proposal's budget or the Federal award on the part of the non-Federal entity and
that becomes a binding requirement of Federal award.” As such, to be considered voluntary committed cost
sharing, the amount must appear on the NSF budget, or be specifically identified in the approved NSF
budget. 18 Unless required by NSF (see the section on Mandatory Cost Sharing below, inclusion of voluntary
committed cost sharing is prohibited and Line M on the proposal budget will not be available for use by the
proposer. NSF Program Officers are not authorized to impose or encourage mandatory cost sharing unless
such requirements are explicitly included in the program solicitation.
In order for NSF, and its reviewers, to assess the scope of a proposed project, all organizational resources
necessary for, and available to, a project must be described in the Facilities, Equipment and Other
Resources section of the proposal (see Chapter II.C.2.i for further information). While not required by NSF,
awardee organizations may, at their own discretion, continue to contribute voluntary uncommitted cost
sharing to NSF-sponsored projects. As noted above, however, these resources are not auditable by
NSF and should not be included in the proposal budget or budget justification.
Mandatory Cost Sharing
Mandatory cost sharing will only be required for NSF programs when explicitly authorized by the NSF
Director, the National Science Board, or legislation. A complete listing of NSF programs that require cost
sharing is available on the NSF website at: http://www.nsf.gov/bfa/dias/policy/. In these programs, cost
sharing requirements will be clearly identified in the solicitation and must be included on Line M of the
proposed budget. For purposes of budget preparation, the cumulative cost sharing amount must be
entered on Line M of the first year’s budget. Should an award be made, the organization’s cost sharing
commitment, as specified on the first year’s approved budget, must be met prior to the award end date.
Such cost sharing will be considered as an eligibility, rather than a review criterion. Proposers are advised
not to exceed the mandatory cost sharing level or amount specified in the solicitation. 19 When mandatory
cost sharing is included on Line M, and accepted by the Foundation, the commitment of funds becomes
legally binding and is subject to audit. When applicable, the estimated value of any in-kind contributions
also should be included on Line M. An explanation of the source, nature, amount and availability of any
proposed cost sharing must be provided in the budget justification 20. It should be noted that contributions
derived from other Federal funds or counted as cost sharing toward projects of another Federal agency
must not be counted towards meeting the specific cost sharing requirements of the NSF award.
Failure to provide the level of cost sharing required by the NSF solicitation and reflected in the NSF award
budget may result in termination of the NSF award, disallowance of award costs and/or refund of award
funds to NSF by the awardee.

17

See NSF’s Revised Cost Sharing Policy Statement for the Foundation’s overarching policies on cost sharing.
Inclusion in the Budget Justification also meets this definition.
19 For further information on procedures for inclusion of programmatic cost sharing in an NSF solicitation, see
http://www.nsf.gov/bfa/dias/policy/csdocs/principles.pdf.
20 2 CFR § 200.306 describes criteria and procedures for the allowability of cash and in-kind contributions in satisfying
cost sharing and matching requirements.
18

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(xiii

Allowable and Unallowable Costs

2 CFR § 200, Subpart E provides comprehensive information regarding costs allowable under Federal
awards. The following categories of unallowable costs are highlighted because of their sensitivity:
(a)

Entertainment

Costs of entertainment, amusement, diversion and social activities, and any costs directly associated with
such activities (such as tickets to shows or sporting events, meals, lodging, rentals, transportation and
gratuities) are unallowable.
(b)

Meals and Coffee Breaks

No funds may be requested for meals or coffee breaks for intramural meetings of an organization or any of
its components, including, but not limited to, laboratories, departments and centers. (See 2 CFR 200.432,
for additional information on the charging of certain types of costs generally associated with conferences
supported by NSF.)
(c)

Alcoholic Beverages

No NSF funds may be spent on alcoholic beverages.
h.

Current and Pending Support

This section of the proposal calls for required information on all current and pending support for ongoing
projects and proposals, including this project, and any subsequent funding in the case of continuing
grants. All current project support from whatever source (e.g., Federal, State, local or international
government agencies, public or private foundations, industrial or other commercial organizations, or internal
funds allocated toward specific projects) must be listed. The proposed project and all other projects or
activities requiring a portion of time of the PI and other senior personnel must be included, even if they
receive no salary support from the project(s). The total award amount for the entire award period covered
(including indirect costs) must be shown as well as the number of person-months per year to be devoted
to the project, regardless of source of support. Similar information must be provided for all proposals
already submitted or submitted concurrently to other possible sponsors, including NSF. Concurrent
submission of a proposal to other organizations will not prejudice its review by NSF. The Biological
Sciences Directorate exception to this policy is delineated in Chapter II.D.2.
If the project now being submitted has been funded previously by a source other than NSF, the information
requested in the paragraph above must be furnished for the last period of funding.
In FastLane, current and pending support for all senior personnel may no longer be grouped together and
uploaded in a single PDF file associated with the PI. Each individual’s current and pending support must
be uploaded as a single PDF file or inserted as text associated with that individual.
i.

Facilities, Equipment and Other Resources

This section of the proposal is used to assess the adequacy of the resources available to perform the effort
proposed to satisfy both the Intellectual Merit and Broader Impacts review criteria. Proposers should
describe only those resources that are directly applicable. Proposers should include an aggregated
description of the internal and external resources (both physical and personnel) that the organization and
its collaborators will provide to the project, should it be funded. Such information must be provided in this
section, in lieu of other parts of the proposal (e.g., budget justification, project description). The description
should be narrative in nature and must not include any quantifiable financial information. Reviewers will
evaluate the information during the merit review process and the cognizant NSF Program Officer will review
it for programmatic and technical sufficiency.
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Although these resources are not considered voluntary committed cost sharing as defined in 2 CFR §
200.306, the Foundation does expect that the resources identified in the Facilities, Equipment, and Other
Resources section will be provided, or made available, should the proposal be funded. Chapter VII.B.1
specifies procedures for use by the awardee when there are postaward changes to objectives, scope or
methods/procedures.
j.

Special Information and Supplementary Documentation

Except as specified below, special information and supplementary documentation must be included as part
of the Project Description (or part of the budget justification), if it is relevant to determining the quality of the
proposed work. Information submitted in the following areas is not considered part of the 15-page Project
Description limitation. This Special Information and Supplementary Documentation section also is not
considered an appendix. Specific guidance on the need for additional documentation may be obtained
from the organization’s Sponsored Projects Office or in the references cited below.
•

Postdoctoral Researcher Mentoring Plan. Each proposal 21 that requests funding to support
postdoctoral researchers 22 must upload under “Mentoring Plan” in the supplementary
documentation section of FastLane, a description of the mentoring activities that will be provided
for such individuals. In no more than one page, the mentoring plan must describe the mentoring
that will be provided to all postdoctoral researchers supported by the project, regardless of whether
they reside at the submitting organization, any subrecipient organization, or at any organization
participating in a simultaneously submitted collaborative project. Proposers are advised that the
mentoring plan must not be used to circumvent the 15-page Project Description limitation. See
Chapter II.D.3 for additional information on collaborative proposals. Mentoring activities provided
to postdoctoral researchers supported on the project will be evaluated under the Broader Impacts
review criterion.
Examples of mentoring activities include, but are not limited to: career counseling; training in
preparation of grant proposals, publications and presentations; guidance on ways to improve
teaching and mentoring skills; guidance on how to effectively collaborate with researchers from
diverse backgrounds and disciplinary areas; and training in responsible professional practices.

•

Plans for data management and sharing of the products of research. Proposals must include a
document of no more than two pages uploaded under “Data Management Plan” in the
supplementary documentation section of FastLane. This supplementary document should
describe how the proposal will conform to NSF policy on the dissemination and sharing of research
results (see Chapter XI.D.4), and may include:
1.
the types of data, samples, physical collections, software, curriculum materials, and other
materials to be produced in the course of the project;
2.
the standards to be used for data and metadata format and content (where existing
standards are absent or deemed inadequate, this should be documented along with any proposed
solutions or remedies);

21

For purposes of meeting the mentoring requirement, simultaneously submitted collaborative proposals, and
collaborative proposals that include subawards, constitute a single unified project. Therefore, only one mentoring plan
may be submitted for the entire project.
22 In situations where a postdoctoral researcher is listed in Section A of the NSF Budget, and is functioning in a
Senior Personnel capacity (i.e., responsible for the scientific or technical direction of the project), a mentoring plan is
not required.

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3.
policies for access and sharing including provisions for appropriate protection of privacy,
confidentiality, security, intellectual property, or other rights or requirements;
4.

policies and provisions for re-use, re-distribution, and the production of derivatives; and

5.
plans for archiving data, samples, and other research products, and for preservation of
access to them.
Data management requirements and plans specific to the Directorate, Office, Division, Program, or
other NSF unit, relevant to a proposal are available at: http://www.nsf.gov/bfa/dias/policy/dmp.jsp.
If guidance specific to the program is not available, then the requirements established in this section
apply.
Simultaneously submitted collaborative proposals and proposals that include subawards are a
single unified project and should include only one supplemental combined Data Management Plan,
regardless of the number of non-lead collaborative proposals or subawards included.
A valid Data Management Plan may include only the statement that no detailed plan is needed, as
long as the statement is accompanied by a clear justification. Proposers who feel that the plan
cannot fit within the limit of two pages may use part of the 15-page Project Description for additional
data management information. Proposers are advised that the Data Management Plan must not
be used to circumvent the 15-page Project Description limitation. The Data Management Plan will
be reviewed as an integral part of the proposal, considered under Intellectual Merit or Broader
Impacts or both, as appropriate for the scientific community of relevance.
•

Rationale for performance of all or part of the project off-campus or away from organizational
headquarters.

•

Documentation of collaborative arrangements of significance to the proposal through letters of
collaboration. (See Chapter II.C.2.d.(iv).) Letters of collaboration should be limited to stating the
intent to collaborate and should not contain endorsements or evaluation of the proposed project.
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, 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.”
While letters of collaboration are permitted, unless required by a specific program solicitation,
letters of support should not be submitted as they are not a standard component of an NSF
proposal. A letter of support is typically from a key stakeholder such as an organization,
collaborator or Congressional Representative, and is used to convey a sense of enthusiasm for the
project and/or to highlight the qualifications of the PI or co-PI. A letters of support submitted in
response to a program solicitation requirement must be unique to the specific proposal submitted
and cannot be altered without the author’s explicit prior approval. Proposals that contain a letters
of support not authorized by the program solicitation may be returned without review.

•

In order for NSF to comply with federal environmental statutes (including, but not limited to, the
National Environmental Policy Act [42 U.S.C. §§ 4321, et seq.], the National Historic Preservation
Act [54 U.S.C. § 306108 (previously codified at 16 U.S.C. §§ 470, et seq.)], and the Endangered
Species Act [16 U.S.C. §§ 1531, et seq.], the proposer may be requested to submit supplemental
post-proposal submission information to NSF in order that a reasonable and accurate assessment
of environmental impacts by NSF may be made. The type of information that may be requested is
shown in the Organization Environmental Impacts Checklist.

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•

International Activities
1.
International Research/Education/Training Activities. For each proposal that describes an
international activity, PIs should list the primary countries involved on the Cover Sheet. An
international activity is defined as research, training, and/or education carried out in cooperation
with international counterparts either overseas or in the US using virtual technologies.
2.
International Conferences. Proposers also should enter on the Cover Sheet the
country/countries with which project participants will engage and/or travel to attend international
conferences. If the specific location of the international conference is not known at the time of the
proposal submission, proposers should enter “Worldwide” on the Cover Sheet.
3.
Work in international countries. Some governments require nonresidents to obtain official
approval to carry out investigations within their borders and coastal waters under their jurisdiction.
PIs are responsible for obtaining the required authorizations. Advance coordination should
minimize disruption of the research. (See Chapter XI .B.4.) Antarctic proposals to any NSF program
require "Logistical Requirements and Field Plan" supplementary documents to be submitted with
the proposal. See “proposals with fieldwork” in Chapter V.A, of the Antarctic Research solicitation.
Special budget considerations also apply. (See also Chapter V.B of the Antarctic Research
solicitation.)

•

Research in a location designated, or eligible to be designated, a registered historic place. (See
Chapter XI.J). Where applicable, the box for “Historic Places” must be checked on the Cover Sheet.

•

Research involving field experiments with genetically engineered organisms. (See Chapter XI.B.2)

•

Documentation regarding research involving the use of human subjects, hazardous materials,
vertebrate animals, or endangered species. (See Chapter XI.B, Chapter II.D.4 and II.D.5).

•

Special components in new proposals or in requests for supplemental funding, such as Facilitation
Awards for Scientists and Engineers with Disabilities (FASED), Research Opportunity Awards
(ROAs), Research Experiences for Undergraduates (REUs), and Facilitating Research at Primarily
Undergraduate Institutions (RUIs). See Chapter II.E.6 for information on FASED, and, for the other
programs identified, consult the relevant solicitation).

In addition, the supplementary documentation section should alert NSF officials to unusual circumstances
that require special handling, including, for example, proprietary or other privileged information in the
proposal, matters affecting individual privacy, required intergovernmental review under E.O. 12372
(Intergovernmental Review of Federal Programs) for activities that directly affect State or local
governments, or possible national security implications.
k.

Appendices

All information necessary for the review of a proposal must be contained in Sections A through I of the
proposal. Appendices may not be included unless a deviation has been authorized. Chapter II.A
contains further information.
D.

Special Processing Instructions

1.

Proprietary or Privileged Information

Patentable ideas, trade secrets, privileged or confidential commercial or financial information, disclosure of
which may harm the proposer, should be included in proposals only when such information is necessary to
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convey an understanding of the proposed project. Such information must be clearly marked in the proposal
and be appropriately labeled with a legend such as,
"The following is (proprietary or confidential) information that (name of proposing organization)
requests not be released to persons outside the Government, except for purposes of review
and evaluation."
Such information also may be included as a separate statement. If this method is used, the statement must
be submitted as a single-copy document in the Proposal Preparation Module in FastLane. (See also
Chapter II.C.1 for further information regarding submission of single-copy documents.) 23
The box for "Proprietary or Privileged Information" must be checked on the Cover Sheet when the proposal
contains such information. While NSF will make every effort to prevent unauthorized access to such
material, the Foundation is not responsible or in any way liable for the release of such material.
2.

Beginning Investigators (applies to proposals submitted to the Biological Sciences
Directorate only)

Research proposals to the Biological Sciences Directorate ONLY (not proposals for conferences)
cannot be duplicates of proposals to any other Federal agency for simultaneous consideration. The only
exceptions to this rule are: (1) when the Program Officers at the relevant Federal agencies have previously
agreed to joint review and possible joint funding of the proposal; or (2) proposals for PIs who are beginning
investigators (individuals who have not been a PI or co-PI on a Federally funded award with the exception
of doctoral dissertation, postdoctoral fellowship or research planning grants). For proposers who qualify
under this latter exception, the box for "Beginning Investigator" must be checked on the Cover Sheet.
3.

Collaborative Proposals

A collaborative proposal is one in which investigators from two or more organizations wish to collaborate
on a unified research project. Collaborative proposals may be submitted to NSF in one of two methods:
as a single proposal, in which a single award is being requested (with subawards administered by the lead
organization); or by simultaneous submission of proposals from different organizations, with each
organization requesting a separate award. In either case, the lead organization’s proposal must contain all
of the requisite sections as a single package to be provided to reviewers (that will happen automatically
when procedures below are followed). All collaborative proposals must clearly describe the roles to be
played by the other organizations, specify the managerial arrangements, and explain the advantages of the
multi-organizational effort within the Project Description.
a.

Submission of a collaborative proposal from one organization

The single proposal method allows investigators from two or more organizations who have developed an
integrated research project to submit a single, focused proposal. A single investigator bears primary
responsibility for the administration of the grant and discussions with NSF, and, at the discretion of the
organizations involved, investigators from any of the participating organizations may be designated as coPIs. Note, however, that if awarded, a single award would be made to the submitting organization, with
any collaborators listed as subawards. (See Chapter II.C.2.g(vi)(e) for additional instructions on preparation
of this type of proposal.)
If a proposed subaward includes funding to support postdoctoral researchers, the mentoring activities to
be provided for such individuals must be incorporated in the supplemental mentoring plan outlined in
Chapter II.C.2.j.

23Detailed instructions for submission of proprietary or privileged information are available in FastLane at
http://www.fastlane.nsf.gov/help/proprietary.htm.

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b.

Submission of a collaborative proposal from multiple organizations

Simultaneous submission of proposals allows multiple organizations to submit a unified set of certain
proposal sections, as well as information unique to each organization as specified below. All collaborative
proposals arranged as separate submissions from multiple organizations must be submitted via FastLane.
For these proposals, the project title must begin with the words "Collaborative Research:” If funded, each
organization bears responsibility for a separate award.
Required sections of the proposal differ based on the organization’s role. The following sections are
required for a collaborative proposal submitted by:
Lead Organization

Non-Lead Organization

•
•

Cover Sheet
Project Summary

•
•

•

•

•
•
•

Table of Contents (automatically
generated)
Project Description
References Cited
Biographical Sketch(es)

•

Budget and Budget Justification

•

•
•

Current and Pending Support
Facilities, Equipment and Other
Resources
Data Management Plan
Postdoctoral Mentoring Plan (if
applicable)
Collaborators & Other Affiliations
Information

•
•
•

•
•
•

Cover Sheet
Table
of
Contents
generated)
Biographical Sketch(es)

(automatically

Budget and Budget Justification
Current and Pending Support
Facilities,
Equipment
and
Other
Resources
Collaborators & Other Affiliations
Information

See Chapter II.C.2.j for additional guidance on the mentoring and data management plan requirements for
collaborative proposals. NSF will combine the proposal submission for printing or electronic viewing.
To submit the collaborative proposal, the following process must be completed: 24
(i)
Each non-lead organization must assign their proposal a proposal PIN. This proposal PIN and the
temporary proposal ID generated by FastLane when the non-lead proposal is created must be provided to
the lead organization before the lead organization submits its proposal to NSF.
(ii)
The lead organization must then enter each non-lead organization(s) proposal PIN and temporary
proposal ID into the FastLane lead proposal by using the "Link Collaborative Proposals" option found on
the FastLane "Form Preparation" screen. Given that such separately submitted proposals constitute a
“single” proposal submission to NSF, it is imperative that the proposals be submitted within a reasonable
timeframe to one another.
(iii)
All components of the collaborative proposal must meet any established deadline date and time 25,
and failure to do so may result in the entire collaborative proposal being returned without review.
24Detailed

technical instructions for the preparation and submission of collaborative proposals are available in
FastLane.
25 5 p.m., submitter’s local time

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(iv)
If funded, both lead and non-lead organizations are required to submit separate annual and final
project reports. These reports should reference the work of the collaborative, while focusing on the distinct
work conducted at each funded organization.
4.

Proposals Involving Vertebrate Animals

a.
Any project proposing use of vertebrate animals for research or education shall comply with the
Animal Welfare Act [7 U.S.C. 2131, et seq.] and the regulations promulgated thereunder by the Secretary
of Agriculture [9 CFR 1.1-4.11] pertaining to the humane care, handling, and treatment of vertebrate animals
held or used for research, teaching or other activities supported by Federal awards. In accordance with
these requirements, proposed projects involving use of any vertebrate animal for research or education
must be approved by the submitting organization's Institutional Animal Care and Use Committee (IACUC)
before an award can be made. For this approval to be accepted by NSF, the organization must have a
current Public Health Service (PHS) Approved Assurance. See also Chapter XI.B.3 for additional
information on the administration of awards that utilize vertebrate animals. Note that for some types of
vertebrate animals, additional review may be required.
Any project proposing use of vertebrate animals for research or education must comply with the provision
in the PHS Assurance for Institutional Commitment (Section II) that requires the submitting organization to
establish and maintain a program for activities involving animals in accordance with the Guide for the Care
and Use of Laboratory Animals (Guide). Taxon-specific guidelines may be used as supplemental
references. 26 Departures from the Guide must be approved by the IACUC and based on scientific,
veterinary, medical, or animal welfare issues (for more information, see OLAW-Departures from the Guide).
b.
Sufficient information must be provided within the 15-page Project Description to enable reviewers
to evaluate the:
(i)
(ii)
(iii)
(iv)
(v)

rationale for involving animals;
choice of species and number of animals to be used;
description of the proposed use of the animals;
exposure of animals to discomfort, pain, or injury; and
description of any euthanasia methods to be used.

c.
Research facilities subject to the Animal Welfare Act using or intending to use live animals in
research and who receive Federal funding are required to register the facility with the Animal and Plant
Health Inspection Service (APHIS), US Department of Agriculture. A current listing of licensed animal
dealers also may be obtained from APHIS. The location of the nearest APHIS Regional Office, as well as
information concerning this and other APHIS activities, may be obtained at http://www.aphis.usda.gov/.
d.
Projects involving the care or use of vertebrate animals at an international organization or
international field site also require approval of research protocols by the US grantee’s IACUC. If the project
is to be funded through an award to an international organization or through an individual fellowship award
that will support activities at an international organization, NSF will require a statement explicitly listing the
proposer’s name and referencing the title of the award to confirm that the activities will be conducted in
accordance with all applicable laws in the international country and that the International Guiding Principles
for Biomedical Research Involving Animals (see http://www.cioms.ch/) will be followed.

26

Guidelines to the Use of Wild Birds in Research; Guidelines of the American Society of Mammalogists for the Use of
Wild Mammals in Research; Guidelines for the Use of Fishes in Research; and Guidelines for the Use of Live
Amphibians and Reptiles in Field and Laboratory Research.

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e.
The following information regarding the organization’s intention to utilize vertebrate animals as part
of the project should be provided on the Cover Sheet:
(i)
The box for "Vertebrate Animals" must be checked on the Cover Sheet if use of vertebrate animals
is envisioned.
(ii)
The date of IACUC approval of the animal-use protocol covering the proposed work (if obtained)
must be identified in the space provided.
(iii)
The PHS Approved Animal Welfare Assurance Number must be entered in the space provided. If
IACUC approval has not been obtained prior to submission, the proposer should indicate "Pending" in the
space provided for the approval date. If a decision is made to fund the proposal, the organization must
provide a copy of the approval letter from the IACUC (including Assurance Number and organizational
signature). The approval letter must affirm that an animal-use protocol covering the proposed activities has
been approved, and should explicitly list the proposer’s name, the title and number of the NSF proposal,
and the date of IACUC approval. The approval letter must be provided to the cognizant NSF Program
Officer before an award can be issued.
f.
For fellowship proposals submitted by individuals that involve use of vertebrate animals, the
proposal should contain the information specified in paragraph b. above. In addition, a copy of the approval
letter from the IACUC (including Assurance Number and organizational signature) should be included as
an Other Supplementary Document in FastLane. The approval letter must affirm that an animal-use
protocol covering the proposed activities has been approved, and should explicitly list the proposer’s name,
the title and number of the NSF proposal, and the date of IACUC approval. If IACUC approval has not
been obtained prior to submission, the proposer should indicate “Pending” in the space provided for the
approval date. If a decision is made to fund the proposal, the proposer must provide a signed copy of the
official IACUC approval letter (which includes the items specified above) to the cognizant NSF Program
Officer before an award can be issued.
5.

Proposals Involving Human Subjects

a.
Projects involving research with human subjects must ensure that subjects are protected from
research risks in conformance with the relevant federal policy known as the Common Rule (Federal Policy
for the Protection of Human Subjects, 45 CFR 690). All projects involving human subjects must either (1)
have approval from an Institutional Review Board (IRB) before issuance of an NSF award or, (2) must affirm
that the IRB has declared the research exempt from IRB review, in accordance with the applicable
subsection, as established in section 101(b) of the Common Rule. If certification of exemption is provided
after submission of the proposal and before the award is issued, the exemption number corresponding to
one or more of the exemption categories also must be included in the documentation provided to NSF.
NSF cannot accept any IRB document that requires continued monitoring of the award activities involving
human subjects by NSF. For projects lacking definite plans for the use of human subjects, their data or
their specimens, pursuant to 45 CFR 690.118, NSF can accept a determination notice 27 that establishes a
limited time period under which the PI may conduct preliminary or conceptual work that does not involve
human subjects. (Further instructions are provided in paragraph (iv) below.)
If the project involves human subjects and is to be performed outside of the US, evidence of IRB approval
also is required. If there is no IRB approval provided, and the international country is not included in the
Department of Health and Human Services, Office of Human Research Protections (OHRP), International
Compilation
of
Human
Research
Standards
(http://www.hhs.gov/ohrp/international/intlcompilation/intlcompilation.html), nor is an Assurance on file with
OHRP (http://ohrp.cit.nih.gov/search/search.aspx?styp=bsc), NSF may decline to support the project.

27

An NSF-approved format for submission of these determination notices is available on the NSF website.

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b.
The following information regarding the organization’s intention to use human subjects as part of
the project should be provided on the Cover Sheet:
(i)
The box for "Human Subjects" must be checked on the Cover Sheet if use of human subjects is
envisioned.
(ii)
If human subject activities are exempt from IRB review, provide the exemption number(s)
corresponding to one or more of the exemption categories. The six categories of research that qualify for
exemption from coverage by the regulations are defined in the Common Rule for Protection of Human
Subjects.
(iii)
If the research is not designated as exempt, the IRB approval date should be identified in the space
provided. This date, at minimum, should cover the period at which the project is initiated. If IRB approval
has not been obtained prior to submission, the proposer should indicate "Pending" in the space provided
for the approval date. If a decision is made to fund the proposal, the organization must provide a signed
copy of the IRB approval letter to the cognizant program prior to award. The letter should indicate approval
of the proposed activities and must be submitted prior to an award being issued.
(iv)
If the project lacks definite plans regarding use of human subjects, their data or their specimens,
pursuant to 45 CFR 690.118, the proposer must check the box for "Human Subjects" on the Cover Sheet
and enter “Pending” in the space provided for the approval date. If available at the time of proposal
submission, the determination notice should be uploaded as an Other Supplementary Document in
Fastlane. If the determination notice is not available, and, the decision is made to fund the proposal, the
organization must provide a signed copy of the determination notice to the cognizant program prior to
award.
Prior to the expiration date specified in the determination notice, the AOR is required to provide to the
cognizant NSF Program Officer:
1.
verification that the project continues to lack immediate plans for the involvement of human
subjects, their data, or their specimens; or
2.

documentation that demonstrates that IRB approval has been obtained.

The determination notice must indicate that no work with human subjects, including recruitment, will be
conducted until full IRB approval is obtained. NSF will add conditions to the award that prevent any
research involving human subjects from being carried out, or otherwise restrict the drawing down of funds,
until IRB approval has been obtained.
(v)
The Federal Wide Assurance (FWA) Number that the proposer has on file with OHRP should be
entered, if available.
See also Chapter XI.B.1 for additional information on the administration of awards that include use of human
subjects.
6.

Dual Use Research of Concern (DURC)

a.

Applicability

This section applies to all research, for which NSF grant funds may be used, that potentially falls within the
scope of the US Government Policy for Institutional Oversight of Life Sciences Dual Use Research of
Concern (http://www.phe.gov/s3/dualuse/Pages/default.aspx) as published in September, 2014, hereafter
referred to as the “Policy”.

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b.

Policy

NSF is committed to preserving the benefits of life sciences research while minimizing the risk of misuse of
the knowledge, information, products, or technologies provided by such research. The purpose of NSF’s
implementation of the Policy is to clarify proposer expectations about NSF-funded research with certain
high-consequence pathogens and toxins with potential to be considered dual use research of concern.
Proposing organizations are responsible for identifying NSF-funded life sciences proposals that could
potentially be considered dual use research of concern as defined in the US Government Policy for
Institutional Oversight of Life Sciences Dual Use Research of Concern and for compliance with the
requirements established in that Policy. (See also Chapter XI.B.5 for additional information.)
7.
Projects Requiring High-Performance Computing Resources, Large Amounts of Data
Storage, or Advanced Visualization Resources
Many research projects require access to computational, data storage or visualization resources in order
to complete the work proposed. Typically such resources will be noted in the proposal under Facilities,
Equipment and Other Resources. For those projects that require such resources at a scale that is beyond
that available locally, NSF supports a number of national resources. For the most computationally massive
projects, the Blue Waters system at University of Illinois, Urbana/Champaign, is the most suitable. Blue
Waters is designed to support a small number (~50) of research teams involved with projects requiring the
most advanced computational and data resources. The allocation review process is through proposal
submission to the cognizant Program Officer in the Division of Advanced CyberInfrastructure within the
NSF Directorate for Computer & Information Science & Engineering. Proposals are reviewed for both their
scientific and computational needs. The Blue Waters supercomputer provides sustained performance of 1
petaflop on a range of real-world science and engineering applications. It is one of the most powerful
supercomputers in the world.
Those interested should visit the Blue Waters portal
(https://bluewaters.ncsa.illinois.edu/) for more details of the system's hardware and capabilities.
The National Center for Atmospheric Research (NCAR)-Wyoming Supercomputing Center (NWSC) is a
significant resource, with current capabilities of 1.5 petaflops peak speed. The NWSC is designed to meet
the needs of the atmospheric and related-sciences communities. NWSC operates its own allocations
process and those interested in obtaining time and/or storage should consult the cognizant Program Officer
in the Division of Atmospheric and Geospace Sciences within the Geosciences Directorate.
The most general set of computational and data resources funded by the NSF are accessible through the
XSEDE project. XSEDE provides the integrating fabric for a collection of very powerful supercomputers, a
high-throughput computing environment, high-volume data storage facilities, advanced visualization
services, connected by a high-bandwidth private network, a training education and outreach program in
how to use its services and an extended collaborative support program to assist researchers in using the
advanced computational resources. The physical resources themselves are provided by Service Providers
(SP) via separate awards from the NSF. Allocations of those resources for large projects are determined
by the XSEDE Resource Advisory Committee, which meets quarterly, using an external set of experts.
Smaller requests do not require a proposal or review and a simple on-line process may be used to request
such an allocation. NSF encourages prospective users to seek more information at
https://www.xsede.org/allocations.
E.

Types of Proposals

In addition to standard research proposals that follow the proposal preparation instructions contained in
sections A through C of this chapter, there are various other types of proposals that may be submitted to
NSF. Each of them are described below, along with instructions that may supplement or deviate from the
guidance outlined above.

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1.

Rapid Response Research (RAPID) Proposal

RAPID is a type of proposal used when there is a severe urgency with regard to availability of, or access
to, data, facilities or specialized equipment, including quick-response research on natural or anthropogenic
disasters and similar unanticipated events. PI(s) must contact the NSF Program Officer(s) whose expertise
is most germane to the proposal topic before submitting a RAPID proposal. This will facilitate determining
whether the proposed work is appropriate for RAPID funding.
•

The Project Description is expected to be brief and must be no more than five pages. It must
include clear statements as to why the proposed research is of an urgent nature and why a RAPID
award would be the most appropriate type of proposal for supporting the proposed work. Note this
proposal preparation instruction deviates from the standard proposal preparation instructions
contained in this Guide; RAPID proposals must otherwise be compliant with the proposal
preparation requirements specified in Part I of the PAPPG.

•

The “RAPID” proposal type must be selected in the proposal preparation module in FastLane.

•

Only internal merit review is required for RAPID proposals. Under rare circumstances, Program
Officers may elect to obtain external reviews to inform their decision. If external review is to be
obtained, then the PI will be informed in the interest of maintaining the transparency of the review
and recommendation process. The two standard NSB-approved merit review criteria will apply.

•

Requests may be for up to $200K and of one year duration. The award size, however, will be
consistent with the project scope and of a size comparable to grants in similar areas.

•

No-cost extensions and requests for supplemental funding will be processed in accordance with
standard NSF policies and procedures.

•

Renewed funding of RAPID awards may be requested only through submission of a proposal that
will be subject to full external merit review. Such proposals would be designated as “RAPID
renewals.”

2.

