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N AT I O N A L
S C I E N C E
F O U N DAT I O N
PROPOSAL AND AWARD POLICIES
AND PROCEDURES GUIDE
DRAFT
Anticipated Effective TBD
NSF 20-1
OMB Control Number 3145-0058
Significant Changes and Clarifications to the Proposal & Award
Policies & Procedures Guide (PAPPG) (NSF 20-1)
Effective Date TBD
Overall Document
Editorial changes have been made throughout to either clarify or enhance the intended meaning of a
sentence or section. References to the Large Facilities Manual have been updated to the new title of Major
Facilities Guide.
Significant Changes
•
Chapters I.G, How to Submit Proposals, II.C.1.d, Proposal Certifications and XI.A, NonDiscrimination Statutes and Regulations have been updated to implement Office of
Management and Budget Memorandum M-18-24, “Strategies to Reduce Grant Recipient Reporting
Burden”. Proposing organizations must submit government-wide certifications and representations
in the System for Award Management (SAM). These certifications must be re-certified annually.
NSF-specific proposal certifications must still be provided via the Authorized Organizational
Representative function in NSF’s electronic systems. Prior exhibits in Chapter II on the Drug Free
Workplace Certification, Debarment and Suspension, Lobbying and Nondiscrimination have been
deleted. Reference to the Certification of Compliance/Civil Rights Certifications in Chapter XI.A.2
has been removed as Nondiscrimination Certifications will now be provided in SAM.
•
Chapter II.C.2.f, Biographical Sketches, has been modified to require use of an NSF-approved
format in submission of the biographical sketch. NSF will only accept PDFs that are generated
through use of an NSF-approved format. Additional language has been added to the Appointments
section, to increase clarity regarding the information that must be provided. Appointments should
include any titled academic, professional, or institutional position, whether or not renumeration is
received.
•
Chapter II.E.1 and 2, Rapid Response Research (RAPID) Proposal and EArly-concept Grants
for Exploratory Research (EAGER) Proposal, have been supplemented with language which
clarifies how RAPID and EAGER proposals may not be used. A new requirement that email
documentation from a cognizant NSF Program Officer approving submission of a RAPID or EAGER
be uploaded to the proposal also has been added.
Clarifications and Other Changes
•
Introduction Section A, About the National Science Foundation, has been supplemented with
expanded language on NSF support of small businesses, industrial partnerships and product
innovations.
•
Chapter I.A, NSF Proposal Preparation and Submission, has been updated to specify that
Research.gov is being incrementally enhanced to support additional proposal and submission
types. Proposers should check the Research.gov website for the latest list of capabilities.
•
Chapter II.C.1.e, Collaborators & Other Affiliations Information, has been updated to remove
language requiring the user to save the format in .xlsx, as well as deletion of coverage on the
conversion of the file by FastLane to PDF.
•
Chapter II.C.2.a(4)(e)(ii), Cover Sheet, provides clarification on the project/performance site
instructions for research infrastructure projects.
•
Chapter II.C.2.d(i), Project Description, has been revised to remove the requirement for the
Project Description to contain, as a separate section within the narrative, a section labeled
“Intellectual Merit”. In addition, another example has been added to the list of societally relevant
outcomes in the broader impacts paragraph. The list is not meant to be either comprehensive or
prescriptive; proposers may include appropriate outcomes not covered by the examples.
•
Chapter II.C.2.g, Budget and Budget Justification, has been supplemented with a reminder that
proposers should check solicitations for additional budgetary preparation requirements for midscale and major facilities proposals. In section II.C.2.g.(v) on Participant Support, language on
costs related to service agreements/contracts has been revised to improve clarity. A similar change
has been made to section II.E.7, Meals and Coffee Breaks. In addition, section II.C.2.g.(vi)(b) has
been supplemented with additional types of costs that may appear under
“Publication/Documentation/Dissemination” on Line G.2 of the NSF budget. Definitions for each of
the categories are provided via footnote.
•
Chapter II.C.2.h, Current and Pending Support, has been revised to clarify NSF’s longstanding
requirements regarding submission of current and pending support information. The Foundation
requires use of an NSF-approved format in submission of current and pending support information.
NSF will only accept PDFs that are generated through use of an NSF-approved format.
•
Chapter II.D.3.a, Submission of a collaborative proposal from one organization, has been
updated to reflect that for these proposals, the project title must begin with the words “Collaborative
Research”.
•
Chapters II.D.5, Proposals Involving Human Subjects and XI.B.1, Human Subjects, have been
updated to improve clarity and for consistency with current practice.
•
Chapter II.D.7, Projects Requiring High-Performance Computing Resources, Data
Infrastructure, or Advanced Visualization Resources, incorporates updated information on this
topic.
•
Chapter II.E.7, Conference Proposal, requires that information on the complaint submission and
resolution process be included in the policy or code-of-conduct proposers disseminate to
conference participants.
•
Chapter II.E.11, Research Infrastructure Proposal, has been supplemented with a definition of
research infrastructure.
•
Chapter V, Renewal Proposals, incorporates a reaffirmation of the National Science Board
principle on recompetition.
•
Chapter VII.B.2, Changes in PI/PD, co-PI/co-PD or Person-Months Devoted to the Project at
the Initiation of the Grantee Organization, has been updated to reflect that such requests must
be submitted at least 30 days before the proposed change, or as soon as practicable after the
prospective change is known.
•
Chapter IX.B, Responsible and Ethical Conduct of Research (RCR), has been supplemented
with explanatory text regarding organization’s RCR responsibilities. In addition, new language has
been added that references several National Academies of Sciences, Engineering and Medicine
reports, which NSF encourages organizations to consider in meeting RCR requirements.
•
•
Chapter IX. D, Property Management Standards, has been revised to specify that for non-profit
organizations, small businesses or other for-profit organizations, and foreign public entities or
foreign organizations, title to equipment purchased with NSF funds will normally vest in the grantee
organization upon acquisition. Use of updated terminology (e.g., Federally-owned Property) is
incorporated in this section to align with Uniform Guidance. The due date for submission of the
required annual inventory report for Federally-owned property is updated to reflect October 15 each
year.
Chapter XI.A, Non-Discrimination Statutes and Regulations, incorporates an email address
that should be used to communicate an allegation of discrimination to NSF. The website address
where information on the compliant process can be found has been updated.
PROPOSAL & AWARD POLICIES & PROCEDURES GUIDE (PAPPG)
Table of Contents
Introduction:
A.
B.
C.
D.
E.
About the National Science Foundation
Foreword
Acronym List
Definitions & NSF-Grantee Relationships
NSF Organizations
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.
Program Descriptions .................................................................................................................. I-2
2.
Program Announcements ........................................................................................................... I-2
3.
Program Solicitations .................................................................................................................. I-2
4.
Dear Colleague Letters ............................................................................................................... I-3
Types of Submissions .............................................................................................................................. I-3
1.
Letters of Intent ........................................................................................................................... I-3
2.
Preliminary Proposals ................................................................................................................. I-3
a.
Invite/Not Invite Decisions .............................................................................................. I-4
b.
Encourage/Discourage Decisions .................................................................................. I-4
3.
Full Proposals .............................................................................................................................. I-4
Who May Submit Proposals ..................................................................................................................... I-4
Categories of Proposers........................................................................................................................... I-5
1.
Institutions of Higher Education (IHEs) ....................................................................................... I-5
Special Instructions for International Branch Campuses of U.S. IHEs .................................................... 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.
Foreign organizations .................................................................................................................. I-6
7.
Other Federal Agencies .............................................................................................................. I-6
When to Submit Proposals ....................................................................................................................... I-7
1.
Target Dates ................................................................................................................................ I-7
2.
Deadline Dates ............................................................................................................................ I-7
3.
Submission Windows .................................................................................................................. I-7
Special Exceptions to NSF’s Deadline Date Policy ................................................................................. I-7
Natural or Anthropogenic Disasters ......................................................................................................... I-7
Closure of NSF ......................................................................................................................................... I-8
How to Submit Proposals ......................................................................................................................... I-8
1.
Submission Instructions .............................................................................................................. I-8
2.
Requirements Relating to Data Universal Numbering System (DUNS)
Numbers and Registration in the System for Award Management (SAM) .................................. I-8
3.
NSF ID ........................................................................................................................................ I-9
4.
Proposal Receipt ......................................................................................................................... I-9
Proposal Processing ................................................................................................................................ I-9
Proposal & Award
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NSF 20-1
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 Font, Spacing and Margin Requirements ................................................................... II-3
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-4
c.
Proprietary or Privileged Information............................................................................. II-4
d.
Proposal Certifications .................................................................................................. II-4
e.
Collaborators & Other Affiliations Information ............................................................... II-5
f.
Submission of Proposals by Former NSF Staff ............................................................ II-6
2.
Sections of the Proposal ............................................................................................................ II-7
a.
Cover Sheet .................................................................................................................. II-7
b.
Project Summary ......................................................................................................... II-10
c.
Table of Contents ........................................................................................................ II-11
d.
Project Description ...................................................................................................... II-11
(i)
Content .......................................................................................................... II-11
(ii)
Page Limitations and Inclusion of Uniform Resource Locators
(URLs) within the Project Description ............................................................ II-11
(iii)
Results from Prior NSF Support..................................................................... II-12
(iv)
Unfunded Collaborations ................................................................................ II-12
(v)
Group Proposals ............................................................................................ II-13
(vi)
Proposals for Renewed Support .................................................................... II-13
e.
References Cited......................................................................................................... II-13
f.
Biographical Sketch(es) .............................................................................................. II-13
(i)
Senior Personnel ............................................................................................ II-13
(a)
Professional Preparation ................................................................... II-13
(b)
Appointments .................................................................................... II-14
(c)
Products ............................................................................................ II-14
(d)
Synergistic Activities ......................................................................... II-14
(ii)
Other Personnel ............................................................................................. II-14
(iii)
Equipment Proposals .................................................................................... II-14
g.
Budget and Budget Justification.................................................................................. II-15
(i)
Salaries and Wages ....................................................................................... II-15
(a)
Senior Personnel Salaries & Wages Policy ......................................II-15
(b)
Administrative and Clerical Salaries & Wages Policy .......................II-15
(c)
Procedures ........................................................................................ II-16
(d)
Confidential Budgetary Information ...................................................II-16
(ii)
Fringe Benefits ............................................................................................... II-16
(iii)
Equipment ...................................................................................................... II-17
(iv)
Travel .......................................................................................................... II-17
(a)
General ............................................................................................. II-17
(b)
Domestic Travel ................................................................................ II-17
(c)
Foreign Travel ................................................................................... II-17
(v)
Participant Support ......................................................................................... II-17
(vi)
Other Direct Costs .......................................................................................... II-18
(a)
Materials and Supplies (including Costs of Computing Devices) .....II-19
(b)
Publication/Documentation/Dissemination........................................II-19
(c)
Consultant Services (also referred to as Professional
Service Costs) ................................................................................... II-19
(d)
Computer Services ............................................................................ II-19
(e)
Subawards ........................................................................................ II-19
(f)
Other ............................................................................................. II-20
(vii)
Total Direct Costs ........................................................................................... II-20
Proposal & Award
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NSF 20-1
(viii)
(ix)
(x)
(xi)
(xii)
(xiii)
Indirect Costs ................................................................................................. II-20
Total Direct and Indirect Costs ....................................................................... II-21
Fees
.......................................................................................................... II-21
Amount of This Request ................................................................................. II-21
Cost Sharing................................................................................................... II-21
Allowable and Unallowable Costs .................................................................. II-22
(a)
Entertainment .................................................................................... II-22
(b)
Meals and Coffee Breaks .................................................................. II-22
(c)
Alcoholic Beverages .......................................................................... II-23
h.
Current and Pending Support ..................................................................................... II-23
i.
Facilities, Equipment and Other Resources ................................................................ II-23
j.
Special Information and Supplementary Documentation ............................................II-24
Postdoctoral Researcher Mentoring Plan ................................................................... II-24
Plans for data management and sharing of the products of research ........................II-25
Documentation of collaborative arrangements of significance to the proposal
through letters of collaboration .................................................................................... II-25
k.
Appendices .................................................................................................................. II-26
D.
Special Processing Instructions ............................................................................................................ II-26
1.
Proprietary or Privileged Information........................................................................................ II-26
2.
Beginning Investigators (applies to proposals submitted to the Biological
Sciences Directorate only) ....................................................................................................... II-27
3.
Collaborative Proposals ........................................................................................................... II-27
4.
Proposals Involving Vertebrate Animals .................................................................................. II-28
5.
Proposals Involving Human Subjects ....................................................................................... II-30
6.
Life Sciences Dual Use Research of Concern (DURC) ...........................................................II-31
7.
Projects Requiring High-Performance Computing Resources, Data Infrastructure or
Advanced Visualization Resources .......................................................................................... II-32
8.
International Activities .............................................................................................................. II-32
E.
Other Types of Proposals...................................................................................................................... II-33
1.
Rapid Response Research (RAPID) ........................................................................................ II-33
2.
EArly-concept Grants for Exploratory Research (EAGER) ......................................................II-34
3.
Research Advanced by Interdisciplinary Science and Engineering (RAISE) ..........................II-35
4.
Grant Opportunities for Academic Liaison with Industry (GOALI) ...........................................II-36
5.
Ideas Lab .................................................................................................................................. II-38
6.
Facilitation Awards for Scientists and Engineers with Disabilities (FASED) ............................II-39
7.
Conference Proposal................................................................................................................ II-40
8.
Equipment Proposal ................................................................................................................. II-43
9.
Travel Proposal ........................................................................................................................ II-44
10.
Center Proposal ....................................................................................................................... II-45
11.
Research Infrastructure Proposal ............................................................................................ II-45
Exhibit II-1:
Proposal Preparation Checklist ................................................................................................ II-47
Exhibit II-2
Potentially Disqualifying Conflicts of Interest ........................................................................... II-48
Exhibit II-3:
Definitions of Categories of Personnel ..................................................................................... II-49
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-3
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-5
G.
Review Information Provided to PI ......................................................................................................... III-7
H.
Release of Grantee Proposal Information .............................................................................................. III-7
Exhibit III-1:
NSF Proposal & Award Process & Timeline ............................................................................. III-8
Proposal & Award
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NSF 20-1
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-5
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-2
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-4
3.
Support under Continuing Grants ............................................................................................ VI-4
4.
Supplemental Support .............................................................................................................. VI-4
Chapter VII: Grant Administration ............................................................................................ VII-1
A.
B.
Monitoring Project Performance ........................................................................................................... VII-1
1.
Grantee Responsibilities ......................................................................................................... VII-1
2.
Grantee Notifications to NSF .................................................................................................. VII-1
Changes in Project Direction or Management ..................................................................................... VII-2
1.
Changes in Objectives, Scope or Methods/Procedures ......................................................... VII-2
a.
Changes in Objectives or Scope ................................................................................ VII-2
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 at the Initiation of the Grantee Organization ............................................................... VII-2
a.
Long-Term Disengagement of PI/PD or co-PI/co-PD ............................................... VII-3
b.
Change in Person-Months Devoted to the Project..................................................... VII-3
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-4
f.
Disposition of a Grant When a PI/PD Transfers from One Organization to Another
Organization ............................................................................................................... VII-4
3.
Changes in PI/PD, co-PI/co-PD or Person-Months Devoted to the
Project at the Initiation of NSF ................................................................................................ VII-5
4.
Subawarding or Transferring Part of an NSF Award (Subaward) ........................................... VII-6
Proposal & Award
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NSF 20-1
C.
D.
E.
5.
Postaward Addition of Postdoctoral Scholars. ........................................................................ VII-6
Cost Sharing .................................................................................................................................... VII-6
1.
General ................................................................................................................................... VII-6
2.
Mandatory Cost Sharing Commitments .................................................................................. VII-7
3.
Mandatory Cost Sharing Records and Reports ...................................................................... VII-7
Technical Reporting Requirements ...................................................................................................... VII-7
1.
Annual Project Reports ........................................................................................................... VII-8
2.
Final Project Report................................................................................................................. VII-8
3.
Project Outcomes Report for the General Public .................................................................... VII-9
Section Contents ..................................................................................................................... VII-9
4.
Compliance with Technical Reporting Requirements ............................................................. VII-9
5.
Grant Closeout ........................................................................................................................ VII-9
Record Retention and Audit ............................................................................................................... VII-10
Chapter VIII: Financial Requirements and Payments ............................................................. VIII-1
A.
B.
C.
D.
E.
Standards for Financial Management ................................................................................................. VIII-1
Definitions ............................................................................................................................................ VIII-1
Payment Requirements ....................................................................................................................... VIII-2
1.
Requesting Payments ............................................................................................................ VIII-2
2.
Payment Policies .................................................................................................................... VIII-3
3.
Request for Payment.............................................................................................................. VIII-3
4.
Special Payment Grantees .................................................................................................... VIII-4
5.
Working Capital Advance ....................................................................................................... VIII-4
6.
Grantee Banking Information for Payments ........................................................................... VIII-4
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
Award Financial Reporting Requirements and Final Disbursement ................................................... VIII-7
Chapter IX:
A.
B.
C.
D.
E.
Grantee Standards ................................................................................................ IX-1
Conflict of Interest Policies .................................................................................................................... IX-1
Responsible and Ethical Conduct of Research (RECR) ....................................................................... IX-3
1.
Background .............................................................................................................................. IX-3
2.
Institutional Responsibilities ..................................................................................................... IX-3
3.
NSF’s Responsibilities.............................................................................................................. IX-4
Financial Management Systems Standards.......................................................................................... IX-4
Property Management Standards ......................................................................................................... IX-4
1.
Title to Equipment .................................................................................................................... IX-4
2.
Conditions for Acquisition and Use of Property and Equipment .............................................. IX-5
3.
Principles Relating to Use of NSF-Supported Research Instrumentation & Facilities ............. IX-5
4.
Property Management Standards When Title Is Retained by NSF ......................................... IX-6
5.
Excess Government Personal Property ................................................................................... IX-6
a.
Policy ........................................................................................................................... IX-6
b.
Eligibility ...................................................................................................................... IX-6
c.
Procedures .................................................................................................................. IX-7
d.
Visiting Holding Agency Facilities ............................................................................... IX-8
e.
Dollar Limitation........................................................................................................... IX-8
f.
Restrictions.................................................................................................................. IX-8
g.
Costs ........................................................................................................................... IX-9
h.
Title .............................................................................................................................. IX-9
i.
Accountability and Recordkeeping .............................................................................. IX-9
Procurement Standards ...................................................................................................................... IX-10
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NSF 20-1
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 Costs .......................................................................................................... X-1
c.
Post-End Date Costs .................................................................................................... X-2
3.
Prior Written Approvals ............................................................................................................. X-2
Direct Costs ............................................................................................................................................ X-2
1.
Compensation – Personal Services .......................................................................................... X-2
a.
Salaries and Wages ..................................................................................................... X-2
b.
Fringe Benefits ............................................................................................................. X-3
2.
Intra-University (IHE) Consulting .............................................................................................. X-3
3.
Federal Employees ................................................................................................................... X-3
Other Direct Costs .................................................................................................................................. X-3
1.
Rearrangement and Reconversion Costs ................................................................................. X-3
2.
News Release Costs ................................................................................................................. X-4
3.
Travel and Temporary Dependent Care Costs ......................................................................... X-4
Indirect Costs ......................................................................................................................................... X-4
1.
NSF Policy ................................................................................................................................. X-4
2.
NSF Cognizant Organizations ................................................................................................... X-6
Fee Payments under NSF Grants .......................................................................................................... X-6
Chapter XI:
A.
B.
C.
D.
E.
F.
Allowability of Costs .............................................................................................. X-1
Other Post Award Requirements and Considerations ........................................ XI-1
Non-Discrimination Statutes and Regulations....................................................................................... XI-1
1.
General ..................................................................................................................................... XI-1
NSF Policy on Sexual Harassment, Other Forms of Harassment, or Sexual Assault ............. XI-2
2.
Title VI of the Civil Rights Act of 1964 ...................................................................................... XI-2
3.
Section 504 of the Rehabilitation Act of 1973 .......................................................................... XI-3
4.
Title IX of the Education Amendments of 1972 ....................................................................... XI-3
5.
Age Discrimination Act of 1975 ................................................................................................ XI-4
6.
Equal Employment Opportunity under E.O. 11246 .................................................................. XI-4
7.
Limited English Proficiency under E.O. 13166 ......................................................................... XI-5
Protection of Living Organisms ............................................................................................................. XI-5
1.
Human Subjects ....................................................................................................................... XI-5
2.
Research Involving Recombinant or Synthetic Nucleic Acid Molecules .................................. XI-6
3.
Vertebrate Animals ................................................................................................................... XI-6
4.
Government Permits and Activities Abroad ............................................................................. XI-8
5.
Life Sciences Dual Use Research of Concern (DURC) ........................................................... XI-8
Construction, Rearrangements and Alterations .................................................................................... XI-8
1.
Davis-Bacon Act ....................................................................................................................... XI-8
2.
Bonding and Insurance ............................................................................................................ XI-9
3.
Seismic Safety of Buildings ...................................................................................................... XI-9
Intellectual Property............................................................................................................................... XI-9
1.
Patents and Inventions ............................................................................................................. XI-9
2.
Copyright ................................................................................................................................. X-15
3.
Special Patent and Copyright Situations ................................................................................ XI-16
4.
Dissemination and Sharing of Research Results ................................................................... XI-17
5.
Tangible Property ................................................................................................................... XI-18
Publication/Distribution of Grant Materials
..................................................................................... XI-18
1.
NSF Policy.............................................................................................................................. XI-18
2.
Costs ...................................................................................................................................... XI-18
3.
Responsibilities ...................................................................................................................... XI-18
4.
Grantee Obligations ............................................................................................................... XI-18
International Considerations ............................................................................................................... XI-19
1.
Travel to Foreign Countries .................................................................................................... XI-19
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G.
H.
I.
J.
K.
L.
M.
a.
Policy ......................................................................................................................... XI-19
b.
Use of U.S.-Flag Air Carriers .................................................................................... XI-19
c.
Use of Foreign-Flag Air Carriers ............................................................................... XI-20
2.
Charter Flights ........................................................................................................................ XI-21
3.
Projects in a Foreign Country................................................................................................. XI-21
4.
Passports and Visas............................................................................................................... XI-22
Intergovernmental Review of Federal Programs ................................................................................ XI-22
Handling of Information ....................................................................................................................... XI-22
1.
Questionnaires: Data Collection Under NSF Grants ............................................................. XI-22
2.
Release of Information by NSF .............................................................................................. XI-22
Tax Status ........................................................................................................................................... XI-23
Protection of Properties in the National Register of Historic Places ................................................... XI-23
Environmental Compliance ................................................................................................................. XI-23
National Security ................................................................................................................................. XI-23
Miscellaneous ...................................................................................................................................... XI-24
1.
Liabilities and Losses ............................................................................................................. XI-24
2.
Pre-College Students and Experimental Curriculum Development Projects ......................... XI-24
3.
Use of Metric Measurements ................................................................................................. XI-24
4.
Executive Order 13788, Buy American and Hire American ................................................... XI-24
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-3
Informal Resolution of Grant Administration Disputes ......................................................................... XII-3
Research Misconduct .......................................................................................................................... XII-4
1.
NSF Policies and Responsibilities ........................................................................................... XII-4
2.
Role of Grantees ..................................................................................................................... XII-5
3.
Reporting Possible Misconduct ............................................................................................... XII-6
Subject Index .......................................................................................................................................
Privacy Act and Public Burden Statements .......................................................................................
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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 3,000 institutions of higher education, K-12 school systems, businesses,
informal science organizations and other research organizations throughout the U.S. The Foundation accounts for
about one-fourth 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 or information technology, with diagnosis- or treatment-related goals, that
applies engineering or computer science principles to problems in biology and medicine while advancing engineering
or computer science knowledge is eligible for support. Bioengineering and assistive information technology 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 more than 50,000 proposals each year for research, education and training projects, of which
approximately 11,000 are funded. In addition, the Foundation receives more than 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; 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, technical research and
development on innovations from the small business community, U.S. participation in international scientific and
engineering efforts, and educational activities at every academic level. America’s Seed Fund powered by NSF - the
Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs – annually
provides approximately 400 startups and small businesses with research and development (R&D) funding to create
and develop a prototype or conduct proof-of-concept work, as the foundation for the introduction of innovative new
products or services, getting research, much of it NSF-funded, out of the lab and into the market. NSF’s Innovation
Corps (I-Corps™) program supports NSF-funded researchers in the form of entrepreneurial education, mentoring
and funding to accelerate the translation of knowledge derived from fundamental research into emerging products
and services. Scientists and engineers can also increase the impact of their NSF-funded research discoveries by
1
For purposes of this Guide, the term “proposal” is interchangeable with the term “application.”
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developing their technology into a prototype or proof-of-concept through the Partnerships for Innovation (PFI)
program, one of the National Science Foundation's technology translation programs. Guidance regarding the NSF’s
SBIR, STTR, I-Corps and PFI programs may be found in their respective program solicitations.
NSF is structured much like a university, with divisions/offices for the various disciplines and fields of science and
engineering and for science, technology, engineering and mathematics 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.
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.
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.
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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 NSF. The PAPPG, in conjunction with the applicable
standard award conditions incorporated by reference in the award 2, serve as the Foundation’s implementation of 2
CFR § 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. If
the PAPPG and the award conditions are 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 PAPPG 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: https://www.nsf.gov/funding/.
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.
Assistance Listings
The System for Award Management (SAM) provides detailed, public descriptions of all Federal assistance listings.
SAM replaces the Catalog of Federal Domestic Assistance (CFDA), and all CFDA.gov functionality and data can now
be found on beta.SAM.gov. Each assistance listing, however, continues to be associated with a unique five-digit
CFDA number.
NSF programs fall under the following listings on the beta.SAM.gov site:
47.041
47.049
47.050
47.070
47.074
47.075
47.076
47.079
2
-- 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
See Chapter VI.C. for additional information on NSF award conditions.
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47.078 -- Polar Programs
47.083 -- Office of Integrative Activities
Any questions or comments regarding the NSF PAPPG should be addressed to the Policy Office, Division of
Institution & Award Support, at [email protected].
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C.
Acronym List
ABR
ACH
ACM$
AD
ADPE
APHIS
AOR
BFA
CA
CA/FATC
CAP
CA/PTC
CEQ
CFR
CGI
CMIA
COA
COI
CSA
CSB
co-PD
co-PI
DACS
DAS
DCL
DD
DFM
DGA
DHHS
DIAS
DOC
DUNS
DURC
EAGER
EFT
EEO
E.O.
F&A
FAPIIS
FAQs
FAR
FASED
FDP
FEMA
Accomplishment-Based Renewal
Automated
Clearing
House
(U.S.
Treasury)
Award Cash Management Service
Assistant Director
Automatic Data Processing Equipment
Animal and Plant Health Inspection
Service
Authorized Organizational Representative
Budget, Finance & Award Management
Cooperative Agreement
Cooperative Agreement
Financial/Administrative Terms and
Conditions
Cost Analysis and Pre-award Branch
Cooperative Agreement Programmatic
Terms and Conditions
Council on Environmental Quality
Code of Federal Regulations
Continuing Grant Increment
Cash Management Improvement Act
Collaborators and Other Affiliations
Conflict of Interest
Cooperative Support Agreement
CSB Cooperative Support Branch
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
Equal Employment Opportunity
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
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FIRS
FOIA
FOE
FORP
FWA
GC-1
GOALI
GPO
GSA
IACUC
IBC
IHE
IPA
IRB
IRS
ISE
LEP
LFO
LOI
MFG
MREFC
NASEM
NDAA
NEPA
NIH
NSB
NSF
ODI
OGC
OHRP
OIA
OIG
OLAW
OMB
ONR
PAPPG
PD
PHS
PI
PNAG
PO
POR
RAISE
RAM
RAPID
RECR
Federal Information Relay Service
Freedom of Information Act
Federally-Owned Equipment
Federally-Owned Real Property
Federal-Wide Assurance
Grant General Conditions
Grant Opportunities for Academic Liaison
with Industry
Government Publishing Office
General Services Administration
Institutional Animal Care and Use
Committee
Institutional Biosafety Committee
Institution of Higher Education
Intergovernmental Personnel Act
Institutional Review Board
Internal Revenue Service
International Science & Engineering
Limited English Proficiency
Large Facilities Office
Letters of Intent
Major Facilities Guide
Major Research Equipment and Facilities
Construction Account
National Academies of Science,
Engineering and Medicine
National Defense Authorization Act
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 for 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
Project Outcomes Report for the
General Public
Research Advanced by Interdisciplinary
Science and Engineering
Resolution and Advance Monitoring
Branch
Rapid Response Research
Responsible and Ethical Conduct of
Research
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REU
ROA
RTC
RUI
SAM
SBA
SBIR
SF
SPO
SSN
STEM
STTR
TDD
TTY
URL
USC
USDA
VSEE
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
Sponsored Projects Office
Social Security Number
Science, Technology, Engineering and
Mathematics
Small Business Technology Transfer
Telephonic Device for the Deaf
Text Telephone
Uniform Resource Locator
United States Code
U.S. Department of Agriculture
Visiting Scientist, Engineer or Educator
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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 representations 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 3 means a legal instrument of financial assistance between NSF and a
grantee that, consistent with 31 USC 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 USC
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 USC 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 grantee to carry out a public purpose authorized by a law of the United States (see 31 USC
6101(3)); and not to acquire property or services for NSF’s direct benefit or use;
3 For purposes of this Guide, except where explicitly noted, the term “grant” is interchangeable with the terms
“cooperative agreement or award”, and the term “grantee” is interchangeable with the “awardee” of a cooperative
agreement.
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(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.E.
g.
PRINCIPAL INVESTIGATOR/PROJECT DIRECTOR (PI/PD) – see PAPPG Exhibit II-3, Definitions
of Categories of Personnel.
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).
NSF utilizes two types of cooperative agreements:
•
Standalone Cooperative Agreement (CA), which consists of a cooperative agreement for a
single, unified award where there is no need to provide separate, discrete funding and oversight
for the projects or programs under that award.
•
Master Cooperative Agreement/Cooperative Support Agreement (CA/CSA), which consists of
a master or overall agreement having separate and specific awards (CSAs) that are funded
individually under the umbrella of the master agreement. CSAs have their own terms and
conditions in addition to those of the master agreement. The scope of CSAs falls within the scope
of the master agreement, but each CSA has its own distinct award number and funding based on
its approved budget; no funding is attached to the master CA.
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.
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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 major 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 award, and separate cooperative support agreements. The cooperative
support agreements contain 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.
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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 (NSB)
The NSB 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 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 (OMB), approves major
awards and consults on certain programs, 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 serves 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 comprised 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)
DGA is responsible for the award and administration of the majority of NSF’s assistance awards – i.e.,
grants, cooperative agreements, and fellowship awards, recommended for support by NSF program offices.
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 awardees, NSF Directorates/Offices, and others within the scientific research and
education communities. DGA also maintains a leadership role in the Federal grants arena. In carrying out
NSF's primary mission of promoting the progress of science, DGA continually interacts with academic and
non-academic institutions, private industry, State and local governments, and other Federal agencies.
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Grants & Agreements Officers (Grants Officers) have delegated warrant 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 post-award prior approvals, for monitoring awardee compliance with 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 and
procedures, clearance of NSF funding opportunities, advanced monitoring activities, cost analysis and
award support, audit resolution, electronic award systems administration, and outreach to the external
community. DIAS also advocates for the needs of the research community in NSF electronic research
administration activities, including the modernization of NSF’s externally-facing FastLane system via
Research.gov. DIAS organizational units are as follows:
a.
The Policy Office is responsible for the development, coordination, and issuance of NSF pre- and
post-award policies for the assistance programs of NSF. The Policy Office provides guidance on the
interpretation of NSF policies and procedures within NSF's electronic proposal and award systems, as well
as official clearance for NSF funding opportunities.
The Policy Office coordinates outreach programs for external stakeholders across the broad research
community and NSF staff. Through a variety of mechanisms, it releases timely information regarding NSF
policies and procedures, proposal preparation, and award management. In addition to working closely with
professional research administration associations, the Policy Office coordinates two major grants
conferences held at various locations throughout the U.S., typically in the spring and fall of each year.
b.
The Cost Analysis and Pre-award (CAP) Branch specializes in determinations with regard to the
allowability, allocability and reasonableness of costs either budgeted or claimed under NSF awards. CAP
evaluates accounting systems, internal controls, and policies and procedures of prospective and current
NSF grantees. Its major functions include: pre-award reviews of new grantees, Phase II research projects
involving small businesses; budgets of large-scale awards; and indirect cost rate negotiation. CAP provides
guidance to NSF Program and Grants Officers, as well as grantees for questions related to its areas of
responsibility.
c.
The Resolution and Advanced Monitoring (RAM) Branch specializes in determining the allowability,
allocability and reasonableness of costs claimed under NSF awards. RAM also evaluates the accounting
systems, internal controls and policies and procedures of current NSF grantees. RAM’s primary
responsibilities include: audit resolution, advanced monitoring to assess grantees’ administrative capability,
performance, and compliance with award terms and conditions; and review of certain post-award
adjustments to expenditures. RAM provides guidance to NSF program staff and grantees for questions
related to its areas of responsibility.
d.
The Systems Office plays a major role in the design, implementation, administration, and oversight
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 award 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
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teams, business process reviews and redesign, risk assessments, and administrative assistance. The CSB
Grants & Agreements Officers (Grants Officers) have delegated warrant 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 post-award prior approvals, for monitoring awardee compliance with award terms
and conditions, and for the administration and closeout of these awards.
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 oversight practices related to mid-scale and major facility
projects and is the NSF-wide resource on project management best practices. LFO has the institutional
authority and resources to effectively develop mandatory policies, practices and procedures, which are
approved by senior management, for all stages of the facility life-cycle. The Office provides: (1) expert
assistance on non-scientific and non-technical aspects of project planning, budgeting, and implementation
for mid-scale and major facilities; (2) assurance that all applicable requirements are followed in order to
give credence to NSF’s oversight capabilities; and (3) facilitates the use of best practices by fostering
coordination and collaboration throughout NSF to share application of lessons learned from prior major
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: grants and contracts; 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 administering the Foundation’s policies, practices and procedures related to internal
and external equal opportunity and civil rights. Its mission is to ensure the agency is in compliance with the
laws and regulations that govern Federal-sector EEO and civil rights; as well as, to foster a diverse and
inclusive work environment that ensures equal opportunity through policy development, workforce
analyses, outreach and education to best serve the Foundation's employees and its stakeholders. ODI
is also responsible for responding to all civil rights matters pertaining to NSF programs or activities receiving
Federal financial assistance, including Title IX Compliance activities. In addition, ODI serves as the
Foundation’s authority for resolving and responding to all notifications required by NSF’s term and condition
regarding sexual harassment, other forms of harassment, or sexual assault. (See Chapter XI.A for
additional information.)
10.
Office of Inspector General (OIG)
OIG is an independent oversight office that reports directly to the NSB and 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,
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evaluators, and information technology specialists. OIG audits focus on NSF’s internal agency programs,
as well as grants, cooperative agreements and contracts 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, and
can result in criminal, civil, or administrative sanctions. Statutory law enforcement authority was granted to
OIG by the U.S. Attorney General.
Anyone, including grantees, administrators, and NSF personnel, should contact the OIG, as specified at:
https://www.nsf.gov/oig/report-fraud/ to report instances of possible misconduct, fraud, waste, or abuse.
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PART I: PROPOSAL PREPARATION AND SUBMISSION GUIDELINES
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.
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, Research.gov 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 pertains to proposals submitted via the NSF FastLane System
and Research.gov (see below). FastLane may be used for proposal preparation, submission, proposal file
updates, and select postaward administrative activities. Detailed information about the FastLane System
is available from the FastLane website.
Proposal Preparation and Submission via the NSF Research.gov System. NSF is modernizing the
NSF FastLane System. Proposal Preparation and Submission in Research.gov is an alternative to the NSF
FastLane System for proposal preparation, submission, and proposal file updates. The policy and
procedural guidance contained in Part I of the PAPPG pertains to proposals submitted via the NSF
FastLane System and Research.gov. On-screen instructions in Research.gov may vary from what is stated
in the PAPPG; however, the content requirements of the proposal remain the same. The on-screen
instructions in Research.gov must be followed. The Research.gov Proposal Preparation and Submission
site is being incrementally enhanced to increase the number of proposal and submission types supported;
proposers are reminded to check the Research.gov website for the latest list of capabilities.
Proposal Preparation and Submission via Grants.gov. The policy and procedural guidance contained
in the NSF Grants.gov Application Guide pertains specifically to proposals submitted via Grants.gov.
Detailed information about Grants.gov is available from the Grants.gov website.
B.
NSF Programs and Funding Opportunities
The NSF website provides the most comprehensive source of information on NSF Directorates/Offices
(including contact information), programs, funding opportunities and Dear Colleague Letters. 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 each time new 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.
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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.
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 utilize the generic eligibility and proposal preparation instructions specified in Part I
of the PAPPG, as well as the NSB-approved merit review criteria. See Chapter III for additional information.
2.
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.
3.
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;
•
limits the number of proposals that may be submitted by an organization and/or Principal
Investigator (PI) or co-Principal Investigator (co-PI); 4
•
requires cost sharing;
•
requires a limitation in indirect (Facilities & Administrative (F&A)) costs;
•
specifies additional award conditions and/or reporting requirements;
•
anticipates use of a cooperative agreement.
4Unless
otherwise specified, the term “organization” refers to all categories of proposers.
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4.
Dear Colleague Letters (DCLs)
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. They also may be used to announce NSF’s interest in receiving
proposals in specified topical areas for the following proposal types contained in Chapter II.E: Rapid
Response Research (RAPID); Early-concept Grants for Exploratory Research (EAGER); Research
Advanced by Interdisciplinary Science and Engineering (RAISE); and Conference.
D.
Types of Submissions
1.
Letters of Intent (LOI)
Some NSF program solicitations require or request submission of an 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.
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.
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a.
Invite/Not Invite Decisions
This type of mechanism is used when the NSF decision made on the preliminary proposal is final, affecting
the organization’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 (SPO) (or equivalent) 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 SPO 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 NSB. (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.
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. Reporting results include but is not limited to: annual/final project reports and Project Outcomes
Reports submitted to NSF, as well as the publication of results from the NSF-funded projects. NSF policies
and rules on research misconduct are discussed in the Chapter XII.C, as well as 45 CFR Part 689.
NSF will not tolerate research misconduct. Allegations of research misconduct are taken seriously and are
investigated by NSF’s Office of Inspector General (OIG). OIG refers completed investigations of research
misconduct to NSF for action. Upon findings of research misconduct, NSF will take appropriate action
against individuals or organizations.
The Metric Conversion Act of 1975, as amended, and E.O. 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
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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, organizations in the
following categories may submit proposals:
1.
Institutions of Higher Education (IHEs) Two- and four-year IHEs (including community
colleges) accredited in, and having a campus located in the U.S., acting on behalf of their faculty members.
IHEs located outside the U.S. fall under paragraph 6. below.
Special Instructions for International Branch Campuses of U.S. IHEs
If the proposal includes funding to be provided to an international branch campus of a U.S. institution of
higher education (including through use of subawards and consultant arrangements), the proposer must
explain the benefit(s) to the project of performance at the international branch campus and justify why the
project activities cannot be performed at the U.S. campus. Such information must be included in the project
description. The box for “Funding of an International Branch Campus of a U.S. IHE, including through use
of a subaward or consultant arrangement” must be checked on the Cover Sheet if the proposal includes
funding for an international branch campus of a U.S. IHE.
2.
Non-profit, Non-academic Organizations Independent museums, observatories, research
laboratories, professional societies and similar organizations located in the U.S. that are directly associated
with educational or research activities.
3.
For-profit Organizations U.S. 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 IHEs; therefore, it especially welcomes proposals for cooperative projects involving both IHEs 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 Unless specifically authorized in an NSF solicitation (e.g., NSF
postdoctoral fellowship programs), unaffiliated individuals in the U.S. and unaffiliated U.S. citizens are not
eligible to 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.
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Unaffiliated individuals must contact the cognizant Program Officer prior to preparing and submitting a
proposal to NSF.
6.
Foreign Organizations NSF rarely provides direct funding support to foreign organizations.
NSF will consider proposals for cooperative projects involving U.S. and foreign organizations, provided
support is requested only for the U.S. portion of the collaborative effort.
In cases however, where the proposer considers the foreign organization’s involvement to be essential to
the project (e.g., through subawards or consultant arrangements), the proposer must explain why local
support is not feasible and why the foreign organization can carry out the activity more effectively. In
addition, the proposed activity must demonstrate how one or more of the following conditions have been
met:
•
The foreign organization contributes a unique organization, facilities, geographic location and/or
access to unique data resources not generally available to U.S. investigators (or which would
require significant effort or time to duplicate) or other resources that are essential to the success of
the proposed project; and/or
•
The foreign organization to be supported offers significant science and engineering education,
training or research opportunities to the U.S.
Such information must be included in the project description section of the proposal. The box for “Funding
of a Foreign Organization, including through use of a subaward or consultant arrangement” must be
checked on the Cover Sheet if the proposal includes funding for a foreign organization.
7.
Other Federal Agencies NSF does not normally support research or education activities by
scientists, engineers or educators employed by Federal agencies or 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:
•
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 logistical 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 U.S. Antarctic Research Program.
•
International Travel Awards. To help 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 an IHE and a Federal agency (such as a Veterans Administration
Hospital, or with an IHE and a FFRDC) may submit proposals through the IHE and may receive support if
he/she is a faculty member (or equivalent) of the IHE, 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.
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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.
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. 5 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. 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. Letters of
intent or preliminary proposals also follow the 5 p.m. submitter's local time standard.
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
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.
5A
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.
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Closure of NSF – When NSF is closed due to inclement weather or other reason 6, deadline(s) that occurred
during the closure automatically will be extended to the following business day after the closure ends.
G.
How to Submit Proposals
1.
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, the AOR is required to provide certain NSF-specific proposal
certifications. (See Chapter II.C.1.d for a listing.) This certification process will occur concurrently with
submission of the proposal. Submission of government-wide representations and certifications is
addressed below.
2.
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 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.
SAM is the primary registrant database for the U.S. 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 an organization has an active award or a proposal under consideration by NSF. Failure to comply
with SAM registration requirement prior to proposal submission may impact the processing of the proposal.
To register in 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.