EArly-concept Grants for Exploratory Research (EAGER) Proposal

EAGER is a type of proposal used to support exploratory work in its early stages on untested, but potentially
transformative, research ideas or approaches. This work may be considered especially "high risk-high
payoff" in the sense that it, for example, involves radically different approaches, applies new expertise, or
engages novel disciplinary or interdisciplinary perspectives. These exploratory proposals also may be
submitted directly to an NSF program, but the EAGER proposal type should not be used for projects that
are appropriate for submission as “regular” (i.e., non-EAGER) NSF proposals. PI(s) must contact the NSF
Program Officer(s) whose expertise is most germane to the proposal topic prior to submission of an EAGER
proposal. This will aid in determining the appropriateness of the work for consideration under the EAGER
proposal type; this suitability must be assessed early in the process.
•

The Project Description is expected to be brief and must be no more than eight pages. It must
include clear statements as to why this project is appropriate for EAGER funding, including why it
does not fit into existing programs and why it is a good fit for EAGER. Note this proposal
preparation instruction deviates from the standard proposal preparation instructions contained in
this Guide; EAGER proposals must otherwise be compliant with the proposal preparation
requirements specified in Part I of the PAPPG.

•

The “EAGER” proposal type must be selected in the proposal preparation module in FastLane.

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•

Only internal merit review is required for EAGER proposals. Under rare circumstances, Program
Officers may elect to obtain external reviews to inform their decision. If external review is to be
obtained, then the PI will be informed in the interest of maintaining the transparency of the review
and recommendation process. The two standard NSB-approved merit review criteria will apply.

•

Requests may be for up to $300K and of up to two years duration. The award size, however, will
be consistent with the project scope and of a size comparable to grants in similar areas.

•

No-cost extensions and requests for supplemental funding will be processed in accordance with
standard NSF policies and procedures.

•

Renewed funding of EAGER awards may be requested only through submission of a proposal that
will be subject to full external merit review. Such proposals would be designated as “EAGER
renewals.”

3.

Research Advanced by Interdisciplinary Science and Engineering (RAISE) Proposal

RAISE is a type of proposal that may be used to support bold, interdisciplinary projects whose:
•

Scientific advances lie in great part outside the scope of a single program or discipline, such that
substantial funding support from more than one program or discipline is necessary.

•

Lines of research promise transformational advances.

•

Prospective discoveries reside at the interfaces of disciplinary boundaries that may not be
recognized through traditional review or co-review.

To receive funding as a RAISE-appropriate project, all three criteria must be met. RAISE is not intended to
be used for projects that can be accommodated within other funding mechanisms or that continue well
established practices. Prospective PIs must receive approval to submit a proposal from at least two NSF
Program Officers, in intellectually distinct programs, whose expertise is most germane to the proposal
topics.
Contingent on Program Officers’ approval to submit a proposal:
•

RAISE proposals must be compliant with Part I of the PAPPG unless a deviation from the standard
proposal preparation instructions is indicated below.

•

NSF will not accept collaborative RAISE proposals for a single project submitted separately from
multiple organizations. A multi-organization RAISE project must be submitted as a single proposal
requesting a single award with subawards administered by the lead organization.

•

The RAISE proposal type must be selected in the proposal preparation module in FastLane.

•

The project title will be preceded by the prefix “RAISE:.”

•

Email documentation from at least two NSF Program Officers confirming approval to submit a
proposal must be uploaded under “RAISE – Program Officer Concurrence Emails” in the
Supplementary Documentation section of FastLane.

•

Requests may be for up to $1,000,000 and up to five years in duration. The award size and duration
will be consistent with the project scope.

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•

The proposal must explicitly address how the project is better suited for RAISE than for a regular
NSF review process.

•

Only internal merit review is required for RAISE proposals. Program Officers may elect to obtain
external reviews to inform their decision. If external review is to be obtained, then the PI will be so
informed in the interest of maintaining the transparency of the review and recommendation process.

•

The two standard NSB-approved merit review criteria will apply. The interdisciplinary and
transformative potential of the project will be evaluated within the intellectual merit of the proposal.

•

On the basis of the review criteria, the cognizant Program Officers will decide whether to
recommend a RAISE proposal for co-funding from their programs.

•

No-cost extensions and requests for supplemental funding will be processed in accordance with
standard NSF policies and procedures.

•

There are no renewals for RAISE awards.

4.

Grant Opportunities for Academic Liaison with Industry (GOALI) Proposal

GOALI is a type of proposal that seeks to stimulate collaboration between academic research institutions
and industry. Under this proposal type, academic scientists and engineers request funding either in
conjunction with a regular proposal submitted to a standing NSF program or as a supplemental funding
request to an existing NSF-funded award. GOALI is not a separate program; GOALI proposals must be
submitted to an active NSF funding opportunity and must be submitted in accordance with the deadlines
specified therein. A proposer interested in submitting a GOALI proposal or a GOALI supplemental funding
request to an existing NSF-funded award must contact the cognizant NSF Program Officer listed in the
relevant funding opportunity prior to submission. Special interest is focused on affording opportunities for:
•
•
•

Interdisciplinary university-industry teams to conduct collaborative research projects, in which the
industry research participant provides critical research expertise, without which the likelihood for
success of the project would be diminished;
Faculty, postdoctoral fellows, and students to conduct research and gain experience in an industrial
setting; and
Industrial scientists and engineers to bring industry's perspective and integrative skills to academe.

GOALI proposals should focus on research that addresses shared interests by academic researchers and
industrial partners. The research should further scientific and engineering foundations to enable future
breakthrough technologies with the potential to address critical industry needs. Industry involvement
assures that the research is industrially relevant. Principal Investigators are expected to integrate their
research objectives with educational and industrial needs.
Interdisciplinary research and education projects that enable faculty from different academic departments
or institutions to interact with one or more industrial partners in industry-university groups or networks are
encouraged. Proposals may include the participation of a "third partner" such as a National Laboratory or
a non-profit organization. NSF funding can be used for university research/education activities and may
support activities of faculty and their students and research associates in the industrial setting. NSF funds
are not permitted to be used to support the industrial research partner.
GOALI proposals and supplemental funding requests are reviewed by the program to which the proposal
is submitted. In addition to any program-specific review criteria defined in the program description or
solicitation, reviewers may be asked to evaluate the degree and extent to which industry will be involved
with the proposed research and the extent to which students and/or post-doctoral researchers will benefit
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from the interaction. The proposed research should be transformative, beneficial to industry, and further
collaboration between the academic and industry partners.
Specific instructions for each type of request are provided below.
a.

Requests as part of a competitive proposal submission

(i)
GOALI proposals must follow the deadlines applicable to an existing funding opportunity as well as
the following GOALI-specific requirements: The title of a GOALI proposal should start with "GOALI:" (after
any other title requirements specified by the funding opportunity to which the proposal is being submitted);
(ii)
At least one industrial co-PI must be listed on the Cover Sheet at the time of submission although
the industrial participant cannot use or receive any NSF funds;
(iii)

The university-industry interaction should be described in the Project Description;

(iv)
A GOALI-Industrial PI Confirmation Letter from the industrial partner that confirms the participation
of a co-PI from industry must be submitted with the proposal (if applicable, the letter also must state the
degree of industrial participation as well as detail any support that the industry is providing to the academic
partner). All GOALI-related commitment letters must be uploaded under “GOALI-Industrial PI Confirmation
Letter” in the supplementary documentation section of FastLane. This supplementary documentation
will not be counted towards the 15-page Project Description limitation; and
(v)
Academic and industry partners should agree in advance as to how intellectual property (IP) rights
will be handled. A signed university-industry agreement on IP (including publication and patent rights) must
be submitted prior to issuance of an award. NSF will review this agreement to ensure that the graduation
of students will not be unduly affected. NSF is responsible neither for the agreement reached nor the IP
information exchanged between the academic institution and the industrial partner.
b.

Supplemental funding requests to existing NSF awards

Supplemental funding requests to add GOALI elements to a currently funded NSF research project should
be submitted by using the “Supplemental Funding Request” function in FastLane. Such requests should
include a brief description of the proposed activity, a budget and a budget justification, in addition to items
(iii)-(v) above. At least one industrial participant must be included in the GOALI activity and must be
specified in the GOALI-Industrial PI Confirmation Letter. The industrial participant cannot use or receive
any NSF funds.
5.

Ideas Lab Proposal

"Ideas Lab" is a type of proposal to support the development and implementation of creative and innovative
project ideas that have the potential to transform research paradigms and/or solve intractable problems.
An Ideas Lab may be run independently, or in parallel, with the issuance of an NSF funding opportunity on
the same topic. These project ideas typically will be high-risk/high-impact, as they represent new and
unproven ideas, approaches and/or technologies. This mechanism was developed collaboratively within
NSF, modeled on the "sandpit" workshops that are a key component of the United Kingdom Research
Council’s "IDEAs Factory" program.
The implementation of the Ideas Lab mechanism is a four-stage process as described below:
a.

Stage 1: Selection of Panelists

There are two separate panels convened for an Ideas Lab: a selection panel and an Ideas Lab panel. The
role of the selection panel is to provide advice on the selection of participants. The role of the Ideas Lab
panel is to provide an assessment of the project ideas developed there. The individuals selected to
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participate in each of these panels are subject matter experts for the specific topic of the Ideas Lab. All
panelists are barred from receiving any research funding through, or in any other way collaborating on, the
particular Ideas Lab in which they are involved.
b.

Stage 2: Selection of Participants

A "call for participants" solicitation that describes the specific focus of the Ideas Lab will be issued. The
solicitation will specify the content and submission instructions for such applications.
The project description is limited to two pages and should include information regarding the applicant’s
specific expertise and interest in the topic area, as well as about certain personal attributes that enhance
the success of the Ideas Lab workshop mechanism (e.g., experience and interest in working in teams,
communication skills, level of creativity, willingness to take risks). Applicants also must include a
Biographical Sketch and Current and Pending Support information (both of which must be prepared in
accordance with standard NSF formatting guidelines). All other elements of a "full proposal" are waived
(i.e., Project Summary, References Cited, Budget and Budget Justification, Facilities, Equipment and Other
Resources). The application must be submitted as a preliminary proposal in FastLane. No appendices or
supplementary documents may be submitted.
Applicants are notified electronically of NSF’s decision regarding whether they are invited or not invited to
participate in the Ideas Lab. Applicants will be informed about the context of the review and the criteria
that were used to assess the applications in the form of a panel summary, but will not receive individual
reviews or other review-related feedback.
c.

Stage 3: Ideas Lab

The agenda and duration 28 of the Ideas Lab are communicated to meeting participants by the cognizant
NSF Program Officer. Anonymous real-time peer review involving the participants and the Ideas Lab panel
is incorporated into the workshop format, providing iterative constructive feedback during the development
of project ideas. The Ideas Lab concept incorporates a "guided creativity" process, thus the use of a
facilitator(s) is included, both to guide the creation of interdisciplinary teams and the creative development
of ideas, and to ensure that the workshop progresses in a productive manner. At the end of the Ideas Lab,
the Ideas Lab panel will provide a consensus report summarizing their evaluation of each project idea. The
recommendations of the Ideas Lab panel are advisory to NSF. Within seven to fourteen days following the
Ideas Lab, the NSF Program Officers will determine which project ideas are meritorious and should be
invited as full proposals. At the NSF Program Officers’ discretion (subject to Division Director concurrence),
they may invite none, some, or all of the project ideas as full proposals, with the final funding decision to
occur after the full proposals have been received and reviewed. Invited full proposals (which are prepared
in accordance with standard research proposal formatting guidelines) must be submitted within two months
of receiving NSF notification after the Ideas Lab.
d.

Stage 4: Review and recommendation of full proposals

Invited proposals will be reviewed internally by the cognizant NSF Program Officers, the Ideas Lab
panelists, and other external reviewers, as appropriate. Resulting awards will be administered in
accordance with standard NSF policies and procedures, including no-cost extensions and supplemental
funding requests. Renewed funding of an Ideas Lab award may be requested only through submission of
a full proposal that will be subject to external merit review. Such proposals would be designated as an
“Ideas Lab renewal.”

28

Ideas Labs are generally one to five days in duration.

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6.

Facilitation Awards for Scientists and Engineers with Disabilities (FASED) Proposal

As part of its effort to promote full utilization of highly qualified scientists, mathematicians, and engineers,
and to develop scientific and technical talent, the Foundation has the following goals:
•
to reduce or remove barriers to participation in research and training by persons with physical
disabilities by providing special equipment and assistance under awards made by NSF; and
•
to encourage persons with disabilities to pursue careers in science and engineering by stimulating
the development and demonstration of special equipment that facilitates their work performance.
Persons with disabilities eligible for facilitation awards include PIs, other senior personnel, and graduate
and undergraduate students. The cognizant NSF Program Officer will make decisions regarding what
constitutes appropriate support on a case-by-case basis. The specific nature, purpose, and need for
equipment or assistance should be described in sufficient detail in the proposal to permit evaluation by
knowledgeable reviewers.
There is no separate program for funding of special equipment or assistance. Requests are made in
conjunction with regular competitive proposals, or as a supplemental funding request to an existing NSF
award. Specific instructions for each type of request are provided below.
a.

Requests as part of a competitive proposal submission

Funds may be requested to purchase special equipment, modify equipment or provide services required
specifically for the work to be undertaken. Requests for funds for equipment or assistance that compensate
in a general way for the disabling condition are not permitted. For example, funds may be requested to
provide: prosthetic devices to manipulate a particular apparatus; equipment to convert sound to visual
signals, or vice versa, for a particular experiment; access to a special site or to a mode of transportation
(except as defined below); a reader or interpreter with special technical competence related to the project;
or other special-purpose equipment or assistance needed to conduct a particular project. Items, however,
such as standard wheel chairs, prosthetics, hearing aids, TDD/text-phones, or general readers for the blind
would not be supported because the need for them is not specific to the proposed project. Similarly, ramps,
elevators, or other structural modifications of research facilities are not eligible for direct support under this
program.
No maximum funding amount has been established for such requests. It is expected, however, that the
cost (including equipment adaptation and installation) will not be a major component of the total proposed
budget for the project. Requests for funds for special equipment or assistance to facilitate the participation
of individuals with disabilities should be included in the proposed budget for the project and documented in
the budget justification. The specific nature, purpose and need for such equipment or assistance should
be described in sufficient detail in the Project Description to permit evaluation of the request by
knowledgeable reviewers.
b.

Supplemental funding requests to existing NSF grants

Supplemental funds for special equipment or assistance to facilitate participation in NSF-supported projects
by persons with disabilities may be provided under existing NSF grants. Normally, title is vested in the
grantee organization for equipment purchased in conjunction with NSF-supported activities. In accordance
with the applicable grant terms and conditions, the grantee organization guarantees use of the equipment
for the specific project during the period of work funded by the Foundation, and assures its use in an
appropriate manner after project completion. In instances involving special equipment for persons with
disabilities, the need for such may be unique to the individual. In such cases, the grantee organization may
elect to transfer title to the individual to assure appropriate use after project completion.

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Supplemental funding requests should be submitted by using the ”Supplemental Funding Request” function
in FastLane and should include a brief description of the request, a budget and a budget justification.
Requests must be submitted at least two months before funds are needed. Funding decisions will be made
on the basis of the justification and availability of program funds with any resultant funding provided through
a formal amendment of the existing NSF grant.
7.

Conference Proposal 29

NSF supports conferences in special areas of science and engineering that bring experts together to
discuss recent research or education findings or to expose other researchers or students to new research
and education techniques. NSF encourages the convening in the US of major international conferences.
A conference proposal will be supported only if equivalent results cannot be obtained by attendance at
regular meetings of professional societies. Although requests for support of a conference proposal
ordinarily originates with educational institutions or scientific and engineering societies, they also may come
from other groups. Shared support by several Federal agencies, States or private organizations is
encouraged. A conference proposal should generally be submitted at least a year in advance of the
scheduled date. Conferences, including the facilities in which they are held, funded in whole or in part with
NSF funds, must be accessible to participants with disabilities.
A conference proposal must contain the elements identified below:
•

Cover Sheet

•

Project Summary (Chapter II.C.2.b) should be consulted to prepare this portion of the proposal).

•

Project Description (not to exceed 15 pages) that includes:

a.

A statement of the need for such a gathering and a list of topics;

b.

A listing of recent meetings on the same subject, including dates and locations;

c.
The names of the chairperson and members of organizing committees and their organizational
affiliations;
d.
Information on the location and probable date(s) of the meeting and the method of announcement
or invitation;
e.
A statement of how the meeting will be organized and conducted, how the results of the meeting
will be disseminated and how the meeting will contribute to the enhancement and improvement of scientific,
engineering and/or educational activities; and
f.
Results from Prior NSF Support (up to five pages): If the PI or any co-PI identified on the proposal
has received NSF funding with a start date 30 in the past five years (including any current funding and no
cost extensions), information on the award is required for each PI and co-PI, regardless of whether the
support was directly related to the proposal or not. See Chapter II.C.2.d.(iii) for additional instructions on
preparation of this section.
•
Proposal Budget and Budget Justification: A budget, and budget justification for the conference
that is prepared in accordance with Chapter II.C.2.g. The following provides a listing of the types of costs
that may be included on a conference budget. Such costs may be included only if they are specifically and

29
30

This coverage also applies to symposia and workshop proposals.
Previously referred to as the effective date.

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clearly identified in the proposed scope of work and budget. Note that registration fees under NSFsupported conferences are considered program income. For additional information on program income
generated from conferences, see Chapter VIII.D.4.
a.

Conference Facilities. Rental of facilities and necessary equipment.

b.

Supplies. Expendable materials and supplies necessary for the meeting.

c.
Conference Services. Costs of translation services, audio visual, webcast, and computer services
for recording, transmitting and transcribing the proceedings.
d.

Publication Costs. Costs of publishing the proceedings.

e.
Salaries. Salaries of professional personnel, editorial and clerical assistants and other staff
members in proportion to the time or effort devoted to the preparation and conduct of the conference and
summarizing its results.
f.
Consultant Services and Speaker Fees. Reasonable fees and travel allowances and per diem (or
meals provided in lieu of per diem). Consultants’ travel costs, including subsistence, may be included. If
requested, the proposer must be able to justify that the proposed rate of pay is reasonable. Additional
information on the allowability of consultant or professional service costs is available in 2 CFR § 200.459.
In addition to other provisions required by the proposing organization, all contracts made under the NSF
award must contain the applicable provisions identified in 2 CFR § 200 Appendix II.
g.
Meals and Coffee Breaks. Meals that are an integral and necessary part of a conference (e.g.,
working meals where business is transacted). Funds may be included for furnishing a reasonable amount
of hot beverages or soft drinks to conference participants and attendees during periodic coffee breaks.
h.

Participant Support Costs. See Chapter II.C.2.g.(v).

The following provides a listing of the types of costs that are not allowable for inclusion on a conference
budget.
(i)
Meals and Coffee Breaks for Intramural Meetings. NSF funds may not be included or spent for
meals or coffee breaks for intramural meetings of an organization or any of its components, including, but
not limited to, laboratories, departments and centers, as a direct cost.
(ii)
Entertainment. Costs of entertainment, amusement, diversion and social activities (such as tickets
to shows or sporting events, meals, lodging, rentals, transportation and gratuities) are unallowable and may
not be requested. Travel, meal, and hotel expenses of awardee employees who are not on travel status
also are not permitted. Costs of employees on travel status are limited to those specifically authorized by
2 CFR § 200.474.
(iii)

Alcoholic Beverages. NSF funds may not be proposed for alcoholic beverages.

•

Current and Pending Support: The support requested or available from other Federal agencies and
other sources. Chapter II.C.2.h should be consulted to prepare this portion of the proposal.

•

Facilities, Equipment and Other Resources: If there will be support from other sources for the
conference, such information should be included in the Facilities, Equipment and Other Resources
section of the proposal. The description should be narrative in nature and must not include any
quantifiable financial information Chapter II.C.2.i should be consulted to prepare this portion of the
proposal. If included, these resources will not be auditable and must not be included in the proposal
budget or budget justification. A description of such support should be included in the Facilities,

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Equipment and Other Resources section of the proposal. (See Chapter II.C.2.g.(xii) for further
information.)
•

Data Management Plan: Plans for management and sharing of any data products resulting from
the activity. Chapter II.C.2.j should be consulted to prepare this portion of the proposal.

8.

Equipment Proposal

A proposal for specialized equipment may be submitted by an organization for: individual investigators;
groups of investigators within the same department; several departments; organization(s) participating in a
collaborative or joint arrangement; any components of an organization; or a region. One individual must
be designated as PI. Investigators may be working in closely related areas or their research may be
multidisciplinary.
An equipment proposal must contain all of the following proposal sections:
•

Cover Sheet

•

Project Summary: Chapter II.C.2.b should be consulted to prepare this portion of the proposal.

•

Project Description (not to exceed 15 pages) that includes:

a.
an overall acquisition plan which discusses arrangements for acquisition, maintenance and
operation. Equipment to be purchased, modified or constructed must be described in sufficient detail to
allow comparison of its capabilities with the needs of the proposed activities;
b.
a description, from each potential major user, of the project(s) for which the equipment will be used.
This description must be succinct, not necessarily as detailed as in a full research proposal, and must
emphasize the intrinsic merit of the activity and the importance of the equipment to it. A brief summary will
suffice for auxiliary users; and
c.
a description of comparable equipment already at the proposing organization(s), if applicable, and
an explanation of why it cannot be used. This includes comparable government-owned equipment that is
on-site.
•
•

Biographical Sketch(es) of the person(s) who will have overall responsibility for maintenance and
operation and a brief statement of qualifications. (Chapter II.C.2.f. should be consulted to prepare
this portion of the proposal; also see Chapter II.C.2.f.(iii)).
Proposal Budget and Budget Justification: An annual budget and budget justification for the
operation, maintenance and administration of the proposed equipment (Chapter II.C.2.g should be
consulted to prepare this portion of the proposal).

•

Current and Pending Support: Chapter II.C.2.h should be consulted to prepare this portion of the
proposal.

•

Facilities, Equipment and Other Resources that includes a description of the physical facility,
including floor plans or other appropriate information, where the equipment will be located; a
narrative description of the source of funds available for operation and maintenance of the
proposed equipment; a brief description of other support services available, and a statement of why
the equipment is severable or non-severable from the physical facility (Chapter II.C.2.i should be
consulted to prepare this portion of the proposal).

•

Data Management Plan: Chapter II.C.2.j should be consulted to prepare this portion of the proposal.

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•

Postdoctoral Mentoring Plan (if applicable): Chapter II.C.2.j should be consulted to prepare this
portion of the proposal.

This type of proposal normally competes with proposals for research or education projects. 31
9.

Travel Proposal

A proposal for travel support, either domestic and/or international, for participation in scientific and
engineering meetings are handled by the NSF organizational unit with program responsibility for the area
of interest.
A group travel proposal is encouraged as the primary means of support for travel. A university, professional
society or other non-profit organization may apply for funds to enable it to coordinate and support
participation in one or more scientific meeting(s). A proposal submitted for this purpose must contain the
elements identified below, with particular attention to plans for composition and recruitment of the travel
group. Information on planned speakers should be provided, where available, from the conference
organizer.
A travel proposal must contain the elements identified below:


Cover Sheet



Project Summary (Chapter II.C.2.b should be consulted to prepare this portion of the proposal).



Project Description (not to exceed 15 pages) that includes:

a.

A statement of the need for attending such a gathering and a list of topics;

b.

A listing of recent meetings on the same subject, including dates and locations;

c.

Information on the location and probable date(s) of the meeting;

d.
A statement of how the meeting will be organized and conducted, how the results of the meeting
will be disseminated and how the meeting will contribute to the enhancement and improvement of scientific,
engineering and/or educational activities; and
e.
Results from Prior NSF Support (up to five pages): If the PI or any co-PI identified on the proposal
has received NSF funding with a start date 32 in the past five years (including any current funding and no
cost extensions), information on the award is required for each PI and co-PI, regardless of whether the
support was directly related to the proposal or not. See Chapter II.C.2.d.(iii) for additional instructions on
preparation of this section.

Proposal Budget and Budget Justification: A budget, and budget justification for the travel that is
prepared in accordance with Chapter II.C.2.g. For proposals to support travel to international destinations,
in accordance with the Fly America Act (49 USC 40118), any air transportation to, from, between, or within
a country other than the US of persons or property, the expense of which will be assisted by NSF funding,
must be performed by or under a code-sharing arrangement with a US-flag air carrier if service provided by
such a carrier is available (see Comptroller General Decision B-240956, dated September 25, 1991).
Tickets (or documentation for electronic tickets) must identify the US flag air carrier’s designator code and
flight number. See Chapter XI.F. for additional information.

31See
32

Chapter IX.D for additional information on the administration of equipment awards.
Previously referred to as the effective date.

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

Current and Pending Support: The support requested or available from other Federal agencies and
other sources. Chapter II.C.2.h should be consulted to prepare this portion of the proposal.



Facilities, Equipment and Other Resources: If there will be support from other sources for the travel,
such information should be included in the Facilities, Equipment and Other Resources section of
the proposal. The description should be narrative in nature and must not include any quantifiable
financial information. Chapter II.C.2.i should be consulted to prepare this portion of the proposal.
If included, these resources will not be auditable and must not be included in the proposal budget
or budget justification. A description of such support should be included in the Facilities, Equipment
and Other Resources section of the proposal. (See Chapter II.C.2.g.(xii) for further information.)



Data Management Plan: Plans for management and sharing of any data products resulting from
the activity. Chapter II.C.2.j should be consulted to prepare this portion of the proposal.

For travel proposals to international destinations, proposers
A group travel proposal may request support only for the travel costs of the proposed activity. Group travel
grantees are required to retain supporting documentation that funds were spent in accordance with the
original intent of the proposal. Such documentation may be required in final reports and is subject to audit.
10.

NSF Center Proposals

NSF provides support for a variety of individual Centers and Centers programs that contribute to the
Foundation's vision as outlined in the NSF Strategic Plan. Centers exploit opportunities in science,
engineering and technology in which the complexity of the research problem(s) or the resources needed to
solve the(se) problem(s) require the advantages of scope, scale, change, duration, equipment, facilities,
and students that can only be provided by an academic research center. They focus on investigations at
the frontiers of knowledge not normally attainable through individual investigations, at the interfaces of
disciplines and/or by incorporating fresh approaches to the core of disciplines. Centers focus on integrative
learning and discovery and demonstrate leadership in broadening participation through focused
investments in a diverse set of partner organizations and individuals. In doing so, they draw upon, and
contribute to, the development of the Nation's full intellectual talent. Most Center awards are limited to a
maximum duration of ten years and are often subject to mid-course external merit review. Proposers
interested in learning more about current or future NSF Centers are encouraged to contact the appropriate
disciplinary NSF Program Officer.
11.

Research Infrastructure Proposals

As an integral part of its responsibility for strengthening the science and engineering infrastructure of the
country, NSF provides support for the construction and operation of major research equipment and facilities.
NSF depends on the research communities to provide the justification, planning, development, and
implementation of facility projects. This normally occurs through National Academies studies, workshop
reports, professional society activities, and other community-based mechanisms, including engineering
studies and research projects related to the development of new technologies. Many of these mechanisms
are funded by interested NSF Programs on the basis of merit-reviewed proposals. The construction funding
mechanism depends on the scale of the proposed facility. For large facilities construction, the Major
Research Equipment and Facilities Construction (MREFC) account is one option. Proposers are strongly
encouraged to contact the appropriate NSF Program to discuss the availability of funding and the
appropriate funding mechanisms in advance of proposal submission. The Large Facilities Manual (LFM),
a public document managed by the Large Facilities Office, contains NSF policy on the planning and
management of large facility projects. The policies in the LFM apply to all large facility projects funded by
NSF. The purpose of the LFM is to: (1) provide guidance for NSF staff and awardees to carry out effective
project planning, management, assistance, assurance, and oversight of large facilities; (2) clearly state the
policies, requirements, and recommended procedures pertinent at each stage of a facility’s life cycle, and
(3) document best practices that ensure accountability and effectiveness of the program.
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Exhibit II-1:

Proposal Preparation Checklist

It is imperative that all proposals conform to the proposal preparation and submission instructions specified
in the Part I of the Proposal and Award Policies and Procedures Guide. Conformance with all preparation
and submission instructions is required and will be strictly enforced unless a deviation has been approved
in advance of proposal submission. Note that some NSF program solicitations modify standard NSF
proposal preparation guidelines, and, in such cases, the guidelines provided in the solicitation must be
followed. FastLane uses the rules specified for each type of proposal, (e.g., RAPID, EAGER, RAISE,
GOALI, Ideas Lab, conference, equipment, or travel) to check for compliance prior to submission to NSF.
Proposers are strongly advised to review the applicable sections of Chapter II.E. relevant to the type of
proposal being developed PRIOR to submission. NSF will not accept 33 or will return without review
proposals that are not consistent with these instructions.
See Chapter IV.B. and visit
http://www.nsf.gov/bfa/dias/policy/autocompliance.jsp for additional information.
Prior to submission, it is strongly recommended that an administrative review be conducted to ensure that
proposals comply with the instructions, in the format specified. This checklist is not intended to be an allinclusive repetition of the required proposal contents and associated proposal preparation guidelines. It is,
however, meant to highlight certain critical items so they will not be overlooked when the proposal is
prepared.
[ ]

[ ]

[ ]

General:
[ ]

The proposal is responsive to and compliant with the provisions in the program description,
announcement, or solicitation.

[ ]

If the proposal has been previously declined and is being resubmitted, the proposal has
been revised to take into account the major comments from the prior NSF review.

[ ]

The proposed work is appropriate for funding by NSF, and is not a duplicate of, or
substantially similar to, a proposal already under consideration by NSF from the same
submitter.

[ ]

The proposal must be submitted by 5 p.m. submitter's local time on the established
deadline date.

Single Copy Documents:
[ ]

Authorization to Deviate from NSF Proposal Preparation Requirements is included (if
applicable).

[ ]

List of Suggested Reviewers, or Reviewers Not To Include has been provided (if
applicable).

[ ]

SF LLL, Disclosure of Lobbying Activities has been provided (if applicable).

[ ]

Collaborators and other Affiliation information has been provided for each individual
identified as senior project personnel.

Cover Sheet:
[ ]

33

For interdisciplinary proposals, ensure all relevant programs are identified.

Proposal Not Accepted is defined as FastLane will not permit submission of the proposal.

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[ ]

[ ]

[ ]

[ ]

[ ]

[ ]

For renewal proposals, previous award numbers have been entered.

[ ]

Related preliminary proposal number has been entered (if applicable).

[ ]

Appropriate box(es) have been checked, and requisite information has been provided.

Project Summary:
[ ]

The Project Summary may ONLY be uploaded as a Supplementary Document if use of
special characters is necessary. Such Project Summaries must be formatted with separate
headings for Overview, Intellectual Merit and Broader Impacts.

[ ]

The Project Summary must not exceed one page.

Project Description:
[ ]

The Project Description must not exceed the 15-page page limitation or that specified in a
specific solicitation.

[ ]

Project Description contains, as a separate section within the narrative, a section labeled
“Broader Impacts”.

[ ]

Project Description is self-contained, and Uniform Resource Locators (URLs) have not
been included.

[ ]

Results from Prior NSF Support have been provided for PIs and co-PIs who have received
NSF support within the last five years. Results related to Intellectual Merit and Broader
Impacts are described under two separate, distinct headings, and are limited to five pages
of the Project Description.

References Cited:
[ ]

This section includes bibliographic citations only and does not provide parenthetical
information outside of the 15-page Project Description.

[ ]

Each reference is in the specified format.

Biographical Sketch(es):
[ ]

The content described is in accordance with the instructions, and does not contain
additional information beyond that specified.

[ ]

Each biographical sketch must not exceed two pages.

Proposal Budget:
[ ]

Each budget line item is documented and justified in the budget justification.

[ ]

A budget justification must be provided for the proposer AND any proposed subawardee.

[ ]

Each budget justification must not exceed three pages.

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[ ]

Cost Sharing:
[ ]

[ ]

Current and Pending Support:
[ ]

[ ]

[ ]

Unless required by an NSF program solicitation, voluntary committed cost sharing has not
been included. Note that voluntary committed cost sharing is prohibited and Line M on the
proposal budget will not be available for use by the proposer. While not required by NSF,
proposing organizations may, at their own discretion, continue to contribute voluntary
uncommitted cost sharing to NSF-sponsored projects. These resources are not auditable
by NSF and should not be included in the proposal budget or budget justification.

All current and pending support from whatever source (e.g., Federal, State, local or
international government agencies, public or private foundations, industrial or other
commercial organizations, or internal funds allocated toward specific projects) must be
listed. The proposed project and all other projects or activities requiring a portion of time
of the PI and other senior personnel must be included, even if they receive no salary
support from the project(s).

Facilities, Equipment and Other Resources:
[ ]

An aggregated description of the internal and external resources (both physical and
personnel) that the organization and its collaborators will provide to the project, should it
be funded, has been included.

[ ]

No quantifiable financial information has been provided.

[ ]

If there are no facilities, equipment or other resources identified, a statement to that effect
has been included in this section of the proposal and uploaded into FastLane.

Special Information and Supplementary Documentation:
[ ]

The types of information identified in Chapter II.C.2.j have been included, as appropriate.

[ ]

Any additional items specified in a relevant program solicitation have been included.

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Exhibit II-2:

Potentially Disqualifying Conflicts of Interest

Unless a waiver has been granted by NSF, a reviewer cannot review a proposal if:
•

the reviewer, the reviewer’s spouse, minor child, or business partner;

•

the organization where the reviewer is employed, has an arrangement for future employment or is
negotiating for employment; or

•

the organization where the reviewer is an officer, director, trustee, or partner,

has a financial interest in the outcome of the proposal.
Unless a waiver has been granted by NSF, a potential reviewer also may be barred from reviewing a
proposal, if it involves individuals with whom he/she has a personal relationship, such as a close relative,
current or former collaborator, or former thesis student/advisor.
Unless a waiver has been granted by NSF, a disqualifying conflict may exist, if a proposal involves an
organization or other entity with which the potential reviewer has a connection. Such potentially
disqualifying connections include:
•

a reviewer’s recent former employer;

•

an organization in which the reviewer is an active participant;

•

an institution at which the reviewer is currently enrolled as a student, or at which he/she serves as
a visiting committee member; or

•

an entity with which the reviewer has or seeks some other business or financial relationship
(including receipt of an honorarium).

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Exhibit II-3:

Drug-Free Workplace Certification

Instructions for Certification
1.

By signing the NSF Cover Sheet and submitting this proposal, the Authorized Organizational
Representative is providing the certifications set out below.

2.

The certification set out below is a material representation of fact upon which reliance was placed
when the agency determined to award the grant. If it is later determined that the grantee knowingly
rendered a false certification, or otherwise violates the requirements of the Drug-Free Workplace
Act, the agency, in addition to any other remedies available to the Federal Government, may take
action authorized under the Drug-Free Workplace Act.

3.

For grantees other than individuals, Alternate I applies.

4.

For grantees who are individuals, Alternate II applies.

Certification Regarding Drug-Free Workplace Requirements
Alternate I (Grantees Other Than Individuals)
The grantee certifies that it will or will continue to provide a drug-free workplace by:
(a)

Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing,
possession or use of a controlled substance is prohibited in the grantee’s workplace and specifying
the actions that will be taken against employees for violation of such prohibition;

(b)

Establishing an ongoing drug-free awareness program to inform employees about -(1) The dangers of drug abuse in the workplace;
(2) The grantee’s policy of maintaining a drug-free workplace;
(3) Any available drug counseling, rehabilitation and employee assistance programs; and
(4) The penalties that may be imposed upon employees for drug abuse violations occurring in the
workplace;

(c)

Making it a requirement that each employee to be engaged in the performance of the grant be
given a copy of the statement required by paragraph (a);

(d)

Notifying the employee in the statement required by paragraph (a) that, as a condition of
employment under the grant, the employee will -(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute
occurring in the workplace, no later than five calendar days after such conviction;

(e)

Notifying the agency in writing, within 10 calendar days after receiving notice under subparagraph
(d)(2) from an employee or otherwise receiving actual notice of such conviction.
Employers of convicted employees must provide notice, including position title, to every grant
officer or other designee on whose grant activity the convicted employee was working, unless the

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Federal agency has designated a central point for the receipt of such notices. Notice shall include
the identification number(s) of each affected grant;
(f)

Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph
(d)(2), with respect to any employee who is so convicted-(1)

Taking appropriate personnel action against such an employee, up to and including
termination, consistent with the requirements of the Rehabilitation Act of 1973, as
amended; or

(2)

Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, State, or local health, law
enforcement, or other appropriate agency;

(g)
Making a good faith effort to continue to maintain a drug-free workplace through implementation of
paragraphs (a), (b), (c), (d), (e) and (f).

Alternate II (Grantees Who Are Individuals)
(a)

The grantee certifies that, as a condition of the grant, he or she will not engage in the unlawful
manufacture, distribution, dispensing, possession or use of a controlled substance in conducting
any activity with the grant.

(b)

If convicted of a criminal drug offense resulting from a violation occurring during the conduct of any
grant activity, he or she will report the conviction, in writing, within 10 calendar days of the
conviction, to every grant officer or other designee, unless the Federal agency designates a central
point for the receipt of such notices. When notice is made to such a central point, it shall include
the identification number(s) of each affected grant.

For NSF, grantee notification should be made to the Cost Analysis & Audit Resolution Branch, Division of
Institution & Award Support, NSF, Arlington, VA 22230.

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Exhibit II-4:

Debarment and Suspension Certification

Instruction on Certification Regarding Debarment and Suspension
1.

By signing and submitting this proposal, the prospective primary participant is providing the
certification set out below.

2.

The inability of a person to provide the certification required below will not necessarily result in
denial of participation in this covered transaction. The prospective participant shall submit an
explanation of why it cannot provide the certification set out below. The certification or explanation
will be considered in connection with the department or agency's determination whether to enter
into this transaction. However, failure of the prospective primary participant to furnish a certification
or an explanation shall disqualify such person from participation in this transaction.

3.

The certification in this clause is any material representation of fact upon which reliance was placed
when the department or agency determined to enter into this transaction. If it is later determined
that the prospective primary participant knowingly rendered an erroneous certification, in addition
to other remedies available to the Federal Government, the department or agency may terminate
this transaction for cause or default.

4.

The prospective primary participant shall provide immediate written notice to the department or
agency to whom this proposal is submitted if at any time the prospective primary participant learns
that its certification was erroneous when submitted or has become erroneous by reason of changed
circumstances.

5.

The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction,
participant, person, primary covered transaction, principal, proposal, and voluntarily excluded, as
used in this clause, have the meanings set out in the Definitions and Coverage sections of the rules
implementing Executive Order 12549. You may contact the department or agency to which this
proposal is being submitted for assistance in obtaining a copy of those regulations.

6.

The prospective primary participant agrees by submitting this proposal that, should the proposed
covered transaction be entered into, it shall not knowingly enter into any lower tier covered
transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded
from participation in this covered transaction, unless authorized by the department or agency
entering into this transaction.

7.

The prospective primary participant further agrees by submitting this proposal that it will include the
clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion
- Lower Tier Covered Transaction", provided by the department or agency entering into this covered
transaction, without modification, in all lower tier covered transactions.

8.

A participant in a covered transaction may rely upon a certification of a prospective participant in a
lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded
from the covered transaction, unless it knows that the certification is erroneous. A participant may
decide the method and frequency by which it determines the eligibility of its principals. Each
participant may, but is not required to, check the Nonprocurement List.

9.

Nothing contained in the foregoing shall be construed to require establishment of a system of
records in order to render in good faith the certification required by this clause. The knowledge and
information of a participant is not required to exceed that which is normally possessed by a prudent
person in the ordinary course of business dealings.

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10.

Except for transactions authorized under paragraph 6 of these instructions, if a participant in a
covered transaction knowingly enters into a lower tier covered transaction with a person who is
suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in
addition to other remedies available to the Federal Government, the department or agency may
terminate this transaction for cause or default.

Certification
(1)

The prospective primary participant certifies to the best of its knowledge and belief, that it and its
principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible,
or voluntarily excluded from a covered transaction by any Federal department or agency; (b) Have
not within a three-year period preceding this proposal been convicted of or had a civil judgment
rendered against them for commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (Federal, State or local) transaction or contract under
a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement,
theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving
stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a
governmental entity (Federal, State or local) with commission of any of the offenses enumerated
in paragraph (1)(b) of this certification; and (d) Have not within a three-year period preceding this
application/proposal had one or more public transactions (Federal, State or local) terminated for
cause or default.

(2)

Where the prospective primary participant is unable to certify to any of the statements in this
certification, such prospective participant shall include an explanation with this proposal.

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Exhibit II-5:

Lobbying Certification

Instructions on Certification Regarding Lobbying
This certification is required for an award of a Federal contract, grant or cooperative agreement exceeding
$100,000 and for an award of a Federal loan or a commitment providing for the United States to insure or
guarantee a loan exceeding $150,000. The Certification for Contracts, Grants, Loans and Cooperative
Agreements also is included in full text on the FastLane submission screen.

Certification for Contracts, Grants, Loans and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1)

No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned,
to any person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with the awarding of any federal contract, the making of any Federal grant,
the making of any Federal loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or
cooperative agreement.

(2)

If any funds other than Federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a Member of Congress,
an officer or employee of Congress, or an employee of a Member of Congress in connection with
this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and
submit Standard Form LLL, “Disclosure of Lobbying Activities,” in accordance with its instructions.

(3)

The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements and that all subrecipients shall certify and disclose
accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction
was made or entered into. Submission of this certification is a prerequisite for making or entering into this
transaction imposed by Section 1352, Title 31, US Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each
such failure.

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Exhibit II-6:

Nondiscrimination Certification

Instructions for Nondiscrimination Certification
1.
In accordance with NSF policy, by signing the proposal, the Authorized Organizational
Representative is providing the requisite Certification of Compliance with National Science Foundation
Nondiscrimination Regulations and Policies. This Certification sets forth the nondiscrimination obligations
with which all awardees must comply. These obligations also apply to subrecipients, and contractors under
the award. The proposer therefore, shall obtain the NSF Nondiscrimination Certification from each
organization that applies to be, or serves as a subrecipient, or contractor under the award (for other than
the provision of commercially available supplies, materials, equipment or general support services) prior to
entering into the subaward or contract arrangement.
2.
The proposer shall provide immediate notice to the Foundation if at any time the proposer learns
that its certification was erroneous when submitted, or has become erroneous by reason of changed
circumstances.

Certification of Compliance with National Science Foundation Nondiscrimination
Regulations and Policies
By signing the proposal, the Authorized Organizational Representative hereby certifies that the organization
will comply with Title VI of the Civil Rights Act of 1964 (42 USC § 2000d), Title IX of the Education
Amendments of 1972 (20 USC §§ 1681 et seq.), the Rehabilitation Act of 1973 (29 USC § 794), the Age
Discrimination Act of 1975 (42 USC §§ 6101 et seq.) and all regulations and policies issued by NSF
pursuant to these statutes.
To that end, in accordance with the above-referenced nondiscrimination statutes, and NSF’s implementing
regulations and policies, no person in the United States shall, on the ground of race, color, national origin,
sex, disability, or age, be excluded from participation in, be denied the benefits of, or be otherwise subjected
to discrimination under any program or activity for which the Proposer receives Federal financial assistance
from the Foundation; and HEREBY CERTIFIES THAT it will immediately take any measures necessary to
effectuate this agreement.
If any real property or structure thereon is provided or improved with the aid of Federal financial assistance
extended to the Proposer by the Foundation, this Certification shall obligate the Proposer, or in the case of
any transfer of such property, the transferee, for the period during which the real property or structure is
used for a purpose for which the Federal financial assistance is extended or for another purpose involving
the provision of similar services or benefits. If any personal property is so provided, this Certification shall
obligate the Proposer for the period during which it retains ownership or possession of the property. In all
other cases, this Certification shall obligate the Proposer for the period during which the Federal financial
assistance is extended to it by the Foundation.
THIS CERTIFICATION is given in consideration of and for the purpose of obtaining any and all Federal
grants, cooperative agreements, loans, contracts, property, discounts or other Federal financial assistance
extended after the date hereof to the Proposer by the Foundation, including installment payments after
such date on account of applications for Federal financial assistance which were approved before such
date. The Proposer recognizes and agrees that such Federal financial assistance will be extended in
reliance on the representations and agreements made in this Certification, and that the United States shall
have the right to seek judicial enforcement of this Certification. This Certification is binding on the Proposer,
its successors, transferees, and assignees.

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Exhibit II-7:

Definitions of Categories of Personnel

The personnel categories listed on parts A and B of the Proposal Budget are defined as follows:

A.

Senior Personnel

1.
(co) PRINCIPAL INVESTIGATOR/PROJECT DIRECTOR (PI/PD) means the individual(s)
designated by the proposer, and approved by NSF, who will be responsible for the scientific or technical
direction of the project. NSF does not infer any distinction in scientific stature among multiple PIs, whether
referred to as PI or co-PI. If more than one, the first one listed will serve as the contact PI, with whom all
communications between NSF program officials and the project relating to the scientific, technical, and
budgetary aspects of the project should take place. The PI and any identified co-PIs, however, will be
jointly responsible for submission of the requisite project reports. The term "Principal Investigator" generally
is used in research projects, while the term "Project Director" generally is used in centers, large facilities,
and other projects. For purposes of this Guide, PI/co-PI is interchangeable with PD/co-PD.
2.
Faculty Associate (faculty member) (or equivalent) -- an individual other than the Principal
Investigator(s) considered by the performing institution to be a member of its faculty (or equivalent) or who
holds an appointment as a faculty member at another institution, and who will participate in the project
being supported.

B.

Other Personnel

1.
Postdoctoral (Scholar, Fellow, or Other Postdoctoral Position) -- An individual who has received a
doctoral degree (or equivalent) and is engaged in a temporary and defined period of mentored advanced
training to enhance the professional skills and research independence needed to pursue his or her chosen
career path. Postdoctoral scholars not identified under Senior Personnel above should be listed as Other
Personnel.
2.
Other Professional -- a person who may or may not hold a doctoral degree or its equivalent, who
is considered a professional and is not reported as a Principal Investigator, faculty associate, postdoctoral
scholar or student. Examples of persons included in this category are doctoral associates not reported
under B1, professional technicians, physicians, veterinarians, system experts, computer programmers and
design engineers.
3.
Graduate Student (research assistant) -- a part-time or full-time student working on the project in a
research capacity who holds at least a bachelor’s degree and is enrolled in a degree program leading to an
advanced degree.
4.
Undergraduate Student -- a student who is enrolled in a degree program (part-time or full-time)
leading to a bachelor’s or associate’s degree.
5. & 6. These categories include persons working on the project in a non-research capacity, such as
secretaries, clerk-typists, draftsmen, animal caretakers, electricians and custodial personnel regardless of
whether they hold a degree or are involved in degree work.
Any personnel category for which NSF funds are requested must indicate, in the parentheses provided on
the Proposal Budget, the number of persons expected to receive some support from those funds.

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Chapter III:

NSF Proposal Processing and Review

Proposals received by NSF are assigned to the appropriate NSF program and are assessed to ensure that
they meet NSF compliance requirements. All compliant proposals are then 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. 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. 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 as Exhibit III-1.
A comprehensive description of the Foundation’s merit review process is available on the NSF website at:
http://www.nsf.gov/bfa/dias/policy/merit_review/.
Proposal review is one step in the NSF program planning and implementation process. Embedded in this
process are core strategies that are fundamental to the fulfillment of NSF’s mission. More information about
NSF’s mission and strategies can be found in Investing in Science, Engineering, and Education for the
Nation’s Future: NSF Strategic Plan for 2014-2018. 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 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

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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.
2.

Merit Review Criteria

All NSF proposals are evaluated through use of 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. (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 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:
1.

What is the potential for the proposed activity to:

a.
Advance knowledge and understanding within its own field or across different fields (Intellectual
Merit); and
b.

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

2.

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

3.

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?

4.

How well qualified is the individual, team, or organization to conduct the proposed activities?

5.
Are there adequate resources available to the PI (either at the home organization or through
collaborations) to carry out the proposed activities?
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B.

Selection of Reviewers

The NSF guidelines for the selection of reviewers are designed to ensure selection of experts who can give
Program Officers the proper information needed to make a recommendation in accordance with the NSBapproved criteria for selection of projects. Optimally, reviewers should have:
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. Within reasonable
limits, reviewers’ fields of specialty should be complementary within a reviewer group.
2.
Broader or more generalized knowledge of the science and engineering subfields involved in the
proposals to be reviewed to evaluate the broader impacts of the proposed activity. Reviewers with broad
expertise are required for proposals involving substantial size or complexity, broad disciplinary or
multidisciplinary content, or significant national or international implications.
3.
Broad knowledge of the infrastructure of the science and engineering 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 achieve a
balance among various characteristics. Important factors to consider include: type of organization
represented, reviewer diversity, age 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 organization 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 must not be used for submission of revised budgets. All budgetary revisions
must be submitted through use of the FastLane Revised Proposal Budget Module. See Section D. below
for further information.) A request for a proposal file update must be signed and submitted by the AOR. An
update request must contain a justification that addresses:
1.

why the changes or file replacements are being requested; and

2.

any differences between the original and proposed replacement files.

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

the deadline date;

•

initiation of external peer review in cases when a target date is utilized; 1 and

•

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

A request for a proposal file update after the timeframes specified above will require acceptance by the
cognizant NSF Program Officer. Such requests shall be submitted only to correct a technical problem with
the proposal (i.e., formatting or print problems). Changes in the content of the proposal should not be
requested after the timeframes specified above. When a request is accepted, the proposed files or
1The

status of a proposal may be found in Research.gov.

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revisions to proposal attributes will immediately replace the existing files and become part of the official
proposal.
PIs can access the Proposal File Update Module via the "Proposal Functions" section of FastLane.
Authorized individuals in the organization’s 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 Administration Functions." 2
NSF will consider only 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 significant development (e.g., research findings, changed circumstances, unavailability of
PI or other senior personnel, etc.) that might materially affect the outcome of the review of a pending
proposal, the proposer must contact the cognizant NSF Program Officer to discuss the issue. Submitting
additional information must not be used as a means of circumventing page limitations or stated deadlines.
Before recommending whether or not NSF should support a particular project, the cognizant NSF Program
Officer may, subject to certain constraints outlined below, engage in discussions with the proposing PIs.
Negotiating budgets generally involves discussing a lower or higher amount of total support for the
proposed project. The cognizant NSF Program Officer may suggest reducing or eliminating costs for
specific budget items that are clearly unnecessary or unreasonable for the activities to be undertaken,
especially when the review process supports such changes; however, this would generally not include
faculty salaries, salary rates, fringe benefits, or tuition. Note: indirect cost rates are not subject to
negotiation. The NSF Program Officer may discuss with PIs the “bottom line” award amount, i.e., 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 budget reduction of 10% or more from the amount originally proposed,
a corresponding reduction should be made in the scope of the project. Proposers must use the FastLane
Revised Proposal Budget Module to submit this information. 3 A revised proposal budget also must include
a Budget Impact Statement that describes the impact of the budget reduction on the scope of the project.
Revised proposal budgets must be signed and submitted by the AOR.

E.

Funding Recommendation

After scientific, technical and programmatic review and consideration of appropriate factors, the NSF
Program Officer recommends to the cognizant Division Director whether the proposal should be declined
or recommended for award. Normally, final programmatic approval is at the Division/Office level. Because
of the large volume of proposals, this review and consideration process may take up to six months. Large
or particularly complex proposals may require additional review and processing time.
Should a proposal be recommended for award, the PI may be contacted by the NSF Program Officer for
assistance in preparation of the public award abstract and its title. An NSF award abstract, with its title, is
an NSF document that describes the project and justifies the expenditure of Federal funds by articulating

2Detailed

instructions on submitting proposer-initiated proposal file updates are available on the FastLane website at
https://www.fastlane.nsf.gov/documents/pfu/pfu.jsp.

3

Note: All preaward budgetary revisions must be submitted through use of the Revised Budget Module in Fastlane.

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how the project serves the national interest, as stated by NSF's mission: “to promote the progress of
science; to advance the national health, prosperity and welfare; or to secure the national defense."
Note that a recommendation for an award by an NSF Program Officer does not constitute approval or
obligation of Federal funds. 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 part of NSF or the Government should be inferred from technical or budgetary
discussions with an NSF Program Officer. A PI or organization that makes financial or personnel
commitments in the absence of a grant or cooperative agreement signed by a NSF Grants and Agreements
Officer does so at its own risk.

F.

NSF’s Risk Management Framework and the Decision to Award or Decline
Proposals

If the program recommendation is for an award and final Division/Office or other programmatic approval is
obtained, then the recommendation goes to the Division of Grants and Agreements (DGA) or the Division
of Acquisition and Cooperative Support (DACS) for review of business, financial and policy implications.
After the completion of this review, a final decision will be made to fund or decline the proposal.
1.
NSF Risk Management Framework. Consistent with 2 CFR §200.205, NSF’s risk-based framework
evaluates the risks posed by proposers prior to issuance of an NSF award. This framework includes, but is
not limited to, the following:


conducting pre-award financial and administrative reviews for all proposers recommended for
award that have not managed NSF funding in the last five years and whose NSF funding would
exceed $225,000;



conducting pre-award financial and administrative reviews for organizations who have received
prior NSF awards whose cumulative NSF funding amount would exceed $225,000 should the
proposal recommended for award be funded;



conducting pre-award financial and administrative reviews for all proposers recommended for
Phase II funding under the Small Business Innovation Research (SBIR) or Small Business
Technology Transfer (STTR) program;



considering the proposer’s record of how it has managed past and current Federal awards, and
leveraging NSF systems and to identify any ongoing issues that need to be considered before
proceeding with future awards;



considering the status of corrective actions necessary to address findings or concerns noted in
audits, desk reviews, site visits, or other monitoring activities of the proposer’s past and current
Federal awards; and



ensuring that NSF conducts review of information available through any OMB-designated
repositories and that no awards are made to proposers that are currently suspended or debarred
or otherwise ineligible for participation in Federal programs or activities.

DGA generally makes the decision to award or decline proposals within 30 days after the program
Division/Office makes its recommendation. Proposals from 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, or unusual arrangements may
require additional review and processing time. NSF will report proposals that are declined for reasons that
meet the guidelines set forth by OMB to the OMB-designated integrity and performance system in
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accordance with Federal regulation, but only after the proposer has had an opportunity to exhaust the
review procedures contained in Chapter III.F.2.
2.

Process to Appeal NSF’s Decision to Decline a Proposal for Financial or Administrative Reasons

a.

Background

A proposer who has been declined for an NSF award for reasons related to NSF’s pre-award financial and
administrative reviews will be afforded the opportunity to discuss the decline decision with the cognizant
NSF Grants and Agreements Officer or Branch Chief in DGA or DACS. If, after obtaining further clarification
from the cognizant NSF Grants and Agreements Officer or Branch Chief in DGA or DACS, the proposer
believes that NSF made a substantive or procedural error in arriving at its decision to decline an award, the
proposer may submit a request for review to the cognizant Division Director of DGA or DACS. The decision
made by the cognizant Division Director of DGA or DACS is final.
Award of NSF assistance is discretionary. A formal hearing, therefore, is not provided.
b.

Applicability

Chapter III.F.2.c contains the process by which proposers may appeal a DGA or DACS Branch Chief’s
decision to decline an NSF award arising from NSF’s pre-award financial and administrative reviews. This
process does not apply to decisions to return or decline a proposal for any other reason.
Proposals declined for administrative or financial reasons are not eligible for reconsideration under Chapter
IV.D.
c.

Procedures

1.
Proposers who are declined for an NSF award for financial or administrative reasons will be
identified as such in the declination notice. A proposer who disagrees with NSF’s decision should first
contact the cognizant NSF Grants and Agreements Officer or Branch Chief in DGA or DACS, who will afford
the proposer an informal opportunity to obtain further clarification.
2.
If dissatisfied with the explanation provided by the cognizant NSF Grants and Agreements Officer
or Branch Chief in DGA or DACS, the proposing organization’s Authorized Organizational Representative
may submit a request for review to the cognizant Division Director of DGA or DACS. The letter must be
addressed to the Division Director, Division of Grants and Agreements (DGA), or the Division Director,
Division of Acquisition and Cooperative Support (DACS) as appropriate, and must be received by the
Foundation within 30 days after the date of the declination notice. The time for filing a request for review is
strictly enforced and no extensions for the purpose of preparing it will be granted.
3.
The request for review need not follow any prescribed format. However, it must contain a full
statement of the proposer’s position with respect to the disputed matter, as well as the facts and reasons
supporting the proposer’s position that the declination was unwarranted. The request may address any
errors made in the financial and administrative review process, and it may contain supporting
documentation that was not originally presented as part of the financial and administrative review process.
However, NSF will not consider any new information that would not have been available at the time the
decision to decline was made. Therefore, new information presented in relation to the proposer’s financial
stability or the quality of its management systems will not be considered.
4.
The Division Director, DGA or DACS, will review or designate one or more individuals to review the
matter. In no case will the review be undertaken by any individual involved with the decline decision. The
reviewing official(s) may request additional information from the proposer, but only information that would
have been available at the time the decision to decline was made will be considered.
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5.
The designated reviewing official(s) will, within 30 days of NSF’s receipt of the request for review,
forward a report to the Division Director, DGA or DACS or his/her designee for a final written decision for
the agency. The Division Director, DGA or DACS or his/her designee will communicate the decision in
writing to the proposer, normally within 15 days of receipt of the report, unless otherwise specified by NSF.
The decision made by the Division Director, DGA or DACS, is final.

G.

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:
•

description of the context in which the proposal was reviewed;

•

copies of all reviews used in the decision (with any reviewer-identifying information redacted);

•

copy of panel summary, if the proposal was reviewed by a panel at any point in the process; and/or

•

site-visit reports, if applicable.

In addition, if not otherwise provided in the panel summary, the PI is provided an explanation (written or
telephoned) of the basis for the declination. A PI also may request and obtain any other releasable material
in NSF's file on his/her proposal. Everything in the file, except information that identifies either reviewers
or other pending or declined proposals is usually releasable to the PI.
Reviews are made available directly to the PI, to provide feedback for the purpose of improving proposed
research and research methods, and to assist in preparation of future proposals. They are not intended for
any other purpose.

H.

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 material that is personal, proprietary or otherwise exempt from disclosure under law.
Appropriate labeling in the proposal aids identification of what may be specifically exempt. (See Chapter
II.D.1) Such information will be withheld from public disclosure to the extent permitted by law, including the
Freedom of Information Act. 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 by law.
Portions of proposals resulting in grants that contain descriptions of inventions in which either the
Government or the grantee owns a right, title, or interest (including a non-exclusive license) will not normally
be made available to the public until a reasonable time has been allowed 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 information contained in the
proposal.

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Exhibit III-1: NSF Proposal & Award Process & Timeline

Chapter IV:
A.

Non-Award Decisions and Transactions

Proposal Withdrawal

A proposal may be withdrawn at any time before a funding recommendation is made by the cognizant NSF
Program Officer. Proposals must be withdrawn via the FastLane Electronic Proposal Withdrawal System.
This module in FastLane automates the proposal withdrawal process and provides a mechanism that will
help organizations to more effectively manage their proposal portfolio, as well as to help eliminate the
submission of duplicate proposals to NSF. The Electronic Proposal Withdrawal System includes three
processes:
•

Principal Investigator’s Proposal Withdrawal allows a PI to initiate a proposal withdrawal and
forward it to the organization’s AOR for submission to NSF.

•

Sponsored Projects Office (SPO) Proposal Withdrawal allows an authorized individual in the
organization’s Sponsored Projects Office (or equivalent) to initiate a proposal withdrawal and
forward it to the AOR for submission to NSF.

•

Proposal Submission Duplicate Withdrawal prevents the AOR from submitting a new proposal if a
duplicate (a proposal from the same organization with the same title and same PI and co-PIs)
already has been submitted to NSF within the last two weeks prior to the current submission. If
these conditions are met, the system will allow the AOR to either withdraw the previous duplicate
proposal, and then proceed with the submission of the new proposal, or to modify the new proposal
so it is different from the previous proposal.

Principal Investigators can access the Proposal Withdrawal utility via the "Submitted Proposals" screen
under the FastLane Proposal Preparation Functions Module. Authorized individuals 1 can initiate or review
a proposal withdrawal using the "Submit Proposals/Supplements/File Updates/Withdrawals" Module via the
FastLane "Research Administration Functions". 2
In cases where NSF already has made a funding decision, proposals will not be permitted to be withdrawn
via the electronic proposal withdrawal system. When a PI or other authorized official attempts to prepare
a proposal withdrawal for such a proposal, a message will be displayed to contact the cognizant NSF
Program Officer for further assistance.
NSF must be notified if any funding for the proposed project is received from another source or sponsor. If
it is brought to NSF's attention that funding for a proposal to NSF has been accepted from another sponsor,
NSF will send a withdrawal confirmation to the PI and the SPO without waiting for the official withdrawal
notification.
If a proposal withdrawal is submitted for a proposal that is part of a collaborative effort, regardless of whether
the organization is the lead or non-lead, the electronic proposal withdrawal system will withdraw that
proposal along with the other remaining proposals that are identified as part of the collaborative effort. If
the remaining organizations in the collaborative determine that the project can still proceed, a new
collaborative proposal must be submitted.
Copies of reviews received by NSF before a proposal is withdrawn will be provided to the PI. NSF provides
notice of a withdrawal, return, declination, or reconsideration to both the PI and the SPO.

1

Authorized Organizational Representatives also can initiate a proposal withdrawal.
instructions on the Electronic Proposal Withdrawal System are
https://www.fastlane.nsf.gov/documents/epw/epw.jsp.

2Detailed

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available

in

FastLane

at:

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B.

Proposal Not Accepted or Returned Without Review

A proposal will not be accepted 3 or will be returned without review by NSF for the following reasons.
The proposal:
1.
2.
3.

6.
7.
8.
9.
10.

is inappropriate for funding by the National Science Foundation (see Chapter I.B);
is submitted with insufficient lead-time before the activity is scheduled to begin;
is a full proposal that was submitted by a proposer that has received a “not invited” response to the
submission of a preliminary proposal (see Chapter I.D.2. and Chapter I.D.2.a);
is a duplicate of, or substantially similar to, a proposal already under consideration by NSF from
the same submitter (see Chapter I.G.2);
does not meet NSF proposal preparation requirements, such as page limitations, formatting
instructions, and electronic submission, as specified in Part I of the Proposal and Award Policies
and Procedures Guide (see Chapters II.A, II.B, and II.C), the NSF Grants.gov Application Guide,
or program solicitation;
is not responsive to the NSF funding opportunity;
does not meet an announced proposal deadline date;
was previously reviewed and declined and has not been substantially revised (see Chapter IV.E);
duplicates another proposal that was already awarded; and/or
does not contain each of the required sections of the proposal, as described in Chapter II.C.2.

C.

Declinations

4.
5.

A PI whose proposal for NSF support has been declined will receive information and an explanation of the
reason(s) for declination along with copies of the reviews considered in making the decision. If that
explanation does not satisfy the PI, he/she may request additional information from the cognizant NSF
Program Officer or Division Director. See Chapter III.G for additional information.
PIs and co-PIs may access review information from NSF after the decision has received the concurrence
of the cognizant NSF Division Director, when all the review information has been released for their proposal.

D.

Reconsideration

1.

Overview

a.
A proposer whose proposal has been declined may ask the cognizant NSF Program Officer or the
cognizant NSF Division Director for information over and above the explanatory materials received with the
declination notice. If the PI/PD is not satisfied that the proposal was fairly handled and reasonably reviewed,
he/she may request reconsideration by the responsible Assistant Director (AD) or Office Head. An
organization (or an unaffiliated PI/PD) still not satisfied after reconsideration by the responsible AD/Office
Head may request further reconsideration by the Deputy Director of the Foundation. The decision made
by the Deputy Director is final.
b.

If a proposal has been declined after review by the NSB, only an explanation will be available.

c.
The aim of any reconsideration is to ensure that NSF’s review has been fair and reasonable, both
substantively and procedurally. The scientific and technical merits may be examined within the context of
budget availability and program priorities. Reconsideration also may address any procedural errors in peer
review or other aspects of proposal review, including unaccounted-for conflict of interests or inappropriate
consideration of records, information or rumor.

3

Proposal Not Accepted is defined as FastLane will not permit submission of the proposal.

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d.
Award of NSF assistance is discretionary and reconsideration is not an adversarial process. A
formal hearing, therefore, is not provided. Because factors such as program budget and priorities factor
into the decision on a proposal, NSF cannot ensure proposers that reconsideration will result in an award
even if error is established in connection with the initial review.
e.
No revisions made to the proposal after declination will be considered in connection with the original
proposal. A substantially revised proposal, however, may be submitted for review as a new proposal under
standard procedures. NSF reserves the right to return without review a proposal that is substantially the
same as one that was previously reviewed and declined whether or not a request for reconsideration was
made.
2.