Organizations are responsible for maintaining the accuracy of their information in SAM and utilizing SAM
to submit government-wide representations and certifications. Prior to proposal submission, all proposing
organizations are required to have reviewed and certified compliance with the government-wide financial
assistance representations and certifications maintained in SAM. Failure to comply with SAM certification
and registration requirements will impact the submission and processing of the proposal. If a registration
is not active, an organization will not be able to submit a proposal, nor will NSF be able to take approval
actions on any submitted proposals or approved awards. Additionally, payments will not be able to be
processed and approved.
Organizations also are 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, including recertification of
the government-wide financial assistance representations and certifications. If the registration is not
renewed, it will expire. An expired registration will impact an organization’s ability to submit proposals or
receive grant payments.
6
This policy is not intended to cover NSF closures due to lapses in appropriation. In such cases, specific guidance
will be issued, as appropriate.
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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 an organization’s responsibility to keep this information updated.
3.
NSF ID
The NSF ID is a unique numerical identifier assigned to users by NSF. The NSF ID is used throughout
NSF’s electronic systems 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 the NSF Act of 1950, as amended.
4.
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 that are 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 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.
Proposers should be aware of core strategies that are essential to the fulfillment of NSF's mission, as
articulated in Building the Future: Investing in Discovery and Innovation - NSF Strategic Plan for Fiscal
Years (FY) 2018 – 2022. 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 grantee 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 U.S. technology-based economy. NSF’s
contribution to the national innovation ecosystem is to provide cutting-edge research under the guidance
of the Nation’s most creative scientists and engineers. NSF also supports development of a strong STEM
workforce by investing in building the knowledge that informs improvements in STEM teaching and learning.
NSF will not tolerate research misconduct in proposing or performing research funded by NSF, reviewing
research proposals submitted to NSF, or in reporting research results funded by NSF. For additional
information, see Chapters I.D.3., IX.B., and XII.C.
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 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
block on the Cover Sheet; or (b) for individual deviations, by identifying the name, date and title of the NSF
official authorizing the deviation.
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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 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.
During completion of the proposal Cover Sheet (See Chapter II.C.2.a.), the PI will be prompted to select
the applicable response that describes the nature and type of proposal being developed:
The type of proposal being developed:
•
•
•
•
•
•
•
•
•
•
•
•
•
Research (see Chapter II, Sections A through C);
Rapid Response Research (RAPID) (see Chapter II.E.1);
Early-concept Grants for Exploratory Research (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);
Facilitation Awards for Scientists and Engineers with Disabilities (FASED) (see Chapter II.E.6);
Conference (see Chapter II.D.7);
Equipment (see Chapter II.D.8);
Travel (see Chapter II.D.9);
Center (see relevant funding opportunity);
Research Infrastructure (see relevant funding opportunity); or
Fellowship (see relevant funding opportunity).
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.
The requested proposal information noted above will be used to determine the applicable proposal
preparation requirements 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.
All proposals are checked for compliance with applicable requirements prior to submission in FastLane and
Research.gov. Additional information on NSF auto-compliance checks can be found at:
http://www.nsf.gov/bfa/dias/policy/autocompliance.jsp.
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 must be individually paginated prior to being uploaded to the electronic
system.
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2.
Proposal Font, Spacing and Margin Requirements
The proposal must conform to the following requirements:
a.
Use one of the following fonts identified below:
•
•
•
Arial 7 (not Arial Narrow), 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, tables or
diagram captions and when using a Symbol font to insert Greek letters or special characters. Other fonts
not specified above, such as Cambria Math, may be used for mathematical formulas, equations, or when
inserting 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. No proposer-supplied information may appear
in the margins.
d.
Paper size must be no larger than standard letter paper size (8 ½ by 11”).
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 font 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. Use of a small font size makes it difficult for reviewers to read the proposal;
consequently, the use of small fonts not in compliance with the above guidelines may be grounds
for NSF to return the proposal without review. Adherence to font size and line spacing requirements
also is necessary to ensure that no proposer will have an unfair advantage, by using smaller font 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 NSF-specific proposal certifications (which are submitted via the Authorized Organizational
Representative function 8), these documents should be submitted via the FastLane Proposal Preparation
Module. A summary of each of these categories follows:
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.
7
8
Macintosh users also may use Helvetica and Palatino fonts.
Further instructions for this process are available in FastLane.
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b.
List of Suggested Reviewers or Reviewers Not to Include (optional)
Proposers may include a list of suggested reviewers (including email address and organizational affiliation)
who they believe are especially well qualified to review the proposal. Proposers also may designate
persons they would prefer not to 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 regarding whether to use these 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
Government-wide Representations and Certifications are provided by the proposer on an annual basis in
SAM (see PAPPG Chapter I.G.2.). Note that the box for "Disclosure of Lobbying Activities" must be checked
on the Cover Sheet if, pursuant to paragraph 2 of the Lobbying certification provided in SAM, submission
of the SF LLL is required. The AOR must use the "Authorized Organizational Representative function" to
sign and submit the proposal, including NSF-specific proposal certifications. It is the proposing
organization's responsibility to assure that only properly authorized individuals perform this function. 9
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 grant 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 grant, 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.
•
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:
9
Detailed instructions for completion of this process are available in Research.gov.
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(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 and Ethical Conduct of Research (RECR): 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.
NSF’s RCR policy is available in Chapter IX.B. While training plans are not required to be included in
proposals submitted to NSF, IHEs are advised that they are subject to review upon request. NSF has
provided funding to the Online Ethics Center for S&E (www.onlineethics.org/) an online collaborative
resource environment that provides resources that may be used by the IHE in developing their training
plan. This site contains RCR resources by discipline, provides links to published codes of ethics, as well
as includes pages dedicated to resources produced or used by specific professional groups.
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 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 (COA) must be separately provided
for each individual identified as senior personnel on the project. The COA information must be provided
through use of the COA template. The information in the tables is not required to be sorted, alphabetically
or otherwise. For additional information please refer to the frequently asked questions on the COA template
page.
There are five separate categories of information which correspond to the five tables in the COA template:
COA template Table 1:
List the individual’s last name, first name, middle initial, and organizational affiliation in the last 12 months.
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COA template Table 2:
List names as last name, first name, middle initial, for whom a personal, family, or business relationship
would otherwise preclude their service as a reviewer. In the “Type of Relationship” column please specify
the personal, family, or business relationship involved.
COA template Table 3:
List names as last name, first name, middle initial, and provide organizational affiliations, if known, for the
following:
•
The individual’s Ph.D. advisors; and
•
All of the individual’s Ph.D. thesis advisees.
COA template Table 4:
List names as last name, first name, middle initial, and provide organizational affiliations, if known, for the
following:
•
Co-authors on any book, article, report, abstract or paper with collaboration in the last 48 months
(publication date may be later); and
•
Collaborators on projects, such as funded grants, graduate research or others in the last 48 months.
COA template Table 5:
List editorial board, editor-in chief and co-editors with whom the individual interacts. An editor-in-chief must
list the entire editorial board.
•
Editorial Board: 10 List name(s) of editor-in-chief and journal in the past 24 months; and
•
Other co-Editors of journal or collections with whom the individual has directly interacted in the last
24 months.
The template has been developed to be fillable, however, the content and format requirements must not be
altered by the user. When completing the template, do not change the column sizes or the font type. Rows
may be inserted as needed to provide additional names 11.
This information is used to manage reviewer selection. See Exhibit II-2 for additional information on
potential reviewer conflicts.
f.
Submission of Proposals by Former NSF Staff
For one year following separation from the Foundation, any communication with NSF by a former employee
or IPA must be done through use of a "substitute negotiator." Unless a substitute negotiator has been
designated by the proposer/grantee, the Division of Grants and Agreements (DGA) or the Division of
Acquisition and Cooperative Support (DACS) will not process a new proposal with a former employee or
10 Editorial board does not include Editorial Advisory Board, Scientific Editorial Board, or any other subcategory of
Editorial Board. It is limited to those individuals who perform editing duties or manage the editing process (i.e., editor
in chief).
11 To accommodate long names or other information in a cell, the font size may be reduced to fit data in the cell.
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IPA as PI or co-PI. If it has been less than a year since a former employee separated from NSF or an IPA
ended their appointment and they submit a proposal, documentation from the AOR needs to be included
which designates a substitute negotiator for that proposal. The substitute negotiator must be from the same
organization as the PI or co-PI for whom the negotiator is required. A co-PI on a new proposal should
designate the PI as the substitute negotiator. This information should be submitted as a single copy
document and uploaded in the “Additional Single Copy Documents” category.
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 12, or being returned without
review. See Chapter IV.B for additional information.
A full research proposal must contain the following sections 13. 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.
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
•
Data Management Plan
•
Postdoctoral Mentoring Plan (if applicable)
Single Copy Documents
•
Collaborators & Other Affiliations Information
k.
The proposal preparation instructions for RAPID, EAGER, RAISE, GOALI, Ideas Lab, FASED, conference,
equipment, travel, center, research infrastructure, and fellowship proposal types may deviate from the
above content requirements.
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 Organization/Primary Place of Performance
The information on the Awardee Organization is prefilled on the Cover Sheet based on the login information
entered. 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):
12
13
Proposal Not Accepted is defined as FastLane will not permit submission of the proposal by the AOR.
See Chapter II.E. for the proposal preparation requirements for other types of proposals submitted to NSF.
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•
•
•
•
•
•
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.
(2)
Program Announcement/Solicitation/Program Description Number
Proposers are required to select the applicable funding opportunity (i.e., program description,
announcement, or solicitation.) If the proposal is not submitted in response to a specific funding opportunity,
proposers should select "Proposal and Award Policies and Procedures Guide."
(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 SPO 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)
Announcement and Consideration Information
This information is prefilled based on previously entered information.
(d)
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 co-PIs.
Each individual's name and either NSF ID or primary registered e-mail address, must be entered in the
boxes provided.
(e)
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.
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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.
For research infrastructure projects, the project/performance site should correspond to the physical location
of the asset. For research infrastructure that is mobile or geographically distributed, information for the
primary site or organizational headquarters (as defined by the proposer) should be provided.
(f)
Consideration by 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.
(g)
Awardee Organization Information
The awardee organization name, address, NSF organization code, 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.
(h)
Primary Place of Performance
This information is prefilled based on previously entered information.
(i)
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.)
•
Proprietary or Privileged Information (See Chapter II.C.1.c and II.D.1)
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•
Historic Places (See Chapter II.C.2.j)
•
Vertebrate Animals 14 (See Chapter II.D.4)
•
Human Subjects 15 (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 U.S. 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)
•
Funding of an International Branch Campus of a U.S. IHE, including through use of a subaward or
consultant arrangement. (See Chapter I.E.) If this box is checked, the proposer also must enter
the name of the applicable country(ies) in the International Activities Country Name(s) box
described above.
•
Funding of a Foreign Organization, including through use of a subaward or consultant arrangement.
(See Chapter I.E.) If this box is checked, the proposer also must enter the name of the applicable
country(ies) in the International Activities Country Name(s) box described above.
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 informative to other persons working in the same or related fields, and,
insofar as possible, understandable to a broad audience within the scientific domain. 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.
14 If the proposal includes use of vertebrate animals, supplemental information is required. See Chapter II.D.4. for
additional information.
15 If the proposal includes use of human subjects, supplemental information is required. See Chapter II.D.5. 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 also 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 U.S.; use of science and technology to inform public policy; and
enhanced infrastructure for research and education. These examples of societally relevant outcomes
should not be considered either comprehensive or prescriptive. Proposers may include appropriate
outcomes not covered by these examples.
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).
For proposals that include funding to an International Branch Campus of a U.S. IHE or to a foreign
organization (including through use of a subaward or consultant arrangement), the proposer must provide
the requisite explanation/justification in the project description. See Chapter I.E for additional information
on the content requirements.
(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
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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.)
(iii)
Results from Prior NSF Support
The purpose of this section is to assist reviewers in assessing the quality of prior work conducted with prior
or current NSF funding. If any PI or co-PI identified on the proposal has received prior NSF support
including:
•
•
an award with an end date in the past five years; or
any current funding, including any 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 means salary support, as well as any other funding awarded by NSF,
including research, Graduate Research Fellowship, Major Research Instrumentation, conference,
equipment, travel, and center awards, etc.
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.”
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
(e)
(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.
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(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
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 separate biographical sketch (limited to two pages) must be provided for each individual designated as
senior personnel through use of an NSF-approved format. (See Exhibit II-3 for the definitions of Senior
Personnel.)
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; driver’s license number;
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)
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(b)
Appointments
A list, in reverse chronological order by start date of all the individual’s academic, professional, or
institutional appointments, beginning with the current appointment. Appointments include any titled
academic, professional, or institutional position whether or not remuneration is received, and whether fulltime, part-time, or voluntary (including adjunct, visiting, or honorary).
(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 distinct 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 should be specific and could include, among others: innovations in teaching and training;
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. Examples with multiple
components are not permitted.
(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.
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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.
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 five 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 five pages. See
Chapter II.C.2.g.(vi)(e) 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 mid-scale and major facilities also should consult NSF’s Major Facilities Guide as well as the
relevant solicitation 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. (See Exhibit II-7 for the
definitions of Senior Personnel.) It is the organization’s responsibility to define and consistently apply the
term “year”, and to specify this definition in the budget justification. 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. 16
Under normal rebudgeting authority, as described in Chapters VII and X, a grantee 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 unless the rebudgeting would 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 costs (F&A). Direct charging of these costs may be appropriate only if all the conditions
identified below are met:
16
NSF grantees 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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(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
(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 salary and person
months are not being requested for an individual designated as 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. 17
(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.
17
Detailed instructions for submission of confidential budgetary information are available in FastLane.
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(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
necessary to make an item of equipment 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 research 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 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 U.S.-Flag Air carriers, if available.
(b)
Domestic Travel
Domestic travel includes travel within and between the U.S., its territories and possessions. 18 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)
Foreign Travel
Travel outside the areas specified above is considered foreign travel. When anticipated, the proposer must
enter the names of countries and dates of visit on the proposal budget, 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
18
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 the 50 States.
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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). Speakers and trainers generally are not considered participants and should
not be included in this section of the budget. However, if the primary purpose of the individual’s attendance
at the conference is learning and receiving training as a participant, then the costs may be included under
participant support. If the primary purpose is to speak or assist with management of the conference, then
such costs should be budgeted in appropriate categories other than participant support.
For some educational projects conducted at local school districts, the participants being trained are
employees. In such cases, the costs must be classified as participant 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. Costs related to an
NSF-sponsored conference (e.g., venue rental fees, catering costs, supplies, etc.) that will be secured
through a service agreement/contract should be budgeted on line G.6., “Other Direct Costs” to ensure
appropriate allocation of indirect costs.
This section of the budget also may not be used for incentive payments to research subjects. Human
subject payments should be included on line G.6. of the NSF budget under “Other Direct Costs,” and any
applicable indirect costs should be calculated on the payments in accordance with the organization’s
federally negotiated indirect cost rate.
Funds may be requested for the travel costs of participants. If so, the restrictions regarding class of
accommodations and use of U.S.-Flag air carriers are applicable. 19 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 usually
allowed on participant support costs unless the grantee’s current, federally approved indirect cost rate
agreement provides for allocation of F&A to 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 project 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 proposing organization, minor building alterations, payments to human subjects, and service charges.
Reference books and periodicals only may be included on the proposal budget if they are specifically
allocable to the project being supported by NSF.
19
See Chapter XI.F, Grant General Conditions (GC-1) Article 10, and Article 14 in the NSF Agency Specific
Requirements to the Research Terms and Conditions, as applicable, for additional information on travel restrictions.
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(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 project. 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. Line G.2. of the
proposal budget also may be used to request funding for data deposit and data curation costs. 20
(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.
(e)
Subawards 21 (Line G5 on the Proposal Budget)
Except for the purpose of obtaining goods and services for the proposer’s own use which creates a
procurement relationship with a contractor, no portion of the proposed activity may be subawarded or
transferred to another organization without prior written NSF authorization. Such authorization must be
20
A data deposit cost is a one-time charge paid at the time a data set is deposited into a data repository. Data curation
costs are expenses associated with preparing data into a form that others can use.
21 A 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 that the form of the agreement.
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provided either through inclusion of the subaward(s) on an NSF award budget or by receiving written prior
approval from the cognizant NSF Grants 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 five pages, must be provided
for each subrecipient, if already identified. The description of the work to be performed must be included
in the project description.
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 U.S. Federally negotiated indirect cost rate(s). If no such rate exists, the NSF
grantee 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 grantees will use the foreign subrecipient’s applicable U.S. Federally
negotiated indirect cost rate(s). However, if no such rate exists, the NSF grantee will fund the foreign
subrecipient using the de minimis indirect cost rate recovery of 10% of modified total direct costs.
(f)
Other (Line G6 on the Proposal Budget)
Any other direct costs not specified in Lines G.1. through G.5. must be identified on Line G.6. Such costs
must be itemized and detailed in the budget justification. Examples include:
•
Contracts for the purpose of obtaining goods and services for the proposer’s own use (see 2 CFR
§ 200.330 for additional information); and
•
Incentive payments, for example, payments to human subjects or incentives to promote completion
of a survey, should be included on line G.6. of the NSF budget. Incentive payments should be
proposed in accordance with organizational policies and procedures. Indirect costs should be
calculated on incentive payments in accordance with the organization’s approved U.S. Federally
negotiated indirect cost rate(s). Performance based incentive payments to employees as described
in 2 CFR §200.430(f) should not be included in this section of the budget.
(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 U.S. 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. See section (xii) below. The amount for indirect costs should be calculated by applying
the current negotiated indirect cost rate(s) to the approved base(s), and such amounts should be specified
in the budget justification. Indirect cost recovery for IHEs 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.
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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.
Foreign organizations that do not have a current U.S. Federally negotiated indirect cost rate(s) are limited
to a de minimis indirect cost rate recovery of 10% of modified total direct costs. Foreign grantees that have
a U.S. 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 and Major Facilities programs when specified
in the solicitation.
(xi)
Amount of This Request (Line L on the Proposal Budget)
The total amount of funds requested by the proposer.
(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 22 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 proposal budget and be specifically identified
in the approved NSF budget. 23 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,
the grantee may, at its own discretion, continue to contribute voluntary uncommitted cost sharing to NSF22
23
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.
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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 NSB, 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 proposal 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. 24
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 25. 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 grantee.
(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. Travel, meal and hotel expenses of grantee employees who are not on travel
status are unallowable. See also 2 CFR § 200.438.
(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.) Meal expenses of grantee employees who are not on travel status are unallowable.
See also 2 CFR § 200.438.
24 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.
25 2 CFR § 200.306 describes criteria and procedures for the allowability of cash and in-kind contributions in satisfying
cost sharing and matching requirements.
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(c)
Alcoholic Beverages
No NSF funds may be requested or spent for alcoholic beverages.
h.
Current and Pending Support
Current and pending support information must be separately provided for each individual designated as
senior personnel on the proposal through use of an NSF-approved format. Current and pending support
includes all resources made available to an individual in support of and/or related to all of his/her research
efforts, regardless of whether or not they have monetary value. Current and pending support also includes
in-kind contributions (such as office/laboratory space, equipment, supplies, employees, students 26). In-kind
contributions not intended for use on the project/proposal being proposed also must be reported. 27
Current and pending support information must be provided for this project, for ongoing projects, and for any
proposals currently under consideration from whatever source 28, irrespective of whether such support is
provided through the proposing organization or is provided directly to the individual.
The total award amount for the entire award period covered (including indirect costs) must be provided, as
well as the number of person-months (or partial person-months) per year to be devoted to the project by
the individual.
Concurrent submission of a proposal to other organizations will not prejudice its review by NSF, if
disclosed. 29 If the project (or any part of the project) now being submitted has been funded previously by a
source other than NSF, information must be provided regarding the last period of funding.
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.
Although these resources are not considered voluntary committed cost sharing as defined in 2 CFR §
200.99, 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 grantee when there are postaward changes to objectives, scope or
methods/procedures.
26 If the in-kind contributions are intended for use on the project being proposed to NSF, the information must be included as
part of the Facilities, Equipment and Other Resources section of the proposal and need not be replicated in the individual’s
current and pending support submission.
27
If the time commitment or dollar value is not readily ascertainable, reasonable estimates should be provided.
28
For example, Federal, State, local, foreign, public or private foundations, non-profits, industrial or other commercial
organizations or internal funds allocated toward specific projects.
29 The Biological Sciences Directorate exception to this policy is delineated in Chapter II.D.2.
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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 SPO or in the references cited below.
•
Postdoctoral Researcher Mentoring Plan. Each proposal 30 that requests funding to support
postdoctoral researchers 31 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 proposal. 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);
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.
30
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
must be submitted for the entire project.
31 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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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. In such
collaborative proposals, the data management plan should discuss the relevant data issues in the
context of the collaboration.
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 and 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 letter 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 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 USC. §§ 4321, et seq.), the National Historic Preservation
Act (54 USC § 306108 [previously codified at 16 USC § § 470, et seq.], and the Endangered
Species Act (16 USC. §§ 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 types of information that may be requested
is shown in the Organization Environmental Impacts Checklist.
•
Antarctic proposals to any NSF program require “Logistical Requirements and Field Plan”
supplementary documents to be submitted with the proposal. See “proposal with fieldwork” in
Chapter V.A of the Antarctic Research solicitation. Special budgetary considerations also apply.
See also Chapter V.B of the Antarctic Research solicitation.
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•
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
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.) 32
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.
32 Detailed 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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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. For these proposals, the project title must
begin with the words "Collaborative Research:” 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 co-PIs. 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.
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)
•
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Cover Sheet
Table of Contents (automatically
generated)
Biographical Sketch(es)
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•
•
•
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
•
•
•
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: 33
(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.
(iii)
All components of the collaborative proposal must meet any established deadline date, and failure
to do so may result in the entire collaborative proposal being returned without review.
(iv)
Each collaborative proposal that includes funding to an International Branch Campus of a U.S. IHE
or to a foreign organization (including through use of a subaward or consultant arrangement), must check
the appropriate box on the proposal cover sheet. The requirement to check the box only applies to the
proposing organization that includes the international component. The lead organization also must provide
the requisite explanation/justification in the project description. See Chapter I.E. for additional information
on the content requirements.
(v)
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 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. 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
33
Detailed instructions for the preparation and submission of collaborative proposals are available in FastLane.
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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. 34 Departures from the Guide must be approved by the IACUC and based on scientific,
veterinary, medical, or animal welfare issues (for more information, see Office of Laboratory Animal Welfare
(OLAW) Departures from the Guide).
b.
Sufficient information must be provided within the 15-page Project Description to enable reviewers
to evaluate the:
(i)
rationale for involving animals;
(ii)
choice of species and number of animals to be used;
(iii)
description of the proposed use of the animals;
(iv)
exposure of animals to discomfort, pain, or injury; and
(v)
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 U.S. 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 from the
international organization 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.
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 care and use of vertebrate
animals is envisioned.
(ii)
The date of IACUC approval of the animal-use protocol covering the proposed work, if such
approval has been granted prior to proposal submission, must be identified 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. The approval letter must affirm that an animal-use protocol
covering the proposed activities has been approved, and should explicitly list the organization’s PHS
34
Guidelines to the use of Wild Birds in Research; Guidelines of the American Society of Mammologists 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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Assurance Number, the proposer’s name, the title and number of the NSF proposal, and the date of IACUC
approval, as well as show an organizational signature. The approval letter must be provided to the
cognizant NSF Program Officer before an award can be issued.
(iii)
The PHS Approved Animal Welfare Assurance Number must be entered in the space provided.
f.
For fellowship proposals submitted by individuals that involve the care and 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 of the organization that provides oversight of the proposed work
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 organization’s PHS Assurance Number, the proposer’s name, the title and number of the NSF proposal,
and the date of IACUC approval, as well as show an organizational signature. If IACUC approval has not
been obtained prior to submission, the individual should indicate “Pending” in the space provided for the
approval date. If a decision is made to fund the proposal, the individual 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.
See also Chapter XI.B.3 for additional information on the administration of awards that include use of
vertebrate animals.
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
have: (1) approval from an Institutional Review Board (IRB) before issuance of an NSF award; or, (2) an
IRB determination that the project is exempt from review, in accordance with the applicable subsection, as
established in 45 CFR § 690.104(d) 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 35 that establishes
a 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 U.S., evidence of IRB approval
also is required. If there is no IRB approval provided, nor is a Federal Wide Assurance (FWA) on file with
the Department of Health and Human Services, Office for Human Research Protections (OHRP)
(http://ohrp.cit.nih.gov/search/search.aspx?styp=bsc), NSF may decline to support the project. Pursuant to
45 CFR §690.101(g), the Common Rule is not intended to supersede any additional protections that may
be afforded to human subjects under foreign laws or regulations. OHRP maintains the International
Compilation of Human Research Standards which contains a listing of over 1000 laws, regulations, and
guidelines on human subjects protections in 130 countries and from many organizations. This site is an
excellent resource regarding the conduct of human subjects research in an international setting.
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:
35
An NSF-approved format for submission of these determinations is available on the NSF website.
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(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 eight 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, and has an approved, unexpired protocol at the time
of submission, the IRB approval date should be identified in the space provided. If IRB approval has not
been obtained at the time of submission, the proposer should indicate "Pending" in the space provided for
the approval date. If a decision is made to fund the proposal, a signed copy of the IRB approval letter must
be provided 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”. If the
determination notice is not available, and, the decision is made to fund the proposal, a signed copy of the
determination notice must be provided 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 definite 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 grant 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 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.
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 U.S. 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.
NSF Implementation of the 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 DURC.
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Proposing organizations are responsible for identifying NSF-funded life sciences proposals that could
potentially be considered DURC as defined in the Policy and for compliance with the requirements
established in that Policy therein. NSF will not fund research that would be considered to lead to a gain of
function of agents associated with the U.S. Government Policy on DURC (See also Chapter XI.B.5 for
additional information.)
7.
Projects Requiring High-Performance Computing Resources, Data Infrastructure, or
Advanced Visualization Resources
Many research projects require access to computational, data and/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. However, for those projects that require such resources at scales beyond
what may be available locally, NSF supports a number of national resources. For the most computationallyand/or data-intensive projects, the Frontera system at the Texas Advanced Computing Center (TACC) at
the University of Texas at Austin is the most suitable. Frontera is designed to support a small number (~50)
of research teams involved with projects requiring the most advanced computational and data capabilities.
The Office of Advanced Cyberinfrastructure within the Directorate for Computer and Information Science
and Engineering oversees the allocation process for this system. Proposals are reviewed for both their
scientific and computational/data needs. The Frontera system is among the largest and most powerful
supercomputers ever deployed on a U.S. academic campus; it offers over 16,000 processors, as well as
significant other processing capabilities, to advance research that would not otherwise be possible. More
information about the system can be found at https://www.tacc.utexas.edu/systems/frontera.
The National Center for Atmospheric Research (NCAR) provides high-performance computing resources
for NSF-funded researchers in atmospheric and related sciences. To access these supercomputers, data
storage systems, and other resources, users must apply for allocations through NCAR. Applications are
reviewed, and time is allocated according to the needs of the projects and the availability of resources.
More details on the allocations process can be found at https://www2.cisl.ucar.edu/usersupport/allocations. The intention to request use of these NSF-supported national resources should be
noted in the Facilities, Equipment and Other Resources section of the proposal. No letter of support or
collaboration is required.
The most general set of large computational and data resources funded by NSF are accessible through the
eXtreme Science and Engineering Discovery Environment (XSEDE) project. XSEDE provides the
integrating fabric for a collection of very powerful supercomputers, a high-throughput computing
environment, high-volume data storage facilities, and advanced visualization services, connected by a highbandwidth private network. Additionally, XSEDE offers an education and outreach program on 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 via
separate awards from NSF. Allocations of those resources for large projects are determined by the XSEDE
Resource Allocation Committee, which meets quarterly, using an external set of experts. Smaller requests
do not require a proposal or review, and a simple online process may be used to request such an allocation.
NSF encourages prospective users to seek more information at https://www.xsede.org/allocations.
8.
International Activities
a.
International Research/Education/Training Activities. For each proposal that describes an
international activity, PIs should list the primary countries involved on the Cover Sheet.
b.
An international activity is defined as research, training, and/or education carried out in cooperation
with foreign counterparts either overseas or in the U.S. using virtual technologies. If the “Funding of an
International Branch Campus of a U.S. IHE, including through use of a subaward or consultant agreement”
box or “Funding of a Foreign Organization, including through use of a subaward or consultant agreement”
box is checked on the Cover Sheet, the proposer also must enter the name of the applicable country(ies)
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in the International Activities Country Name(s) box(es) on the Cover Sheet. (See also PAPPG Chapter I.E
for additional information.)
c.
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.
d.
Work in foreign 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.)
E.
Other 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 other types of proposals that may be submitted to NSF.
Each of them is described below, along with instructions that may supplement or deviate from NSF’s
standard proposal preparation instructions.
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.
RAPID proposals are NOT for:
•
for projects that are appropriate for submission as "regular" NSF proposals;
•
events that are unanticipated due to lack of awareness of timelines; or
•
collection of only non-perishable data.
Prior to submission of a RAPID proposal, PI(s) must contact the NSF Program Officer(s) whose expertise
is most germane to the proposal topic to ascertain that submission of a RAPID proposal is appropriate.
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 urgent and why RAPID is 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.
•
The project title will be preceded by the prefix “RAPID:”
•
Only internal merit review is required for RAPID proposals. In some instances, 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.
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•
Email documentation from at least one NSF Program Officer confirming approval to submit a
RAPID proposal must be uploaded by the PI as a document entitled “RAPID – Program Officer
Concurrence Email” in the Supplementary Documentation section of FastLane.
•
Requests may be for up to $200K and up to one year in duration. The award size, however, will
be consistent with the project scope and of a size comparable to grants in similar areas.
•
RAPID proposals are not eligible for reconsideration, if declined. See Chapter IV.D.2.b.
•
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.
EAGER proposals are NOT:
•
for projects that are appropriate for submission as "regular" NSF proposals;
•
planning grants;
•
to support the collection of preliminary data; or
•
to provide services to NSF.
Please note that an NSF DCL may require submission of a research concept outline, or similar document,
prior to submission of an EAGER proposal. Typically, this required document will not exceed two pages.
Specific guidance, however, will be provided in the DCL.
•
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.
•
The project title will be preceded by the prefix “EAGER:”
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•
Only internal merit review is required for EAGER proposals. In some cases, 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.
•
Email documentation from at least one NSF Program Officer confirming approval to submit an
EAGER proposal must be uploaded by the PI as a document entitled “EAGER – Program Officer
Concurrence Email” in the Supplementary Documentation section of FastLane. In cases where an
NSF DCL required submission of a research concept outline and the PI was then invited to submit
an EAGER proposal, the email invitation from the NSF Program Officer serves as documentation
and must be uploaded in the Supplementary Documentation section.
•
Requests may be for up to $300K and up to two years in duration. The award size, however, will
be consistent with the project scope and of a size comparable to grants in similar areas.
•
EAGER proposals are not eligible for reconsideration, if declined. See Chapter IV.D.2.b.
•
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 types of proposals 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. Please note that an NSF DCL may require submission of a research concept outline, or similar
document, prior to submission of a RAISE proposal. Typically, this required document will not exceed two
pages. Specific guidance will be contained in the DCL.
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 requirements is indicated below.
•
NSF will not accept a RAISE separately submitted collaborative proposal from multiple
organizations. A collaborative proposal must be submitted as a single proposal from one
organization, with any collaborators identified as subawardee organizations.
•
The RAISE proposal type must be selected in the proposal preparation module in Fastlane.
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•
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.
•
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
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.
•
RAISE proposals are not eligible for reconsideration, if declined. See Chapter IV.D.2.b.
•
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
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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 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 from the interaction. The
proposed research should be transformative, beneficial to industry, and further collaboration between the
academic and industrial 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 confirmation 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.
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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 Ideas Lab type of proposal is implemented using the four-stage process 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 during the Ideas Lab. The individuals
selected to 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 certain personal attributes that enhance the
success of the Ideas Lab workshop (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 36 of the Ideas Lab are communicated to meeting participants by the cognizant
NSF Program Officer. Typically, 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
36
Ideas Labs are generally one to five days in duration.
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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.”
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
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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 requested 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.
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 37
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 U.S. of major international conferences.
A conference proposal will be evaluated through use of the two National Science Board (NSB)-approved
merit review criteria of Intellectual Merit and Broader Impacts, and, 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.
It is NSF policy (see Chapter XI.A.1.g.) to foster harassment-free environments wherever science is
conducted, including at NSF-sponsored conferences. Proposers are required to have a policy or code-ofconduct that addresses sexual harassment, other forms of harassment 38, and sexual assault, and that
includes clear and accessible means of reporting violations of the policy or code-of-conduct. The policy or
code-of-conduct must address the method for making a complaint as well as how any complaints received
during the conference will be resolved. This policy or code-of-conduct must be disseminated to conference
participants prior to attendance at the conference as well as made available at the conference itself.
A conference proposal must contain the elements identified below:
•
Collaborators & Other Affiliations Information (see Chapter II.C.1.e) (for conference proposals in
excess of $50,000)
•
Cover Sheet
37
This coverage also applies to symposia and workshop proposals.
For purposes of this requirement, “other forms of harassment” is defined as “Non-gender or non-sex-based
harassment of individuals protected under federal civil rights laws, as set forth in organizational policies or codes of
conduct, statutes, regulations, or executive orders.”
38
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•
Project Summary (see Chapter II.C.2.b)
•
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.
Separate statements on the intellectual merit and broader impacts of the proposed activity;
c.
A listing of recent meetings on the same subject, including dates and locations;
d.
The names of the chairperson and members of organizing committees and their organizational
affiliations;
e.
Information on the location and probable date(s) of the meeting and the method of announcement
or invitation;
f.
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;
g.
A plan for recruitment of, and support for, speakers and other attendees, that includes participation
of groups underrepresented in science and engineering (e.g., underrepresented minorities, women, and
persons with disabilities); and
h.
A description of plans to identify resources for child care and other types of family care at the
conference site to allow individuals with family care responsibilities to attend. Attendance for some
participants will be dependent on the availability of such resources. This information should help enable
attendees to make arrangements for family care, as needed.
g.
Results from Prior NSF Support (up to five pages). If any PI or co-PI identified on the proposal
has received prior NSF support including:
•
•
an award with an end date in the past five years; or
any current funding, including any 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
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
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.
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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.
Proposed costs for meals must be reasonable and otherwise allowable to the extent such costs do not
exceed charges normally allowed by the grantee organization in its regular operations as the result of the
grantee organizations written policies. In the absence of an acceptable, written grantee organizational
policy regarding meal costs, 2 CFR §200.474(d) will apply. Costs that will be secured through a service
agreement/contract should be budgeted under Line G.6., Other Direct Costs, to ensure the proper allocation
of indirect costs.
h.
Participant Support Costs. (See Chapter II.C.2.g.(v)).
i.
Dependent Care Costs. As needed, the costs of identifying, but not providing, locally available
dependent care resources may be included.
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. See also 2 CFR § 200.438.
(iii)
Alcoholic Beverages. No NSF funds may be requested or spent for alcoholic beverages.
(iv)
Speaker Fees. Speakers and trainers are not considered participants and should not be included
in this section of the budget. However, if the primary purpose of the individual’s attendance at the
conference is learning and receiving training as a participant, then the costs may be included under
participant support. If the primary purpose is to speak or assist with management of the conference, then
such costs should be budgeted in appropriate categories other than participant support.
•
Current and Pending Support: The support requested or available from other Federal agencies and
other sources. (see Chapter II.C.2.h).
•
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
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description of such support should be included in the Facilities, Equipment and Other Resources section of
the proposal.
Data Management Plan: Plans for management and sharing of any data products resulting from the
activity. (see Chapter II.C.2.j).
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:
•
Collaborators & Other Affiliations Information (see Chapter II.C.1.e.)
•
Cover Sheet
•
Project Summary (see Chapter II.C.2.b)
•
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.
d.
Results from Prior NSF Support (up to five pages). If any PI or co-PI identified on the proposal
has received prior NSF support including:
•
an award with an end date in the past five years; or
•
any current funding, including any 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.
•
Biographical Sketch(es) of the person(s) who will have overall responsibility for maintenance and
operation of the equipment 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).
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•
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: (see Chapter II.C.2.j)
•
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. 39
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.
Cover Sheet
Project Summary (see Chapter II.C.2.b)
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 any PI or co-PI identified on the proposal
has received prior NSF support including:
•
39
an award with an end date in the past five years; or
See Chapter IX.D. for additional information on the administration of equipment awards.
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•
any current funding, including any 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 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 U.S. 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 U.S.-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 U.S. flag air carrier’s designator code and
flight number. See Chapter XI.F for additional information.
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.
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.
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.
Center Proposal
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. Centers are not considered research infrastructure but will often use
research infrastructure to meet their objectives.
11.
Research Infrastructure Proposal
As an integral part of its responsibility for strengthening the science and engineering capacity of the country,
NSF provides support for the design, construction, operation and upgrade of research infrastructure. NSF
defines research infrastructure as any combination of facilities, equipment, instrumentation, computational
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hardware and software, and the necessary supporting human capital. Research infrastructure includes
major research instrumentation, mid-scale projects and major facilities. NSF depends on the research
communities to provide the justification as well as the capabilities to manage the development and
implementation of research infrastructure projects. Justification 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 meritreviewed proposals. The NSF process and funding mechanisms for development and implementation of
research infrastructure projects depends, in part, on the scale of the project. Construction of the largest
projects, major facilities, is typically supported through the Major Research Equipment and Facilities
Construction (MREFC) account. 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 Major Facilities Guide, a public document managed by the Large Facilities
Office, contains policies and procedures related to NSF oversight and Recipient management of larger
research infrastructure projects funded by NSF. The purpose of the Major Facilities Guide is to: (1) provide
guidance to NSF staff on conducting appropriate oversight and to recipients in carrying out effective project
planning and management; and (2) clearly state the required policies and procedures as well as pertinent
good practices for each life-cycle stage.
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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 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., Research, RAPID, EAGER, RAISE,
GOALI, Ideas Lab, FASED, 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 40 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, and 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.
40
Proposal Not Accepted is defined as FastLane will not permit submission of the proposal.
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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;
•
an organization where the reviewer is employed, serves as a consultant, 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 Ph.D. 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:
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) -- 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 for centers, major facilities, or similar 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 Building the Future: Investing in Discovery and Innovation NSF Strategic Plan for Fiscal Years (FY) 2018 - 2022. 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. A
Proposal Update Justification must be provided 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; 41 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
41The
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 SPO can initiate or review requests for proposal file updates
using the "Submit Proposals/Supplements/File Updates/Withdrawals" Module via the FastLane "Research
Administration Functions." 42
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 PI(s).
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 (F&A) 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. A revised proposal budget, budget
justification, as well as a Budget Impact Statement that describes the impact of the budget reduction on the
scope of the project, must be provided. Proposers must use the FastLane Revised Proposal Budget
Module to submit this information. 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 NSF 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
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."
42Detailed
instructions on submitting proposer-initiated proposal file updates are available on the FastLane website at:
https://www.fastlane.nsf.gov/documents/pfu/pfu.jsp.
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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 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 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, involve 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 accordance
with Federal regulation, but only after the proposer has had an opportunity to exhaust the review procedures
contained in Chapter III.F.2 below.
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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 Officer or Branch Chief in DGA or DACS. If, after obtaining further clarification from the
cognizant NSF Grants 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 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 Officer or Branch Chief
in DGA or DACS, the proposing organization’s AOR 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.
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
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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 made available to the public on request, consistent with the
Freedom of Information Act, 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. 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
NSF
Announces
Opportunity
Research &
Education
Communities
Can be returned without review/withdrawn
Award
Submit
Via Division
of Grants &
Agreements
Research.GOV
Ad Hoc
NSF Program
Officer
Panel
Combination
Program Officer
Analysis &
Recommendations
Division
Director
Concurrence
Internal
Organization
Decline
Proposal
Receipt
at NSF
90 Days
Proposal Preparation
DD Concur
6 Months
Proposal Receipt to DD Concurrence of PO Recommendation
Award
30 Days
DGA Review & Processing
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. 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 Withdrawals Module 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 SPO 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.
Authorized individuals 43 can initiate or review a proposal withdrawal using the " Proposals/File
Updates/Supplements/Withdrawals" Module via the FastLane "Research Administration Functions". 44
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.
43
AORs also can initiate a proposal withdrawal.
instructions are available in FastLane at: https://www.fastlane.nsf.gov/documents/epw/epw.jsp.
44Detailed
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B.
Proposal Not Accepted or Returned Without Review
A proposal will not be accepted 45 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 cognizant Assistant Director (AD) or Office Head. An
organization (or an unaffiliated PI/PD) still not satisfied after reconsideration by the cognizant 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.
45
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)
(7)
fellowships;
travel grants;
Rapid Response Grants (RAPID);
EArly-concept Grants for Exploratory Research (EAGER);
Research Advanced by Interdisciplinary Science and Engineering (RAISE);
Phase I proposals submitted under the Small Business Innovation Research (SBIR) program; and
Phase I proposals submitted under the Small Business Technology Transfer (STTR) 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
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Director, and only if the request is received by the Foundation within 90 days after the declination or the
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 cognizant 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. NSF
programs that accept proposals at any time may have established guidelines in which a declined proposal
(or reasonable facsimile of that proposal/topic by the same PI, and co-PIs, where applicable) is ineligible
for resubmission for a specified period of time. This moratorium allows PIs/co-PIs sufficient time to digest
the results of the merit review and revise/restructure the declined proposal accordingly. Please note that a
proposal that the program considers too similar to a previous proposal that is under the moratorium period
may be returned without review. 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 affirms that merit-reviewed competition is the foundation for the NSF’s grant/award
making process so there should be a presumption that expiring awards are to be recompeted.. 46
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. 47 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 48 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 period of NSF support. 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.
46Reference National Science Board Policy Statement (NSB-2015-45) on Recompetition of Major Facilities and
Resolution (NSB-2015-46) entitled, Recompetition of Ongoing Facilities. For the operation of a major facility, the
National Science Board has endorsed the principle that NSF should perform a rigorous review prior to the expiration of
an award to determine whether it is in the best interest of US science and engineering to recompete that award.
47This requirement applies to both types of renewal proposals: Traditional Renewal and Accomplishment-Based
Renewal.
48Reprints should be provided as supplementary documentation and should be submitted via the Proposal Preparation
Module in FastLane.
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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 guidance 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 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
Grantees 49 are free to accept or reject the grant as awarded. Normally, a request to drawdown NSF funds
constitutes acceptance, however, in limited circumstances, NSF may require formal acceptance of a grant.
If the grantee chooses not to accept the award, then a written request should be sent to the cognizant NSF
Program Officer to withdraw (or terminate) the grant.