Applicability

NSF's reconsideration process is available to individuals and organizations concerning proposals for grant
funding. It does not apply to:
a.

“discourage” (i.e., non-binding) decisions resulting from submission of a preliminary proposal;

b.

proposals for:

(1)
(2)
(3)
(4)
(5)
(6)

fellowships;
travel grants;
Rapid Response Grants;
EArly-concept Grants for Exploratory Research (EAGER);
Research Advanced by Interdisciplinary Science and Engineering (RAISE); or
Phase I proposals submitted under the Small Business Innovation Research (SBIR) program.

c.

proposals returned without review by NSF for failure to:

(1)
be submitted with sufficient lead time before the activity is to begin;
(2)
meet an announced proposal deadline date; or
(3)
meet NSF proposal preparation requirements, such as page limitations, formatting instructions, and
electronic submission, as specified in Part I of the PAPPG, the NSF Grants.gov Application Guide, or
program solicitation.
3.

Reconsideration Process

The following paragraphs highlight the various stages of the NSF Reconsideration Process, including the
necessary procedural aspects of each stage of the process.
a.

Explanations by the NSF Program Officer or Division Director

When a proposal is declined, the PI/PD receives verbatim but unattributed copies of any ad hoc reviews
and the panel summary (if applicable), a description of how the proposal was reviewed, and, if not otherwise
provided in the panel summary, an explanation (written or telephoned) of the basis for the declination. A
returned proposal also will be accompanied by an explanation. A PI/PD who is considering asking for
reconsideration should first contact the cognizant NSF Program Officer or Division Director, who will afford
the PI/PD an informal opportunity to seek further clarification.
b.

Reconsideration by the Cognizant NSF Assistant Director

(1)
If dissatisfied with the explanation provided by the NSF Program Officer or Division Director, the
PI/PD may request in writing that NSF reconsider its action. Such a request will be considered only if the
PI/PD has first sought and obtained further clarification from the cognizant NSF Program Officer or Division
Director, and only if the request is received by the Foundation within 90 days after the declination or the
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return. The request should be addressed to the AD/Office Head for the Directorate or Office that handled
the proposal and should explain why the PI/PD believes that the declination or return was unwarranted.
(2)
The AD/Office Head will reconsider the record to determine whether NSF’s review of the declined
proposal was fair and reasonable, substantively and procedurally, taking into account availability of funds
and the policies and priorities of the program and NSF. In the case of a returned proposal, the record will
be reviewed to determine whether the proposed project was inappropriate for NSF consideration. The
AD/Office Head may request additional information from the PI/PD and may obtain additional reviews. If
additional reviews are sought, they are subject to standard review procedures (e.g., instructions must be
provided to reviewers and conflicts-of-interest policies must be followed). The AD/Office Head may conduct
the reconsideration personally or may designate another NSF official who had no part in the initial review
to do so. As used here, “AD/Office Head” includes such a designated official.
(3)
Within 45 days after the date of the request, the AD/Office Head will furnish the results of the
reconsideration, in writing, to the PI/PD. If results cannot be furnished within 45 days, the AD/Office Head
will send the PI/PD a written explanation of the need for more time, indicating the date when the results can
be expected. If the AD/Office Head reaffirms the declination or return, he/she will inform the PI/PD that the
PI/PD’s organization may obtain further reconsideration by the Deputy Director of NSF as provided below.
c.

Further Reconsideration by the NSF Deputy Director

(1)
Within 60 days after the AD/Office Head has notified the PI/PD of the results of the reconsideration,
the proposing organization or an unaffiliated PI/PD may request further reconsideration by the Deputy
Director of NSF.
(2)
A request for further reconsideration need not be in any particular format, but it must be in writing,
and must be signed by the organization’s president or other chief executive officer and by the PI/PD. For
declinations, it should explain why the organization believes that an error may have occurred in the initial
evaluation and why it is not entirely satisfied with the reconsideration by the responsible AD/Office Head.
For returned proposals, it should explain why the organization believes that an error may have occurred in
the initial determination that the proposal was inappropriate for NSF consideration.
(3)
The Deputy Director will review the request for further reconsideration and the record of earlier NSF
actions, including the original review and the reconsideration by the AD/Office Head, to determine whether
NSF’s review of the declined proposal was fair and reasonable, or, in the case of a returned proposal,
whether the proposed project was inappropriate for NSF consideration. The Deputy Director may request
additional information from the PI/PD or the proposing organization and may obtain additional reviews. If
additional reviews are sought, they are subject to standard review procedures (e.g., instructions must be
provided to reviewers and conflicts-of-interest policies must be followed).
(4)
The Deputy Director may conduct the further reconsideration personally or may designate another
NSF official who had no part in the initial evaluation of the proposal or the earlier reconsideration to do so.
As used here, “Deputy Director” includes such a designated official.
(5)
Within 30 days after a request for further reconsideration is received at NSF, the Deputy Director
will furnish the results of the further reconsideration, in writing, to the organization. If results cannot be
furnished within 30 days, the Deputy Director will send the organization a written explanation of the need
for more time, indicating the date when the results can be expected.
(6)

The decision made by the Deputy Director is final.

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E.

Resubmission

A declined proposal may be resubmitted, but only after it has undergone substantial revision. A resubmitted
proposal that has not clearly taken into account the major comments or concerns resulting from the prior
NSF review may be returned without review. The Foundation will treat the revised proposal as a new
proposal, subject to the standard review procedures.

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Chapter V:

Renewal Proposals

A renewal proposal is a request for additional funding for a support period subsequent to that provided by
a standard or continuing grant. A renewal proposal competes with all other proposals and must be
developed as fully as though the proposer is applying for the first time. Renewal proposals must be
submitted at least six months before additional funding is required or consistent with an established
deadline, target date or submission window. In preparing a renewal proposal, proposers should assume
that reviewers will not have access to previously submitted versions of the proposal. Please note the
National Science Board strongly endorses the principle that all expiring awards are to be recompeted. 1
All proposals for renewed support of research projects, from academic institutions only, must include
information on human resources development at the postdoctoral, graduate and undergraduate levels as
part of Results from Prior NSF Support. 2 This may involve, but is not limited to, the role of research in
student training, course preparation and seminars (particularly for undergraduates).
Special
accomplishments in the development of professional scientists and engineers from underrepresented
groups should be described. Graduate students who participated in the research should be identified by
name. This requirement does not apply to non-academic organizations.
PIs are encouraged to discuss renewal proposals with the program prior to submission of a proposal.
Unless precluded by individual program requirements, PIs may choose either of the following two formats
for preparation of a renewal proposal.
A.
Traditional Renewal. The “traditional” renewal proposal is developed as fully as though the
proposer were applying for the first time. It covers all the information required in a proposal for a new project,
including Results from Prior NSF Support. The 15-page limitation on the Project Description applies.
B.
Accomplishment-Based Renewal. In an "Accomplishment-Based Renewal" (ABR) proposal, the
Project Description (including the Results from Prior NSF Support) is replaced with the following items:
1.
copies of no more than six reprints 3 of publications resulting from the research supported by NSF
(including research supported by other sources that is closely related to the NSF-supported research)
during the preceding three to five year period. Of the six publications, two preprints (accepted for
publication) may be included;
2.
information on human resources development at the postdoctoral, graduate and undergraduate
levels; and
3.

a brief summary (not to exceed four pages) of plans for the proposed support period.

All other information required for NSF proposal submission remains the same.
It must be clearly indicated in the proposal that it is an ABR submission and the box for "AccomplishmentBased Renewal" must be checked on the Cover Sheet. ABR proposals may not be submitted for
consecutive renewals.

1

Reference National Science Board Resolution (NSB 08-12) entitled, Competition and Recompetition of NSF
Awards.
2This requirement applies to both types of renewal proposals: Traditional Renewal and Accomplishment-Based
Renewal.
3Reprints should be provided as supplementary documentation and should be submitted via the Proposal Preparation
Module in the FastLane System.

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PIs are advised that the ABR is a special type of renewal proposal appropriate only for an investigator who
has made significant contributions, over a number of years, in the area of research addressed by the
proposal. Investigators are strongly urged to contact the cognizant NSF Program Officer prior to developing
a proposal using this format.
Descriptions of other forms of additional funding support, including continuing grants and supplemental
funding requests, are contained in Chapter VI.

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PART II: AWARD, ADMINISTRATION AND MONITORING OF GRANTS
AND COOPERATIVE AGREEMENTS
Part II of the NSF Proposal & Award Policies & Procedures Guide sets forth NSF policies and procedures
regarding the award, administration, and monitoring of grants and cooperative agreements. Coverage
includes the NSF award process, from issuance and administration of an NSF award through closeout.
Guidance is provided regarding other grant requirements or considerations that either are not universally
applicable or do not follow the award cycle. Part II also implements other Public Laws, Executive Orders
(E.O.) and other directives insofar as they apply to grants, and is issued pursuant to the authority of Section
11(a) of the NSF Act (42 USC §1870). When NSF Grant General Conditions or an award notice reference
a particular section of the PAPPG, then that section becomes part of the award requirements through
incorporation by reference.

Chapter VI:
A.

NSF Awards

Acceptance of Assistance Agreements

Awardees are free to accept or reject the grant or cooperative agreement as awarded. Normally, a request
to drawdown NSF funds constitutes acceptance, however, in limited circumstances, NSF may require
formal acceptance of an award. If an awardee chooses not to accept an award, then a written request
should be sent to the cognizant NSF Program Officer to withdraw (or terminate) the award.

B.

Award Instrument

1.

Composition of an NSF Award

Composition of an NSF award includes:
a.
the award notice, including any special conditions applicable to the award and any numbered
amendments thereto;
b.

general federal award information as required by 2 CFR § 200.210;

c.
the budget, which indicates the amounts, by categories of expense, on which NSF has based its
support;
d.

the applicable NSF general conditions referenced in the award notice (see Chapter VI.C for listing);

e.

the proposal referenced in the award notice; and

f.
any NSF program announcement, program solicitation or other documents or special requirements
incorporated by reference in the award notice.
2.

Award Transmission

NSF transmits award notices to organizations via e-mail. In addition to the e-mail notification, awardees
and Principal Investigators also may access NSF award notices via use of NSF’s electronic systems.
Sponsored Projects Offices are able to view, print and/or download NSF award notices for their
organizations. PIs also may access their award notices via FastLane.

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C.

NSF Award Conditions

Each NSF award notice specifically identifies certain conditions that are applicable to, and become part of,
that award.
The award conditions are available electronically on NSF’s website at:
http://www.nsf.gov/awards/managing/. When these conditions reference a particular PAPPG section, that
section becomes part of the award requirements through incorporation by reference.

D.

NSF Grant Periods

1.

Definitions

a.
START DATE is the date specified in the grant notice on or after which, except for fixed amount
awards, expenditures may be charged to the grant. With the exception of PI transfers, the start date used
by NSF is either the 1st or the 15th day of the month. If no start date is specified, then the date of the grant
notice is the start date. (See, however, Chapter X.A.2.b.)
b.
END DATE is the date specified in the grant notice after which expenditures may not be charged
against the grant except to satisfy obligations to pay allowable project costs committed on or before that
date. The end date is the last day of a month.
c.
AWARD DATE is the date when the NSF award is signed by the cognizant NSF Grants and
Agreements Officer.
d.
GRANT PERIOD is the period of time between the start date and the end date of an NSF grant
shown as the duration.
2.

Significance of Grant Period

a.
Except in fixed amount awards, an NSF grant gives authority to the grantee to commit and expend
funds for allowable costs (see Chapter X) in support of the project up to the grant amount specified in the
grant notice at any time during the grant period.
b.
Except as provided in Chapter X.A.2.b or Chapter X.A.2.c, expenditures may not be charged prior
to the start date or subsequent to the end date under an NSF cost reimbursement grant.
3.

Changes in a Grant Period

a.

Start Date

Once an award is made, the start date cannot be changed; however, grantees have the authority to incur
pre-award costs as outlined in Chapter X.A.2.b.
b.

End Date

The end date may be changed as a result of approval of a request for continued support of a continuing
grant, for a no-cost grant extension, or by approval of a request for supplemental support. When
appropriate, the NSF Grants and Agreements Officer will issue an amendment to the grant.
c.

No-Cost Extension

(i)
Grantee-Approved Extension. Grantees may authorize a one-time extension of the end date of the
grant of up to 12 months if additional time beyond the established end date is required to assure adequate
completion of the original scope of work within the funds already made available. This one-time extension
may not be exercised merely for the purpose of using the unliquidated balances. Grantees are not
authorized to extend an award that contains a zero balance. The grantee shall notify NSF, providing

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supporting reasons for the extension and the revised period of performance, at least ten calendar days prior
to the end date specified in the grant to ensure accuracy of NSF’s grant data. All grantee-approved
extension notifications must be signed and submitted by the Authorized Organizational Representative
(AOR) via use of NSF’s electronic systems. 1 For grantee-approved extensions, no amendment will be
issued. The revised end date can be viewed via NSF’s electronic systems.
(ii)

NSF-Approved Extension

(a)
If additional time beyond the extension provided by the grantee is required and exceptional
circumstances warrant, a formal request must be signed and submitted by the AOR via use of NSF’s
electronic systems. The request should be submitted to NSF at least 45 days prior to the end date of the
grant. All late requests must include a strong justification as to why it was not submitted earlier. The
request must explain the need for the extension and include an estimate of the unobligated funds remaining
and a plan for their use. As indicated above, that unobligated funds may remain at the end of the grant is
not in itself sufficient justification for an extension. The plan must adhere to the previously approved
objectives of the project. Such requests must be signed and submitted by the AOR via use of NSF’s
electronic systems.
(b)
The first no-cost extension request will be considered for approval by the cognizant NSF Program
Officer. The grantee and the PI will be electronically notified of the disposition of this request by the
cognizant NSF Program Officer (an amendment to award will not be created). The second (or any
subsequent) no-cost extension will be subject to the approval of an NSF Grants Officer, and, if approved,
will be in the form of an amendment to the grant specifying a new end date. Grantees are cautioned not to
make new commitments or incur new expenditures after the end date of the award in anticipation of a nocost extension. In addition, grantees must be aware that most NSF appropriated funds have a limited
period of availability for expenditure before the appropriation cancels. No-cost extensions do not extend the
period of availability for canceling funds 2.
d.

Two-Year Extensions for Special Creativity

A Program Officer may recommend the extension of funding for certain research grants beyond the initial
period for which the grant was awarded for a period of up to two years. The objective of such extensions
is to offer the most creative investigators an extended opportunity to attack adventurous, “high-risk”
opportunities in the same general research area, but not necessarily covered by the original/current award.
Awards eligible for such an extension are generally continuing grants. Special Creativity Extensions are
normally initiated by the NSF Program Officer based on progress during the first two years of the grant; PIs
will be informed of such action a year in advance of the end date of the grant. In response to the Program
Officer’s recommendation, the required information must be signed and submitted by the AOR via use of
NSF’s electronic systems.

E.

Additional Funding Support

1.

Types of Additional Funding Support

Additional funding of a project beyond the original grant period will be in the form of renewed support,
continued support or supplemental support. A description of each of these additional funding mechanisms
is provided below.

1

NSF has developed a matrix that lists NSF’s electronic capabilities, and whether they can be found in FastLane,
Research.gov or both. This matrix will be updated as appropriate, independent of the Proposal & Award Policies &
Procedures
Guide
revision
cycle.
The
current
version
is
located
at:
http://www.nsf.gov/bfa/dias/policy/estatus_matrix.pdf.
2 In accordance with 31 U.S.C. 1552(a), funds will no longer be available for expenditure for any purpose beyond
September 30th of the fifth fiscal year after the expiration of a fixed appropriation’s period of availability for incurring
new obligations – also see Chapter VIII.E for Financial Requirements and Payments.)

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2.

Renewed Support

Renewed support is defined as additional funding for a support period subsequent to that provided by the
original grant. Renewals to grants, if any, will be in the form of a new grant with a new grant number. Costs
incurred under the old grant cannot be transferred to the new grant. Residual funds remaining in the old
grant cannot be transferred to the new grant.
Instructions for preparation of renewal proposals are contained in Chapters II and V.
3.

Support under Continuing Grants

a.
Funding increments for projects being supported under continuing grants receive high priority within
NSF and normally are not considered in competition with proposals for new grants or for grants for renewed
support.
b.
Unless otherwise provided for in the original grant notice, each increment of a continuing grant will
be funded at the level indicated in the original award notice without a formal request, subject to NSF’s
judgment of satisfactory progress, availability of funds, and receipt and approval of the required annual
report. NSF makes every attempt to honor continuing grant commitments. In order to adjust to changes in
the general level of funds for a particular field of science or engineering or to major new opportunities in
that field, however, NSF may reduce continuing grant increments below the levels indicated in original grant
notices. This requires full written justification by program staff and management review and approval. In
the absence of major unanticipated fiscal year constraints, reductions are rare. Continuing grant increments
will be released by the cognizant NSF Program Officer upon approval of the annual report. The Sponsored
Projects Office and PI will be notified by the cognizant NSF Program Officer of NSF's approval via email.
c.
In order to obtain a committed funding increment and ensure continuity of funding, an annual project
report must be submitted by the PI electronically via use of Research.gov at least three months before the
end of the period currently being funded. (See Chapter VII.D for additional information on submission of
project reports.)
4.

Supplemental Support

a.
In unusual circumstances, small amounts of supplemental funding and up to six months of
additional support may be requested to assure adequate completion of the original scope of work. Such
requests for supplemental funding support must be signed and submitted by the AOR via use of NSF’s
electronic systems at least two months prior to the need for the additional funds and must be adequately
justified. Program Officers may make decisions regarding whether or not to recommend a small
supplement without merit review of the supplemental request. Requests for larger supplements may require
external merit review.
b.
A request for supplemental support must be submitted electronically via FastLane and must
include:
(i)

A summary of the proposed work;

(ii)

A justification of the need for the supplemental funds; and

(iii)

A budget and budget justification, highlighting the use by budget category of the additional funding
as distinguished from the original funding provided in those categories of cost. AORs are required
to electronically sign the supplemental funding request via the Authorized Organizational
Representative Functions in FastLane.

c.
NSF will not approve requests for supplemental support for such purposes as defraying the costs
of increases in salaries, wages or staff benefits or for additional indirect cost reimbursement, whether

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caused by a change in the indirect cost rate or by changes in direct cost expenditures which affect the
indirect cost base. (See Chapter X.A.2.a.)
d.
If approved, the NSF Grants and Agreements Officer will amend the grant to provide additional
funding for the current support period. The amendment notice will specify both the amount of supplemental
funding and the cumulative amount awarded through the end date, which normally will remain unchanged.
e.
Special NSF programs such as Research Experiences for Undergraduates may provide their
funding through supplements to other NSF grants. In such instances, the guidance in this section may not
be applicable.
f.
If supplemental funding is requested to support a postdoctoral researcher and the original proposal
did not include a mentoring plan, then the supplemental funding request must include the requisite
mentoring plan, as described in Chapter II.C.2.j. The plan should be uploaded to the “Other Supplementary
Documents” section of the FastLane Supplemental Funding Request module. The PI must report on the
mentoring activities provided to the individual in annual and final project reports.

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Chapter VII: Grant Administration
A.

Monitoring Project Performance

1.

Grantee Responsibilities

a.
The grantee has full responsibility for the conduct of the project or activity supported under an NSF grant
and for the results achieved. The grantee should monitor the performance of the project to assure adherence to
performance goals, time schedules or other requirements as appropriate to the project or the terms and conditions
of the grant. In order to carry out these responsibilities, each grantee organization shall agree to comply with the
applicable Federal requirements for grants and to the prudent management of all expenditures and actions
affecting the grant. Documentation for each expenditure or action affecting the grant shall reflect appropriate
organizational reviews or approvals, which should be made in advance of the action. Organizational reviews are
intended to help assure that expenditures are allowable, necessary and reasonable for the conduct of the project,
and that the proposed action:
(i)

is consistent with grant terms and conditions;

(ii)

is consistent with NSF and grantee policies;

(iii)

represents effective utilization of resources; and

(iv)

does not constitute changes in objectives or scope.

b.
Notwithstanding these responsibilities, NSF continues to encourage communication between NSF
Program Officers and PI/PDs on the progress of projects supported by NSF as well as on project changes.
c.
NSF, through authorized representatives, has the right, at all reasonable times, to make site visits to
review project accomplishments, grantee management control systems and administration and management of
the grant and to provide technical assistance as may be required. If any site visit is made by the Foundation on
the premises of the grantee or a subrecipient under a grant, the grantee shall provide and shall require its
subrecipients to provide all reasonable facilities and assistance for the safety and convenience of the NSF
representatives.
2.

Grantee Notifications to NSF and Requests for NSF Approval

Exhibit VII-1 provides a listing of program-related grantee notifications to, and requests for approval from, the
National Science Foundation. The listing also includes cost-related notifications to, and requests for approval
from NSF as specified in Part I of the PAPPG and in Chapter X. While the listing is not intended to be all-inclusive,
it does highlight the most frequent areas where specific notifications and requests for approval are required.
All notifications and requests contained in Exhibit VII-1, and described below, must be submitted via use of NSF’s
electronic systems. With the exception of significant changes in methods or procedures and significant changes,
delays or events of unusual interest, all notifications and requests must be signed and submitted by the Authorized
Organization Representative (AOR) via use of NSF’s electronic systems.

B.

Changes in Project Direction or Management

1.

Changes in Objectives, Scope or Methods/Procedures

a.

Changes in Objectives or Scope

The objectives or scope of the project may not be changed without prior NSF approval. Such change requests
must be signed and submitted by the AOR via use of NSF’s electronic systems. If approved by NSF, the Grants
and Agreements Officer will amend the grant. Prior written NSF approval also is required for changes to the
Facilities, Equipment, and Other Resources section of the approved proposal that would constitute changes in
objectives or scope (see Chapter II.C.2.i for further information).
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b.

Significant Changes in Methods or Procedures

NSF believes that the PI/PD and co-PI/co-PD, operating within the established policies of the grantee organization,
should feel free to pursue interesting and important leads that may arise during the conduct of a research (or other
grant-supported) project or to adopt an alternative approach which appears to be a more promising means of
achieving the objectives of the project. Significant changes in methods or procedures should be reported to
appropriate grantee official(s). The PI/PD also must notify NSF via use of NSF’s electronic systems.
c.

Significant Changes, Delays or Events of Unusual Interest

In the event there are problems, delays or adverse conditions that will materially impact the ability to attain the
objectives of the project or to meet such time schedules as may have been proposed, the PI/PD should notify the
appropriate grantee official(s). The PI/PD also must notify NSF via use of NSF’s electronic systems.
NSF should be informed of any events of unusual interest that occur during the course of the project. Reports,
communications or photographs should be submitted via the interim report capability in Research.gov.
2.

Changes in PI/PD, co-PI/co-PD or Person-Months Devoted to the Project

The NSF decision to support a proposed project is based to a considerable extent upon its evaluation of the
proposed PI/PD and any identified co-PI/co-PD’s knowledge of the field of study and his/her capabilities to conduct
the project in an efficient and productive manner. This is reflected in the NSF merit review criteria (see Chapter
III). The named PI/PD (and co-PI/co-PD) should be continuously responsible for the conduct of the project and
be closely involved with the effort.
If the grantee determines that there is a need for the addition of a new co-PI/co-PD, or the current PI/PD or coPI/co-PD plans to, or becomes aware that he/she will: (i) devote substantially less effort to the project than
anticipated in the approved proposal; (ii) sever his/her connection with the grantee organization; or (iii) otherwise
relinquish active direction of the project, he/she shall advise the appropriate official at the grantee organization,
who shall initiate action appropriate to the situation under the guidelines that follow.
a.

Long-Term Disengagement of PI/PD or co-PI/co-PD

(i)
In the event the PI/PD or co-PI/co-PD will be disengaged from the project for a period greater than three
months (e.g. sabbatical leave) but intends to return, arrangements for oversight of the project must be signed and
submitted by the AOR via use of NSF’s electronic systems. This information must be provided at least 30 days
before departure or as soon as practicable after the prospective disengagement is known. The cognizant NSF
Program Officer will provide written approval to the grantee if the arrangements are satisfactory, but no formal
amendment to the grant will be made. If the arrangements are not satisfactory to NSF, the grant may be
terminated as prescribed in Chapter XII.A.
(ii)
In the event the PI/PD or co-PI/co-PD will temporarily be working for NSF as an IPA (Intergovernmental
Personnel Act employee) or VSEE (Visiting Scientist, Engineer or Educator), the appropriate officials at the
grantee organization must contact the cognizant NSF Program Officer for procedural guidance regarding any
existing grants or pending proposals of the PI/PD or co-PI/PD.
b.

Changes in Person-Months Devoted to the Project

If the PI/PD or co-PI/co-PD will devote substantially less time to the project than anticipated in the approved
proposal, (defined in the applicable grant terms and conditions as a reduction of 25% or more in time) he/she
should consult with the appropriate officials of the grantee organization. Requests for changes to the personmonths devoted to the project must be signed and submitted by the AOR via use of NSF’s electronic systems. If
the grantee organization or NSF determines that the reduction of effort will substantially impair the successful
execution of the project, the NSF Program Officer will consult the NSF Grants and Agreements Officer. The NSF
Grants and Agreements Officer may:

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(i)
request the grantee to nominate a replacement PI/PD or co-PI/co-PD acceptable to the NSF Program
Officer;
(ii)

initiate the termination procedures described in Chapter XII.A.; or

(iii)

negotiate an appropriate modification to the grant.

c.

Addition of co-PI/co-PD

In the event the grantee desires to add a new co-PI/co-PD to a project 2, the AOR must sign and submit the request
via use of NSF’s electronic systems. The new co-PI/co-PD’s name, biographical sketch, current and pending
support from all ongoing projects and proposals, as well as a justification for the addition must also be included in
the request. The contact information for the new co-PI/co-PD also should be included. If approved by NSF, the
Grants and Agreements Officer will amend the grant.
d.

Withdrawal of PI/PD or co-PI/co-PD

In the event the PI/PD or co-PI/co-PD severs his/her connection with the grantee organization or otherwise
relinquishes active direction of the project, the AOR must sign and submit a notification of the withdrawal of the
PI/PD or co-PI/co-PD via use of NSF’s electronic systems. The grantee also must:
(i)

initiate transfer of the grant as described in Chapter VII.B.2.e;

(ii)

nominate a substitute as described in Chapter VII.B.2.d; or

(iii)

initiate grant closeout procedures through submission of final reports as described in Chapter VII.D.2.

e.

Substitute (Change) PI/PD or co-PI/co-PD

In the event the grantee desires to continue the project with a substitute PI/PD or co-PI/co-PD, the AOR must sign
and submit the request via use of NSF’s electronic systems. The substitute PI/PD’s name or co-PI/PD’s name,
biographical sketch, current and pending support from all ongoing projects and proposals, as well as a justification
for the substitution must also be included in the request. The contact information for the new PI/PD or co-PI/coPD also should be included. If approved by NSF, the Grants and Agreements Officer will amend the grant. If not
approved, NSF may take steps, pursuant to Chapter XII.A to suspend or terminate the grant.
f.

Disposition of a Grant When a PI/PD Transfers from One Organization to Another Organization

(i)
Policy. When a PI/PD plans to leave an organization during the course of a grant, the organization has
the prerogative to nominate a substitute PI/PD or request that the grant be terminated and closed out. In those
cases where the PI/PD’s original and new organizations agree, NSF will facilitate a transfer of the grant and the
assignment of remaining unobligated funds to the PI/PD’s new organization. This should normally be done with
a tripartite agreement (involving NSF, the PI/PD’s original organization and new organization), or by a subaward
arrangement between the PI/PD’s original and new organizations, subject to NSF’s consent. (See Chapter
VII.B.3)
(ii)
Procedures. When a PI/PD plans to leave an organization during the course of a grant, the PI/PD or the
Sponsored Projects Office, or equivalent, shall notify the cognizant NSF Program Officer. If the project is to
continue with the original organization, the cognizant NSF Program Officer should advise the grantee to nominate
a substitute PI/PD (see Chapter VII.B.2.d). If the project is to be continued at the PI/PD’s new organization, and
if NSF and both organizations agree, formal notification of the impending transfer can be electronically initiated by
either the PI/PD or the PI/PD's organization. The amount transferred has to be equal to or less than the
unobligated balance. The request shall include a:
(a)

brief summary of progress to date;

2

NSF’s policy limits the number of co-PI/co-PD to four per award.
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(b)

description of work yet to be accomplished;

(c)
completed on-line transfer request, including total disbursements and unpaid obligations to date (transfer
amount will be automatically calculated, based on the amount entered in total disbursements). The original
organization is responsible for including in the total estimated disbursements, any anticipated costs yet to be
incurred against the original grant;
(d)

detailed line item budget for the transfer amount and any outstanding continuing grant increments; and

(e)
If funding is requested to support a postdoctoral researcher, then the request must include the requisite
mentoring plan as described in Chapter II.C.2.j. The plan must be uploaded to the “Other Supplementary
Documents” section of Fastlane. The PI must report on the mentoring activities provided to the individual(s) in
annual and final project reports.
The original organization concurs with the transfer of the award by electronically forwarding the request to the
new organization.
The new organization completes the request by providing a detailed budget for the transfer amount agreed to by
both organizations. The AOR of the new organization must sign and submit the request via use of NSF’s electronic
systems. Submission of the request constitutes agreement by the new organization to assume responsibility for
completion of the project effort and to administer the grant (as originally awarded) from the transfer date to
completion in accordance with any special terms and conditions and the applicable general terms and conditions
that normally govern NSF grants made to the new organization. Special terms and conditions, as appropriate,
cited in the original award will convey to the new grantee organization.
NSF will assign a proposal number at the time of submission. This proposal number will become the new grant
number when the transfer is approved by an NSF Grants and Agreements Officer.
(iii)
Fund Transfer. Upon receipt of the above material, NSF will review the request and, if approved, deduct
the specified transfer amount from the original grant and re-establish it under a new grant number at the new
organization. Award notification by the NSF Grants and Agreements Officer will constitute NSF approval of the
grant transfer. The award notification also will specify the applicable basic terms and conditions that govern the
grant.
(iv)
Upon transfer of the grant to the new organization, any monetary discrepancies must be resolved between
the original and the new grantee. NSF will not intervene in any disputes between the two organizations regarding
the transferred amount.
(v)
Equipment Transfers. Equipment purchased with NSF funds for use in a specific project should remain
available for use for the duration of the project. PI/PDs who are in the midst of projects that included funding for
equipment and who will continue the project at a new organization with NSF support, should arrange with their
original organization to have the equipment transferred with them. Shipping costs for such equipment may be
charged to the original or transferred grant as an allowable cost. Budgets should not include funds to “buy”
equipment that had been previously obtained with Federal funds.
(vi)
Possible Alternatives to the Transfer Process. When the amount of time and funds remaining in a project
are modest, and if both the original and new organizations are in agreement, the original organization may issue
a subaward to the new organization for completion of the project. This and other possible alternatives should be
discussed with the NSF Grants and Agreements Officer.
3.

Subawarding, Transferring or Contracting Out Part of an NSF Award (Subaward)

Excluding the purchase of items such as commercially available materials and supplies, equipment or general
support services allowable under the grant, no part of an NSF award may be subawarded, transferred, or
contracted out to another organization without prior NSF authorization. The intent to enter into such arrangements
should be disclosed in the proposal.

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If it becomes necessary to subaward, transfer or contract out part of an NSF award after a grant has been made,
the grantee shall submit, at a minimum:
a.

a clear description of the work to be performed by each subrecipient;

b.

a separate budget for each subaward; and

c.
If funding is requested to support a postdoctoral researcher, and the original proposal did not include a
mentoring plan, then the request must include the requisite mentoring plan as described in Chapter II.C.2.j. The
plan must be uploaded to the “Other Supplementary Documents” section of Fastlane. The PI must report on the
mentoring activities provided to the individual(s) in annual and final project reports.
The request must be signed and submitted by the AOR via use of NSF’s electronic systems, and NSF
authorization will be indicated by an amendment to the grant signed by the Grants and Agreements Officer. The
NSF grant terms and conditions will identify which articles flow-down to subrecipients.
Procurements under NSF grants are subject to Chapter X.C as well as 2 CFR § 200.317-326.

C.

Cost Sharing

1.