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;
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, grantees and
PIs also may access NSF award notices via use of NSF’s electronic systems. SPOs are able to view, print
and/or download NSF award notices for their organizations. PIs also may access their award notices via
FastLane.
49
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.
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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 award 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 award
notice is the start date. (For preaward expenditures, Chapter X.A.2.b.)
b.
END DATE is the date specified in the award 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 Officer.
d.
GRANT PERIOD is the period of time between the start date and the end date of an NSF award
shown as the duration.
2.
Significance of Grant Period
a.
An NSF grant gives authority to the grantee to commit and expend funds in support of the project
up to the grant amount specified in the award 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 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
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
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extension notifications must be signed and submitted by the AOR via use of NSF’s electronic systems. 50
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 the grant will not be issued). The second (or any
subsequent) no-cost extension request 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 no-cost 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 51.
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.
50
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.jsp.
51 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 obligations – see also 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 award 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
award notice. 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
SPO 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 no later than 90 days prior to the
end of the current budget period. (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 (F&A) 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 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. Please see the applicable NSF funding opportunity for the relevant guidance.
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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
The following is a listing of grantee notifications to NSF, including a reference to where additional guidance is
provided. Except where noted below, all notifications 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 must be signed and submitted by the AOR.
a.
Grantee-Approved No-Cost Extension – See Chapter VI.D.3.c(i).
b.
Significant Changes in Methods or Procedures (Other than Changes in Objectives or Scope) – See
Chapter VII.B.1.b.
c.
Significant Changes, Delays or Events of Unusual Interest (Other than Changes in Objectives or Scope)
– See Chapter VII.B.1.c.
d.
Annual and Final Cost Share Notification by Recipient – See Chapter VII.C.3.
e.
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 – See
Chapter IX.A.
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f.
Finding/Determination that a PI/PD or co-PI/co-PD has been found to have violated awardee policies or
codes of conduct, statutes, regulations or executive orders relating to sexual harassment, other forms of
harassment, or sexual assault - See Chapter XI.A.1. This notification must be submitted through use of NSF’s
Office of Diversity and Inclusion website; or
g.
Placement by the grantee of a PI/PD or co-PI/co-PD on administrative leave or the imposition of any
administrative action on the PI/PD or any co-PI/co-PD by the awardee relating to any finding/determination or an
investigation of an alleged violation of awardee policies or codes of conduct, statutes, regulations or executive
orders relating to sexual harassment, other forms of harassment, or sexual assault. See Chapter XI.A.1. This
notification must be submitted through use of NSF’s Office of Diversity and Inclusion website.
Certain actions require prior approval from NSF. Guidance regarding prior approval requirements is covered in
Chapter X.A.3, and the NSF column of the Research Terms and Conditions, Appendix A.
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
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).
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 at the Initiation of the
Grantee Organization
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
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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 request must be submitted at least 30 days
before departure or as soon as practicable after the prospective disengagement is known. 52 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.
This request must be submitted at least 30 days before the proposed change, or as soon as practicable after the
prospective change is known. 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
Officer. The NSF Grants Officer may:
(i)
request the grantee to nominate a replacement PI/PD or co-PI/co-PD acceptable to the cognizant 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 53, 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 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. This request must be submitted at least 30 days before
the proposed change, or as soon as practicable after the prospective withdrawal is known. The grantee also
must:
(i)
initiate transfer of the grant as described in Chapter VII.B.2.f;
52
However, a shorter period is provided in situations falling under Chapter XI.A.1.g.
NSF’s policy limits the number of co-PIs/co-PDs to four per award.
53
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(ii)
nominate a substitute as described in Chapter VII.B.2.e; 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 substitute PI/PD or coPI/co-PD also should be included. If approved by NSF, the Grants Officer will amend the grant. If not approved,
NSF may take steps, pursuant to Chapter XII.A to suspend or terminate the grant.
In cases where a former NSF employee or IPA is being reappointed as PI or co-PI to an award they were
previously involved with, the grantee must submit a "Change of PI" request using the FastLane Notifications and
Requests module. The change in PI request should include documentation from the AOR designating a substitute
negotiator for that award under the Associated Documents section. A co-PI request should designate the PI as
the substitute negotiator.
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
SPO, 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.e). 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;
(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 under “Mentoring Plan” in the
Supplementary Documentation 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.
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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 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 Officer will constitute NSF approval of the grant transfer. The
award notification also will specify the applicable general terms and conditions that govern the grant.
(iv)
Monetary Discrepancies. 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 Officer.
3.
Changes in PI/PD, co-PI/co-PD or Person-Months Devoted to the Project at the Initiation of NSF
a.
Upon receipt of a notification specified in Chapter VII.A.2. f or g, NSF will consider, at a minimum, the
following factors:
(i)
The safety and security of personnel supported by the NSF award;
(ii)
The overall impact to the NSF-funded activity;
(iii)
The continued advancement of taxpayer-funded investments in science and scientists; and
(iv)
Whether the awardee has taken appropriate action(s) to ensure the continuity of science and that
continued progress under the funded project can be made.
b.
Upon receipt and review of the information provided, NSF will consult with the AOR, or designee. Based
on the results of this review and consultation, the Foundation may, if necessary, assert its programmatic
stewardship responsibilities and oversight authority, to initiate the substitution or removal of the PI/PD or any coPI/co-PD, reduce the award funding amount, or where neither of those previous options is available or adequate,
to suspend or terminate the award.
c.
When NSF invokes this authority, the grantee must nominate a substitute PI/PD or co-PI/co-PD via use
of NSF’s electronic systems. The substitute PI/PD’s name or co-PI/co-PD’s name, biographical sketch, current
and pending support from all ongoing projects and proposals, must also be included in the request. The contact
information for the substitute PI/PD or co-PI/co-PD also should be included. If approved by NSF, the Grants
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Officer will amend the grant. If not approved, or a substitute PI/PD or co-PI/co-PD is not available, NSF may take
steps, pursuant to Chapter XII.A to suspend or terminate the grant.
4.
Subawarding or Transferring 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 or transferred to another
organization without prior NSF authorization. The intent to enter into such arrangements should be disclosed in
the proposal.
If it becomes necessary to subaward or transfer 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 and budget justification 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 under “Mentoring Plan” in the Supplementary Documentation section of Fastlane.
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 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.
5.
Postaward Additions of Postdoctoral Scholars
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 described in Chapter
II.C.2.j.
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.
In all cases, the PI must report on the mentoring activities provided to the individual in the annual and final project
reports.
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 54 (see Chapter
II.C.2.g(xii)) is as follows:
•
54
inclusion of voluntary committed cost sharing is prohibited. It should be noted that foregoing full indirect
cost rate (F&A) recovery is considered voluntary committed cost sharing; and
See NSF’s Revised Cost Sharing Policy Statement for the Foundation’s overarching policies on cost sharing.
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•
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 grantee.
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 AOR,
and reported to the cognizant NSF Program Officer via use of NSF’s electronic 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 end date of the of the grant 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, the AOR must immediately sign and submit a request to revise the agreed
upon cost sharing amount and submit the request via use of the “Other” category” in the Notification and Request
module of NSF’s electronic systems. The request must provide a description of why the cost sharing amount
cannot be provided, and either indicate steps the grantee plans to take to secure replacement cost sharing; or
indicate the plans that the grantee 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 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 grant; the subsequent recovery by NSF of some or all of the NSF funds
provided under the grant; possible termination of the grant; 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
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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 with 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
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
grant, 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.
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.
By submitting the final project report, the PI is signifying that the scope of work for the project has been completed
and that he/she does not anticipate that any further research activities (including a no-cost extension,
supplemental funding, or transfer of the grant) need to be completed on the project. Submission of the final project
report, however, does not preclude the grantee from requesting any further payments for costs incurred during
the period of performance.
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 grant, including any reporting requirements set forth
in any NSF brochure, guide, solicitation, etc., referenced in the grant as being directly related to either the
award or the administration of the grant.
•
a final cost share notification documented and certified by the AOR for grants where there is mandatory
cost sharing established for the program.
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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 (POR)
This report serves as a brief summary, prepared specifically for the public, of the nature and outcomes of the
project.
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. PIs are strongly encouraged
to avoid use of jargon, terms of art, or acronyms.
b.
NSF will automatically include all publications associated with the grant that are reported in annual and
final project reports. Other products that have resulted from the grant 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.
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. PORs 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.
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.”
The POR must be submitted electronically no later than 120 days following end date of the grant. By submitting
the POR, the PI is signifying that the scope of work for the project has been completed and that he/she does not
anticipate that any further research activities (including a no-cost extension, supplemental funding, or transfer of
the grant) need to be completed on the project. Submission of the POR, however, does not preclude the grantee
from requesting any further payments for costs incurred during the period of performance.
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 grant.
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.
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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
(F&A). The auditor is not required to report the disconnect (i.e., the award is classified as R&D for audit purposes
but non-research for indirect cost rate (F&A) 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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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 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”. This was 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 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 PI/PD(s).
Categories of eligible proposers may be found in Chapter I.E.
7.
NSF OBLIGATIONS – means funds authorized by an NSF Grants 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 grantees operating on an accrual expenditure basis, means obligations incurred by the grantee
for which an expenditure has not been recorded.
11.
UNEXPENDED BALANCE – means the sum of the unobligated and obligated balances. An
unexpended balance is the result of awarded funds not being spent, or when the total expenditures for a
project are less than the amount awarded. It can also be defined as the unspent portion of a budgeted
amount, available for authorized future expenses during the award period.
12.
UNOBLIGATED BALANCE – means the cumulative amount of budget authority that remains
available for obligation under law in unexpired accounts.
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 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 U.S. bank are required to
request funds by submitting a “Request for Advance or Reimbursement Form”, (SF 270), 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 (F&A).
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 grantee either:
(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 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 U.S. 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. The cognizant
NSF Grants 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
2415 Eisenhower Avenue
Alexandria, VA 22314
5.
Working Capital Advance
In those cases where the reimbursement method described in Chapter VIII.C.3 is 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 Unexpended Balance
NSF has a reversionary interest in the unexpended balance of an award upon the end date or completion
of the award. Based on final payment amounts submitted through ACM$, the final unexpended 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, 2415 Eisenhower Avenue, Alexandria, VA 22314. 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.
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:
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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 interest 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
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
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(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
website
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 the end date of the
grant. Program income earned during the project period should be expended prior to requesting
reimbursement against the grant. In the event a grantee has unexpended program income remaining at
the end of the grant, it must be remitted to NSF by crediting costs otherwise chargeable against the grant. If
it is not possible to record the credit via ACM$, the excess program income must be remitted to NSF
electronically or by check payable to the National Science Foundation. (See section D.2 above for further
information.)
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(ii)
Special Treatment
In exceptional circumstances, the NSF Grants 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 grant terms and conditions program income is designated for deductive treatment,
it must be remitted to NSF by crediting costs otherwise chargeable against the grant. 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, grantees are required to submit a Program Income Reporting Worksheet to NSF in
order to report program income earned and expended for any of their grants or to validate that they did not
earn and expend program income for any of their grants during the applicable period.
(a)
The Program Income Reporting Worksheet utilizes the standard, 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 grant 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 grant 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:
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.
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3.
NSF will financially close awards 120 days after the award end date 55 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 14 months after the financial
closeout date of the award or until the appropriated funds cancel 56, 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 canceled, the grantee should return the funds associated with the
downward adjustment in accordance 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 Federal fiscal year. Grantees must not interpret
NSF's notification of canceling appropriations as direction to draw down NSF funds for which there is no
associated expenditure need. Grantees are reminded that “the timing and amount of advance payments
must be as close and as administratively practicable to the actual disbursements…” in accordance with
Chapter VIII.C.2, and that all excess funds drawn must be returned to NSF promptly. 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 Federal 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 grant terms and conditions.
55 Awards that end on May 31 may be closed early, on or before the last day ACM$ is available for drawing down funds
in September, to accommodate NSF’s Federal fiscal year end closeout.
56 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 obligations.
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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
conflicts of interest. Chapter IX.A contains NSF’s policy on conflicts 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 PI/PD, co-PI/co-PDs, 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 proposing organization;
b.
any ownership interests in the organization, if the organization is an applicant under the Small
Business Innovation Research Program (SBIR) or Small Business Technology Transfer Program (STTR);
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 organization finds that research will proceed without the imposition of conditions
or restrictions when a conflict of interest exists. 57
When OGC is notified of an unmanageable conflict of interest by a grantee, OGC will conduct the following
review:
57
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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a.
Examine a copy of the organization’s conflict of interest policy to ascertain if the policy includes
procedures for addressing unmanageable conflicts.
b.
Contact the grantee 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 grantee 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 and Ethical Conduct of Research (RECR)
1.
Background
The responsible and ethical conduct of research (RECR) is critical for excellence, as well as public trust,
in science and engineering. RECR involves not only a responsibility to generate and disseminate
knowledge with rigor and integrity, but also a responsibility to:
a.
conduct peer review with the highest ethical standards;
b.
and
c.
diligently protect proprietary information and intellectual property from inappropriate disclosure;
treat students and colleagues fairly and with respect.
Consequently, education in RECR 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 USC 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.” NSF encourages consideration of the following reports by the National
Academies of Sciences, Engineering, and Medicine in meeting RECR requirements: Fostering Integrity in
Research; Sexual Harassment of Women: Climate, Culture, and Consequences in Academic Sciences,
Engineering, and Medicine; and Reproducibility and Replicability in Science. NSF also encourages the
training of faculty in the responsible and ethical conduct of research.
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, an institutional certification to this effect is required for each proposal.
b.
NSF’s RECR requirement applies to the breadth of research disciplines that the Foundation funds.
The training provided should be effective and must be appropriately tailored to the specific needs
and circumstances at each institution. Accordingly, it is the responsibility of each institution to
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determine the content, focus and the delivery method for the RECR training. 58 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 RECR 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.
3.
NSF’s Responsibilities
NSF will not tolerate research misconduct in proposing or performing research funded by NSF, in reviewing
research proposals submitted to NSF, or in reporting research results funded by NSF. Allegations of
research misconduct are taken seriously and are investigated by NSF’s Office of Inspector General (OIG).
OIG refers completed investigations of research misconduct to NSF for action. Upon findings of research
misconduct, NSF will take appropriate action against individuals or organizations.
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. Title to materials developed and supplies purchased under an NSF
grant will vest in the grantee, subject to the conditions identified the applicable grant terms and conditions,
and in Chapter IX.D.2.a. below.
1.
Title to Equipment
Title to equipment purchased or fabricated with NSF funds will normally vest in the grantee organization
upon acquisition. This includes colleges or universities or other non-profit organizations, small businesses
or other for-profit organizations, and foreign public entities or foreign organizations. Only if specified in the
award will title pass directly to the government upon acquisition and is then designated as federally-owned
equipment. For equipment use and disposition, the following applies:
a.
For major facility awards, including associated upgrades, equipment is subject to the provisions of
2 CFR 200.313.
b.
For all other awards, such equipment is considered “exempt property” (see PAPPG Chapter IX.D)
and subject to the applicable award terms and conditions.
58
NSF has provided funding to the Online Ethics Center for S&E (www.onlineethics.org/) an online collaborative
resource environment that provides resources that may be used by the institution in developing their training plan. This
site contains RECR resources by discipline, provides links to published codes of ethics, as well as includes pages
dedicated to resources produced or used by specific professional groups.
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2.
Conditions for Acquisition, Use, and Disposition of Equipment
a.
Grantee Assurance. The grantee will assure each purchase of equipment 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.
Management Requirements. 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 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.
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.
(ii)
In such cases where NSF elects to transfer the title, disposition instructions will be issued no later
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 NSB:
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
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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 Requirements for Federally-Owned Property
In the event that title to equipment or real property is vested in the Federal government, such federallyowned property (FOP), inclusive of Federally-Owned Equipment (FOE) and Federally-Owned Real
Property (FORP), must be identified, tagged or segregated in such a manner as to indicate clearly its
ownership by the government. Unless otherwise provided in the grant, such FOP must be used only for
the performance of the project. The grantee must submit an annual inventory report for all FOP by NSF
grant number to the NSF Property Administrator. The report should be submitted electronically to
[email protected] and must be received by the NSF Property Administrator no later than October 15
each year. Additionally, upon expiration of the grant, the grantee must report the final inventory for all FOP
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.
(ii)
Excess government personal property includes all types of personal equipment and materials
(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
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.
(iii)
NSF will sponsor the transfer of excess government personal property to eligible organizations
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 colleges or universities or non-profit
organizations whose primary purpose is the conduct of research or science education activities. State and
municipal governments, public health units, hospitals, for-profit firms and individual PI/PDs are not eligible
for excess government personal property under NSF sponsorship.
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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.
(iv)
If the condition of the item is acceptable, the grantee should freeze items by Checkout of the
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 AOR. The following information should
also be provided on each SF 122:
(a)
name of grantee;
(b)
grant number;
(c)
grant 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. Cancelations 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.
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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 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 cognizant Program Officer. 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.
f.
Restrictions
(i)
NSF will sponsor the transfer of excess government personal equipment to eligible organizations
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;
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(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 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.
h.
Title
Title to excess government personal property obtained by colleges, universities, 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 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.
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(ii)
Further details may be obtained from the Property Administrator, Division of Administrative
Services, National Science Foundation, 2415 Eisenhower Avenue, Alexandria, VA 22314.
E.
Procurement Standards
a.
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.
b.
In accordance with Section 806 of the National Defense Authorization Act (NDAA) for 2018, as
implemented by Office of Management and Budget (OMB) Memorandum M-18-18, dated June 20, 2018,
the micro-purchase threshold for procurement activities for all types of grantee organizations is raised to
$10,000. Grantees are authorized to establish lower thresholds at their discretion. Section 805 of the
NDAA for 2018 also raised the simplified acquisition threshold from $100,000 to $250,000.
c.
Section 217(b) of the NDAA for FY 2017 also established an interim uniform process for institutions
of higher education or related or affiliated nonprofit entities, or nonprofit research organizations or
independent research institutes to request a micro-purchase threshold above $10,000 if one of the following
requirements is met: the grantee has “clean single audit findings”, the grantee has an acceptable internal
institutional risk assessment, or the higher threshold must be consistent with State law for public institutions
of higher education. Pursuant to OMB Memorandum M-18-18, the approving agency for such requests
shall be the cognizant agency for indirect costs.
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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 applicable grant general 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 Officer identified in the award notice, it is the grantee 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. 59, grant terms and conditions, and any other specific
requirements of both the award notice and the applicable program solicitation. In addition, grantees should
ensure that their own internal policies and procedures and other requirements are met for all charges to
NSF grants. Otherwise such costs may be disallowed during audit resolution or by specific determination
of an NSF Grants 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
Officer and document the conditions or factors surrounding the item in order to avoid possible subsequent
disallowance. If the NSF Grants 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 Costs
(1)
Grantees may incur allowable pre-award costs within the 90-day period immediately preceding the
start date of the grant providing:
(a)
the approval of pre-award spending is made and documented in accordance with the grantee's
procedures; and
(b)
the advanced funding is necessary for the effective and economical conduct of the project. 60
59
Applicable cost principles for for-profit organizations are contained in Federal Acquisition Regulation Part 31.
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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(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: (a) in the absence of appropriations; (b) if an award is not
subsequently made; or (c) 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
ended. (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 the end date of the grant 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, grantees 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
The funding of items identified in the NSF grant 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 general terms and
conditions referenced in the grant. The Research Terms and Conditions (RTC), Appendix A, (NSF column)
provides a consolidated listing of prior approvals that are required to be obtained from NSF. Unless
otherwise specified in the grant notice or the applicable grant general terms and conditions, no additional
prior approvals beyond those specified in RTC Appendix A are required. Chapter VII.A.2 also provides a
listing of required notifications to NSF.
When a change requires NSF approval, the request must be submitted via 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.
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.
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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 for Indirect Costs.
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 on which the employee was working. 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.
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 institutional base
salary are allowable if consistent with established university policy and the applicable cost principles.
3.
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.
Rearrangement and Reconversion Costs
a.
Except under certain programs, NSF does not normally make grants for construction or facility
improvements. However, rearrangement and reconversion costs that do not constitute construction (i.e.,
rearrangement and reconversion costs aggregating $25,000 or less) 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 reconversion costs 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 reconversion to be allowable, the grantee must secure a lease
for the length of the project.
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b.
Rearrangement and reconversion expenditures which do not exceed $25,000 may be approved by
grantees. For rearrangement and reconversion 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 reconversion should be clearly set forth in the proposal. If approved by NSF, such approval must be
indicated in the award notice. Note that 2 CFR § 200, Appendix II 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.
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 USC 152) above and beyond regular
dependent care that directly results from travel to conferences are allowable costs provided that the costs
are:
a.
a direct result of the individual’s travel for the NSF conference award;
b.
consistent with the grantee’s documented travel policy for all employee travel; and
c.
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.
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.
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Foreign grantees that do not have a U.S. 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 U.S. Federal agency may recover indirect costs at the current negotiated rate.
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.
Types of indirect cost rates that are most frequently used on NSF awards are as follows:
(i)
Predetermined Rate – As authorized by 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.
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.)
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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 Officer in DGA with an
authorized official of the grantee’s organization. When other Federal agencies are responsible for
negotiating indirect cost rates and an awardee does not have a current negotiated indirect cost rate in effect
at the time of award but had a previous indirect cost rate agreement, DGA may elect to use the most
recently negotiated rate for award funding purposes. The NSF Cost Analysis and Pre-Award Review
Branch in the Division of Institution and Award Support provides advisory assistance to the Grants 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 Pre-Award Review Branch. Grantees are
responsible for timely submission of indirect cost rate proposals. If the organization is unable to submit their
indirect cost rate proposal within the time frame allotted, then an extension should be requested. Failure
to submit the indirect cost proposal and to have a negotiated indirect cost rate in place could lead to NSF
withholding reimbursement of indirect costs.
See: http://www.nsf.gov/bfa/dias/caar/docs/idcsubmissions.pdf for indirect cost rate proposal submission
requirements.
Such proposals and requests for extensions in time to submit proposals should be sent electronically to
[email protected] or by paper copy to Lead Analyst Indirect Costs, National Science Foundation, NSF
Cost Analysis and Pre-Award Review Branch, 2415 Eisenhower Avenue, Alexandria, Virginia 22314.
E.
Fee Payments under NSF Grants
Payment of fees (profit) is allowable only if expressly authorized by solicitation and the terms and conditions
of the NSF award.
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Chapter XI:
Other Post Award Requirements and Considerations
A.
Non-Discrimination Statutes and Regulations
1.
General
a.
A number of statutes prohibit NSF grantees from discriminating against individuals who participate
in any of their programs, services, and activities. These statues include: Title VI of the Civil Rights Act of
1964 (prohibits discrimination on the basis of race, color, or national origin); Section 504 of the
Rehabilitation Act of 1973 (prohibits discrimination on the basis of disability); Title IX of the Educational
Amendments of 1972 (prohibits discrimination on the basis of sex in Federally assisted education programs
or activities); and the Age Discrimination Act of 1975 (prohibits discrimination on the basis 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 (LEP)” 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, including recipients’ programs and activities. The following sections discuss the application of
each of these Statutes and E.O. 11246 and E.O. 13166 to NSF grantees.
b.
When an NSF grantee receives a complaint alleging discrimination under any of these statutes and
the complainant requests that NSF conduct the investigation, the original complaint is to be sent to the
Director, Office of Diversity and Inclusion (ODI), National Science Foundation, 2415 Eisenhower Avenue,
Alexandria, VA 22314 or email to [email protected].
Information
on
the
complaint
process
can
be
found
at
https://www.nsf.gov/od/odi/awardee_civil_rights/index.jsp. The complainant may also use the grantee’s
internal discrimination complaint process. Such processes are required for NSF grantees to implement
under Title IX for sex discrimination complaints, including sexual harassment and under Section 504 for
disability discrimination complaints. Grantees are prohibited by these regulations from engaging in acts of
intimidation, coercion or retaliation against: a) any person who attempts to assert a right protected by these
statutes and their implementing regulations; or b) cooperates in any part of NSF’s review, investigation and
compliance resolution or enforcement process.
c.
NSF proposers and grantees are required under these regulations to keep records deemed
pertinent to ascertain a grantee’s compliance with these regulations. It also requires the grantee to submit
to NSF timely, complete and accurate reports, and in such form and containing such information, as NSF
may determine to be necessary to ascertain whether the grantee has complied or is complying with these
regulations.
d.
NSF proposers and grantees are advised that NSF may conduct pre-award and post-award
compliance reviews to ensure that the grantee is complying with NSF’s civil rights regulations. Grantees
are required to provide NSF with access to information, records, grantee officials, grantee program
participants, and facilities deemed pertinent by NSF to ascertain a grantee’s compliance with these
regulations.
e.
NSF proposers and grantees are required under these regulations to make available to its
participants, beneficiaries, and other interested persons, information regarding these regulations and their
applicability to the program(s) under which the grantee receives Federal financial assistance from NSF.
Proposers and grantees are also required to make such information available to these parties in such a
manner as NSF finds necessary to apprise such persons of the protections against discrimination assured
them by these regulations.
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f.
NSF proposers and grantees may contact ODI at the address in (b) above or at 1-703-292-8020
with any questions regarding these non-discrimination statutes and their implementing NSF regulations and
their applicability to their institutions’ programs, services and activities.
g.
NSF Policy on Sexual Harassment, Other Forms of Harassment, or Sexual Assault
The National Science Foundation (NSF) will not tolerate sexual harassment, other forms of harassment, or
sexual assault within the agency, at awardee organizations, or anywhere NSF-funded science and
education are conducted.
As the primary funding agency of fundamental science and engineering research in the U.S., NSF is
committed to promoting safe, productive research and education environments for current and future
scientists and engineers. The Foundation considers the PI/PD and any co-PI/co-PDs(s) identified on an
NSF award to be in positions of trust. The PI/PD and co-PI/co-PD and all award personnel must comport
themselves in a responsible and accountable manner during the performance of award activities whether
at the grantee organization, on-line, or conducted outside the organization, such as at field sites, or facilities,
or during conferences and workshops.
The 3,000 U.S. institutions of higher education and other organizations that receive NSF funds are
responsible for fully investigating complaints and for compliance with federal non-discrimination laws,
regulations and executive orders.
In support of this position, the Foundation has taken steps to bolster our commitment to a safe research
environment, including development and implementation of an award term and condition that requires NSF
to be notified: 1) of any findings/determinations regarding the PI/PD or co-PI/co-PD that demonstrate a
violation of awardee codes of conduct, policies, regulations or statutes relating to sexual harassment, other
forms of harassment, or sexual assault; or 2) if the awardee places the PI/PD, or co-PI/co-PD on
administrative leave or imposes an administrative action relating to a finding or investigation of a violation
of awardee policies, codes of conduct, statutes or regulations relating to sexual harassment, other forms of
harassment, or sexual assault. See Chapter VII.B.3 for additional information on the notification process.
NSF expects all research organizations to establish and maintain clear and unambiguous standards of
behavior to ensure harassment-free workplaces wherever science is conducted. NSF has developed a
sexual harassment website that includes promising practices on policies, effective codes of conduct and
standards of behavior, as well as Frequently Asked Questions that respond to inquiries received on this
complex topic.
A community effort is essential to eliminate sexual and other forms of harassment in science and to build
scientific workspaces where people can learn, grow and thrive.
h.
Grant Condition
Each NSF grant includes as part of the grant general terms and conditions an article that implements the
notification requirements and harassment policy specified above.
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 U.S.
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.
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b.
NSF Regulations
NSF regulations implementing Title VI are found at 45 CFR § 611. These regulations apply to grantees,
subrecipients and successors in interest. These regulations do not apply to contracts for commercially
available materials and supplies, equipment or general support services.
c.
Key Procedural and Programmatic Requirements
The procedures for ensuring NSF grantees’ compliance with Title VI are found at 45 CFR §§ 611.6-11.
These regulations provide for the compliance and investigative actions that NSF may initiate in order to
ascertain grantees’ compliance with Title VI. These regulations also provide for the enforcement
procedures to compel grantee compliance with Title VI if a grantee refuses to take corrective action for
violations found during an NSF complaint investigation or compliance review. NSF’s Section 504, Title IX
and Age Discrimination Act regulations incorporate by reference the Title VI compliance, investigative and
enforcement procedures.
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.
Key Procedural and Programmatic Requirements
NSF’s Section 504 regulations, in addition to prohibiting discrimination on the basis of disability, requires
NSF grantees to designate a Section 504 coordinator, publish and adopt procedures to investigate and
adjudicate complaints of internally-filed disability discrimination complaints, and notify the public of its
obligation to comply with Section 504. NSF’s Section 504 regulation also requires NSF grantees to conduct
a self-evaluation to determine the accessibility of its programs, services, activities and facilities, and
implement modifications, implement corrective actions identified from the self-evaluation and conduct a
transition plan to identify those physical elements of the NSF grantee’s facilities that are inaccessible to
individuals with disabilities and require retrofit. NSF’s Section 504 regulations also require that all new
construction and alterations to existing facilities are accessible to individuals with disabilities and meet
current accessibility standards. See 45 CFR § 605 for all of the regulatory requirements for NSF grantees.
4.
Title IX of the Education Amendments of 1972
a.
Background
Subject to exceptions regarding admission policies at certain religious and military organizations, Title IX
of the Education Amendments of 1972 (20 USC §§ 1681-1686) prohibits discrimination on the basis of sex
in any education program or activity receiving Federal financial assistance.
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b.
NSF Regulations
NSF regulations implementing Title IX are found at 45 CFR § 618. All NSF grantees who provide or operate
educational programs as defined in 45 CFR 618.105 must comply with Title IX. These regulations also
apply to subrecipients and successors in interest who operate such educational programs. These
regulations do not apply to contracts for commercially available materials and supplies, equipment or
general support services.
c.
Key Procedural and Programmatic Requirements
NSF’s Title IX regulations, in addition to prohibiting discrimination on the basis of sex in education programs,
requires NSF grantees to designate a Title IX coordinator, publish and adopt procedures to investigate and
adjudicate complaints of internally-filed sex discrimination complaints, notify the public of its obligation to
comply with Title IX, conduct a self-evaluation to determine whether its programs, services, activities and
facilities comply with Title IX and implement corrective actions identified from the self-evaluation. See 45
CFR § 618 for all of the regulatory requirements for NSF grantees under Title IX.
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.”
b.
NSF Regulations
NSF regulations implementing the Age Discrimination Act are found at 45 CFR § 617. 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.
Key Procedural and Programmatic Requirements
NSF’s Age Discrimination Act regulations, in addition to prohibiting discrimination on the basis of age in
education programs, requires NSF grantees conduct a self-evaluation to determine each recipient shall
identify all age distinctions it uses and justify each age distinction it imposes on the program or activity
receiving Federal financial assistance from NSF. See 45 CFR § 617 for all of the regulatory requirements
under the Age Discrimination Act for NSF grantees.
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. E.O. 11246 is enforced by the U.S. Department of Labor’s Office of Federal Contract
Compliance Programs.
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.
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7.
Limited English Proficiency under E.O. 13166
a.
Background
E.O. 13166 requires Federal agencies and NSF grantees to take steps to provide meaningful access to its
programs and activities to program participants who are limited English proficient (LEP). The failure to
ensure that LEP persons can effectively participate in or benefit from Federally-assisted programs and
activities may violate the prohibition under Title VI of the Civil Rights Act of 1964 and NSF’s Title VI
implementing regulations against national origin discrimination. The U.S. Department of Justice has
published guidance to assist NSF grantees in their efforts to comply with Title VI when providing LEP
individuals with access to recipient programs, services and activities.
b.
Grant Condition
In instances when E.O. 13166 is applicable, NSF grantees should contact NSF’s LEP Coordinator within
the Office of Diversity and Inclusion for guidance at 2415 Eisenhower Avenue, Alexandria, VA 22314.
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 the Common Rule, “Protection of Human
Subjects” For projects lacking definite plans for the use of human subjects pursuant to 45 CFR § 690.118,
NSF can accept a determination from an IRB that 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.
b.
NSF Regulation
(i)
NSF’s Common Rule on Protection of Human Subjects is available on the NSF website at:
https://www.nsf.gov/bfa/dias/policy/docs/45cfr690.pdf. Guidance about the regulation is available at:
https://www.nsf.gov/bfa/dias/policy/human.jsp.
(ii)
During the life of the grant, additional IRB approval must be obtained if the protocols for the use of
human subject has been changed substantively from those originally proposed and approved. When an
additional IRB approval is required, the organization must provide to the cognizant NSF Program Officer a
signed copy of the new IRB approval letter indicating approval of the covered activities and explicitly
referencing the title of the grant. In the event the grantee's FWA is canceled or lapses, the grantee must
immediately notify the cognizant NSF Grants Officer identified in the grant.
(iii)
Supplements to existing grant do not require a separate IRB approval letter. If the scope of the
project has been substantively changed from the grant, however, a new signed IRB approval letter is
required, indicating approval of the covered activities and explicitly referencing the title of the grant.
c.
Grant Condition
Each NSF grant contains as part of the grant general terms and conditions, an article implementing NSF
regulations on projects involving research with human subjects. In addition, each award notice contains the
following language relating to a grantee’s responsibilities regarding the use of human subjects during the
life of the grant:
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“It is the grantee’s responsibility to ensure that any human subjects work conducted under
this award has an Institutional Review Board (IRB) approval, where required, and that such
approval remains valid at all times that human subjects work is conducted under the
award. Failure to comply with this condition will result in suspension and/or termination of
the award.”
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 U.S. 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.
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.
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b.
Federal Regulations
(i)
Any grantee performing research on vertebrate animals 61 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 grantee is expected to ensure
that the guidelines described in the National Academies of Science, Engineering and Medicine (NASEM)
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. 62
Departures from the Guide must be approved by the Institutional Animal Care and Use Committee (IACUC)
and based on scientific, veterinary, medical, or animal welfare issues (for more information, see OLAWDepartures from the Guide).
(ii)
During the life of the award, additional IACUC approval must be obtained if the protocols for the
care of use of vertebrate animals have been changed substantively from those originally proposed and
approved. 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 PHS Assurance is
canceled or lapses, the grantee must immediately notify the cognizant NSF Grants Officer identified in the
award.
(iii)
Supplements to existing awards do not require a separate IACUC approval letter. If the scope of
the project has been substantively changed from the parent award, however, a new signed IACUC approval
letter is required.
(iv)
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), U.S. 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/.
(v)
Awards to U.S. 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 U.S. grantee’s IACUC. If
the project is to be funded through a grant to a foreign institution or through an individual fellowship award
that will support activities at a foreign institution, NSF will require a statement from the international
organization 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 general terms and conditions, an article implementing NSF
regulations on projects involving research with vertebrate animals. In addition, each award notice contains
the following language relating to a grantee’s responsibilities regarding the care or use of vertebrate animals
during the life of the grant:
61
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.
62 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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“It is the grantee’s responsibility to ensure that any vertebrate animal work conducted under
this award has an Institutional Animal Care and Use Committee (IACUC) approval, where
required, and that such approval remains valid at all times that vertebrate animal work is
conducted under the award. Failure to comply with this condition will result in suspension
and/or termination of the award.”
4.
Government Permits and Activities Abroad
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 should ensure that activities carried on outside the U.S. are coordinated as necessary
with appropriate U.S. and foreign government authorities and that necessary licenses, permits or approvals
are obtained prior to undertaking proposed activities. NSF does not assume responsibility for grantee
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 U.S. 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.
NSF Implementation of the 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 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. While the White House
Office of Science and Technology Policy has lifted the research funding pause on gain of function research
as of January 2017 (https://www.phe.gov/s3/dualuse/Pages/GainOfFunction.aspx), NSF will not consider
funding research that would lead to a gain of function for agents of concern.
C.
Construction, Rearrangements and Reconversions
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 U.S. is a party involving public buildings or public works
within the U.S. 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.
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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.
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 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, large business firms, and nonprofit 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 and EO
12591, as amended by E.O. 12618. 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. This policy serves as NSF’s
implementation of 37 CFR § 401 and updates to incorporate changes effective May 14, 2018.
(ii)
NSF's standard Patent Rights clauses are identical to that prescribed in the DOC guidance (37
CFR § 401.14) except for modifications and tailoring allowed pursuant to section 401.5 of the DOC guidance
(37 CFR § 401.5):
(a)
pursuant to section 401.5(c) of the DOC guidance (37 CFR § 401.5(c)), NSF has tailored the clause
to apply to grants and to identify NSF;
(b)
as permitted by 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 the page of any United States
patent application that contains the Federal support clause;
(d)
since NSF normally uses the same clause for all subrecipients, 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;
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(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; and
(g)
in accordance with paragraph 401.5(g) of the DOC guidance (37 CFR § 401.5(g)), paragraph k.3
of the clause is substituted when the grant is made to a non-profit organization for the operation of a
government-owned, contractor-operated facility.
b.
National Science Foundation Patent Policy
As authorized by the NSB, the Director of NSF has adopted the following NSF patent policy:
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 at 37 CFR § 401.14
in all of its grants for the performance of experimental, developmental or research work, including grants
made to foreign entities, with such modifications and tailoring allowed pursuant to section 401.5 of the DOC
guidance (37 CFR § 401.5), unless NSF determines, consistent with sections 401.3(a)(2) and (a)(6) of the
DOC guidance (37 CFR §§ 401.3(a)(2) and (a)(6)), that some other provision would better serve the
purposes of that Act or the interests of the US and the general public.
c.
Standard Patent Rights Clause
Each NSF grant contains as part of the grant general terms and conditions, an article implementing the
standard patent rights clause.
d.
Special patent provisions
(i)
At the request of the prospective grantee, or on recommendation from the cognizant NSF Program
Officer, the cognizant NSF Grants Officer may negotiate special patent provisions when it has been
determined that exceptional circumstances require restriction or elimination of the right of a prospective
grantee to retain title to any subject invention in order to better promote the policy and objectives of chapter
18 of title 35 of the United States Code or the National Science Foundation Act. The cognizant Grants
Officer will prepare the written determination required by 37 CFR § 401.3(e) and ensure that appropriate
reports are made to the Secretary of Commerce and Chief Counsel for Advocacy of the Small Business
Administration as required in 37 CFR § 401.3(f). Unless doing so would be inconsistent with an obligation
imposed on the Foundation by statute, international agreement, or pact with other participants in or
supporters of the research, every special patent provision will allow the grantee, after an invention has been
made, to request that it be allowed to retain principal rights to that invention in accordance procedures at
D.1.j.(v) below.
(ii)
If the grant is made to a non-profit organization and is for the operation of a government-owned,
contractor-operated facility, the following will be substituted for the text of paragraph (k)(3) of the Patent
Rights clause at 37 CFR § 401.14:
After payment of patenting costs, licensing costs, payments to inventors, and other
expenses incidental to the administration of subject inventions, the balance of any royalties
or income earned and retained by the contractor during any fiscal year on subject
inventions under this or any successor contract containing the same requirement, up to
any amount equal to five percent of the budget of the facility for that fiscal year, shall be
used by the contractor for scientific research, development, and education consistent with
the research and development mission and objectives of the facility, including activities that
increase the licensing potential of other inventions of the facility. If the balance exceeds
five percent, 15 percent of the excess above five percent shall be paid by the contractor to
the Treasury of the United States and the remaining 85 percent shall be used by the
contractor only for the same purposes as described in the preceding sentence. To the
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extent it provides the most effective technology transfer, the licensing of subject inventions
shall be administered by contractor employees on location at the facility.
e.
Grants Not Primarily for Research
(i)
Grants not primarily intended to support scientific or engineering research are not required to
contain a patent provision. Examples of such awards are travel and conference grants.
(ii)
NSF fellowships and traineeships are primarily intended to support education or training, not
particular research. Therefore, in accordance with section 212 of title 35 of the United States Code, the
Foundation 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 award:
Intellectual Property Rights. The National Science Foundation claims no rights to any
inventions or writings that might result from its fellowship or traineeship awards. However,
fellows and trainees should be aware that 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.
f.
Grants affected by International Agreements
(i)
Some NSF awards are made as part of international cooperative research programs. The
agreements or treaties underlying many of these programs require an allocation of patent rights different
from that provided by the Patent Rights clause in 37 CFR § 401.14. Therefore, as permitted by 37 CFR §
401.5(d), paragraph b. of the standard Patent Rights clause has been modified to provide that the
Foundation may require the grantee to transfer to a foreign government or research performer such rights
in any subject invention as are contemplated in the international agreement. The grant must identify the
applicable agreement or treaty.
(ii)
After an invention is disclosed to the NSF Patent Assistant, the recipient of a grant subject to an
international agreement will be informed as to what rights, if any, it must transfer to the foreign participants.
Grantees also may request the cognizant NSF Program Officer to provide them with copies of the identified
international agreements before or after accepting the grant.
g.
Retention of Rights by the Inventor
If a grantee elects not to retain rights to an invention, the inventor may request prior written approval from
the NSF Patent Assistant to retain principal patent rights. Such requests should be made as soon as
possible after the grantee notifies the NSF Patent Assistant that it does not intend to patent the invention.
Such requests will normally be granted unless either the grantee or the employer of the inventor shows that
it would be harmed by that action. As required by 37 CFR § 401.9, the inventor will be subject to the same
conditions that would have been applied to the grantee, except that the special restrictions imposed on
nonprofit organizations will not apply to the inventor. For purposes of this part, the term “inventor” means
the individual(s) identified by the grantee as inventors when submitting an invention report to NSF in
accordance with 37 CFR § 401.14(c)(1).
h.
Unwanted Inventions
(i)
The Foundation will normally allow any patent rights not wanted by the grantee or inventor to be
dedicated to the public through publication in scientific and engineering journals or, as a statutory invention
registration under section 157 of title 35 of the USC. Except as provided in paragraph (ii) of this section,
the NSF Patent Assistant will acknowledge a negative election by encouraging the grantee and inventor to
promptly make all research results available to the scientific and engineering community.
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(ii)
If the NSF Patent Assistant believes that another Federal agency is interested in the relevant
technology, the NSF Patent Assistant may, after receiving the awardee's election not to patent and
ascertaining that the inventor also does not want to patent, send a copy of the invention disclosure to that
agency to give it an opportunity to review and patent the invention. Unless the agency expresses an interest
in the invention within thirty days, the NSF Patent Assistant will acknowledge the awardee's negative
election by encouraging prompt publication of all research results. If the agency does express an interest
in patenting the invention, the NSF Patent Assistant will transfer to it all rights to the invention.
i.