General

The National Science Board issued a report entitled “Investing in the Future: NSF Cost Sharing Policies for a
Robust Federal Research Enterprise” (NSB 09-20), which contained eight recommendations for NSF regarding
cost sharing. In implementation of the Board’s recommendations, NSF’s revised guidance 3 (see Chapter
II.C.2.g.(xii)) is as follows:
•

inclusion of voluntary committed cost sharing is prohibited. It should be noted that foregoing full indirect
cost rate recovery is considered voluntary committed cost sharing; and

•

when mandatory cost sharing is included on Line M and accepted by NSF, the commitment of funds
becomes legally binding and is subject to audit. Failure to provide the level of cost sharing required by
the NSF solicitation and reflected in the NSF award budget may result in termination of the NSF award,
disallowance of award costs and/or refund of award funds to NSF by the awardee.

2.

Mandatory Cost Sharing Commitments

2 CFR § 200.306 prescribes criteria and procedures for the allowability of cash and in-kind contributions. Grantees
should be aware that mandatory cost sharing commitments are subject to audit. Audit findings involving cost
sharing have pertained to: a) failure to keep adequate source documentation for claimed cost sharing; b) unclear
valuation of in-kind donated contributions; c) lack of support for cost sharing contributions by subrecipients; and
d) failure to complete annual certifications for awards with mandatory cost sharing requirements. Additional
guidance on cost sharing may be obtained at http://www.nsf.gov/bfa/dias/caar/costrev.jsp.
3.

Mandatory Cost Sharing Records and Reports

a.

Grantee Records

Grantees shall maintain records of all project costs that are claimed by the grantee to meet mandatory cost sharing
requirements specified in an NSF program solicitation. Records for cost share contributed to NSF awards must
be compliant with the requirements of 2 CFR § 200.306, and are subject to audit.
b.

Grantee Reports

The amount of mandatory cost sharing must be documented (on an annual and final basis), certified by the
Authorized Organizational Representative, and reported to the NSF Program Officer via use of NSF’s electronic
3

See NSF’s Revised Cost Sharing Policy Statement for the Foundation’s overarching policies on cost sharing.
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systems. Such notifications must be submitted no later than 90 days prior to the end of the current budget period
to meet the annual notification requirement, and no later than 120 days following the expiration of the award to
meet the final notification requirement. The cost share notification is considered due during the 90 or 120 day
period respectively. The notification becomes overdue the day after the respective 90 or 120 day period ends.
c.

Changes to the Cost Sharing Amount Specified on Line M of the NSF Award Budget

Should the grantee become aware that it may be unable to provide the cost sharing of at least the amount identified
on Line M of the NSF award budget, it must immediately provide written notification to the Grants and Agreements
Officer of the situation; and either: indicate steps it plans to take to secure replacement cost sharing; or indicate
the plans it has to either continue or phase out the project in the absence of the approved level of cost sharing.
Should NSF agree to the organization’s proposed plans, the NSF Grants and Agreements Officer will modify the
award accordingly, including, if appropriate, reducing the amount of NSF support. Should the organization’s plans
be unacceptable to NSF, the award may be subject to termination. NSF modifications to proposed cost sharing
revisions are made on a case-by-case basis.
Failure by the organization to notify NSF, in accordance with the paragraph above, may result in the disallowance
of some or all of the costs charged to the award; the subsequent recovery by NSF of some or all of the NSF funds
provided under the award; possible termination of the award; and may constitute a violation of the terms of the
award so serious as to provide grounds for subsequent suspension or debarment.

D.

Technical Reporting Requirements

NSF requires project reports for all assistance awards. Information from these reports is used in annual reports
to Congress to demonstrate the Foundation’s performance as mandated by the Government Performance and
Results Act (GPRA) of 1993. These reports also provide NSF program officers and administrative offices with
information on the progress of supported projects and the way these funds are used. Information in these reports
may be made available to the general public through the Freedom of Information Act (FOIA). These reports are
fully consistent and implement the Research Performance Progress Report (RPPR), which is the governmentwide standard for use with research and research-related activities. Except where another format is approved by
the Office of Management and Budget (OMB) for use by an NSF program, this means that the ‘‘where practicable’’
requirement specified in 2 CFR § 200.301 is not required as the RPPR does not relate financial information to
performance data.
1.

Annual Project Reports

Annual Project Reports should address progress in all activities of the project, including any activities intended to
address the Broader Impacts criterion that are not intrinsic to the research. These reports are not cumulative, and
should be written specifically for the most recently completed budget period. Unless otherwise specified in the
award, annual project reports should be submitted electronically no later than 90 days prior to the end of the
current budget period to allow adequate time for the cognizant Program Officer to review and approve the report.
As reflected in the Project Report System, the report is considered due during the 90 day period. The report
becomes overdue the day after the 90 day period ends. Failure to submit timely reports will delay processing of
additional funding and administrative actions, including, but not limited to, no cost extensions. In the case of
continuing grants, failure to submit timely reports may delay processing of funding increments. See also Chapter
VI.E.3.
Annual project reports may not be required for fellowship awards. Specific reporting requirements for fellowships
are established in the applicable program solicitation and award conditions.
For multi-year standard grants, PIs are required to submit annual reports as outlined above. In the case of
cooperative agreements, the annual report is required before NSF approves any future funding increments.
Continuing grants also are subject to the same policies regarding report submission as outlined above. For
continuing grants that have a duration of 18 months or more per increment, two annual reports are required. A
report must be submitted for the first 12 months of the project, and then another report for the remaining months
of the increment. Continuing grants which include an increment of 24 months will require an annual report for each
12 month period.
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2.

Final Project Report

The Final Project Report should address progress in all activities of the project, including any activities intended
to address the Broader Impacts criterion that are not intrinsic to the research. This report is not cumulative; it is
the last annual report of the project and should be written specifically for the most recently completed budget
period. Unless otherwise specified in the award, the final project report should be submitted electronically no later
than 120 days following the end date of the grant. As reflected in the Project Report System, the report is
considered due during the 120 day period. The report becomes overdue the day after the 120 day period ends.
In addition, the grantee also shall provide to the cognizant NSF Program Officer, within 120 days following the
end date of the grant:
•

any unique reports or other end items specified in the award, including any reporting requirements set
forth in any NSF brochure, guide, solicitation, etc., referenced in the award as being directly related to
either the award or the administration of the award.

•

a final cost share notification documented and certified by the Authorized Organizational Representative
for awards where there is mandatory cost sharing established for the program.

Final project reports may not be required for institutional graduate research fellowships. However, final reporting
requirements for individual fellowships are established in the applicable program solicitation.
3.

Project Outcomes Report for the General Public

No later than 120 days following expiration of the grant, a project outcomes report for the general public must be
submitted electronically. This report serves as a brief summary, prepared specifically for the public, of the nature
and outcomes of the project. This report will be posted electronically by NSF exactly as it is submitted and will
be accompanied by the following disclaimer:
“This Project Outcomes Report for the General Public is displayed verbatim as submitted by the
Principal Investigator (PI) for this award. Any opinions, findings, and conclusions or
recommendations expressed in this Report are those of the PI and do not necessarily reflect the
views of the National Science Foundation; NSF has not approved or endorsed its content.”
Grantees are to ensure that the report does not contain any confidential, proprietary business information;
unpublished conclusions or data that might compromise the ability to publish results in the research literature; or
invention disclosures that might adversely affect the patent rights or those of the organization, in a subject
invention under the award. Project Outcomes Reports are not to contain any personally identifiable information
such as home contact information, individual demographic data or individually identifiable information collected
from human research participants.
Section Contents:
a.

Describe the project outcomes or findings that address the intellectual merit and broader impacts of the
work as defined in the NSF merit review criteria. This description should be a brief (generally, two to three
paragraphs) summary of the project’s results that is written for the lay reader. Principal Investigators are
strongly encouraged to avoid use of jargon, terms of art, or acronyms.

b.

NSF will automatically include all publications associated with the award that are reported in annual and
final project reports. Other products that have resulted from the award may also be listed. Examples of
other products include collections, data sets, software, as well as educational materials.

c.

Information regarding anticipated publication of project results, as well as any other information that would
be of interest to the public also may be included in this section.

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4.

Compliance with Technical Reporting Requirements

PIs must submit final technical reports within the time period specified. Failure to provide these reports on a
timely basis will delay NSF review and processing of pending proposals for all identified PIs and co-PIs
on a given award.
5.

Grant Closeout

Grant closeout is the process by which NSF determines that all applicable administrative actions and all required
work of the grant have been completed. Grants will be financially closed out on the first day of each month for all
awards with end dates of 120 or more days prior to the financial closeout day. See also Chapter VI.D.3.c for
additional information on No Cost Extensions. The close out amount will be based on the costs recorded at that
time. See also Chapter VIII.E.5 for additional information on Post Closeout Adjustments and Final Disbursements.
Grants are administratively closed after receipt of the Final Project Report and after determination that any other
administrative requirements in the grant have been met. In the event a final audit has not been performed prior
to the closeout of the grant, NSF reserves the right to recover funds after fully considering the recommendations
on disallowed costs resulting from the final audit.

E.

Record Retention and Audit

1.
Financial records, supporting documents, statistical records and all other records pertinent to the NSF
grant must be retained by the grantee for a period of three years from award financial closeout described in
Chapter VIII.E.3, except as noted in 2 CFR § 200.333.
2.
It is the responsibility of grantees that are States, Local Governments or Non-Profit Organizations to
arrange for the conduct of audits as required by 2 CFR § 200, Subpart F. They shall provide copies of the reports
of these audits to the Federal Audit Clearinghouse (see 2 CFR § 200.512(b)). Any Federal audit deemed
necessary by NSF shall build upon the results of such audit(s).
3.
All awards issued by NSF meet the definition of “Research and Development” (R&D) at 2 CFR § 200.87.
As such, auditees should identify NSF awards as part of the R&D cluster on the Schedule of Expenditures of
Federal Awards (SEFA). The auditor should test NSF awards for compliance as instructed in Part V, Clusters of
Programs. NSF recognizes that some awards may have another classification for purposes of indirect costs. The
auditor is not required to report the disconnect (i.e., the award is classified as R&D for audit purposes but nonresearch for indirect cost rate purposes), unless the auditee is charging indirect costs at a rate other than the
rate(s) specified in the award document(s).

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Exhibit VII-1:

CONSOLIDATED LISTING OF PROGRAM- AND COST-RELATED GRANTEE
NOTIFICATIONS TO, AND REQUESTS FOR APPROVAL FROM, THE NATIONAL
SCIENCE FOUNDATION*

All notifications to, and requests for approval from, the National Science Foundation must be submitted electronically via use of NSF’s
electronic systems. With the exception of significant changes in methods/procedures and significant changes, delays or events of
unusual interest, all notifications and requests must be signed and submitted by the AOR via use of NSF’s electronic systems.
Questions related to the electronic processing of these notifications and requests should be forwarded to the Help Desk by phone at:
1-800-673-6188 or by e-mail to: [email protected].
Type of Grantee Notification

PAPPG Citation

•
•
•

VI.D.3.c(i)
VII.B.1.b
VII.B.1.c

•
•

Grantee-Approved No-Cost Extension
Significant Changes in Methods or Procedures
Significant Changes/Delays or Events of Unusual Interest
(Other than Changes in Objectives or Scope)
Annual and Final Cost Share Notification by Recipient
Conflicts of Interest that cannot be satisfactorily managed,
reduced or eliminated and research that proceeds without the
imposition of conditions or restrictions when a conflict of interest
exists

VII.D.5
IX.A

Type of Grantee Request**

PAPPG

Direct questions to:

•
•
•
•
•
•
•
•
•
•
•
•
•
•
•

II.C.2.g.(vi)(e), VII.B.3
VI.D.3.c(ii)(a)
VI.D.3.c(ii)(b)
VII.B.1.a
VII.B.2.a
VII.B.2.b
VII.B.2.c
VII.B.2.d
VII.B.2.e
VII.B.2.f
X.A.2.b
II.C.2.g(i)(b)
II.C.2.g(iv)(a)
X.C.1
II.C.2.g(v)

Grants Office
Program Office
Grants Office
Program Office***
Program Office***
Grants Office, if necessary
Program Office***
Program Office***
Program Office***
Grants Office
Grants Office
Program Office***
Grants Office
Grants Office
Program Office

Subawarding, Transferring or Contracting Out Part of an NSF Award
First NSF-Approved No-Cost Extension
Second NSF-Approved No-Cost Extension
Change in Objectives or Scope
Long-Term Disengagement of the PI/PD or co-PI/co-PD
Change in Person-Months Devoted to the Project
Addition of co-PI/co-PD
Withdrawal of PI/PD or co-PI/co-PD
Substitute PI/PD or co-PI/co-PD
PI/PD or co-PI/co-PD Transfer from One Organization to Another
Pre-award Costs in Excess of 90 Days
Salaries of Administrative or Clerical Staff
Travel Costs for Dependents
Rearrangements/Alterations in excess of $25,000 (Construction)
Reallocation of Funds for Participant Support Costs

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Type of Grantee Request**
•

•

Additional categories of participant support costs other than those
described in 2 CFR § 200.75 (such as incentives, gifts, souvenirs,
t-shirts and/or memorabilia)
Change to cost sharing commitments reflected on Line M of the NSF
award budget
Request for Supplemental Support

PAPPG

Direct questions to:

II.C.2.g(v)

Grants Office

VII.C
VI.E.4

Grants Office
Program Office***

Notes:
*This listing of Notifications and Requests for Approval is not intended to be all-inclusive. **See also the relevant article in the
applicable NSF grant terms and conditions. ***Final action by Grants and Agreements Officer, when warranted.

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Chapter VIII - Financial Requirements and Payments
The acceptance of an award from NSF creates a legal obligation on the part of the grantee organization to
use the funds or property made available in accordance with the terms and conditions of the award.
Payments may be made in advance of work performed or as a reimbursement for work performed and/or
costs incurred by the grantee. Payments, however, may not be made prior to an award being signed by an
NSF Grants and Agreements Officer.
NSF has a revisionary interest in any:
(a)

unused funds from advance payments;

(b)

improperly applied funds (whether or not received as an advance payment); and

(c)
property acquired through the award, to which NSF specifically either retains title or reserves the
right to require title transfer.
While the provisions of this Chapter cover all NSF assistance awards (i.e., grants and cooperative
agreements), the term “grantee” is used throughout. Graduate fellowship awards to domestic colleges and
universities are included, but contracts are excluded. All categories of grantees (academic, non-academic,
profit and non-profit) are covered by this chapter. The procedures in this chapter apply primarily to the
comptroller’s office or business office.
A.

Standards for Financial Management

NSF grantees must meet the financial management systems requirements of 2 CFR § 200.302.
B.

Definitions

The following definitions are either not included elsewhere in Part II of the PAPPG or are repeated in this
Chapter because of their special applicability.
1.
ADVANCE PAYMENT - means a payment that NSF makes by any appropriate payment
mechanism, including a predetermined payment schedule, before the grantee disburses the funds for
program purposes.
2.
BUSINESS OFFICER – means the financial official of the grantee organization who has primary
responsibility for the accountability for, and reporting on, NSF award funds.
3.
CASH ON HAND – means a grantee organization’s cash position relative to the funds received
from NSF minus the costs incurred for the award.
4.
DISBURSEMENTS/OUTLAYS/EXPENDITURES – means charges made by the grantee to a
project or program for which an NSF award was received.
5.
FINANCIAL FUNCTIONS – means the NSF systems and services used by grantees to transmit
financial information to NSF. Grantees must access Financial Functions through Research.gov. The
primary Financial Functions used by grantees are:
(a)
Award Cash Management Service (ACM$) – means NSF’s award payment process under which
grantees provide award level detail at the time of the payment request. ACM$ replaced both the reporting
of expenditures on the Federal Financial Report (FFR) and the Cash Request Function.

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(b)
Federal Financial Report History – means the electronic version of the standard “Federal Financial
Report”. Used by grantees prior to ACM$ implementation to report the financial activity of NSF awards on
a quarterly basis.
6.
GRANTEE - means the organization or other entity that receives a grant or cooperative agreements
and assumes legal and financial responsibility and accountability both for the awarded funds and for the
performance of the grant-supported activity. NSF grants are normally made to organizations rather than to
individual Principal Investigator/Project Director(s). Categories of eligible proposers may be found in
Chapter I.E.
7.
NSF OBLIGATIONS – means funds authorized by an NSF Grants and Agreements Officer for a
specific NSF award creating a balance payable to a grantee.
8.
GRANTEE OBLIGATIONS – means orders placed for property and services, contracts and
subawards made, and similar transactions during a given period that require payment by the grantee during
the same or a future period.
9.
PAYMENTS – means the funds transferred from NSF to the grantee by electronic funds transfer
(Automated Clearing House (ACH)) and on some rare occasions by check or by wire for same day
electronic funds transfer or international payments.
10.

UNLIQUIDATED OBLIGATIONS –

(a)
for grantees operating on a cash basis, means obligations incurred by the grantee that have not
been paid (liquidated).
(b)
for grantee operating on an accrual expenditure basis, means obligations incurred by the grantee
for which an expenditure has not been recorded.
11.
UNOBLIGATED BALANCE – means the amount of funds under an NSF award that the grantee
has not obligated. The amount is computed by subtracting the cumulative amount of the grantee’s
unliquidated obligations and expenditures of funds under the NSF award from the cumulative amount of
the funds that NSF has authorized the grantee to obligate.
C.

Payment Requirements

1.

Requesting Payments

NSF grantees, except for some Special Payment grantees (see Chapter VIII.C.4), and some foreign
grantees, are required to request payments electronically through the Award Cash Management Service
(ACM$). Under ACM$, grantees must provide award level detail at the time of the payment request.
Certain Special Payment grantees and foreign grantees without access to a US bank are required to
request funds by submitting a “Request for Advance or Reimbursement Form”, (SF 270) (see Exhibit VIII1), to NSF either through mail, email or by fax.

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2.

Payment Policies

The purpose of this section is to prescribe the timing of advances and the procedures to be observed to
ensure that cash payments occur only when essential to meet the needs of a grantee for its actual
disbursements.
a.
Timing of Payments. Advance payments to grantees must be limited to the minimum amounts
needed. The timing of advanced payments must be in accordance with the actual, immediate cash
requirements of the grantee in carrying out the purpose of the approved program or project. The timing and
amount of advance payments must be as close as is administratively practicable to the actual
disbursements by the grantee for direct program or project costs and the proportionate share of any
allowable indirect costs.
b.
Payments to Subrecipients and Contractors. Payments made by NSF grantees to subrecipients
and contractors shall conform to the same standards of timing and amount as apply to payments by NSF
to its grantees.
c.
Withholding payments. NSF reserves the right, upon written notice, to withhold future payments
after a specified date if the granteeeither:
(i)

fails to comply with the terms and conditions of an NSF award, including the reporting requirements;
or

(ii)

is indebted to the US Government.

Payments will be released to the grantee upon subsequent compliance.
d.
Safeguarding Funds. In no case will NSF funds be commingled with the personal funds of, or be
used for personal purposes by, any officer, employee, or agent of the grantee; nor will any of these funds
be deposited in personal bank accounts for disbursement by personal check.
3.

Request for Payment

a.
Grantees may submit requests for payments as often as they like and may submit payment
requests for reimbursement or in advance of costs incurred. The following conditions must exist for
grantees submitting payment requests in advance of costs incurred:
(i)
Funds for the project period have been obligated by a Grants and Agreements Officer in the form
of an electronically signed grant;
(ii)
The grantee has established written procedures that will minimize the time elapsing between the
transfer of funds from the US Treasury and their disbursement by the grantee; and
(iii)
The grantee’s financial management system meets the standards for fund control and
accountability prescribed in 2 CFR § 200.302.
b.
Grantees shall maintain advances of NSF funds in interest bearing accounts as specified in Chapter
VIII.D.3.

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4.

Special Payment Grantees

When grantees do not meet the conditions specified in Chapter VIII.C.3 above, or when otherwise
considered appropriate, NSF may restrict their capability to request funds through ACM$ or they may be
required to request funds by using a Request for Advance or Reimbursement (SF 270) form. For a copy
of the form, see Exhibit VIII-1. The cognizant NSF Grants and Agreements Officer is responsible for
establishing the documentation requirements for special payment grantees. Documentation may be
submitted by email, by fax to 703-292-9142, or through the mail to:
National Science Foundation
Division of Grants & Agreements
Room 480
4201 Wilson Blvd
Arlington, VA 22230
5.

Working Capital Advance

In those cases where the reimbursement method described in Chapter VIII.C.3 are not feasible,
arrangements may be made whereby NSF projects are financed on a working capital advance basis. On
this basis, funds may be advanced to the grantee to cover estimated disbursement needs for a given initial
period. Thereafter, the grantee would be reimbursed for the amount of its actual cash disbursements. The
amount of the initial advance shall be geared to the reimbursement cycle so that after the initial period, the
advance approximately equals the average amount of the grantees’ unreimbursed program disbursements.
6.

Grantee Banking Information for Payments

The System for Award Management (SAM) is the NSF system of record for organizational financial
information. Once a grant is awarded, failure to maintain current and complete financial information within
SAM could prevent the grantee from receiving funds.
D.

Cash Refunds and Credits to NSF

1.

Final Unobligated Balance

NSF has a reversionary interest in the unobligated balance of an award upon the end date or completion
of the award. Based on final payment amounts submitted through ACM$, the final unobligated balance will
be computed by NSF and de-obligated from the award amount.
2.

Erroneous Payments

Advances or reimbursements made in error must be refunded to the National Science Foundation. Excess
funds should be promptly refunded electronically or by check. Electronic remittances should be submitted
through Pay.gov at https://pay.gov/paygov/forms/formInstance.html?agencyFormId=10506005. Checks
shall be mailed to NSF, Attn. Cashier, 4201 Wilson Boulevard, Arlington, VA 22230. Contact the NSF
Division of Financial Management at (703) 292-8280 for additional information.
The only exception to the requirement for prompt refunding is when the funds involved will be disbursed
immediately. This exception for prompt refunding should not be construed as approval by NSF for a grantee
to maintain excessive funds on hand.

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3.

Interest Earned on Advance Payments

The following provisions implement the applicable portions of 2 CFR § 200.305 on interest income.
Grantees shall maintain advances of NSF funds in interest bearing accounts, unless any of the following
apply:
a.

The grantee receives less than $120,000 in Federal awards per year;

b.
The best reasonably available interest bearing account would not be expected to earn interest in
excess of $500 per year on Federal cash balances;
c.
The depository would require an average or minimum balance so high that it would not be feasible
within the expected Federal and non-Federal cash resources; or
d.

A foreign government or banking system prohibits or precludes interest bearing accounts.

Grantees may retain interest earned amounts up to $500 per year for administrative expenses. Any
additional interest earned on Federal advance payments deposited in interest-bearing accounts must be
remitted annually to the Department of Health and Human Services Payment Management System (PMS)
through an electronic medium using either Automated Clearing House (ACH) network or a Fedwire Funds
Service payment. Remittances must include pertinent information of the payee and nature of payment in
the memo area (often referred to as “addenda records” by Financial Institutions) as that will assist in the
timely posting of interested earned on federal funds. The remittance must be submitted as follows:
(i)

For ACH Returns:
Routing Number: 051036706
Account number: 303000
Bank Name and Location: Credit Gateway—ACH Receiver St. Paul, MN

(ii)

For Fedwire Returns*:
Routing Number: 021030004
Account Number: 75010501
Bank Name and Location: Federal Reserve Bank Treas NYC/Funds Transfer Division New York,
NY
(* Please note organization initiating payment is likely to incur a charge from your Financial
Institution for this type of payment)

(iii)

For International ACH Returns:
Beneficiary Account: Federal Reserve Bank of New York/ITS (FRBNY/ITS)
Bank: Citibank N.A. (New York)
Swift Code: CITIUS33
Account Number: 36838868

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Bank Address: 388 Greenwich Street, New York, NY 10013 USA
Payment Details (Line 70): Agency
Name (abbreviated when possible) and ALC Agency POC: Michelle Haney, (301) 492-5065
(iv)
For grantees that do not have electronic remittance capability, please make check** payable to:
“The Department of Health and Human Services.”
Mail Check to Treasury approved lockbox:
HHS Program Support Center, P.O. Box 530231, Atlanta, GA 30353-0231
(** Please allow 4-6 weeks for processing of a payment by check to be applied to the appropriate
PMS account)
(v)
Any additional information/instructions
http://www.dpm.psc.gov/.
4.

Program Income

a.

Background

may

be

found

on

the

PMS

Web

site

at

The following provisions implement the applicable portions of 2 CFR § 200.307 on program income.
b.

Definition

PROGRAM INCOME means gross income earned by the grantee that is directly generated by a supported
activity or earned as a result of the grant during the period of performance. Program income includes, but
is not limited to, income from fees for services performed, the use of rental or real or personal property
acquired under the grant, the sale of commodities or items fabricated under the grant, license fees and
royalties on patents and copyrights, and principal and interest on loans made with grant funds. Interest
earned on advances of Federal funds is not program income. Except as otherwise provided in Federal
statutes, regulations, or the terms and conditions of the grant, program income does not include rebates,
credits, discounts, and interest earned on any of them.
Note: Registration fees collected under NSF-supported conferences are considered program income.
c.

NSF Policy

(i)

Standard Treatment

Unless otherwise specified in the grant, program income received or accruing to the grantee during the
period of the grant is to be retained by the grantee, added to the funds committed to the project by NSF,
and thus used to further project objectives. The grantee has no obligation to NSF with respect to program
income received beyond the period of the grant. The grantee also shall have no obligation to NSF with
respect to program income earned from license fees and royalties for copyrighted material, patents, patent
applications, trademarks, and inventions produced under an award. However, Patent and Trademark
Amendments (35 USC 18) shall apply to inventions made under an award.
Efforts should be made to avoid having unexpended program income remaining at award
expiration. Program Income earned during the project period should be expended prior to requesting
reimbursement against the award. In the event a grantee has unexpended program income remaining at
award expiration, it must be remitted to NSF by crediting costs otherwise chargeable against the award. If
it is not possible to record the credit via ACM$, the excess program income must be remitted to NSF
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electronically or by check payable to the National Science Foundation. (See section D.2 above for further
information.)
(ii)

Special Treatment

In exceptional circumstances, the NSF Grants and Agreements Officer, in collaboration with Program
Officers and other appropriate NSF offices, may approve use of a special grant provision to restrict or
eliminate a grantee’s control of income earned through NSF-supported activities if it determines that this
would best serve the purposes of a particular program or grant. The special provisions may require
treatment of the program income via use of the deductive method, the Federal share of program income
be kept in a separate account, or reported on and/or remitted for such periods as may be reasonable under
the circumstances.
If, in accordance with the award terms and conditions program income is designated for deductive
treatment, it must be remitted to NSF by crediting costs otherwise chargeable against the award. Program
Income in excess of the award will be remitted to NSF electronically or by check payable to the National
Science Foundation.
(iii)

Program Income Reporting Requirements

On an annual basis, grantee organizations are required to submit a Program Income Reporting Worksheet
to NSF in order to report program income earned and expended for any of their awards or to validate that
they did not earn and expend program income for any of their awards during the applicable period.
(a)
The Program Income Reporting Worksheet utilizes the standard, Office of Management and Budget
(OMB)-approved government-wide data elements from the Program Income section of the Federal
Financial Report (SF 425).
(b)
The Program Income Reporting Worksheet in Microsoft Excel is available to grantees through the
Program Income page of Research.gov. Grantees are required to report the award number, amount of
program income earned, amount of program income expended, and the amount of unexpended program
income remaining as of the applicable period. Grantees that have no program income to report will be able
to validate that status by an email response. The Program Income Reporting Worksheet is due 45 days
after the end of the Federal Fiscal Year.
Failure to report program income or to validate that no program income was earned/expended could result
in suspension of future award payments.
5.

Other Cost Credits

Purchase discounts, rebates, allowances, credits resulting from overhead rate adjustments and other
credits relating to any allowable cost received by or accruing to the grantee shall be credited against NSF
award costs if the award has not been financially closed out. See also Chapter X.A.2.c.
E.

Award Financial Reporting Requirements and Final Disbursements

NSF does not require grantees to submit FFRs for each award for purposes of final award accountability.
NSF procedures have been designed to extract the final financial data from the entries in ACM$. This is
accomplished as follows:
For any award listed on the ACM$ Payments screen, the grantee will enter the final payment amount in the
Payment Amount Requested column to complete final financial reporting to NSF. Considerations for
financial closeout are as follows:

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1.
After closeout, if final disbursements change by $1.00 or more from the final award amount, then
the grantee should submit an “Adjustment to a Financially Closed Award” through the ACM$ payment
process.
2.
Grantees must liquidate all obligations incurred under their awards not later than 120 calendar days
after the award end date.
3.
NSF will financially close awards 120 days after the award end date and the award will be removed
from the ACM$ payment screen for active awards. Any remaining funds that exceed the final payment
amount will be deobligated from the award so the net award balance will equal total payments.
4.
Grantees also have the option of using ACM$ to designate awards for financial closeout prior to
NSF’s regularly scheduled close out date. Grantees can complete that action by selecting the Final Flag
on the ACM$ payment screen. (Note that the flag cannot be unchecked at a later date and should typically
not be used for original awards that transferred to another awardee organization). Selecting the Final Flag
will financially close the award upon posting of the ACM$ transaction to the NSF financial accounting
system, typically overnight.
5.
Grantees are authorized to make upward or downward adjustments to the Federal share of costs
for a financially closed award within the following time limits:
•

Upward adjustments may be submitted through ACM$ for up to 15 months after the financial
closeout date of the award or until the appropriated funds cancel 1, whichever is earlier.

•

Downward adjustments may be submitted through ACM$ until the appropriated funding for the
award cancels. The time limitation for ACM$ downward adjustments has no effect on the
requirement that the grantee return any funds due to NSF as a result of later refunds, corrections,
or other transactions including final indirect cost rate adjustments. In cases where the award
appropriation has been cancelled, the grantee should return the funds associated with the
downward adjustment in accordance the above with section D. Cash Refunds and Credits to NSF.

6.
NSF will notify grantees of any canceling appropriations on open awards in order for grantees to
properly expend and draw down funds before the end of the fiscal year. See Section C. above for additional
information on grant payments. If only a portion of the awarded funds are canceling, then NSF will reduce
the available balance of the award. If all funds under the award are canceling appropriations, then NSF
must financially close the award no later than September 30th regardless of the award end date. No
extensions, requests for payment, or upward adjustments will be allowed beyond the end of the fiscal year
in which the funds cancel. Although in this situation awards may be financially closed early, grantees will
still have the full 120-day closeout period to submit final project reports in accordance with the award terms
and conditions.

1

In accordance with 31 USC 1552(a), funds will no longer be available for expenditure for any purpose beyond
September 30th of the fifth fiscal year after the expiration of a fixed appropriation’s period of availability for incurring
new obligation.

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Exhibit VIII-1
OMB APPROVAL NO.

ADVANCE

PAYMENT

3. FEDERAL SPONSORING AGENCY AND ORGANIZATIONAL ELEMENT TO
WHICH THIS REPORT IS SUBMITTED

PAGES

a. "X" one or both boxes
1.

2. BASIS OF REQUEST

REIMBURSE-

CASH

MENT

TYPE OF

(See instructions on back)

OF

0348-0004

REQUEST FOR ADVANCE
OR REIMBURSEMENT

PAGE

b. "X" the applicable box

REQUESTED

FINAL

ACCRUAL

PARTIAL

4. FEDERAL GRANT OR OTHER

5. PARTIAL PAYMENT REQUEST

IDENTIFYING NUMBER ASSIGNED

NUMBER FOR THIS REQUEST

BY FEDERAL AGENCY

6. EMPLOYER IDENTIFICATION

7. RECIPIENT'S ACCOUNT NUMBER

NUMBER

OR IDENTIFYING NUMBER

8.

PERIOD COVERED BY THIS REQUEST

FROM (month, day, year)

TO (month, day, year)

9. RECIPIENT ORGANIZATION

10. PAYEE (Where check is to be sent if different than item 9)

Name:

Name:

Number

Number

and Street:

and Street:

City, State

City, State

and ZIP Code:

and ZIP Code:

COMPUTATION OF AMOUNT OF REIMBURSEMENTS/ADVANCES REQUESTED

11.