Inventions also supported by another Federal Agency
37 CFR § 401.13(a) provides that in the event that an invention is made under awards made by more than
one federal agency, the agencies involved will, at the request of the grantee or on their own initiative,
designate one agency to be responsible for the administration of the invention. Whenever the NSF Patent
Assistant finds that another agency also supported an NSF subject invention, the NSF Patent Assistant will
consult with the grantee and appropriate personnel in the other agency to determine if a single agency
should be designated to administer the Government's rights in the invention. The NSF Patent Assistant
may transfer to, or accept from, any other Federal agency, responsibility for administering a jointlysupported invention.
j.
Waivers and Approvals
(i)
Requests for extension of time to disclose to the NSF Patent Assistant, make an election to retain
title to, or file a patent on a subject invention will be granted by the NSF Patent Assistant unless it is
determined that such an extension would either imperil the securing of valid patent protection or
unacceptably restrict the publication of the results of the NSF-supported research.
(ii)
Approval of assignments by nonprofit organizations (required by subparagraph (k)(1) of the Patent
Rights clause in 37 CFR § 401.14) will be granted by the NSF Patent Assistant unless it is determined that
the interests of the United States Government will be adversely affected by such assignment.
(iii)
Approval of long-term exclusive licensing of NSF-assisted inventions by nonprofit organizations will
be granted by the NSF Patent Assistant unless it is determined that the interests of the United States
Government will be adversely affected by such waiver.
(iv)
The preference for United States industry imposed by paragraph (i) of the Patent Rights clause in
37 CFR § 401.14 may be waived by the NSF Patent Assistant as provided in that paragraph.
(v)
Special restrictions on or limitation of the right of a grantee to retain title to subject inventions
imposed under paragraph d. of this policy may be waived by the cognizant Grants Officer whenever it is
determined, after consultation with the cognizant Program Officer, that the reasons for imposing the
restrictions or limitations do not require their application to a particular invention.
(vi)
Requests under paragraph (i) of this section for extensions of time to disclose, elect, or file may be
made through the iEdison Invention Information Management System. A written request for extension of
time to disclose, elect, or file can be assumed to have been approved unless the NSF Patent Assistant
replies negatively within ten business days of the date such request was made. Requests for approvals or
waivers under paragraphs (ii), (iii), (iv), and (v) of this section must be in writing and should explain why an
approval or waiver is justified under the stated criteria. The requester will be provided a written explanation
of the reasons for denial of a request covered by this section.
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k.
Small Business Preference
Small business firms that believe a nonprofit organization is not meeting its obligations under paragraph
(k)(4) of 37 CFR § 401.14 may report their concerns to the NSF Office of Small and Disadvantaged Business
Utilization. Requests should be in writing and provide the reasons for such concerns.
l.
Exercise of march-in rights
(i)
The procedures established by this section supplement those prescribed by 37 CFR § 401.6 and
apply to all march-in rights held by NSF including those resulting from funding agreements not covered by
the Bayh-Dole Act.
(ii)
Petitions requesting that NSF exercise a march-in right should be addressed to the NSF Patent
Assistant. Such petitions should:
(a)
identify the patent or patent application involved and the relevant fields of use of the invention;
(b)
state the grounds for the proposed march-in;
(c)
supply evidence that one or more of the four conditions creating a march-in right (lack of practical
application, unsatisfied health or safety needs, unmet requirements for public use, or failure to prefer U.S.
industry) is present; and
(d)
explain what action by the Foundation is necessary to correct that condition.
(iii)
If evidence received from a petitioner or from the Foundation's administration of the Patent Rights
clause indicates that one or more of the four conditions creating a march-in right might exist, the NSF Patent
Assistant will informally review the matter as provided in 37 CFR § 401.6(b) of the DOC implementing
regulation. If that informal review indicates that one or more of the four conditions creating a march-in right
probably exists, the NSF Patent Assistant will initiate a formal march-in proceeding by issuing a written
notice to the patent holder. That notice will provide all the information required by 37 CFR § 401.6(c) of the
DOC implementing regulation. The patent holder may submit information and argument in opposition to the
proposed march-in in person, in writing, or through a representative.
(iv)
If the NSF Patent Assistant determines that a genuine dispute over material facts exists, the
disputed facts will be identified, and the NSF General Counsel will be notified. The NSF General Counsel
will create a cross-directorate fact-finding panel, which will establish its own fact-finding procedures within
the requirements of 37 CFR § 401.6(e) of the DOC implementing regulation based on the dimensions of
the particular dispute. The NSF Patent Assistant will serve as secretary to the panel but will not take part
in its deliberations. Written findings of facts will be submitted to the NSF General Counsel, sent by certified
mail to the patent holder, and made available to all other interested parties.
(v)
The NSF General Counsel will determine whether and how the Foundation should exercise a
march-in right as provided in 37 CFR § 401.6(g).
m.
Request for conveyance of title to NSF
(i)
The procedures established by this section apply to the exercise of the Foundation's right under
paragraph (d) of the Patent Rights clause in 37 CFR § 401.14 to request conveyance of title to a subject
invention if certain conditions exist.
(ii)
The NSF Patent Assistant may request the grantee to convey to the Foundation or a designee title
in one or more countries to any invention to which the grantee has elected not to retain title. The NSF
Patent Assistant may request immediate conveyance of title to a subject invention if the grantee fails: (1)
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to submit a timely invention disclosure; (2) to make a timely election to retain patent rights; or (3) to file a
timely patent application; but only if it is determined that such action is required to preserve patent rights.
(iii)
The NSF Patent Assistant will informally review any apparent failure by an awardee to comply with
the requirements of paragraph (c) of the Patent Rights clause in 37 CFR § 401.14. The interested
organization, the inventor, the patent holder, and any other interested party will be given an opportunity to
explain why a particular invention was not disclosed, why an election was not made, or why a patent
application was not filed. If the NSF Patent Assistant determines that a genuine dispute over material facts
exists, a cross-directorate fact-finding panel will be appointed by the NSF General Counsel. The panel will
establish its own fact-finding procedures based on the dimensions of the particular dispute. Written findings
of facts will be submitted to the NSF General Counsel, sent by certified mail to the patent holder, and made
available to all other interested parties.
(iv)
The NSF General Counsel will determine whether the Foundation should request conveyance of
title or if it should retain title obtained under section m. (ii) above.
n.
Appeals
(i)
All actions by the NSF Patent Assistant under section XI.D.1.g denying an inventor's request to
retain rights to a subject invention, under XI.D.1.j denying a request for waiver, or under XI.D.1.m(iv)
denying the existence of a material dispute may be appealed to the NSF General Counsel by an affected
party within thirty days. A request under XI.D.1.m.(ii) to immediately convey title to the Foundation may be
appealed to the Director, Division of Grants and Agreements (DGA) by the title holder within five days.
(ii)
All actions by a cognizant Grants Officer refusing to eliminate restrictions on or limitation of the right
of a grantee to retain title to subject inventions imposed under XI.D.d. of this policy may be appealed to the
Director, Division of Acquisition and Cooperative Support (DACS) by an affected party within thirty days.
(iii)
A decision by the NSF General Counsel to exercise a march-in right or to request conveyance of
title may be appealed by the patent holder or any affected licensee to the NSF Deputy Director within thirty
days. When a march-in was initiated in response to a petition, the NSF General Counsel's decision not to
exercise a march-in right or to exercise it in a manner different from that requested in the petition may be
appealed by the petitioner to the NSF Deputy Director within thirty days.
(iv)
In reviewing the actions of the NSF Patent Assistant, a Grants Officer, or the NSF General Counsel,
the DACS Division Director or NSF Deputy Director will consider both the factual and legal basis for the
action or determination and its consistency with the policies and objectives of the Foundation and, if
applicable, the Bayh-Dole Act (35 USC 200-212) and the DOC implementing regulation at part 401 of title
37 of the Code of Federal Regulations.
o.
Background rights
The Foundation will acquire rights to a research performer's pre-existing technology only in exceptional
circumstances where, due to the nature of the research being supported, the Foundation requires greater
control over resulting inventions. The cognizant NSF Grants Officer, with concurrence of the cognizant
Program Officer, will negotiate a background rights provision. If the affected grantee is a small business
firm or nonprofit organization, the provision will conform to the requirements of the Bayh-Dole Act (35 USC
202(f)) as implemented by 37 CFR 401.12).
p.
Subawards
As provided in paragraph (g) of the Patent Rights clause in 37 CFR § 401.14, grantees should normally
use that clause in all subawards. At the request of the awardee or subrecipient or on recommendation from
NSF staff, the cognizant Grants Officer may direct the awardee to insert into subawards relating to scientific
research a special patent provision negotiated under section XI.D.1.d(i).
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q.
Utilization reports
Paragraph (h) of the standard Patent Rights clause set forth in 37 CFR § 401.14 obliges grantees “to submit
on request periodic reports no more frequently than annually on the utilization of a subject invention or on
efforts at obtaining such utilization”. At this time, the Foundation does not plan to request such reports of
all grantees except in connection with march-in investigations conducted under XI.D.1.l. or other
circumstances requiring such reports as determined by the NSF Patent Assistant. This section will be
amended to describe periodic reporting requirements if such are ever established.
r.
Delegation of authority
The NSF General Counsel is responsible for implementing the NSF Patent Policy and is authorized to make
any exceptions to or extensions of the NSF Patent Policy as may be required by particular circumstances.
The NSF General Counsel will designate the NSF Patent Assistant and that individual is authorized to carry
out the functions assigned.
s.
Electronic Invention Handling
Grantees are required to use the iEdison System to disclose NSF subject inventions. Detailed instructions
for use of that system are provided at: http:edison.gov and should be followed for NSF subject inventions
except that:
(i)
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.
(ii)
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, 2415 Eisenhower Avenue, Alexandria, Virginia 22314.
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 a grantee’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 general 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,
grantees 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 general 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 cognizant NSF Grants
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 NSF Patent Assistant, the recipient 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 grant conditions; and through appropriate support and incentives for data cleanup,
documentation, dissemination, storage and the like.
(f)
Each NSF grant contains, as part of the grant general terms and conditions, an article implementing
dissemination and sharing of research results.
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 general 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)
and
in any publication (including web pages) of any material based on or developed under this project;
(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 grantee is responsible for assuring that every publication of material (including
web pages) based on or developed under an NSF award, except scientific articles or papers appearing in
scientific, technical or professional journals, contains a disclaimer that specifies that the opinions, findings,
and conclusions or recommendations expressed 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 general 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.
Each NSF grant contains as part of the grant general terms and conditions, an article implementing
the grantee obligations regarding the acknowledgement of support and disclaimer.
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.
(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 U.S.-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 U.S. 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 U.S.-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 U.S. flag air carrier’s designator
code and flight number.
(ii)
For the purposes of this requirement, U.S.-flag air carrier service is considered available even
though:
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(a)
comparable or a different kind of service can be provided at less cost by a foreign-flag air carrier;
(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 U.S. being performed by a foreign-flag air carrier:
(a)
a U.S.-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 U.S.-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 U.S. 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 U.S./European Union Open Skies Agreement
In 2007, the U.S. 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 U.S. 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 U.S./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 U.S.
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 U.S. and points in the EU.
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(ii)
Involuntary Rerouting
Travel on a foreign-flag carrier is permitted if a U.S.-flag air carrier involuntarily reroutes the traveler via a
foreign-flag air carrier, notwithstanding the availability of alternative U.S.-flag air carrier service.
(iii)
Travel To and From the U.S. 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 U.S.-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 U.S.-flag air carrier service would increase the number of aircraft
changes the traveler must make outside of the U.S. 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 U.S. 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 U.S.-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 U.S. and use of a U.S.-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 U.S.-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.
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c.
The grantee also should assure that activities carried on outside the U.S. are coordinated as
necessary with appropriate U.S. and foreign government authorities and that necessary licenses, permits
or approvals are obtained prior to undertaking the proposed activities.
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 press release to the news media. (See Chapter X.C.2.)
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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.
Detailed procedures are contained in 45 CFR § 612.
Further information is available at:
http://www.nsf.gov/policies/foia.jsp.
(ii)
The Government in the Sunshine Act (5 USC § 552b) requires that all meetings of the NSB 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 organization. If, while performing the work required by the grant, the grantee
learns of any potential or actual unanticipated environmental impacts, the grantee shall immediately notify
NSF of such impacts. The grantee 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 grantee.
L.
National Security
NSF grants are intended for unclassified, publicly releasable research. The grantee will not be granted
access to classified information. NSF does not expect that the results of the research project will involve
classified information.
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If, however, in conducting the activities supported under a grant, the PI/PD 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/PD should promptly notify the cognizant NSF Program Officer.
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 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.
Each NSF grant will contain as part of the grant general conditions, 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.
4.
Executive Order 13788, Buy American and Hire American
Pursuant to Executive Order 13788, dated April 18, 2017, it is the policy of the Executive Branch of the
Federal Government to maximize, consistent with law and regulation, the use of goods, products, and
materials produced in the U.S. Further, it is the policy of the Executive Branch that relevant agencies will
rigorously enforce and administer the laws governing entry into the U.S. of workers from abroad.
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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 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 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 AOR, 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 Officer may issue a notice of termination. 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 from 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 AOR should advise the NSF Grants Officer in
writing and send a copy to the cognizant NSF Program Officer.
(ii)
If NSF wishes to terminate the project, the NSF Grants Officer will advise the grantee’s AOR 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,
the NSF Grants Officer will make a final decision, subject to the review procedures prescribed by Chapter
XII.B.
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(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 U.S., 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
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 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, 2415 Eisenhower Avenue, Alexandria, VA 22314. This letter must specify
the grantee’s disagreement or dispute and identify the NSF Grants 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 stamped
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.
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
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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.
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, by another
Federal agency or by NSF. An “inquiry” consists of preliminary information-gathering and preliminary factfinding 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 OIG oversees investigations of research misconduct and conducts any NSF inquiries and
investigations into suspected or alleged research misconduct.
f.
The Deputy Director adjudicates research misconduct proceedings and the Director decides
appeals.
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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 is 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 staff 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.
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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 through use of one of the following methods:
Mail: NSF Office of Inspector General, 2415 Eisenhower Avenue, Alexandria, VA 22314,
Phone: (703) 292-7100, or (800) 428-2189,
E-mail: [email protected], or
Website: https://www.nsf.gov/oig/report-fraud/
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Subject Index
PAPPG SECTION
A
Absence (Disengagement) of Principal Investigator/Project Director or co-PI/co-PD ............ VII.B.2
Acceptance of Assistance Agreements ...................................................................................... VI.A
Accomplishment-Based Renewal ..............................................................................II.C.2.d(vi), V.B
Acknowledgment and Disclaimer ............................................................................................. XI.E.4
Acquisition Cost of Equipment ........................................................................................... II.C.2.g(iii)
Additional Funding Support ................................................................................... VI.E, X.A.2, X.D.1
Addition of co-PI/ co-PD ....................................................................................................... VII.B.2.c
Administrative and Clerical Salaries and Wages ................................................. II.C.2.g(i)(b), X.B.2
Advance Payments ........................................................................................................ VIII.C, VIII.D
Advanced Visualization Resources ........................................................................................... II.D.7
Age Discrimination ................................................................................................................... XI.A.5
Alcoholic Beverages .....................................................................................................II.C.2.g(xiii)(c)
Allowability of Costs ............................................................................................. II.C.2.g, Chapter X
Animal Welfare .................................................................................................. II.C.2.j, II.D.4, XI.B.3
Annual Project Report .................................................................................. VI.E.3, VII.D.1, XI.H.2.c
Antarctic Proposals ........................................................................................................ I.E.7, II.C.2.j
Anthropogenic Disasters .................................................................................................. I.F.2, II.E.1
Anti-discrimination Statutes......................................................................................................... XI.A
Appeal Process for Proposals Declined for Financial or Administrative Reasons… ................ III.F.2
Appeals .................................................................................................................III.F.2, Chapter XII
Appendices ............................................................................................................................. II.C.2.k
Applicable Credits .................................................................................................... VIII.D.4, VIII.D.5
Appointments ..................................................................................................... II.C.2.f, II.C.2.g(i)(a)
Approvals, Requests for NSF.................................................................................................... X.A.3
Audits ........................................................................................................................................ VII.E
Authorized Organizational Representative (AOR) .................. I.D.2, I.G.2, II.C.1.d, III.C, III.D, IV.A,
.................................................................................................................. VII.A.2, Exhibit II-1
Award Abstract… ......................................................................................................................... III.E
Award Cash Management Service ................................................................................. Chapter VIII
Award Conditions ........................................................................................................................ VI.C
Award Instrument ........................................................................................................................ VI.B
Award Recommendations ........................................................................................III.E, Exhibit III-1
Awardee Organization............................................................................................................ II.C.2.a
B
Bayh-Dole Act .......................................................................................................................... XI.D.1
Beginning Investigator ........................................................................................ II.C.2.a(iv)(a), II.D.2
Biographical Sketch(es) .......................................................................... II.C.2.f, II.D.3.b, Exhibit II-1
Biological Sciences Directorate Duplicate Proposal Policy ...................................................... II.D.2
Bonding and Insurance ............................................................................................................ XI.C.2
Broader Impacts ...................................................................... II.C.2.b, II.C.2.d, II.C.2.i, II.C.2.j, III.A
Budget .................................................................................................................................. II.C.2.g
Budget Changes ........................................................................................................... VII.B.3, VII.C
Business Officer ..................................................................................................................... VIII.B.2
Buy American and Hire American ............................................................................................ XI.M.4
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C
Cash
Advances .......................................................................................................... VIII.C, VIII.D
Contributions ................................................................................................................ VIII.D
Refunds ........................................................................................................................ VIII.D
Reports ......................................................................................................................... VIII.E
Center Proposal ...................................................................................................................... II.E.10
Certifications ...................................................................................................... I.G.2, II.C.1, II.C.1.d
Authorized Organizational Representative ............................................................... II.C.1.d
Conflict of Interest .................................................................................. II.C.1.d, Exhibit II-2
Flood Hazard Insurance ............................................................................................ II.C.1.d
Organizational Support ............................................................................................. II.C.1.d
Responsible Conduct of Research……. .................................................................. .II.C.1.d
Changes
Grant Budget .................................................................. VI.B.1.c, Exhibit II-1, VII.B.3, VII.C
Grant Periods ................................................................................................................. VI.D
Grantee Notifications to and Requests for
Approval from the National Science Foundation .......................................... Chapter VII
Project Direction or Management ................................................................................. VII.B
Objectives, Scope, or Methods/Procedures .............................................................. VII.B.1
Principal Investigator/Project Director ........................................................................ VII.B.2
Charter Flights .......................................................................................................................... XI.F.2
Civil Rights Act of 1964 ............................................................................................................ XI.A.2
Classified Research ..................................................................................................................... XI.L
Clerical (Administrative & Clerical Salaries & Wages) ......................................... II.C.2.g(i)(b), X.B.2
Closeout ....................................................................................................................... VII.D.5, VIII.E
Closure of NSF ............................................................................................................................ I.F.2
Co-Editors .............................................................................................................................. II.C.1.e
Coffee Breaks and Meals ................................................................................. II.C.2.g(xiii)(b), X.C.5
Collaborative Arrangements................................................................... II.C.2.g(vi)(e), II.C.2.j, II.D.3
Collaborative Proposals .................................................................................................... II.D.3, IV.A
Submission of a collaborative proposal from one organization ................................ II.D.3.a
Submission of a collaborative proposal from multiple organizations ........................ II.D.3.b
Collaborators ............................................................................................................. II.C.1.e, II.D.3.b
Collaborators and Other Affiliations Information .................................................................... II.C.1.e
Colleges ............................................................................................ I.E.1, II.C.2.g(i)(a), II.C.2.g(viii)
Common Rule for the Protection of Human Subjects ............................................................... II.D.5
Compensation for Personal Services ........................................................................................ X.B.1
Compliance, Environmental ............................................................................................ II.C.2.j, XI.K
Computer Services ..................................................................................... II.C.2.g(vi), II.C.2.g(vi)(d)
Computing Devices ....................................................................................................... II.C.2.g(vi)(a)
Conferences ......................................................... …I.B, II.C.2.g(iv), II.C.2.g(v), II.C.2.j, II.E.7, II.E.9
Confidential Budgetary Information ......................................................... II.C.1.c, II.C.2.g(i)(d), II.D.1
Conflict of Interest Policies .......................................................................................................... IX.A
Conflicting Guidelines ............................................................................................................... X.A.1
Conflicts of Interest (COIs) .............................................................................. I.D.1, II.C.1.d, II.C.1.e
Potentially Disqualifying COIs .............................................................................. Exhibit II-2
Construction, Rearrangements and Reconversions ..................................... Exhibit II-1, X.C.1, XI.C
Consultant Services ................................................................................................II.C.2.g(vi), X.B.2
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Continuing Grant ...................................................................................................................... VI.E.3
Contracts under Grants (Subawards) .............................................................. II.C.2.g(vi)(e), VII.B.3
Contributions ............................................................................................................................. VIII.D
Cooperative Agreements ......................................................................... I.C.4, I.H, III.F, Chapter VI
Copies of Reviews ........................................................................................ III.G, IV.A, IV.C, IV.D.3
Copyright .................................................................................................................................. XI.D.2
Copyrightable Material Clause .............................................................................................. XI.D.2.b
Cost Principles ..................................................................................................... II.C.2.g, Chapter X
Cost Sharing ..................................................................................... II.C.2.g(xii), II.C.2.i, III.D, VII.C
Costs, Visa .............................................................................................. II.C.2.g(vi)(f), X.C.4, XI.F.4
Cover Sheet ............................................... I.D.2, I.F.2, I.G.2, II.A, II.C.1.d, II.C.2.a, II.D, Exhibit II-1
Credits ....................................................................................................................................... VIII.D
Current and Pending Support ................................................................ II.C.2.h, II.D.3.b, Exhibit II-1
Curriculum Development Projects ........................................................................................... XI.M.2
D
Data Collection ......................................................................................................................... XI.H.1
Data Infrastructure .................................................................................................................... II.D.7
Data Management Plans............................................ II.C.2.d(i), II.C.2.j, II.D.3.b, II.E.7, II.E.8, II.E.9
Data Rights.................................................................................................................................. XI.D
Data Storage ............................................................................................................................. II.D.7
Data Universal Numbering System (DUNS) .................................................................I.G.3, II.C.2.a
Davis-Bacon Act ....................................................................................................................... XI.C.1
Deadline Dates ............................................................................................................................ I.F.2
Dear Colleague Letters .............................................................................................................. I.C.1