(a)

(b)

(c)

PROGRAMS/FUNCTIONS/ACTIVITIES

a. Total program

(As of date)

outlays to date

TOTAL
$

$

$

$

0.00

b. Less: Cumulative program income
c. Net program outlays (Line a minus
line b)

0.00

0.00

0.00

0.00

d. Estimated net cash outlays for advance

0.00

period

0.00

e. Total (Sum of lines c & d)

0.00

0.00

0.00

0.00

f. Non-Federal share of amount on line e

0.00

g. Federal share of amount on line e

0.00

h. Federal payments previously requested

0.00

i. Federal share now requested (Line g
minus line h)
j.

Advances required by
month, when requested
by
Federal
grantor
agency for use in making
prescheduled advances

0.00

0.00

0.00

0.00

1st month

0.00

2nd month

0.00
0.00

3rd month
12.

ALTERNATE COMPUTATION FOR ADVANCES ONLY

a. Estimated Federal cash outlays that will be made during period covered by the advance

$

b. Less: Estimated balance of Federal cash on hand as of beginning of advance period
$

c. Amount requested (Line a minus line b)
AUTHORIZED FOR LOCAL REPRODUCTION

(Continued on Reverse)

0.00

STANDARD FORM 270 (Rev. 7-97)

Prescribed by OMB Circulars A-102 and A-110

CERTIFICATION

13.

SIGNATURE OR AUTHORIZED CERTIFYING OFFICIAL

I

certify

that

to

the

best

of

DATE REQUEST

my

SUBMITTED

knowledge and belief the data on the

August 2, 2016

reverse are correct and that all outlays
were

made

in

accordance

grant conditions

or

other

with

the

TYPED OR PRINTED NAME AND TITLE

TELEPHONE (AREA

agreement

CODE, NUMBER,
EXTENSION)

and that payment is due and has not
been previously requested.

This space for agency use

Public reporting burden for this collection of information is estimated to average 60 minutes per
response, including time for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection of information. Send
comments regarding the burden estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork
Reduction Project (0348-0004), Washington, DC 20503.

PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT
AND BUDGET. SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.

INSTRUCTIONS
Please type or print legibly. Items 1, 3, 5, 9, 10, 11e, 11f, 11g, 11i, 12 and 13 are self-explanatory; specific
instructions for other items are as follows:
Item

Entry

Item

2 Indicate whether request is prepared on cash or accrued
expenditure

basis.

All

requests

for

advances

shall

Entry

activity. If additional columns are needed, use as many

be

additional forms as needed and indicate page number in

prepared on a cash basis.

space provided in upper right; however, the summary
totals of all programs, functions, or activities should be

4 Enter

the

Federal

grant

number,

or

other

identifying

shown in the "total" column on the first page.

number assigned by the Federal sponsoring agency. If
the advance or reimbursement is for more than one grant

11a

Enter in "as of date," the month, day, and year of the

or other agreement, insert N/A; then, show the aggregate

ending of the accounting period to which this amount

amounts.

or

applies. Enter program outlays to date (net of refunds,

outlays

rebates, and discounts), in the appropriate columns. For

On

agreement

a

separate

number

and

sheet,

the

list

Federal

each

share

grant
of

made against the grant or agreement.

requests prepared on a cash basis, outlays are the sum
of actual cash disbursements for goods and services,

6 Enter the employer identification number assigned by the

the amount of indirect expenses charged, the value of in-

U.S. Internal Revenue Service, or the FICE (institution)

kind

code if requested by the Federal agency.

advances and payments made to subcontractors and

contributions

subrecipients.
7 This space is reserved for an account number or other

For

applied,

requests

and

the

amount

prepared

on

an

expenditure basis, outlays are the sum of

identifying number that may be assigned by the recipient.

of

cash

accrued

the

actual

cash disbursements, the amount of indirect expenses
incurred,

and

amounts

owed

ending of the period covered in this request. If the request

property

received

is

employees, contracts, subgrantees and other payees.

8 Enter the month, day, and year for the beginning and

for

an

advance

or

for

both

an

advance

reimbursement, show the period that the
cover.

If

the

request

is

for

and

advance

reimbursement,

show

the

the

11b

sponsoring

agencies

decrease)

for

goods

and

for

services

in

and

the

other

performed

by

requests are prepared on a cash basis. For requests
expenditure

basis,

enter

the

requiring recipients to complete items 11 or 12, but not

enter only the amount applicable to program income that

both. Item 12 should be

was required to be used for the project or program by

only

option

accrued

cumulative income earned to date. Under either basis,

when

the

(or

recipient

of

used

have

increase

Enter the cumulative cash income received to date, if

prepared on an
Federal

the

will

period for which the reimbursement is requested.

Note: The

net

by

a

minimum

amount of information is needed to make an advance and

the terms of the grant or other agreement.

outlay information contained in item 11 can be obtained in
a timely manner from other reports.

11d

Only

when

making

requests

for

advance

payments,

enter the total estimated amount of cash outlays that will
11 The purpose of the vertical columns (a), (b), and (c) is to
provide
project

space
has

for

been

separate
planned

cost

and

breakdowns

budgeted

by

when

be made during the period covered by the advance.

a

program,

13

Complete the certification before submitting this request.

function, or
STANDARD FORM 270 (Rev. 7-97) Back

Chapter IX:

Grantee Standards

NSF encourages the increased involvement of academic researchers and educators with industry and
private entrepreneurial ventures, but recognizes that such interactions carry with them an increased risk of
conflict of interests. Chapter IX.A contains NSF’s policy on conflict of interest.
2 CFR § 200 prescribes three separate sets of standards related to the financial and program management
of Federal grants, each governing a different area: financial management, property management, and
procurement management. Chapter IX.C, IX.D and IX.E implement these standards, and extend their
applicability to all types of grantees of NSF grants, including for-profit organizations.

A.

Conflict of Interest Policies

1.
NSF requires each grantee organization employing more than fifty persons to maintain an
appropriate written and enforced policy on conflict of interest and that all conflicts of interest for each award
be managed, reduced or eliminated prior to the expenditure of the award funds. If the organization carries
out agency-funded research through subrecipients or collaborators, the organization must take reasonable
steps to ensure that:
a.

the entity has its own policies in place that meet the requirements of this policy; or

b.

investigators working for such entities follow the policies of the primary organization.

Guidance for development of such policies has been issued by university associations and scientific
societies.
2.
An organizational conflict of interest policy should require that each investigator disclose to a
responsible representative of the organization all significant financial interests of the investigator (including
those of the investigator’s spouse and dependent children): (i) that would reasonably appear to be affected
by the research or educational activities funded or proposed for funding by NSF; or (ii) in entities whose
financial interests would reasonably appear to be affected by such activities.
The term “investigator” means the principal investigator/project director, co-principal investigators/coproject directors, and any other person identified on the proposed project who is responsible for the design,
conduct, or reporting of research or educational activities funded or proposed for funding by NSF.
The term “significant financial interest” means anything of monetary value, including, but not limited to,
salary or other payments for services (e.g., consulting fees or honoraria); equity interest (e.g., stocks, stock
options or other ownership interests); and intellectual property rights (e.g., patents, copyrights and royalties
from such rights).
The term does not include:
a.

salary, royalties or other remuneration from the applicant organization;

b.
any ownership interests in the organization, if the organization is an applicant under the Small
Business Innovation Research Program or Small Business Technology Transfer Program;
c.
income from seminars, lectures, or teaching engagements sponsored by public or non-profit
entities;
d.

income from service on advisory committees or review panels for public or nonprofit entities;

e.
an equity interest that, when aggregated for the investigator and the investigator’s spouse and
dependent children, meets both of the following tests: (i) does not exceed $10,000 in value as determined
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through reference to public prices or other reasonable measures of fair market value; and (ii) does not
represent more than a 5% ownership interest in any single entity; or
f.
salary, royalties or other payments that, when aggregated for the investigator and the investigator’s
spouse and dependent children, are not expected to exceed $10,000 during the prior twelve-month period.
3.
An organizational policy must ensure that investigators have provided all required financial
disclosures at the time the proposal is submitted to NSF. It must also require that those financial disclosures
are updated during the period of the award, either on an annual basis, or as new reportable significant
financial interests are obtained.
4.
An organizational policy must designate one or more persons to review financial disclosures,
determine whether a conflict of interest exists, and determine what conditions or restrictions, if any, should
be imposed by the organization to manage, reduce or eliminate such conflict of interest. A conflict of interest
exists when the reviewer(s) reasonably determines that a significant financial interest could directly and
significantly affect the design, conduct, or reporting of NSF-funded research or educational activities.
Examples of conditions or restrictions that might be imposed to manage, reduce or eliminate conflicts of
interest include, but are not limited to:
a.

public disclosure of significant financial interests;

b.

monitoring of research by independent reviewers;

c.

modification of the research plan;

d.

disqualification from participation in the portion of the NSF-funded research that would be
affected by significant financial interests;

e.

divestiture of significant financial interests; or

f.

severance of relationships that create conflicts.

If the reviewer(s) determines that imposing conditions or restrictions would be either ineffective or
inequitable, and that the potential negative impacts that may arise from a significant financial interest are
outweighed by interests of scientific progress, technology transfer, or the public health and welfare, then
the reviewer(s) may allow the research to go forward without imposing such conditions or restrictions.
5.
The organizational policy must include adequate enforcement mechanisms, and provide for
sanctions where appropriate.
6.
The organizational policy must include arrangements for keeping NSF’s Office of the General
Counsel (OGC) appropriately informed if the organization finds that it is unable to satisfactorily manage a
conflict of interest and if the institution finds that research will proceed without the imposition of conditions
or restrictions when a conflict of interest exists. 1
When OGC is notified of an unmanageable conflict of interest by an awardee, OGC will conduct the
following review:
a.

Examine a copy of the organization’s conflict of interest policy to ascertain if the policy includes
procedures for addressing unmanageable conflicts.

1 Grantee notifications of conflict of interest that cannot be managed, reduced, or eliminated and awardee notifications
of situations where research will proceed without the imposition of conditions or restrictions when a conflict of interest
exists, must be signed and submitted by the AOR via use of NSF’s electronic systems.

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b.

Contact the awardee organization’s representative to determine what actions the organization
plans/has taken with respect to the reported unmanageable conflict of interest, ensuring
consistency with their conflict of interest policy.

c.

Request confirmation from the awardee when proposed actions have been accomplished.

7.
Organizations must maintain records of all financial disclosures and of all actions taken to resolve
conflicts of interest for at least three years beyond the termination or completion of the grant to which they
relate, or until the resolution of any NSF action involving those records, whichever is longer.

B.

Responsible Conduct of Research (RCR)

1.

Background

The responsible and ethical conduct of research (RCR) is critical for excellence, as well as public trust, in
science and engineering. Consequently, education in RCR is considered essential in the preparation of
future scientists and engineers. Section 7009 of the America Creating Opportunities to Meaningfully
Promote Excellence in Technology, Education, and Science (COMPETES) Act (42 U.S.C. 1862o–1)
requires that ‘‘each institution that applies for financial assistance from the Foundation for science and
engineering research or education describe in its grant proposal a plan to provide appropriate training and
oversight in the responsible and ethical conduct of research to undergraduate students, graduate students,
and postdoctoral researchers participating in the proposed research project.”
The language specified below provides NSF’s implementation of Section 7009.
2.

Institutional Responsibilities

a.

An institution must have a plan in place to provide appropriate training and oversight in the
responsible and ethical conduct of research to undergraduates, graduate students, and
postdoctoral researchers who will be supported by NSF to conduct research. As noted in Chapter
II.C.1.d, institutional certification to this effect is required for each proposal.

b.

While training plans are not required to be included in proposals submitted to NSF, institutions are
advised that they are subject to review, upon request.

c.

An institution must designate one or more persons to oversee compliance with the RCR training
requirement.

d.

Institutions are responsible for verifying that undergraduate students, graduate students, and
postdoctoral researchers supported by NSF to conduct research have received training in the
responsible and ethical conduct of research.

C.

Financial Management Systems Standards

NSF grantees are required to have financial management systems which meet the requirements of 2 CFR
§ 200.302.

D.

Property Management Standards

2 CFR §§ 200.310-316 prescribe standards for managing and disposing of property furnished by the
Federal government or whose cost was charged to a project supported by a Federal grant. In the rare
instances where NSF grants involve the acquisition of real property, the real property standards of 2 CFR
§ 200.311 are applicable to such NSF grants. NSF implementation of the OMB standards on intangible
property is contained in Chapter XI.D.
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Title to materials developed and supplies purchased under an NSF grant will vest in the grantee, subject to
the conditions identified in paragraph 2. below.
2 CFR § 200.312 contains a special category of “exempt property.” Under that provision, any Federal
agency which has statutory authority (such as NSF) may vest title in an institution of higher education,
hospital or other non-profit organization without further obligation to the Federal Government and under
conditions the agency considers appropriate. NSF’s authority is provided by the Federal Technology
Transfer Act (15 USC 3710.)
1.

Title to Equipment

a.

Title to Equipment - Non-Profit Organizations

(i)
Normal Situations. Unless otherwise specified in the grant, title to equipment purchased or
fabricated with NSF grant funds by a college or university or other non-profit organization will vest in the
grantee organization upon acquisition. Such equipment is considered “exempt property” (see Chapter IX.D)
and subject to the conditions of Chapter IX.D.2.
(ii)
Special Situations. In special situations the grant may require that title to equipment purchased,
acquired or fabricated by the grantee with NSF funds pass directly to the government upon acquisition.
b.

Title to Equipment - Commercial Organizations

Unless otherwise specified in the grant, title to equipment purchased or fabricated with NSF grant funds by
a small business or other for-profit organization will vest in the government. Such equipment will be
acquired and used in accordance with Chapter IX.D.2, and managed in accordance with Chapter IX.D.4.
2.

Conditions for Acquisition and Use of Equipment

a.

Grantee Assurance. The grantee will assure that for each purchase of equipment, it is:

(i)

necessary for the research or activity supported by the grant;

(ii)

not otherwise reasonably available and accessible;

(iii)

of the type normally charged as a direct cost to sponsored agreements; and

(iv)

acquired in accordance with organizational practice.

b.
General Purpose Equipment.
available for support.

Expenditures for general purpose equipment are typically not

c.
Equipment Usage. The equipment must remain in use for the specific project for which it was
obtained in accordance with 2 CFR § 200.313 unless the provision in 2 CFR § 200.313(c)(4) applies.
d.
Equipment Sharing. The equipment must be shared on other projects or programs in accordance
with 2 CFR § 200.313(c)(1).
e.
Property Management Standards. The grantee shall maintain a property management system
which, at a minimum, meets the requirements of 2 CFR § 200.313(d).
f.
Competition. In accordance with 2 CFR § 200.313(c)(3), grantees shall not use equipment
acquired with Federal funds to provide services to non-Federal outside organizations for a fee that is less
than private companies charge for equivalent services, unless specifically authorized by statute, for as long
as the Federal Government retains an interest in the equipment.

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g.

Right to Transfer Title.

(i)
In accordance with 2 CFR § 200.313(e), NSF may identify items of equipment having a unit
acquisition cost of $5,000 or more where NSF reserves the right to transfer the title to the Federal
government or to a third party named by the Federal government.
In such cases where NSF elects to transfer the title, disposition instructions will be issued no later
(ii)
than 120 days after the end date of the NSF-supported project for which it was acquired.
3.

Principles Relating to the Use of NSF-Supported Research Instrumentation and Facilities

The following principles on use of NSF-supported instrumentation and facilities were adopted by the
National Science Board:
The National Science Foundation seeks the maximum productive use of the Nation's
scientific instrumentation and research expertise. Ensuring that the highest quality
instrumentation, facilities, and services are available to scientific users, both academic and
industrial, is a key requirement, as are harmonious relations and cooperation between
industry and universities. Private research and testing laboratories, as well as university,
government, and industrial laboratories, have a contribution to make.
The National Science Board recognizes that there may be circumstances where NSF
grantees use NSF-supported research instrumentation to provide services in commerce for
a fee, to an extent that such practice, (1) detracts from the performance of their obligation
under the grant, and/or (2) may have a material and deleterious effect on the success of
private companies engaged in the provision of equivalent services. It is contrary to the NSF's
intent for grantees to use NSF-supported research instrumentation or facilities to provide
services for a fee in competition with private companies in a manner that is prohibited by 2
CFR § 200.313(c)(3).
Grantees should implement the above principles and related grant conditions in a reasonable manner.
Grantees are expected to provide fair and adequate consideration of any complaints about use of
instrumentation and facilities.
4.

Property Management Standards When Title Retained by NSF

In the event that title to equipment or property is vested in the Federal Government, such property shall be
marked, tagged or segregated in such a manner as to indicate clearly its ownership by the government.
Unless otherwise provided in the grant, such government property shall be used only for the performance
of the project. The grantee shall submit an annual inventory report by NSF grant number of such property
having an original acquisition cost of $5,000 or more, to the NSF Property Administrator, Division of
Administrative Services (DAS). A physical inventory of Government-Owned Equipment (GOE) shall be
conducted every two years pursuant to 2 CFR § 200.313(d)(2). Upon expiration of the grant, the grantee
shall report the property to the Property Section for further agency utilization. (See Chapter IX.D.5.)
5.

Excess Government Personal Property

a.

Policy

(i)
As a means of expanding the ability of grantees to accomplish NSF objectives while conserving
supply and equipment funds, NSF will continue to sponsor the transfer of excess government personal
property to NSF grantees.
Excess government personal property includes all types of personal equipment and materials
(ii)
(except consumable items such as drugs, paint, etc.), new or used, owned by the Federal Government and
no longer needed by the holding agency, but having additional useful life. Under regulations established
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by the General Services Administration (GSA), the agency charged with operating this program, excess
government personal property may be reported to, or requested from, GSA by other Federal agencies,
including NSF.
NSF will sponsor the transfer of excess government personal property to eligible organizations
(iii)
under one of the following conditions:
(a)

the use of the property significantly furthers an NSF grant-supported activity;

(b)

the property is such that it would have been procured under the grant for which property is being
requested if additional grant funds had been available;

(c)

the property is used as part of the grant activity and subsequently for research or science
education purposes; or

(d)

the property is classified by GSA as scientific or engineering research equipment and has a unit
acquisition cost of $1,000 or more. (See Chapter IX.D.5.f.)

b.

Eligibility

Eligible organizations are NSF grantees that are public or private institutions of higher education or nonprofit organizations whose primary purpose is the conduct of research or science education activities. State
and municipal governments, public health units, hospitals, profit-making firms and individual PI/PDs are not
eligible for excess government personal property under NSF sponsorship.
c.

Procedures

(i)
To access a worldwide inventory of available excess personal property, an eligible grantee should
contact the Property Administrator ([email protected]), DAS to become a registered user of GSAXcess®
(GSA’s online personal property system located at http://gsaxcess.gov/).
(ii)
Grantees can visit GSAXcess® to screen for items that are necessary to accomplish the NSF
supported project by searching GSA’s inventory and adding items to the Selection Cart. Excess personal
property is reported by Category (Federal Supply Classification (FSC)) and includes the item control
number, name, location, quantity available, and unit of issue, original acquisition cost, surplus release date
and condition of items posted. In some instances a photograph of the property item is available.
(iii)
Materials and equipment so selected should be inspected whenever possible (see Chapter
IX.D.5.d), or the holding Federal agency should be contacted by the grantee to verify the condition of the
items, because interpretation of condition codes can vary among agencies.
If the condition of the item is acceptable, the grantee should freeze items by Checkout of the
(iv)
Selection Cart to generate a Transfer Control Number/SF 122, Transfer Order Excess Personal Property.
(v)
The grantee should next submit the SF 122, Transfer Order Excess Personal Property and a
separate written justification statement, if necessary, to the Property Administrator, DAS. The justification
will explain why the property is needed to reduce the cost or enhance the performance under the specific
grant for which the property is requested.
(vi)
The SF 122 should be signed by either the PI/PD or the Authorized Organizational Representative.
The following information should also be provided on each SF 122:
(a)

name of grantee organization;

(b)

grant number;

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(c)

end date;

(d)

the statement “The above equipment is requested for use by the grantee in support of research or
education as outlined in the grant”; and

(e)

the statement “Transfer is in accordance with the provisions of 41 CFR §101.43.” The grantee
should also verify the automatic release date with GSA to preclude loss of property before the
transaction is processed.

(vii)
The written justification should detail the scientific need for the equipment as it relates to the
particular grant under which the equipment is to be used, and should cite the conditions of this section as
being binding upon the grantee, should the property be acquired.
(viii)
Upon receipt by NSF, the SF 122 will be reviewed and forwarded to the appropriate GSA Office.
Items are usually allocated on a first come, first served basis. Since GSA may have several freezes on a
piece of equipment, first come, first served is interpreted as the first approved SF 122 received by the GSA
office and designated Area Property Officer (APO). However, preference will be given by GSA to agencies
which do not grant title to equipment. As confirmation of approval, the grantee will receive copies of the SF
122 from the GSA APO. If the request is disapproved, it will be returned to the grantee with an appropriate
explanation.
(ix)
Upon receipt of the requested property, the grantee should immediately return a copy of the SF
122 to NSF as evidence of delivery. Cancellations by GSA, or nonreceipt within a reasonable period of
time should also be reported to NSF after follow-up inquiries have been made to GSA.
d.

Visiting Holding Agency Facilities

(i)
Under current GSA regulations all non-Federal grantee representatives wishing to visit holding
agency facilities to screen or freeze government excess personal property must receive prior certification
from GSA. Because of current security protocols, the holding agency may require written authorization for
access.
(ii)
The number of screeners on a grant should be limited to no more than two persons. The primary
screener should be the PI/PD. However, if the PI/PD finds it impossible to screen, he/she may designate,
in writing, a substitute.
(iii)
Normally, certification will be on a regional basis; however, NSF will, under certain circumstances,
sponsor grantee representatives who need to make interregional visits in order to secure equipment not
readily available within their region.
e.

Dollar Limitation

To ensure equitable distribution of excess government personal property, grantees may be authorized to
acquire property under each NSF project grant up to a total acquisition cost equal to the dollar value of that
particular grant. Any request for excess property which causes the total to exceed the value of the grant
will require additional justification beyond that requested in Chapter IX.D.5.c. A higher percentage of
excess property requested under a particular grant by a grantee must be approved by an administrative
level in NSF which is higher than the Program Officer who normally administers the grant. NSF will give
full consideration to all factors in determining whether to approve transfers of excess property above the
dollar value of a given grant. Grantees are therefore urged to be selective in their requests for excess
government personal property to limit quantities of each item where possible and to avoid stockpiling items
for future use.

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f.

Restrictions

NSF will sponsor the transfer of excess government personal equipment to eligible organizations
(i)
only under project grants. As defined in the GSA regulations, “project grants” refers to grants made for
specific purposes with established termination dates, e.g., grants made to specific organizations to perform
specific tasks within set time frames and costs. No excess property may be acquired on behalf of
conference, publication-support grants or travel grants. In addition, on “summer-type training grants,” no
property may be acquired after the training period has terminated. Further, grantees should exercise careful
judgment on the appropriateness of requesting excess personal property when only a short period of time
exists between the date of the property request and the completion or successful accomplishment of the
NSF-supported activity. GSA will consider items of personal property as research equipment for transfer
without reimbursement to NSF for use by a grantee when the property requested has a unit acquisition cost
of $1,000 or more and is within Federal Supply Classification Groups:
(a)

12

Fire Control Equipment;

(b)

14

Guided Missiles;

(c)

43

Pumps and Compressors;

(d)

48

Valves;

(e)

58

Communication, Detection and Coherent Radiation Equipment;

(f)

59

Electrical and Electronic Equipment Components;

(g)

65

Medical, Dental and Veterinary Equipment and Supplies;

(h)

66

Instruments and Laboratory Equipment;

(i)

67

Photographic Equipment;

(j)

68

Chemical and Chemical Products; or

(k)

70

General Purpose Automatic Data Processing Equipment, Software,
Supplies and Support Equipment.

Automatic data processing equipment must be acquired under the provisions in 41 CFR §201.23.
(ii)
GSA will give consideration to the transfer without reimbursement of items of excess property in
other Federal supply classification groups and items with a unit acquisition cost of less than $1,000, when
NSF certifies that the item requested is a component part of or related to a piece of research equipment or
is an otherwise difficult to acquire item needed for scientific or engineering research. Items of property
determined by GSA to be common-use or general purpose property, regardless of classification or unit
acquisition cost, shall not be transferred to a grantee for the purpose of cannibalization, unless the granting
agency sends with the transfer request a supporting statement which clearly indicates that disassembly of
the requested item for secondary use of its component parts, or for repair and maintenance of a similar
item, has greater potential benefit than utilization of the item in its existing form and that a clear cost savings
to the government will result, subject to final determination by GSA.
g.

Costs

Excess government personal property is usually secured without cost. However, the recipient grantee
should specify the method of shipment and must pay all costs of packing, transportation and subsequent
installation, rehabilitation and maintenance if required. Grant funds may be used to pay such costs.

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h.

Title

Title to excess government personal property obtained by academic and other non-profit grantees through
NSF sponsorship remains with the government until the property is delivered to the grantee organization.
Upon delivery, the grantee should forward to NSF a receipted SF 122 which clearly lists the items of
property actually obtained by the grantee. Unless NSF informs the grantee to the contrary, when this SF
122 is received at NSF, title to all property acquired will automatically pass to and be vested in the grantee
organization, subject to the understanding that the property will be used for research or for science
education purposes as long as it has a useful life. At such time as the property is no longer useful for such
purposes, it may be disposed of in accordance with organizational practices, but any proceeds therefrom
shall be used by the grantee solely for research or science education purposes. Under certain conditions,
such as when highly specialized equipment is involved, NSF may retain title to excess property. When
such a condition exists, NSF will inform the grantee. Excess government personal property may not be
transferred to a foreign country without the express written approval of the Grants and Agreements Officer.
i.

Accountability and Recordkeeping

(i)
While no particular type of classification of accounts or inventory system is required, NSF expects
that the responsible officials of the grantee organization will exercise careful stewardship of excess
government personal property acquired in support of projects undertaken with NSF’s financial assistance.
In accordance with Chapter IX.D.5.e, relating to the dollar limitation on the amount of excess government
personal property provided by NSF, grantees should maintain appropriate inventory procedures that will
enable them to identify those requests which require more extensive administrative and scientific
justification. In those cases where title to excess government personal property remains with the
government, the grantee must maintain suitable records to identify its location, description, utilization and
value. The use of excess government personal property under an NSF grant is subject to inspection and
audit by representatives of NSF at all reasonable times during the life of the grant under which the property
was acquired.
(ii)
Further details may be obtained from the Property Administrator, Division of Administrative
Services, National Science Foundation, 4201 Wilson Boulevard, Room 295, Arlington, VA 22230.

E.

Procurement Standards

NSF grantees shall adhere to the requirements of 2 CFR §§ 200.317-326 which prescribes standards for
use by grantees in establishing procedures for the procurement of supplies and other expendable property,
equipment, real property and other services with Federal funds.

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Chapter X:
A.

Allowability of Costs

Basic Considerations

Expenditures under NSF cost reimbursement grants are governed by the Federal cost principles and must
conform with NSF policies where articulated in the grant terms and conditions, grant special provisions and
grantee internal policies. While grantees are encouraged to seek advice regarding the treatment of costs
from the NSF Grants and Agreements Officer identified in the award notice, it is the grantee organization
that is ultimately responsible for ensuring that all costs charged to NSF awards meet the requirements of
the cost principles contained in 2 CFR § 200, Subpart E. 1, grant terms and conditions, and any other specific
requirements of both the award notice and the applicable program solicitation. In addition, grantee
organizations should ensure that their own internal policies and procedures and other requirements are met
for all charges to NSF awards. Otherwise such costs may be disallowed during audit resolution or by specific
determination of an NSF Grants and Agreement Officer.
In the event a grantee anticipates charging an item of direct cost that might subsequently be disputed, an
authorized official of the grantee organization should discuss the matter with the cognizant NSF Grants and
Agreements Officer and document the conditions or factors surrounding the item in order to avoid possible
subsequent disallowance. If the NSF Grants and Agreements Officer determines that such costs are
appropriate considering the special requirements of a particular NSF sponsored activity, this should be
documented through an advance agreement or understanding. Advance agreements regarding the
treatment of such costs may be incorporated by specific language in the award notice, or by other written
correspondence.
1.

Conflicting Guidelines

It is NSF’s intent that the following guidance on cost allowability be consistent with the Federal cost
principles. However, in the event of any discrepancy between the summary information contained in this
Chapter and any specific provision of the cost principles contained in 2 CFR § 200, Subpart E, the cost
principles in effect as of the start date of the NSF grant will govern. In the case of a discrepancy between
the special provisions of an NSF grant and the standards of the cost principles, the special provisions of
the grant will govern.
2.

Other Considerations

a.

Maximum Obligation

The maximum obligation of NSF for support of the project will not exceed the amount specified in the grant,
as amended. NSF does not amend grants to provide additional funds for such purposes as reimbursement
for unrecovered indirect costs resulting from the establishment of final negotiated rates, or for increases in
salaries, fringe benefits and other costs.
b.

Pre-Award (Pre-Start Date) Costs

(1)
Grantees may incur allowable pre-award costs within the 90-day period immediately preceding the
start date of the grant providing:
(a)

1

the approval of pre-award spending is made and documented in accordance with the grantee's
procedures; and

Applicable cost principles for for-profit organizations are contained in Federal Acquisition Regulation Part 31.

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(b)

the advanced funding is necessary for the effective and economical conduct of the project. 2

(2)
Pre-award expenditures are made at the grantee's risk. Grantee authority to approve pre-award
costs does not impose an obligation on NSF: (1) in the absence of appropriations; (2) if an award is not
subsequently made; or (3) if an award is made for a lesser amount than the grantee anticipated.
(3)
Requests for pre-award costs for periods exceeding 90 days must be submitted to NSF via use of
NSF’s electronic systems. Pre-award expenditures prior to funding of an increment within a continuing
grant are not subject to this limitation or approval requirement, but are subject to paragraph (2) above.
Additional information on pre-award costs is available at 2 CFR §§ 200.308(d)(1) & (d)(4).
c.

Post-End Date Costs

NSF funds may not be expended subsequent to the end date of the grant, except to liquidate valid
commitments that were made on or before the end date, e.g., commitment of project funds for subrecipient
or contractor for services rendered during that award period but not billed to the grantee until after the grant
expired. (See Chapter VIII.E.2.) Generally, the costs of equipment or materials and supplies ordered after
the end date, may not be charged to the project.
In addition, the grantee typically should not purchase items of equipment, computing devices, or restock
materials and supplies in anticipation of grant expiration where there is little or no time left for such items
to be utilized in the actual conduct of the research.
However, in accordance with 2 CFR § 200.461, Publication and Printing costs, awardees may charge the
NSF award before closeout for the costs of publication or sharing of research results, if the costs are not
incurred during the period of performance of the award.
3.

Prior Written Approvals

a.

General

The funding of items identified in the NSF award budget constitutes NSF’s authorization for the grantee to
incur these costs, provided there is not a specific limitation in the grant language and the costs are otherwise
allowable, allocable, and reasonable in accordance with the cost principles contained in 2 CFR § 200,
Subpart E.
If required in furtherance of the project, the grantee is authorized to transfer funds from one budget category
to another for allowable expenditures. Grantees should refer to the applicable grant terms and conditions
referenced in the grant, and the prior approval requirements summarized in paragraph b. below for costrelated NSF-required prior approvals. Exhibit VII-1 provides a consolidated listing of programmatic and
cost-related grantee notifications to, and requests for approval from, the NSF. While the listing is not
intended to be all-inclusive, it does highlight the most frequent areas where specific notifications and
requests for approval are called for.
When a change requires NSF approval, the request must be submitted electronically via use of NSF’s
electronic systems. The request should clearly state which budget items, if any, are to be changed and by
what amounts, and should explain the reasons for any changes.
If a grantee rebudgets funds to support a postdoctoral researcher and the original proposal included a
mentoring plan, no further documentation is necessary. If the original proposal did not include a mentoring
plan, then the grantee must send the cognizant NSF Program Officer the requisite mentoring plan, as
2 In the case of a renewal award, grantees are reminded that costs incurred under the old grant cannot be transferred
to the new grant.

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described in Chapter II.C.2.j. If supplemental funding is requested to support a postdoctoral researcher,
the guidance in Chapter VI.E.4.f should be followed. In all cases, the PI must report on the mentoring
activities provided to the individual in the annual and final annual project reports.
b.

NSF Prior Approval Policy

In addition to the required notifications and requests specified in Chapters VI and VII, written prior approval
from the NSF Grants and Agreements Officer is required for:
1.

Preaward Costs in Excess of 90 days;

2

Salaries of Administrative or Clerical Staff;

3.

Rearrangements/Alterations aggregating $25,000 or greater (Construction);

4.
Additional categories of participant support costs other than those described in 2 CFR § 200.75
(such as incentives, gifts, souvenirs, t-shirts and/or memorabilia); and
5.

Adjustments to cost sharing commitments reflected on Line M of the NSF award budget.

Written prior approval from the cognizant NSF Program Officer is required for reallocation of funds provided
for participant support costs.

B.

Direct Costs

1.

Compensation - Personal Services

a.

Salaries and Wages

Compensation paid or accrued by the organization for employees working on the NSF-supported project
during the grant period is allowable, in accordance with 2 CFR § 200.430.
b.

Fringe Benefits

If the proposer’s usual accounting practices provide that its contributions to employee benefits (leave,
employee insurance, social security, retirement, other payroll-related taxes, etc.) be treated as direct costs,
NSF grant funds may be requested to fund fringe benefits as a direct cost. These are typically determined
by application of a calculated fringe benefit rate for a particular class of employee (full time or part-time)
applied to the salaries and wages requested. They also may be paid based on actual costs for individual
employees, if that institutional policy has been approved by the cognizant federal agency.
Fringe benefits that are not accrued but are charged as direct costs and incurred under "pay as you go plans"
may be subject to reasonableness determination where the benefits are earned under other work and
charged to the last activity the employee was working on. This is of particular concern for large lump sum
payments for leave, disability, pregnancy or other employee fringe benefits. See 2 CFR § 200.431 for the
definition and allowability of fringe benefits.
2.

Administrative and Clerical Salaries & Wages

In accordance with 2 CFR § 200.413, the salaries of administrative and clerical staff should normally be
treated as indirect (F&A) costs. Direct charging of these may be appropriate only if all the conditions
identified below are met:
(1)
(2)

Administrative or clerical services are integral to a project or activity;
Individuals involved can be specifically identified with the project or activity;

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(3)
Such costs are explicitly included in the approved budget or have the prior written approval of the
cognizant NSF Grants Officer; and
(4)
The costs are not also recovered as indirect costs.
If an awardee would like to rebudget direct charge salaries of administrative or clerical staff (in accordance
with 2 CFR § 200.413) after an award has been made, the Authorized Organizational Representative should
initiate the request via NSF’s electronic systems. If approved by NSF, an e-mail notification will be
automatically sent notifying the organization of NSF’s decision.
3.
Intra-University (IHE) Consulting
Since intra-university consulting is assumed to be undertaken as a university obligation requiring no
compensation in addition to full-time salary, the principles summarized in Chapter X.B.1, also apply to those
who function as consultants or otherwise contribute to a project conducted by another faculty member of
the same institution. However, in unusual cases where consultation is across departmental lines or involves
a separate or remote operation, and the work performed by the consultant is in addition to his/her regular
appointment, any charges for such work representing extra compensation above the salary are allowable
if consistent with established university policy and the applicable cost principles. If anticipated, any
compensation for such consulting services should be disclosed in the proposal budget, justified in the
budget justification, and included in the NSF award budget. See 2 CFR § 200.430(h)(3) for additional
information.
4.

Federal Employees

Employees of the Federal government (other than NSF) may be utilized as lecturers or staff members on a
project and may receive compensation and/or expenses if they obtain prior approval from their agencies to
participate, and if services to the project are performed outside their regular working hours or while they
are on leave status from official duties. Under no circumstances may NSF employees receive
compensation from an NSF-supported project.

C.

Other Direct Costs

1.

Rearrangements and Alterations (Construction)

a.
Except under certain programs, NSF does not normally make grants for construction or facility
improvements. However, rearrangement and alteration costs that do not constitute construction (i.e.,
rearrangements and alterations aggregating less than $25,000) may be allowable under NSF grants to
adapt space or utilities within a completed structure to accomplish the objective of the NSF-supported
activity, provided that the:
(i)

grantee is not an individual or a foreign organization;

(ii)
building has a usable life consistent with project purposes and is architecturally suitable for
conversion;
(iii)

rearrangement and alteration are essential to the project supported by the grant; and

(iv)
space involved will actually be occupied by the project. In situations where the space is rented, in
order for the costs of the rearrangement and alteration to be allowable, the grantee must secure a lease for
the length of the project. (See Chapter X.C.3.)
b.
Rearrangements and alterations under $25,000 may be approved by grantees.
For
rearrangements and alterations expenditures exceeding $25,000, the grantee must request prior approval
from NSF via use of NSF’s electronic systems. Otherwise, any plans for such rearrangement or alteration
should be clearly set forth in the proposal. If approved by NSF, such approval must be indicated in the
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award notice. Note that Appendix II of 2 CFR § 200 contains provisions that must be included in contracts
made by the grantee.

See 2 CFR § 200.462 for additional information on rearrangement and reconversion costs.
2.

News Release Costs

Costs of communicating with the public and press to announce the results and accomplishments of an NSFsupported project are allowable. Grantees should be aware of the restrictions on advertising, organizational
promotion, and lobbying costs as outlined in the applicable cost principles. See 2 CFR § 200.421 for
additional information on advertising and public relations.
In the event the performing organization wishes to collaborate with NSF in a simultaneous news release,
arrangements may be made through the NSF's Office of Legislative and Public Affairs, Public Affairs Group,
telephone (703) 292-8070.
3.

Rental or Lease of Facilities or Special Purpose Equipment

On occasion, it may be necessary to use facilities or equipment not under the control of the grantee. See
2 CFR § 200.465 for additional information on rental costs of real property and equipment.
4.

Relocation Costs

Relocation costs may be charged to an NSF grant as other direct costs in accordance with the cost
principles contained in 2 CFR § 200, Subpart E. See 2 CFR § 200.464 for additional information on
relocation costs.
5.

Travel and Temporary Dependent Care Costs

Travel, meal and hotel expenses of grantee employees who are not on travel status are unallowable. Costs
of employees on travel status are limited to those specifically authorized by 2 CFR § 200.474.
Temporary dependent care costs (a dependent is defined in 26 U.S.C. 152) above and beyond regular
dependent care that directly results from travel to conferences are allowable costs provided that the costs
are:
a.
b.
c.

a direct result of the individual’s travel for the NSF conference award;
consistent with the awardee’s documented travel policy for all employee travel; and
only temporary during the travel period.

See 2 CFR § 200.474 for additional information on travel costs.

D.

Indirect Costs

1.

NSF Policy

a.
Except as noted in an NSF program solicitation, it is NSF policy that grantees are entitled to
reimbursement from grant funds for indirect costs (F&A) allocable to the NSF share of allowable direct costs
of a project. NSF program staff are not authorized to negotiate indirect costs as a discrete item of a proposal
budget. NSF program staff also are not authorized to suggest or request that PI/PDs seek reductions or
waivers of indirect costs.

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b.
The awarded indirect cost rate is generally based upon a grantee’s current federally negotiated
indirect cost rate agreement. When establishing an indirect rate for an award where the domestic grantee
does not have a current negotiated rate agreement, NSF will consider the rate proposed in the budget, the
grantee’s indirect cost proposal submission, the amount of total funding requested and other pertinent
financial factors. Supporting documentation is not required for organizations that request a de minimis rate
of 10% (or less) of modified total direct costs. Since some types of rates limit indirect cost recoveries and
require adjustments, grantees receiving awards should ensure that they understand the type of indirect cost
rate, the applicable base and the type of rate used in the grant.
Foreign grantees that do not have a US federally negotiated indirect cost rate are limited to a de minimis
indirect cost rate recovery of 10% of modified total direct costs. Foreign grantees that have a negotiated
rate agreement with a US federal agency may recover indirect costs at the current negotiated rate.
Types of indirect cost rates that are most frequently used on NSF awards are as follows:
(i)
Predetermined Rate – As authorized 41 USC § 4708, and recommended by the federal cost
principles in 2 CFR § 200, Appendices III, IV, and VI, NSF has elected to use predetermined rates, where
appropriate. A predetermined rate is an indirect cost rate, applicable to a specified current or future period,
usually the organization’s fiscal year. The rate is based on an estimate of the costs to be incurred during
the period. A predetermined rate is not subject to adjustment.
Special Limitation concerning Predetermined Rates at Colleges and Universities subject to 2 CFR § 200
Appendix III, paragraph C.7 contains an additional restriction on recovery of indirect costs for colleges and
universities and other organizations of higher education. These awardees are subject to a further limitation
in that the negotiated rate at the time the award is made shall be used throughout the life of the award. The
applicable text from 2 CFR § 200 Appendix III, paragraph C.7 is repeated below:
“7.

Fixed rates for the life of the sponsored agreement.

Federal agencies must use the negotiated rates except as provided in paragraph (e) of
§200.414 Indirect (F&A) costs, in effect at the time of the initial award throughout the life of
the Federal award. Award levels for Federal awards may not be adjusted in future years as
a result of changes in negotiated rates. “Negotiated rates” per the rate agreement include
final, fixed, and predetermined rates and exclude provisional rates. "Life" for the purpose of
this subsection means each competitive segment of a project. A competitive segment is a
period of years approved by the Federal awarding agency at the time of the award. If
negotiated rate agreements do not extend through the life of the Federal award at the time
of the initial award, then the negotiated rate for the last year of the award must be extended
through the end of the life of the Federal award.”
Where grantees receive limited NSF funding, the Foundation may elect to set award specific rates as
opposed to a formal annual negotiated indirect cost rate agreement. In these cases, the award notice will
specify the rate type, and application base. If the award notice is silent on the rate type, the rate approved
in the award budget will be considered a predetermined rate.
(ii)
Provisional (or billing) rate – A provisional rate is a temporary indirect cost rate applicable to a
specified period which is used for funding, interim reimbursement, and reporting indirect costs pending the
establishment of a final rate for the period.
Grantees with provisional rates are required to submit indirect cost proposals to their cognizant Federal
Agency for rate negotiation within six months after the close of each fiscal year. Adjustments to awards for
amounts previously billed at provisional rates are required after final indirect cost rates are established.
(iii)
Final rate – A final rate is an indirect cost rate applicable to a specified past period which is based
on the actual costs of the period. A final rate is not subject to adjustment.
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c.

NSF will not amend a grant solely to provide additional funds for changes in indirect cost rates.

d.
NSF will generally fund continuing grant increments and supplemental support using the negotiated
indirect cost rate(s) approved at the time of the initial award. (See Chapter VI.E.)
e.
Any negotiations with respect to business and financial matters on specific grants, including the
amount of indirect cost reimbursement, are conducted by the cognizant Grants and Agreements Officer in
DGA with an authorized official of the grantee’s organization. The NSF Cost Analysis and Audit Resolution
Branch provides advisory assistance to the Grants and Agreements Officer.
2.

NSF Cognizant Organizations

Organizations for which NSF is the cognizant agency for negotiation of indirect cost rates and who do not
have approved award specific rates are required to submit indirect cost proposals, reconciled to financial
statements, within six months after the close of each accounting year during which NSF has active awards.
Indirect cost proposals should be sent to the Cost Analysis and Audit Resolution Branch.
See http://www.nsf.gov/bfa/dias/caar/docs/idcsubmissions.pdf for indirect cost rate proposal submission
requirements.
Such proposals should be sent electronically to [email protected] or by paper copy to Team Lead
Indirect Costs, National Science Foundation, Division of Institution and Award Support, Room 485, 4201
Wilson Boulevard, Arlington, Virginia 22230.

E.

Fee Payments under NSF Grants

Payment of fees (profit) is allowable only if expressly authorized by the terms and conditions of the NSF
award.

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Chapter XI:

Other Post Award Requirements and Considerations

A.

Non-Discrimination Statutes

1.

General

a.
A number of statutes bar recipients of Federal financial assistance from excluding persons,
because of their race, color, national origin, disability, sex, or age, from participation in Federally supported
activities. These include: Title VI of the Civil Rights Act of 1964 (barring discrimination on grounds of race,
color, or national origin); Section 504 of the Rehabilitation Act of 1973 (barring discrimination against
qualified individuals with disabilities); Title IX of the Educational Amendments of 1972 (barring sex
discrimination in Federally assisted education programs or activities); and the Age Discrimination Act of
1975 (barring discrimination on the grounds of age). In addition to statutory prohibitions, Executive Order
(E.O.) 11246 bars various types of discriminatory employment practices under grants for construction, and
E.O. 13166 “Improving Access to Services for Persons with Limited English Proficiency” requires
government agencies to take steps to provide meaningful access to its programs and activities to members
of the public who are limited in their English proficiency (LEP). The following sections discuss the
application of each of these Statutes and E.O. 11246 and E.O. 13166 to NSF awardees.
b.
When a recipient of an NSF grant receives an equal opportunity complaint, the original complaint
should be sent to the Director, Office of Diversity and Inclusion, National Science Foundation, 4201 Wilson
Boulevard, Suite 255 South, Arlington, VA 22230.
2.

Title VI of the Civil Rights Act of 1964

a.

Background

Section 602 of the Civil Rights Act of 1964 (42 USC § 2000d, et seq.) provides that no person in the US
shall, on the grounds of race, color or national origin, be excluded from participation in, be denied the
benefits of, or be otherwise subjected to discrimination under any program or activity receiving Federal
financial assistance. Section 602 requires that each Government agency which is empowered to extend
such financial assistance issue rules or regulations implementing Title VI with respect to such programs or
activities administered by the agency.
b.

NSF Regulations

NSF regulations implementing Title VI are found at 45 CFR § 611. These regulations apply to the grantee
and to any subrecipient of a grantee and successors in interest. These regulations do not apply to contracts
for commercially available materials and supplies, equipment or general support services. The regulations
require that as a condition of approval of an application for assistance, the applicant must execute an
Assurance of Compliance, whether or not a similar assurance form has been filed with another Federal
agency. (See Exhibit II-6 for additional information.)
c.

Civil Rights Certification – Subrecipient

Before any organization serves as a subrecipient on an NSF grant (for other than the purchase of
commercially available materials and supplies, equipment or general support services), it must first file an
Assurance of Compliance with the grantee.
d.

Grant Condition

Each NSF grant contains as part of the grant terms and conditions, an article implementing Title VI and the
NSF regulations.
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3.

Section 504 of the Rehabilitation Act of 1973

a.

Background

Section 504 of the Rehabilitation Act of 1973, as amended (29 USC § 794) provides that “no otherwise
qualified individual with a disability in the United States...shall, solely by reason of her or his disability, be
excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any
program or activity receiving Federal financial assistance....”
b.

NSF Regulations

NSF regulations implementing Section 504 are found at 45 CFR § 605. With a few changes, these
regulations mirror the regulations issued by the Department of Health and Human Services (DHHS) at 45
CFR § 84. These regulations also apply to subrecipients and successors in interest. These regulations do
not apply to contracts for commercially available materials and supplies, equipment or general support
services.
c.

Section 504 Certification - Subrecipients

In lieu of requiring grantees to obtain separate certifications from subrecipients receiving financial
assistance under an NSF grant, grantees will include in all subawards (for other than the purchase of
commercially available materials and supplies, equipment or general support services), a certification of
compliance comparable to that included in NSF grants.
d.

Grant Condition

Each NSF grant contains as part of the grant terms and conditions, an article implementing Section 504
and the NSF regulations.
4.

Title IX of the Education Amendments of 1972 (Sex Discrimination)

a.

Background

Subject to certain exceptions regarding admission policies at certain religious and military organizations,
Title IX of the Education Amendments of 1972 (20 USC §§ 1681-1686) prohibits the exclusion of persons
on the basis of sex from any education program or activity receiving Federal financial assistance. All NSF
grantees must comply with Title IX.
b.

NSF Regulations

NSF regulations implementing Title IX are found at 45 CFR § 618.
c.

Grant Condition

Each NSF grant contains, as part of the grant terms and conditions, an article implementing Title IX and
the NSF regulations.
5.

Age Discrimination Act of 1975

a.

Background

The Age Discrimination Act of 1975, as amended (42 USC § 6101 et seq.), provides that pursuant to
regulations issued by DHHS “no person in the United States shall, on the basis of age, be excluded from
participation in, be denied the benefits of, or be subjected to discrimination under, any program or activity
receiving Federal financial assistance.”
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b.

NSF Regulations

NSF regulations implementing the Age Discrimination Act are found at 45 CFR § 617.
c.

Grant Condition

Each NSF grant contains, as part of the grant terms and conditions, an article implementing the Age
Discrimination Act and the NSF regulations.
6.

Equal Employment Opportunity under E.O. 11246

a.

Background

E.O. 11246, as amended, requires contractors and subcontractors performing Federally assisted
construction projects to provide equal opportunity, without regard to race, color, religion, sex or national
origin, to persons employed or seeking employment with them. This E.O. may apply to some NSF grants
for construction.
b.

Grant Condition

In instances when E.O. 11246 is applicable, the grant will include an equal opportunity clause in
conformance with regulations issued by the Secretary of Labor at 41 CFR § 60.
7.

Limited English Proficiency (LEP) under E.O. 13166

a.

Background

E.O. 13166 requires government agencies to take steps to provide meaningful access to its programs and
activities to members of the public who are limited in their English proficiency (LEP). The primary purpose
of the E.O., in regards to Federally assisted and conducted programs, is to ensure that people for whom
English is not a first language, people who may be said to be “limited” in their English proficiency, may still
enjoy meaningful access to the programs and services offered by Federal agencies.
b.

Grant Condition

In instances when E.O. 13166 is applicable, grant recipients should contact NSF’s LEP Coordinator within
the Office of Diversity and Inclusion for guidance at 4201 Wilson Boulevard, Suite 255 South, Arlington, VA
22230.

B.

Protection of Living Organisms

1.

Human Subjects

a.

Background

The grantee is responsible for the protection of the rights and welfare of human subjects involved in
activities supported by NSF. All research involving human subjects supported or otherwise subject to
regulation by any Federal agency is covered by a policy set forth in a Common Rule, “Protection of Human
Subjects” (http://www.access.gpo.gov/nara/cfr/waisidx_99/45cfr690_99.html). For projects lacking definite
plans for the use of human subjects pursuant to 45 CFR 690.118, NSF can accept a preliminary approval
from an IRB that establishes a limited approval period, requires the PI to submit an amendment or new IRB
application prior to the expiration date, and stipulates that no work with human subjects, including
recruitment, may be conducted until full IRB approval is obtained. Complete instructions on preparation and
submission of proposals that involve use of human subjects are available in Chapter II.D.5.
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b.

NSF Regulation

NSF’s Common Rule on Protection of Human Subjects is available on the NSF website at:
http://www.nsf.gov/bfa/dias/policy/docs/45cfr690.pdf. Guidance about the regulation is available at:
http://www.nsf.gov/bfa/dias/policy/guidance.htm#human.
c.

Grant Condition

Each NSF grant contains, as part of the grant terms and conditions, an article implementing NSF regulations
on projects involving research with human subjects.
2.

Research Involving Recombinant or Synthetic Nucleic Acid Molecules

a.

Applicability

This section applies to all research, for which NSF grant funds are used, that falls within the scope of the
Guidelines for Research Involving Recombinant DNA or Synthetic Nucleic Acid Molecules (NIH Guidelines)
(http://oba.od.nih.gov/rdna/nih_guidelines_oba.html), as amended in March 2013, hereafter referred to as
the “Guidelines”.
b.

Policy

NSF grantees performing research within the US that falls within the scope of the Guidelines shall comply
with the Guidelines, including the procedural requirements and any subsequent revisions as they are
published in the Federal Register. Grantee responsibilities include:
(i) Each organization involved in the conduct of NSF-supported recombinant or synthetic nucleic acid
research subject to the Guidelines must have a standing Institutional Biosafety Committee (IBC) as
specified in Section IV of the Guidelines.
(ii) Recombinant or synthetic nucleic acid research subject to the Guidelines must be registered with the
IBC indicating compliance with the containment requirements specified in Part III of the Guidelines. IBCs
are required to keep records of recombinant or synthetic nucleic acid research conducted at their
organization in a form that is available to NSF upon request.
c.

Research Requiring Prior Approval

In certain instances research should not be initiated or registered with IBCs prior to approval and
determination of containment level by the Director, NIH. Normally such experiments are reviewed by the
Recombinant DNA Advisory Committee before a decision is made by the Director, NIH. Such instances
are:
(i)

research for which containment levels are not explicitly specified by the Guidelines;

(ii)
research involving experiments prohibited by the Guidelines, i.e., requests for exceptions to the
Guidelines; and
(iii)
requests to perform experiments without regard to the containment specified in the Guidelines, i.e.,
exemptions from the Guidelines.

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3.

Vertebrate Animals

a.

Background

The grantee is responsible for the humane care and treatment of any vertebrate animal used or intended
for use in such activities as field or laboratory research, development, training, experiments, biological
testing or for related purposes supported by NSF grants.
b.

Federal Regulations

(i)
Any grantee performing research on vertebrate animals 1 shall comply with the Animal Welfare Act
[7 USC. 2131 et seq.] and the regulations promulgated thereunder by the Secretary of Agriculture [9 CFR
1.1-4.11] pertaining to the humane care, handling, and treatment of vertebrate animals held or used for
research, teaching or other activities supported by Federal awards. The awardee is expected to ensure
that the guidelines described in the National Academy of Science (NAS) Publication, “Guide for the Care
and Use of Laboratory Animals” are followed and to comply with the Public Health Service Policy and
Government Principles Regarding the Care and Use of Animals (included as Appendix D to the NAS Guide).
Taxon-specific guidelines may be used as supplemental references. 2 Departures from the Guide must be
approved by the IACUC and based on scientific, veterinary, medical, or animal welfare issues (for more
information, see OLAW-Departures from the Guide).
(ii)
During the life of the award, additional Institutional Animal Care and Use Committee (IACUC)
approval must be obtained if the protocols for use of vertebrate animals have been changed substantively
from those originally proposed and approved, or if the previous approval is more than three years
old. When an additional IACUC approval is required, the organization must provide to the cognizant NSF
Program Officer a signed copy of a new IACUC approval letter indicating approval of the covered activities
and explicitly referencing the title of the award. In the event the grantee's multi-project Assurance is
cancelled or lapses, the grantee must immediately notify the NSF Grants and Agreements Officer identified
in the award.
(iii)
Research facilities subject to the Animal Welfare Act using or intending to use live animals in
research and who receive Federal funding are required to register the facility with the Animal and Plant
Health Inspection Service (APHIS), US Department of Agriculture. A current listing of licensed animal
dealers may also be obtained from APHIS. The location of the nearest APHIS Regional Office, as well as
information concerning this and other APHIS activities, may be obtained at: http://www.aphis.usda.gov/.
(iv)
Awards to US grantees for projects involving the care or use of vertebrate animals at a foreign
institution or foreign field site also require approval of research protocols by the US grantee’s IACUC. If
the project is to be funded through an award to a foreign institution or through an individual fellowship award
that will support activities at a foreign institution, NSF will require a statement explicitly listing the proposer’s
name and referencing the title of the award to confirm that activities will be conducted in accordance with
all applicable laws in the foreign country and that the International Guiding Principles for Biomedical
Research Involving Animals (see http://www.cioms.ch/) will be followed.
c.

Grant Condition

Each NSF grant contains, as part of the grant terms and conditions, an article implementing NSF regulations
on projects involving research with vertebrate animals.
1

In addition to vertebrate animals covered by the Animal Welfare Act, the requirements specified in this coverage
also are extended to rats, birds and mice.

2

Guidelines to the Use of Wild Birds in Research; Guidelines of the American Society of Mammalogists for the Use of
Wild Mammals in Research; Guidelines for the Use of Fishes in Research; Guidelines for the Use of Live Amphibians
and Reptiles in Field and Laboratory Research.

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4.

Government Permits and Activities Abroad

a.
For awards that include activities requiring permits from appropriate Federal, state, or local
government authorities, the awardee should obtain any required permits prior to undertaking the proposed
activities.
b.
The awardee should ensure that activities carried on outside the US are coordinated as necessary
with appropriate US and foreign government authorities and that necessary licenses, permits or approvals
are obtained prior to undertaking proposed activities. NSF does not assume responsibility for awardee
compliance with the laws and regulations of the country in which the work is to be conducted.
5.

Life Sciences Dual Use Research of Concern (DURC)

a.

Applicability

This section applies to all research, for which NSF grant funds may be used, that potentially falls within the
scope of the US Government Policy for Institutional Oversight of Life Sciences Dual Use Research of
Concern (http://www.phe.gov/s3/dualuse/Pages/default.aspx) as published in September 2014, hereafter
referred to as the “Policy”.
b.

Policy

NSF is committed to preserving the benefits of life sciences research while minimizing the risk of misuse of
the knowledge, information, products, or technologies provided by such research. The purpose to NSF’s
implementation of this Policy is to clarify grantee expectations about NSF-funded research with certain
high-consequence pathogens and toxins with potential to be considered dual use research of concern.
Grantees are responsible for monitoring the research progress and for implementation of all appropriate
biosafety and biosecurity risk mitigation measures including compliance with all applicable laws and
regulations related to that implementation, including the Policy specified above.
(See also
http://osp.od.nih.gov/office-biotechnology-activities/biosecurity/dual-use-research-concern for Frequently
Asked Questions, case studies, and other educational materials on DURC.)

C.

Construction, Rearrangements and Alterations

1.

Davis-Bacon Act

The Davis-Bacon Act (40 USC § § 276a et seq.) establishes minimum wages to be paid to laborers and
mechanics on construction contracts to which the US is a party involving public buildings or public works
within the US A number of other statutes have extended this provision to specific Federal grant programs
involving construction. However, unless specifically stated in the grant, the Davis-Bacon Act does not
normally apply to NSF grants since grantees normally retain title to property acquired under the grant and
the construction, if any, is normally on non-Government land.
2.

Bonding and Insurance

The NSF Act (42 USC § 1870c) provides NSF with authority to enter into grants, contracts or other
agreements without performance or other bonds. Therefore, unless the grant specifically provides
otherwise, NSF does not require performance or other bonds or insurance.
3.

Seismic Safety of Buildings

E.O. 12699 Seismic Safety of Federal and Federally-assisted or Regulated New Building Construction
dated January 5, 1990, requires that consideration be given to seismic hazards in the design of buildings.
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Very seldom are NSF grantees involved with federally-assisted construction and rarely are new buildings
involved. NSF ensures compliance with the Order through its grantees and grantee organizations by
inclusion of a specific grant condition in any appropriate grant.

D.

Intellectual Property

1.

Patents and Inventions

a.

Background

(i)
The disposition of rights to inventions made by small business firms and non-profit organizations,
including universities and other institutions of higher education, during NSF-assisted research is governed
by Chapter 18 of Title 35 of the USC, commonly called the Bayh-Dole Act. In accordance with a Presidential
Memorandum entitled Government Patent Policy issued on February 18, 1983 and under the authority of
Section 12 of the National Science Foundation Act of 1950, as amended (42 USC § 1871), NSF applies
the policies of the Bayh-Dole Act to all its grantees. The Department of Commerce (DOC) is the lead
agency for implementing the Bayh-Dole Act and has published guidance to Federal agencies in 37 CFR
§401. NSF’s implementing rules are published in 45 CFR § 650.
(ii)
NSF’s standard Patent Rights clause, published at 45 CFR § 650.4(a) and below at Chapter
VI.D.1.c, “Standard Patent Rights Clause” is identical to that prescribed in the DOC guidance (37 CFR §
401.14(a)) except that:
(a)

NSF has tailored the clause to apply to grants and to identify NSF;

(b)
pursuant to Section 401.5(d) of the DOC guidance (37 CFR § 401.5(d)), NSF has added to
paragraph b. of the clause a stipulation that NSF reserves the right to direct a grantee to transfer to a foreign
government or research performer such rights to any subject invention as are required to comply with any
international treaty or agreement identified when the grant is made as being applicable to the assisted
research;
(c)
as permitted by Section 401.5(f) of the DOC guidance (37 CFR § 401.5(f)), NSF has added a
subparagraph to the end of paragraph f. of the clause to require grantees or their representatives to send
NSF confirmations of the Government licenses for subject inventions and of the page of any United States
patent application that contains the Federal support clause;
(d)
since NSF normally uses the same clause for all subcontractors, the first two subparagraphs of
paragraph g. of the clause specified in the DOC guidance have been reduced to one;
(e)
paragraph c.1 of the clause has been changed to require that invention disclosures be submitted
electronically via the iEdison system; and
(f)
paragraph L. of the clause has been changed to require that all communications required by the
Patents Rights clause be submitted electronically via the iEdison system unless prior permission is obtained
from the NSF Patent Assistant.
b.

National Science Foundation Patent Policy

As authorized by the National Science Board (NSB), the Director of the NSF has adopted the following NSF
patent policy.
(i)
In accordance with the Bayh-Dole Act and the Presidential Memorandum entitled Government
Patent Policy issued February 18, 1983, NSF will use the Patent Rights clause prescribed by DOC in all its
funding agreements for the performance of experimental, developmental or research work, including grants
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made to foreign entities, unless NSF determines that some other provision would better serve the purposes
of that Act or the interests of the US and the general public.
(ii)
In funding agreements covered by a treaty or agreement that provide that an international
organization or foreign government, research institute or inventor will own or share patent rights, NSF will
acquire such patent rights as are necessary to comply with the applicable treaty or agreement.
(iii)
If a grantee elects not to retain rights to an invention, NSF will allow the inventor to retain the
principal patent rights unless the grantee, or the inventor’s employer, if other than the grantee, shows that
it would be harmed by that action.
(iv)
NSF will normally allow any patent rights not wanted by the grantee or inventor to be dedicated to
the public through publication in scientific or engineering journals or as a statutory invention registration. If
another Federal agency is known to be interested in the relevant technology, however, NSF may give it an
opportunity to review and patent the invention so long as that does not inhibit the dissemination of the
research results to the research community.
c.

Standard Patent Rights Clause

Each NSF grant contains as part of the grant terms and conditions, an article implementing the standard
patent rights clause.
d.

Electronic Invention Handling

Grantees are encouraged to use the iEdison System to disclose NSF subject inventions. Detailed
instructions for use of that system are provided at: http://s-edison.info.nih.gov/iEdison/ and should be
followed for NSF subject inventions except that:
a.
All communications required must be provided electronically as a PDF or TIFF file through iEdison
unless prior permission for another form of submission is obtained from the NSF Patent Assistant.
b.
NSF does not require either an Annual Utilization Report or a Final Invention Statement and
Certification.
Questions on use of iEdison and requests for permission to submit material in other forms may be sent to
the NSF Patent Assistant at [email protected], or at the Office of the General Counsel, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
2.

Copyright

a.

Rights to Copyrighted Material

The following principles governing the treatment of copyrighted material produced under NSF grants were
adopted by the NSB.
(i)
NSF normally will acquire only such rights to copyrighted material as are needed to achieve its
purposes or to comply with the requirements of any applicable government-wide policy or international
agreement.
(ii)
To preserve incentives for private dissemination and development, NSF normally will not restrict,
or take any part of income earned from, copyrighted material except as necessary to comply with the
requirements of any applicable government-wide policy or international agreement.
(iii)
In exceptional circumstances, NSF may restrict or eliminate an awardee’s control of NSF-supported
copyrighted material and of income earned from it, if NSF determines that this would best serve the
purposes of a particular program or grant.
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b.

Standard Copyrighted Material Clause

Unless a special clause has been negotiated, each NSF grant that relates to scientific or engineering
research contains as part of the grant terms and conditions, an article implementing the standard
copyrighted material requirements.
c.

Public Access to Copyrighted Material

NSF’s policy on public access to copyrighted material (Public Access Policy) reflects the Foundation’s
commitment to making certain that, to the extent possible, the American public, industry and the scientific
community have access to the results of federally funded scientific research. Pursuant to this policy,
awardees must ensure that articles in peer-reviewed scholarly journals and papers in juried conference
proceedings:


are deposited in a public access compliant repository (as identified in the Public Access Policy);



are available for download, reading, and analysis within 12 months of publication;



possess a minimum set of machine-readable metadata elements as described in the Public Access
Policy; and



are reported in annual and final reports with a persistent identifier.

Either the final printed version or the final peer-reviewed manuscript is acceptable for deposit. NSF’s Public
Access Policy applies to awards, funded in whole or in part, as a result of proposals submitted, or due, on
or after January 25, 2016.
NSF’s Public Access Policy may be viewed at
http://www.nsf.gov/news/special_reports/public_access/index.jsp.
Each NSF grant contains as part of the grant terms and conditions, an article implementing the public
access requirements.
3.

Special Patent and Copyright Situations

a.

Special Grant Provisions

At the request of the prospective grantee or on recommendation from NSF staff, the NSF Grants and
Agreements Officer, with the concurrence of the cognizant NSF Program Officer, may negotiate special
patent or copyright provisions when he/she determines that exceptional circumstances require restriction
or elimination of the right of a prospective grantee to control principal rights to subject inventions or writings
in order to better achieve the objectives of the program, the National Science Foundation Act, or (in the
case of inventions) Chapter 18 of Title 35 of the USC. Every special copyright or patent provision will allow
the grantee, after an invention has been made or copyrighted material created, to request that it be allowed
to retain principal rights to that invention or material, unless doing so would be inconsistent with an
obligation imposed on NSF by statute, international agreement or pact with other participants in, or
supporters of, the research.
b.

Grants Not Primarily for Research

(i)
Grants not primarily intended to support scientific or engineering research generally do not contain
patent or copyrighted material provisions. Examples of such grants are travel, conference and equipment
grants.
(ii)
NSF Fellowships and Traineeships. In accordance with Section 212 of Title 35 of the USC, NSF
claims no rights to inventions made by fellows or trainees. The following provision will be included in each
fellowship or traineeship program solicitation and made part of the grant:
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INTELLECTUAL PROPERTY RIGHTS
The National Science Foundation claims no rights to any inventions or writings that might
result from its fellowship or traineeship grants. However, fellows and trainees should be
aware that the NSF, another Federal agency, or some private party may acquire such rights
through other support for particular research. Also, fellows and trainees should note their
obligation to include an Acknowledgment and Disclaimer in any publication.
[END OF PROVISION]
c.

Grants Affected by International Agreements

(i)
Many of the bilateral and multilateral treaties and agreements underlying NSF’s international
cooperative research programs contain provisions on allocation of rights to inventions or writings. These
sometimes require an allocation of rights different from that provided by the standard Copyrighted Material
or Patent Rights clauses. In those cases, the standard clauses will be modified through the addition of the
following to the grant:
“This project is supported under the cooperative program listed below.
inventions, writings, and data may be affected.”

Your rights in

The applicable agreement or treaty will be identified immediately beneath that sentence.
(ii)
After an invention is disclosed to the Patent Assistant, the grantee of a grant subject to an
international agreement will be informed as to what rights, if any, it must transfer to foreign participants.
Grantees also may ask the NSF Program Officer for copies of the identified international agreement before
or after accepting a grant.
4.

Dissemination and Sharing of Research Results

a.
Investigators are expected to promptly prepare and submit for publication, with authorship that
accurately reflects the contributions of those involved, all significant findings from work conducted under
NSF grants. Grantees are expected to permit and encourage such publication by those actually performing
that work, unless a grantee intends to publish or disseminate such findings itself.
b.
Investigators are expected to share with other researchers, at no more than incremental cost and
within a reasonable time, the primary data, samples, physical collections and other supporting materials
created or gathered in the course of work under NSF grants. Grantees are expected to encourage and
facilitate such sharing. Privileged or confidential information should be released only in a form that protects
the privacy of individuals and subjects involved. General adjustments and, where essential, exceptions to
this sharing expectation may be specified by the funding NSF Program or Division/Office for a particular
field or discipline to safeguard the rights of individuals and subjects, the validity of results, or the integrity
of collections or to accommodate the legitimate interest of investigators. A grantee or investigator also may
request a particular adjustment or exception from the cognizant NSF Program Officer.
c.
Investigators and grantees are encouraged to share software and inventions created under the
grant or otherwise make them or their products widely available and usable.
d.
NSF normally allows grantees to retain principal legal rights to intellectual property developed under
NSF grants to provide incentives for development and dissemination of inventions, software and
publications that can enhance their usefulness, accessibility and upkeep. Such incentives do not, however,
reduce the responsibility that investigators and organizations have as members of the scientific and
engineering community, to make results, data and collections available to other researchers.
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e.
NSF program management will implement these policies for dissemination and sharing of research
results, in a way appropriate to field and circumstances, through the proposal review process; through
award negotiations and conditions; and through appropriate support and incentives for data cleanup,
documentation, dissemination, storage and the like.
5.

Tangible Property

a.

Background

Some NSF grants support collection or creation of tangible property, such as insects, marine life, drilling
core samples and genetically-altered microorganisms. As used in this section “tangible property” means
any personal property other than equipment (see Chapter II.C.2.g.(iii)), and intellectual property.
b.

Legal Rights to Tangible Property

Unless otherwise provided in the grant, all legal rights to tangible property collected or created during NSFassisted research remain with the grantee or investigators as determined by the policies of the organization.
As members of the scientific and engineering community, both grantees and investigators are responsible
for making such tangible property appropriately available to other researchers.

E.

Publication/Distribution of Grant Materials

1.

NSF Policy

NSF advocates and encourages open scientific and engineering communication. NSF expects significant
findings from research it supports to be promptly submitted for publication, with authorship that accurately
reflects the contributions of those involved. Copyrighted material published in peer-reviewed scholarly
journals and papers included in juried conference proceedings must comply with NSF’s Public Access
Policy as implemented in the grant terms and conditions.
2.

Costs

Cost of documenting, preparing, publishing, disseminating and sharing research findings and supporting
material are allowable charges against the grant. (See Chapter X.A.2.c.)
3.

Responsibilities

Unless otherwise provided in the grant, preparation, content, editing, identification of authorship and
submission for publication of significant research findings are the responsibility of the investigators,
consistent with such policies and procedures as the grantee may prescribe.
4.

Grantee Obligations

a.
Acknowledgement of Support. Unless otherwise provided in the grant, the grantee is responsible
for assuring that an acknowledgment of NSF support is made:
(i)
in any publication (including Web pages) of any material based on or developed under this project,
in the following terms:
"This material is based upon work supported by the National Science Foundation under
Grant No. (NSF grant number)."
(ii)
NSF support also must be orally acknowledged during all news media interviews, including popular
media such as radio, television and news magazines.
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b.
Disclaimer. The awardee is responsible for assuring that every publication of material (including
World Wide Web pages) based on or developed under this award, except scientific articles or papers
appearing in scientific, technical or professional journals, contains the following disclaimer:
"Any opinions, findings, and conclusions or recommendations expressed in this material are
those of the author(s) and do not necessarily reflect the views of the National Science
Foundation."
c.
Copies for NSF. The grantee is responsible for assuring that the cognizant NSF Program Officer
is provided access to, either electronically or in paper form, a copy of every publication of material based
on or developed under this award, clearly labeled with the award number and other appropriate identifying
information, promptly after publication.
d.
Compliance with NSF Public Access Policy. The grantee is responsible for ensuring that
copyrighted material published in peer-reviewed scholarly journals and papers in juried conference
proceedings are accessible to the public in accordance with the grant terms and conditions.
e.
Grantees also should note their obligations in regard to copyrights (see Chapter XI.D.2) and their
responsibilities as members of the scientific and engineering community to disseminate and share research
results (see Chapter XI.D.4).

F.

International Considerations

1.

Travel to Foreign Countries

a.

Policy

(i)
Expenses for transportation, lodging, subsistence and related items incurred by project personnel
and by outside consultants employed on the project, (see Chapter II.C.2.g.(iv)) who are on travel status on
business related to an NSF-supported project are allowable as prescribed in the governing OMB cost
principles. The requirements for prior approval detailed in the governing OMB cost principles are waived.
(ii)
Except as provided in the governing OMB cost principles, the difference between economy airfare
and a higher-class airfare is unallowable. A train, bus or other surface carrier may be used in lieu of, or as
a supplement to, air travel at the lowest first-class rate by the transportation facility used. If such travel,
however, could have been performed by air, the allowance will not normally exceed that for jet economy
airfare.
(iii)
Support for the foreign travel of an investigator’s dependents is allowable only under the conditions
identified in Chapter X.C.5.
b.

Use of US-Flag Air Carriers

(i)
In accordance with the Fly America Act (49 USC 40118), any air transportation to, from, between,
or within a country other than the US of persons or property, the expense of which will be assisted by NSF
funding, must be performed by or under a code-sharing arrangement with a US-flag air carrier if service
provided by such a carrier is available (see Comptroller General Decision B-240956, dated September 25,
1991). Tickets (or documentation for electronic tickets) must identify the US flag air carrier’s designator
code and flight number.
(ii)
For the purposes of this requirement, US-flag air carrier service is considered available even
though:
(a)

comparable or a different kind of service can be provided at less cost by a foreign-flag air carrier;

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(b)

foreign-flag air carrier service is preferred by, or is more convenient for, NSF or traveler; or

(c)

service by a foreign-flag air carrier can be paid for in excess foreign currency.

(iii)
The following rules apply unless their application would result in the first or last leg of travel from or
to the US being performed by a foreign-flag air carrier:
(a)
a US-flag air carrier shall be used to destination or, in the absence of direct or through service, to
the farthest interchange point on a usually traveled route.
(b)
if a US-flag air carrier does not serve an origin or interchange point, a foreign-flag air carrier shall
be used only to the nearest interchange point on a usually traveled route to connect with a US flag air
carrier.
c.

Use of Foreign-Flag Air Carriers

There are certain circumstances under which use of a foreign-flag air carrier is permissible. These
circumstances are outlined below:
(i)

Airline "Open Skies" Agreement:

A foreign flag air carrier may be used if the transportation is provided under an air transportation agreement
between the United States and a foreign government, which the Department of Transportation has
determined meets the requirements of the Fly America Act. For information on "open skies" agreements
in which the United States has entered, please refer to the GSA website at:
http://www.gsa.gov/portal/content/103191.
Note on US/European Union Open Skies Agreement
In 2007, the US entered into an “Open Skies” Agreement with the European Union (“EU”). This agreement
was modified in June 2010. The current Agreement gives European Community airlines (airlines of Member
States) the right to transport passengers and cargo on flights funded by the US government, when the
transportation is between: (1) any two points outside the United States; or (2) a point in the United States
and any point outside the United States that the EU airline is authorized to serve under the “Open Skies”
Agreement.
In 2011, two significant changes were made to the US/EU Open Skies Agreement. First, EU airlines are
now granted the right to transport civilian agency-funded passengers who are NOT eligible to travel on GSA
Airline City Pair Contract fares (e.g., grantees) between a point in the United States and a point outside the
United States even if there is a GSA Airline City Pair Contract fare in effect between the origin and
destination points. An individual, however, who is traveling on a route for which there is a City Pair Contract
fare in effect, and who is eligible for such a fare (e.g., Federal employee), are required to fly on a US carrier,
absent another applicable exception.
Second, under the amended Agreement, EU airlines are now authorized to transport passengers between
points in the United States and points outside the EU if the EU airline is authorized to serve the route under
the Agreement. This includes flights that originate, arrive, or stop in the EU. Prior to this change, EU
airlines were limited to flying passengers between points in the US and points in the EU.
(ii)

Involuntary Rerouting

Travel on a foreign-flag carrier is permitted if a US-flag air carrier involuntarily reroutes the traveler via a
foreign-flag air carrier, notwithstanding the availability of alternative US-flag air carrier service.
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(iii)

Travel To and From the US on non-European Community Airlines

Use of a non-European Community foreign-flag air carrier is permissible if the airport abroad is:
(a)
the traveler's origin or destination airport, and use of US-flag air carrier service would extend the
time in a travel status by at least 24 hours more than travel by a foreign-flag air carrier; or
(b)
an interchange point, and use of US-flag air carrier service would increase the number of aircraft
changes the traveler must make outside of the US by two or more, would require the traveler to wait four
hours or more to make connections at that point, or would extend the time in a travel status by at least six
hours more than travel by a foreign-flag air carrier.
(iv)

Travel Between Points Outside the US on non-European Community Airlines

Use of a non-European Community foreign-flag air carrier is permissible if:
(a)

travel by a foreign-flag air carrier would eliminate two or more aircraft changes en route;

(b)
travel by a US-flag air carrier would require a connecting time of four hours or more at an overseas
interchange point; or
(c)
the travel is not part of the trip to or from the US, and use of a US-flag air carrier would extend the
time in a travel status by at least six hours more than travel by a foreign-flag air carrier.
(v)

Short Distance Travel.

For all short distance travel, regardless of origin and destination, use of a foreign-flag air carrier is
permissible if the elapsed travel time on a scheduled flight from origin to destination airport by a foreignflag air carrier is three hours or less and service by a US-flag air carrier would double the travel time.
2.

Charter Flights

Because of the risk of catastrophic loss, NSF does not encourage the use of charter flights as a means of
mass transportation for groups of scientists and engineers nor does it make arrangements for purchase of
charter flight airline tickets.
3.

Projects in a Foreign Country

a.
For awards that include activities requiring permits from appropriate Federal, state, or local
government authorities, the grantee should obtain any required permits prior to undertaking the proposed
activities.
b.
The grantee must comply with the laws and regulations of any foreign country in which research is
to be conducted. Areas of potential concern include: (1) requirements for advance approval to conduct
research or surveys; (2) special arrangements for the participation of foreign scientists and engineers; and
(3) special visas for persons engaged in research or studies. NSF does not assume responsibility for
grantee compliance with the laws and regulations of the country in which the work is to be conducted.
c.
The grantee also should assure that activities carried on outside the US are coordinated as
necessary with appropriate US and foreign government authorities and that necessary licenses, permits or
approvals are obtained prior to undertaking the proposed activities.

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4.

Passports and Visas

NSF assumes no responsibility for securing passports or visas required by any person because of
participation in an NSF-supported project. For restrictions concerning directly charging visa costs to an
NSF award, see 2 CFR § 200.463.
It should be noted that some countries that normally do not require visas for tourists do require special visas
for scientists and engineers engaged in research or studies.

G.

Intergovernmental Review of Federal Programs

The Foundation’s regulation on Intergovernmental Review of National Science Foundation Programs and
Activities is published in 45 CFR Part 660.

H.

Handling of Information

1.

Questionnaires: Data Collection Under NSF Grants

a.

Paperwork Control

Under the OMB regulation, Controlling Paperwork Burdens on the Public (5 CFR § 1320), if a grantee
obtains information from ten or more persons by means of identical questions, it is considered to be
“sponsored” by NSF only if:
(i)

the grantee is collecting the information at the specific request of NSF; or

(ii)

the terms of the grant require specific approval by NSF of the collection or its procedures.

If either of these conditions is met, OMB approval of the data collection is generally required and grantees
should obtain the necessary control number from the cognizant NSF Program Officer.
b.

NSF Policy

Data collection activities of NSF grantees are the responsibility of grantees, and NSF support of a project
does not constitute NSF approval of the survey design, questionnaire content or data collection procedures.
No representation may be made to respondents that such data are being collected for, or in association
with, NSF or the government. However, this requirement is not intended to preclude mention of NSF
support of the project in response to an inquiry or acknowledgment of such support in any publication of
this data (see Chapter XI.E.4).
2.

Release of Information by NSF

a.

Press Releases

Grants for projects which appear to be of special interest to the general public may be made the subject of
an NSF or joint NSF/grantee organization press release to the news media. (See Chapter X.C.2.)
b.

Open Government Legislation

(i)
Pursuant to the Freedom of Information Act (FOIA) (5 USC § 552), NSF will provide agency records,
with certain exceptions, if the request is in writing, includes the requester's name and mailing address, is
clearly identified as a FOIA request, and describes the records sought with sufficient specificity to permit
identification. The requester also must agree to pay fees that are chargeable under the NSF regulations.
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Detailed procedures are contained in 45 CFR § 612.
http://www.nsf.gov/policies/foia.jsp.

Further information is available at:

(ii)
The Government in the Sunshine Act (5 USC § 552b) requires that all meetings of the National
Science Board be open to public observation unless the subject falls within one of ten exemptions. NSF's
Sunshine Act regulations are contained in 45 CFR § 614. The Sunshine Act and the FOIA cited above,
may require NSF to release to the public information, correspondence and documents received by NSF
from grantees, unless they fall within the Acts' limited exceptions.
c.

Release of Project Reports

NSF expects significant findings from research it supports to be promptly submitted for publication. To the
extent permitted by law, NSF will honor requests from grantees that release of Annual and Final Project
Reports be delayed to permit orderly dissemination of significant findings through refereed channels.
Unless such a request is received or material is marked as proprietary, such reports may be made available
to others without notice to the grantee. Information, the disclosure of which might invade personal privacy,
will be redacted before release.

I.

Tax Status

Determination of the tax status of an organization or person receiving compensation in any form as a result
of an NSF grant is the responsibility of the IRS, State and local tax authorities and the courts.

J.

Protection of Properties in the National Register of Historic Places

NSF is required by 16 USC §470f to take into account the effect of grant activities on properties included in
the National Register of Historic Places. Occasionally, an NSF grant may involve activities that require
mitigation or other actions under the National Historic Preservation Act and implementing regulations of the
Advisory Council on Historic Preservation (36 CFR §800). In such cases, as deemed appropriate by NSF,
conditions executing the goals of the National Historic Preservation Act may be included in the grant and
grantees or prospective grantees may be required to coordinate with State or local historical preservation
officers.

K.

Environmental Compliance

Prior to making an award, NSF considers the anticipated environmental impacts associated with the
activities described in the proposal. The assessment of environmental impacts is based, in part, on
information provided by the Institution/Organization. If, while performing the work required by the award,
the awardee learns of any potential or actual unanticipated environmental impacts, the awardee shall
immediately notify NSF of such impacts. The awardee also shall cease all work anticipated to cause or
causing such unanticipated environmental impacts until NSF has had a reasonable opportunity to assess
the situation, comply with all relevant environmental laws, and provide further direction to the awardee.

L.

National Security

NSF awards are intended for unclassified, publicly releasable research. The awardee will not be granted
access to classified information. NSF does not expect that the results of the research project will involve
classified information.
If, however, in conducting the activities supported under an award, the PI is concerned that any of the
research results involve potentially classifiable information that may warrant Government restrictions on the
dissemination of the results, the PI should promptly notify the cognizant NSF Program Officer.

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M.

Miscellaneous

1.

Liabilities and Losses

NSF cannot assume any liability for accidents, bodily injury, illness, breach of contract, any other damages
or loss, or any claims arising out of any activities undertaken pursuant to the grant, whether with respect to
persons or property of the grantee or third parties. The grantee institution is advised to insure or otherwise
protect itself or others, as it may deem desirable.
2.

Pre-College Students and Experimental Curriculum Development Projects

As required by 42 USC §1869 a and b, grantees of projects which involve pre-college students in research
or development, or pilot-testing, evaluation or revision of, experimental or innovative curriculum
development projects will:
a.
provide to the school board, or comparable authority responsible for the schools considering
participation in the project, information concerning the need for and purposes of, the particular education
project, the proposed content of the material to be used, the expected benefits to be derived and other
information to assist the jurisdiction in arriving at a decision on participation;
b.
obtain written approval for participation in the project activities after the responsible authority has
carried out its procedures;
c.
provide information and materials to the responsible school authority to assist it in carrying out its
own established procedures regarding the participation of students in project activities;
d.

provide information to NSF describing compliance with the above provisions; and

e.
provide in every publication, testing or distribution agreement involving instructional material
developed under a grant (including but not limited to teacher’s manuals, textbooks, films, tapes or other
supplementary material) that such material will be made available within the school district using such
material, for inspection by parents or guardians of children engaged in educational programs or projects of
that school district.
3.

Use of Metric Measurements

The Metric Conversion Act of 1975 (15 USC § § 205a-k) and E.O. 12770 (3 CFR, § 1991 comp.) encourage
Federal agencies to use the Metric System in procurement, grants and other business-related activities.
The NSF grant will contain a provision encouraging PI/PDs to submit project reports, final reports, other
reports and publications produced under grants that employ the metric system of measurements.

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Chapter XII:

Grant Administration Disputes and Misconduct

A.

Suspension and Termination Procedures

1.

Definitions

a.
SUSPENSION means an action by NSF that temporarily withholds Federal support of a project
pending corrective action by the grantee or a decision by NSF to terminate the grant.
b.
TERMINATION means the ending of the NSF award, in whole or in part at any time prior to the
planned end of the period of performance.
2.

Suspension and Termination

a.

NSF Policy

(i)

A grant may be suspended or terminated in whole or in part in any of the following situations by:

(a)

NSF when the grantee fails to comply with the terms and conditions of the grant;

(b)

NSF when the Foundation has cause;

(c)

NSF when ordered by the Deputy Director under NSF’s Regulation on Research Misconduct (45
CFR § 689);

(d)

mutual agreement of NSF and the grantee; or

(e)
the grantee on written notice to NSF setting forth the reasons for such action, the effective date,
and, in the case of partial termination, the portion to be terminated or suspended (with the understanding
that if NSF determines that the unterminated portion will not accomplish the purposes of the grant it may
suspend or terminate the entire grant).
(ii)
Normally, action by NSF to suspend or terminate a grant will be taken only after the grantee has
been informed by NSF of the proposed action, or informed of any deficiency on its part and given an
opportunity to correct it. NSF, however, may immediately suspend or terminate a grant without notice when
it believes such action is reasonable to protect the interests of the government.
(iii)
No costs incurred during a suspension period or after the effective date of a termination will be
allowable, except those costs which, in the opinion of NSF, the grantee could not reasonably avoid or
eliminate, or which were otherwise authorized by the suspension or termination notice, provided such costs
would otherwise be allowable under the terms of the grant and the governing cost principles.
(iv)
Within 30 days of the termination date the grantee will furnish a summary of progress under the
grant and an itemized accounting of costs incurred prior to the termination date or pursuant to (iii) above.
Final allowable costs under a termination settlement shall be in accordance with the terms of the grant,
including this section, and the governing cost principles, giving due consideration to the progress under the
grant. In no event will the total of NSF payments under a terminated grant exceed the grant amount or the
NSF pro rata share when cost sharing was anticipated, whichever is less.
(v)
A notice of termination other than by mutual agreement and/or the final settlement amount may be
subject to review pursuant to Chapter XII.B.

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(vi)
NSF will report award terminations to the OMB-designated integrity and performance system in
accordance with Federal regulation, but only after the grantee has had an opportunity to exhaust the review
procedures contained in Chapter XII.B.
b.

Procedures for Suspension or Termination by NSF

(i)
When it is believed that a grantee has failed to comply with one or more of the terms and conditions
of a grant, the NSF Grants and Agreements Officer will normally advise the grantee in writing of the nature
of the problem and that failure to correct the deficiency may result in suspension or termination of the grant.
The grantee will be requested to respond in writing within 30 calendar days of the date of such letter,
describing the action taken or the plan designed to correct the deficiency. Copies of such correspondence
will be furnished to the PI/PD and to the cognizant NSF Program Officer. NSF, however, may immediately
suspend or terminate a grant without notice when it believes such action is reasonable to protect the
interests of the government.
(ii)
If a satisfactory response is not received within the above period, the NSF Grants and Agreements
Officer may issue a notice immediately suspending authority to further obligate grant funds, in whole or in
part. Notice of suspension is sent to the Authorized Organizational Representative, with a copy to the
PI/PD. Within NSF, copies are furnished to the NSF Division of Financial Management and to the cognizant
NSF Program Officer. The notice will set forth the terms of the suspension and its effective date.
(iii)
Normally, the suspension will remain in effect for a maximum of 60 days to allow the grantee to
take corrective action. In the event that the deficiency is not corrected to the satisfaction of NSF, the NSF
Grants and Agreements Officer may issue a notice of termination, addressed as in b., above. The notice
will set forth the reasons for the action and its effective date.
(iv)
The remedies described in Chapter XII.B do not preclude a grantee being subject to debarment
and suspension under the OMB Guidelines to Agencies on Government-wide Debarment and Suspension
(Nonprocurement) published at 2 CFR § 180 and NSF's Implementation of the OMB Guidelines, located at
2 CFR Chapter XXV.
(v)
Suspension or termination due to research misconduct will be imposed as provided in that
regulation.
3.

Termination by Mutual Agreement

a.

NSF Policy

Circumstances may arise in which either NSF or the grantee wishes to terminate a project. If both parties
agree that continuation of the project would not produce results commensurate with the further expenditure
of funds, or if there arises any other reason, the grant may be terminated by mutual agreement.
b.

Procedures

(i)
If the grantee wishes to terminate the project, the Authorized Organizational Representative should
advise the NSF Grants and Agreements Officer in writing and send a copy to the cognizant NSF Program
Officer.
(ii)
If NSF wishes to terminate the project, the NSF Grants and Agreements Officer will advise the
grantee’s Authorized Organizational Representative in writing and send copies to the PI/PD and the
cognizant NSF Program Officer.
(iii)
Within 30 days after receipt of request from either party for termination by mutual agreement, the
other party will provide an appropriate written response. In the event of disagreement between the parties,
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the NSF Grants and Agreements Officer will make a final decision, subject to the review procedures
prescribed by Chapter XII.B.
(iv)

Following termination, grant closeout procedures will be initiated.

4.

NSF Suspension or Termination Review Procedure

Grantees should refer to Chapter XII.B.3 for procedures to request review of a suspension or termination
notice. Pending resolution of the request for review, a notice of termination shall remain in effect.

B.

Informal Resolution of Grant Administration Disputes

1.

Background

Consistent with the Recommendation on Grant Disputes by the Administrative Conference of the US, and
with the intent of the provisions of Alternative Dispute Resolution, the Foundation provides the informal
resolution processes described below concerning disputes or disagreements that may arise over Grants
and Agreements Officer post-award decisions under an NSF grant.
2.

Scope of Post-Award Disputes Covered

The disputes below are covered under the process described in Chapter XII.B.3:
a.

cost disallowances pursuant to a Grants and Agreements Officer’s decision (e.g., specific
disallowances under an individual grant or as a result of an audit report);

b.

termination orders; and

c.

the final settlement amount under a termination.

3.

Procedures

a.
The grantee should submit a letter addressed to both the Division Director, Division of Grants and
Agreements (DGA) and the Division Director, Division of Acquisition and Cooperative Support (DACS),
National Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230. This letter must specify the
grantee’s disagreement or dispute and identify the NSF Grants and Agreements Officer’s decision in
question, giving reasons for the request for review and providing any other material pertinent to the request.
NSF will determine the appropriate Division to respond to the dispute.
b.
The letter to the Division Directors, DGA and DACS, must be either postmarked or received by
NSF no later than 30 days after the date of the NSF letter notifying the grantee of the decision in question.
The time for filing a request for review is strictly enforced and no extensions will be granted.
c.
The request for review need not follow a prescribed format; however, it must contain a full statement
of the grantee’s position with respect to the disputed matter and the facts and rationale that support the
grantee’s position. Dispute requests will be reviewed if the grantee:
•

submits new information (which was unavailable at the time of the original decision);

•

identifies an error in fact or application of NSF policy in the original decision; or

•

improper procedures were followed in the original decision.

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d.
The Division Director, DGA or DACS, will review or designate one or more individuals to review the
matter. One reviewing official will be at least at a management level equivalent to the official who made
the decision that is being reviewed. In no case, will the review be conducted by any individual involved with
the original decision or involved in recommending and/or monitoring the programmatic aspects of the
project, or responsible for negotiating and/or administering its business or financial aspects.
e.
The designated individual(s) will review and consider all relevant information available. A report
which identifies the conclusion and recommendation will be completed, and in disputes covered under:
(i)
Chapter XII.B.2.a and Chapter XII.B.2.b, the report will be completed within 30 days and forwarded
to the Director, DGA or DACS or their designee for a final and unappealable written decision for the agency.
The Director, DGA or DACS or their designee will communicate the decision in writing to the grantee,
normally within 15 days of receipt of the report, unless otherwise specified by NSF.
(ii)
Chapter XII.B.2.c, the report will be completed within 90 days and forwarded to the NSF Deputy
Director or his/her designee. The NSF Deputy Director or his/her designee will make the final and
unappealable decision for the agency and will communicate the decision in writing to the grantee within 15
days of receipt of the report unless otherwise specified by NSF.

C.

Research Misconduct

RESEARCH MISCONDUCT means fabrication, falsification, or plagiarism in proposing or performing
research funded by NSF, reviewing research proposals submitted to NSF, or in reporting research results
funded by NSF.
1.

NSF Policies and Responsibilities

a.
The NSF will take appropriate action against individuals or organizations upon a determination that
misconduct has occurred. It may also take interim action during an investigation. Possible actions include
sending a letter of reprimand to the individual or organization, requiring prior NSF approval of particular
activities by an individual or organization, requiring special assurances of compliance with particular
policies, restricting designated activities or expenditures under particular grants, suspending or terminating
grants, debarring or suspending an individual or organization and prohibiting participation by an individual
as an NSF reviewer, advisor or consultant.
b.
NSF will find misconduct only after careful inquiry and investigation by a grantee organization, by
another Federal agency or by NSF. An “inquiry” consists of preliminary information-gathering and
preliminary fact-finding to determine whether an allegation or apparent instance of misconduct has
substance. An investigation must be undertaken if the inquiry determines the allegation or apparent
instance of misconduct has substance. An “investigation” is a formal development, examination, and
evaluation of a factual record to determine whether misconduct has taken place or, if misconduct has
already been confirmed, to assess its extent and consequences or determine appropriate action.
c.
Before NSF makes any final finding of misconduct or takes any final action on such a finding, NSF
will normally afford the accused individual or organization notice, a chance to provide comments and
rebuttal and a chance to appeal. In structuring procedures in individual cases, NSF may take into account
procedures already followed by other entities investigating or adjudicating the same allegation of
misconduct.
d.
Debarment or suspension for misconduct will be imposed only after further procedures described
in applicable debarment and suspension regulations (2 CFR § 180 and 2 CFR Chapter XXV).
e.
The Office of Inspector General oversees investigations of research misconduct and conducts any
NSF inquiries and investigations into suspected or alleged research misconduct.
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f.
The Deputy Director adjudicates research misconduct proceedings and the Director decides
appeals.
g.
After receiving an investigation report, the subject’s rebuttal and recommendations of the OIG, the
NSF Deputy Director may initiate further investigation or hearings or order interim or final actions. A written
disposition specifying actions to be taken will be sent to affected individuals or organizations and will include
instructions on how to pursue an appeal to the Director of the Foundation.
2.

Role of Grantees

a.
Grantees bear primary responsibility for prevention and detection of misconduct. In most instances,
NSF will rely on grantees to promptly:
(i)

initiate an inquiry into any suspected or alleged misconduct;

(ii)

conduct a subsequent investigation, if the inquiry finds substance;

(iii)

take action necessary to ensure the integrity of research, the rights and interests of research
subjects and the public and the observance of legal requirements or responsibilities; and

(iv)

provide appropriate safeguards for subjects of allegations as well as informants.

b.

If a grantee wishes NSF to defer independent inquiry or investigation, it should:

(i)

inform NSF immediately if an initial inquiry finds substance;

(ii)

keep NSF informed during such an investigation;

(iii)

notify NSF even before deciding to initiate an investigation or as required during an investigation:

(a)

if there is reasonable indication of possible violations of civil or criminal law;

(b)

if public health or safety are at risk;

(c)

if NSF’s resources, reputation, or other interests need protecting;

(d)

if Federal action may be needed to protect the interests of a subject of the investigation or of others
potentially affected;

(e)

if the research community or the public should be informed; or

(f)

if research activities should be suspended.

(iv)

provide NSF with the final report from any investigation.

c.
If a grantee wishes NSF to defer independent inquiry or investigation, it should complete any inquiry
and decide whether an investigation is warranted within 90 days. It should similarly complete any
investigation and reach a disposition within 180 days. If completion of an inquiry or investigation is delayed,
but the grantee wishes NSF deferral to continue, NSF may require submission of periodic status reports.
d.
Grantees should maintain and effectively communicate to their staffs appropriate policies and
procedures relating to misconduct, which should indicate when NSF must or should be notified.
e.
Online research ethics training is available through the Department of Health and Human Services,
Office of Research Integrity at http://ori.hhs.gov/education/products/rcr_misconduct.html.
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3.

Reporting Possible Misconduct

Possible misconduct in activities funded by NSF should be reported to the Office of Inspector General,
National Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230, (703) 292-7100 or (800) 4282189 or via e-mail at [email protected].

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