Debarment and Suspension....................................................................................... XII.A, XII.C.1.d
Declination of Proposal .................................................................................... III.E., III.F, IV.C, IV.D
Decline for Financial or Administrative Reasons ......................................................................... III.F
Definitions of Categories of Personnel .............................................................................. Exhibit II-3
Delays .................................................................................................................................. VII.B.1.c
Delinquent Reports ................................................................................................................. VII.D.4
Dependent Care Travel Costs............................................................................ II.C.2.g(iv)(a), X.C.5
Deviation Authorization ............................................................ I.F, II.A, II.C.2.d, II.C.2.k, Exhibit II-1
Direct Costs .............................................................................................................II.C.2.g, X.B, X.C
Disability Regulations .................................................................................................................. XI.A
Disasters (Natural or anthropogenic) ............................................................................... I.F.2, II.E.1
Disbursements ............................................................................................................ VIII.B.4, VIII.E
Disclaimer.............................................................................................................................. XI.E.4.b
Discrimination .............................................................................................................................. XI.A
Disputes Resolution ................................................................................................................... XII.B
Dissemination Costs ..................................................................................................... II.C.2.g(vi)(b)
Dissemination of Research Results ............................ II.C.2.d, II.C.2.g(vi)(b), XI.D.4, XI.E, XI.H.2.c
Distribution of Grant Materials .................................................................................................... XI.E
DNA Guidelines ........................................................................................................................ XI.B.2
Documentation Costs .......................................................................... II.C.2.g(vi)(b), X.A.2.c, XI.E.2
Domestic Travel ................................................................................................. II.C.2.g(iv)(b), X.C.5
Dual Use Research of Concern ....................................................................... II.C.1.d, II.D.6, XI.B.5
Duration Information ............................................................................................................... II.C.2.a
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E
EArly-concept Grants for Exploratory Research (EAGER) ........................................................ II.E.2
Education Amendments of 1972 (Title IX) .............................................................................. XI.A.4
Effective Date ............................................................................................................see “Start Date”
Electronic Submission - Financial ................................................................. VIII.B.5, VIII.C.6, VIII.E
Electronic Submission Requirements ......................................... I.A, I.B, I.D, I.G.1, II.B, II.C, VII.A.2
Encourage/Discourage Decisions ............................................................................ I.D.2.b, IV.D.2.a
End Date ................................................................................................................ VI.D.1.b, VI.D.3.b
Endangered Species ................................................................................................................ II.C.2.j
Entertainment Costs .......................................................................................... II.C.2.g(xiii)(a), II.E.7
Environmental Compliance ............................................................................................. II.C.2.j, XI.K
Environmental Impact ..................................................................................................... II.C.2.j, XI.K
Equal Employment Opportunity ................................................................................ XI.A.1.b, XI.A.6
Equipment
Acquisition ...................................................................................................................... IX.D
Allowability of Costs ......................................... II.C.2.g(iii), VII.B.2.e, IX.D.2, X.A.2.c, X.C.3
Conditions for Acquisition and Use ............................................................................. IX.D.2
Definition ............................................................................................................... II.C.2.g(iii)
For-profit Organizations ........................................................................................... IX.D.1.b
General Purpose ............................................................ II.C.2.g(iii), II.C.2.g(vi)(d), IX.D.2.b
Government-Owned ......................................................................... IX.D.2.g, IX.D.4, IX.D.5
Non-profit Organizations .......................................................................................... IX.D.1.a
Proposals ............................................................................................... II.E.6, II.E.8, II.E.11
Rental or Lease ............................................................................................................ X.C.3
Shared Use .............................................................................................................. IX.D.2.d
Special Purpose ....................................................... II.C.2.g(iii), II.E.6, II.E.8, II.E.11, X.C.3
Title................................................................................................... IX.D.1, IX.D.2.g, IX.D.4
Transfer .................................................................................................... VII.B.2.e, IX.D.2.g
Erroneous Payments .............................................................................................................. VIII.D.2
Excess Government Personal Property ................................................................................... IX.D.5
Executive Order
12372, Intergovernmental Review of Federal Programs .................................. II.C.2.j, XI.G
12770, Metric Usage in Federal Government Programs .................................. I.D.3, XI.M.3
13788, Buy American and Hire American ................................................................... XI.M.4
Expendable Personal Property ............................................................ see “Materials and Supplies”
Expenditures
Allowability of Costs ................................................................................ II.C.2.g, Chapter X
Grantee Responsibility ............................................................................................... VII.A.1
Reports ......................................................................................................................... VIII.E
Outlays ...................................................................................................................... VIII.B.4
Experimental Curriculum .......................................................................................................... XI.M.2
Expiration Date ........................................................................................................... see “End Date”
Extension of Grant Period ..................................................................................................... VI.D.3.c
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F
Facilitation Award for Scientists and Engineers with Disabilities (FASED) ........II.C.2, II.C.2.j, II.E.6
Facilities and Administrative Costs (F&A) ................................. II.C.2.g(v), II.C.2.g(vi), II.C.2.g(viii),
............................................................................................................. II.C.2.g(ix), III.D, X.D
Facilities Capital Cost of Money ........................................................................................ X.D.1.b(iii)
Facilities, Equipment and Other Resources............................................ II.C.2.i, II.D.3.b, Exhibit II-1
Faculty Associate, Definition ............................................................................................. Exhibit II-3
FastLane System .......................................................................I.A, I.G.1, II.B, II.C, IV.A, Chapter V
Proposal Preparation Module ......................................................................... I.A, I.G.3, II.C
Federal Acquisition Regulation ....................................................................................... II.C.2.g, X.A
Federal Agencies ...................................................................................................... I.E.7, I.H, II.D.2
Federal Awardee Performance and Integrity Information System (FAPIIS) ........... III.F, XII.A.2.a(vi)
Federal Cost Principles (now consolidated in 2 CFR § 200, Subpart E) ............. II.C.2.g, Chapter X
Federal Emergency Management Agency............................................................................. II.C.1.d
Federal Financial Reports ............................................................................................... VII.D, VIII.E
Federal Funding Accountability and Transparency Act (FFATA) .............................................. I.G.3
Federally Funded Research and Development Centers (FFRDCs) ........................................... I.E.7
Federal Wide Assurance (FWA) ............................................................................................... II.D.5
Fee Payments ............................................................................................................ II.C.2.g(x), X.E
Fellowships........................................ II.D.2, II.D.4, IV.D.2, VII.D.1, VII.D.2, XI.B.3.b(iv), XI.D.3.b(ii)
Final Disbursement Reporting .................................................................................................. VIII.E
Final Project Report ................................................................................................. VII.D.2, XI.H.2.c
Final Technical Information Items .............................................................................................. VII.D
Financial Disclosure ................................................................................... II.C.1.d, Exhibit II-2, IX.A
Financial Management System Standards ...................................................................... VIII.A, IX.C
Fiscal Reports ........................................................................................................................... VIII.E
Fixed Amount Award ................................................................................................................... VI.D
Flood Hazard Insurance ......................................................................................................... II.C.1.d
Fonts ......................................................................................................................II.B, Exhibit II-1
Foreign Organizations .............................................................. I.E.6, II.C.2.g(viii), II.D.4, XI.B.3.b(iv)
Foreign Projects ................ II.C.2.a(4)(i), II.C.2.j, II.D.4, XI.B.3.b(iv), XI.B.4, XI.D.1, XI.D.3.c, XI.F.3
Foreign Travel .......................................................................................................II.C.2.g(iv)(c), XI.F
Foreign-Flag Air Carriers............................................................................................................. XI.F
For-profit Organizations ...............................................................................................I.E.3, IX.D.1.b
Freedom of Information Act................................................................................................... XI.H.2.b
Fringe Benefits ............................................................................................. II.C.2.g(ii), III.D, X.B.1.b
Full Proposal .............................................................................................................. I.D, II.C.2, IV.B
Funding Opportunities .................................................................................... I.A, I.B, I.C, II.C.2.a(2)
Funding Recommendations .......................................................................... Chapter III, Exhibit III-1
Funds
Allowability of Costs/Expenditures .......................................................... II.C.2.g, Chapter X
Payment of ................................................................................................................... VIII.C
Residual ...................................................................................................................... VI.E.2
Safeguarding ............................................................................................................. VIII.C.2
Transfer of .................................................................................................................. VII.B.3
Withholding ............................................................................................................... VIII.C.2
Proposal & Award
Policies & Procedures Guide
NSF 20-1
G
General Purpose Equipment ...............................................................................II.C.2.g(iii), IX.D.2.b
Government-Owned Equipment ................................................................................................. IX.D
Graduate Advisors .............................................................................................. II.C.1.e, Exhibit II-2
Graduate Students .............................................................. I.E, II.C.2.g(i)(c), Exhibit II-3, Chapter V
Grant
Budget ......................................................................................................... II.C.2.g, VI.B.1.c
Changes ........................................................................................................................ VII.B
Closeout ..................................................................................................................... VII.D.5
Conditions, General and Standard................................................................................. VI.C
Disputes Resolution ...................................................................................................... XII.B
Financial Disclosure ...................................................................... II.C.1.d, Exhibit II-2, IX.A
Financial Reporting ...................................................................................................... VIII.E
International Travel ..................................................................................II.C.2.g(iv)(c), XI.F
Instrument, Defined ........................................................................................................ VI.B
Opportunities for Academic Liaison with Industry (GOALI) ............................... II.C.2, II.E.4
Periods ........................................................................................................................... VI.D
Renewal ................................................ II.C.2.a, II.C.2.d(vi), Exhibit II-1, Chapter V, VI.E.2
Suspension ................................................................................................................... XII.A
Termination ................................................................................................................... XII.A
Transfer ...................................................................................................................... VII.B.3
Grantee
Definition ................................................................................................................... VIII.B.6
Organization ................................................................................... II.C.2.a, II.E.6.b, VIII.B.6
Prior Approvals .................................................................................................... Chapter VII
Share ....................................................................................................... see “Cost Sharing”
Standards ............................................................................................................. Chapter IX
Grants and Agreements, Division of ..................................................................................... I.H, III.F
Grants.gov ............................................................................. I.A, I.G.1, II.A, II.B, II.C.2, IV.B, IV.D.2
Group Proposals ................................................................................................................ II.C.2.d(v)
H
Harassment (Sexual Harassment, Other forms of Harassment, or Sexual Assault ... VII.A.2, XI.A.1
Hazardous Materials ................................................................................................................ II.C.2.j
High Performance Computing Resources ................................................................................ II.D.7
Higher Education, Institutions of ................................................................................................. I.E.1
Hire American, Buy American and ........................................................................................... XI.M.4
Historic Places .................................................................................................. II.C.2.a., II.C.2.j, XI.J
Human Subjects ................................................................ II.C.2.a, II.C.2.g(vi), II.C.2.j, II.D.5, XI.B.1
I
Ideas Lab.................................................................................................................................... II.E.5
Income..................................................................................................................... VIII.D.4, XI.D.2.a
Indirect Costs ............................................................. II.C.2.g(v), II.C.2.g(viii), II.C.2.g(ix), III.D, X.D
Informal Resolution of Grant Administration Disputes ............................................................... XII.B
Information About Principal Investigators/Project Directors and co-Principal Investigators/
co-Project Directors ................................................................................ II.C.2.a, Exhibit II-1
Information Release ................................................................................................................. XI.H.2
Proposal & Award
Policies & Procedures Guide
NSF 20-1
In-Kind Contributions ............................................................................................II.C.2.g(xii), VII.C.2
Inspector General, Office of ....................................................................................................... XII.C
Institutional Animal Care and Use Committee ............................................................... II.D.4, XI.B.3
Institutional Review Board.............................................................................................. II.D.5, XI.B.1
Institutions of Higher Education .................................................................................................. I.E.1
Instrumentation and Facilities Guidelines ................................................................................ IX.D.3
Insurance.................................................................................................................... II.C.1.d, XI.C.2
Intangible Property ...................................................................................................................... XI.D
Intellectual Merit ............................. II.C.1.d, II.C.2.b, II.C.2.d, II.C.2.i, II.C.2.j, Exhibit II-1, III.A, III.B
Intellectual Property .................................................................................................................... XI.D
Interest .................................................................................................................................. VIII.D.3
Intergovernmental Review of Federal Programs ....................................................... II.C.2.j, XI.G
International
Activities ........................................................................... I.E.6, II.C.2.a, II.C.2.j, II.D.8, XI.F
Agreements ................................................................................................................. XI.F.3
Charter Flights ............................................................................................................. XI.F.2
Copyright ...................................................................................................... XI.D.2.a, XI.D.3
Patents ......................................................................................................... XI.D.1.b, XI.D.3
Projects ............................................................................................. see “Foreign Projects”
Travel .......................................................................................................II.C.2.g(iv)(c), XI.F
Travel Grants ........................................................................................................... IV.D.2.b
Travel Proposals ........................................................................................................... II.E.9
Intra-University Consulting ........................................................................................................ X.B.3
Inventions and Patents ............................................................................................................. XI.D.1
Investigator Financial Disclosure ............................................................... II.C.1.d, Exhibit II-2, IX.A
Invite/Not Invite Decisions ....................................................................................................... I.D.2.a
L
Large Facilities Projects ...................................................................... (see Major Facilities Projects)
Leased Facilities and Equipment .............................................................................................. X.C.3
Leave, Sabbatical ................................................................................................................. VII.B.2.a
Letters of Collaboration .…………………………………………………………….....II.C.2.d(iv), II.C.2.j
Letters of Intent ................................................................................................................. I.C.4, I.D.1
Letters of Support………………………………………………………………………………….…II.C.2.j
Liabilities and Losses ............................................................................................................... XI.M.1
License Rights .......................................................................................................................... XI.D.1
Limited English Proficiency (LEP) ............................................................................................ XI.A.7
List of Suggested Reviewers or Reviewers Not to Include ................................. II.C.1.b, Exhibit II-1
Living Organisms ........................................................................................................................ XI.B
Local Governments ..................................................................................................................... I.E.4
Long-Term Absence of PI/PD .............................................................................................. VII.B.2.a
M
Major Facilities Projects ........................................................................................................... II.E.11
Major Research Facilities .............................................................................................. II.D.7, II.E.11
“March-in” Rights ................................................................................................................... XI.D.1.c
Margin and Spacing Requirements ............................................................................II.B, Exhibit II-1
Materials and Supplies ......................................................................................... II.C.2.g(vi)(a), IX.D
Maximum Obligation of NSF .................................................................................................. X.A.2.a
Proposal & Award
Policies & Procedures Guide
NSF 20-1
Meals and Coffee Breaks ................................................................................. II.C.2.g(xiii)(b), X.C.5
Meetings and Conferences ...........................I.B, II.C.2.g(iv), II.C.2.g(v), II.C.2.j, II.E.7, II.E.9, X.C.5
Mentoring ..................................................................................... II.C.2.j, II.D.3, Exhibit II-1, VI.E.4.f
Merit Review Criteria .................................................. I.C, I.D.3, II.C.2.b, II.C.2.d, Chapter III, VI.E.4
Merit Review Principles .................................................................................................. Chapter III.A
Methods/Procedures, Changes in ........................................................................................ VII.B.1.b
Metric Conversion Act of 1975 ....................................................................................... I.D.3, XI.M.3
Minority-Owned Business ...................................................................................................... II.C.2.a
Misconduct in Science ..................................................................................................... I.D.3, XII.C
N
National Center for Atmospheric Research……………………………………………………….II.D.7
National Environmental Policy Act of 1969 ..................................................................... II.C.2.j, XI.K
National Flood Insurance Act ................................................................................................. II.C.1.d
National Register of Historic Places ................................................................... II.C.2.a, II.C.2.j, XI.J
National Science Board................................. I.C.2, I.C.3, II.C.2.g(xii), III.A, III.B, IV.D.1, Chapter V,
........................................................................................................................ XI.D.1, XI.H.2
National Science Foundation
Act ................................................................................................................... XI.C.2, XI.D.1
Approvals ............................................................................................................ Chapter VII
National Security .......................................................................................................................... XI.L
Natural Disasters ................................................................................................................. I.F, II.E.1
New Awardee ..................................................................................................................... Chapter II
News Release ............................................................................................................... X.C.2, XI.H.2
No-Cost Extension ................................................................................................................ VI.D.3.c
Non-academic Organization........................................... I.E.2, II.C.2.g(i)(a), Chapter V, Chapter VIII
Non-award Decisions and Transactions ........................................................................... Chapter IV
Non-Discrimination Statutes and Regulations ............................................................................ XI.A
Non-profit Organization ....................................... I.E.2, II.E.9, VII.E, Chapter VIII, IX.D.1.a, XI.D.1.a
Notifications to NSF ......................................................................................................... Chapter VII
NSF ID .........................................................................................................................I.G.4, II.C.2.a
NSF Prospective New Awardee Guide .............................................................................. Chapter II
NSF Unit of Consideration .................................................................................................... II.C.2.a.
NSF Update ................................................................................................................................... I.B
NSF-Use Only ........................................................................................................................... II.C.1
O
Objectives, Changes in ........................................................................................................ VII.B.1.a
Obligations ............................................................................................................................. VIII.B.7
Off-Campus (Off Site) Activities ............................................................ II.C.2.a.1, II.D.4.d, XI.B.3(iv)
Office of Inspector General (NSF) ............................................................................................. XII.C
Open Government Legislation .............................................................................................. XI.H.2.b
Other Direct Costs ......................................................................................................II.C.2.g(vi), X.B
Other Personnel ............................................................................................... II.C.2.f(ii), Exhibit II-3
Other Professional, Definition ........................................................................................... Exhibit II-3
Outlays .................................................................................................................................. VIII.B.4
Overhead............................................................................................................. see “Indirect Costs”
Proposal & Award
Policies & Procedures Guide
NSF 20-1
P
Page Formatting Instructions ........................................................................................................ II.B
Page Limitations ....................................................II.C, II.E, Exhibit II-1, III.D, IV.B, IV.D.2, V.A, V.B
Pagination Instructions .................................................................................................................. II.B
Participant Support .................................................................................................. II.C.2.g(v), II.E.7
Passports and Visas ..................................................................................................... X.C.4, XI.F.4
Patent Rights Clause ............................................................................................................ XI.D.1.c
Patents and Inventions ............................................................................................................. XI.D.1
Payments .................................................................................................................... VIII.B.9, VIII.C
Permits .................................................................................................................................... XI.B.4
Person Months ..................................................................................... II.C.2.g(i)(c), II.C.2.h, VII.B.2
Personnel, Definitions ....................................................................................................... Exhibit II-3
PI/PD (co-PI/co-PD)
Addition of co-PI/co-PD ........................................................................................... VII.B.2.c
Change in Person-Months ......................................................................................... VII.B.2
Compensation .......................................................................................... II.C.2.g(i), X.B.1.a
Definition .............................................................................................................. Exhibit II-3
Information about PI/PDs and co-PIs/co-PDs .................................................... II.C.2.a.4(d)
Long-Term Disengagement .................................................................................... VII.B.2.a
Substitute (Change) ................................................................................................ VII.B.2.e
Transfer to Another Institution .................................................................................. VII.B.2.f
Withdrawal .............................................................................................................. VII.B.2.d
Postdoctoral Associate........................................................................................................ II.C.2.f(ii)
Postdoctoral Scholar ......................................................................................................... Exhibit II-3
Postdoctoral Sponsor ............................................................................................................. II.C.1.e
Post-Expiration Costs ............................................................................................................. X.A.2.c
Postgraduate-Scholar Sponsor .............................................................................................. II.C.1.e
Potentially Disqualifying Conflicts of Interest .................................................................... Exhibit II-2
Pre-Award Costs .................................................................................................................... X.A.2.b
Pre-Award Financial and Administrative Reviews… ................................................................. III.F.1
Pre-College Students ............................................................................................................... XI.M.2
Preliminary Proposals ....................................................................................................... I.C.4, I.D.2
Preservation of Historic Places .......................................................................... II.C.2.a, II.C.2.j, XI.J
Press Releases .......................................................................................................... X.C.2, XI.H.2.a
Previous NSF Award ....................................................................................................... II.C.2.a.4(e)
Principal Investigator (PI) ............................................................................. II.C.2.a.4(d), Exhibit II-3
Principles, Federal Cost (now consolidated in 2 CFR § 200, Subpart E) ............ II.C.2.g, Chapter X
Prior NSF Approval ............................................................................................ Chapter VII, X.A.3.b
Privileged Information ..................................................... II.C.1.c, II.C.2.g(i)(d), II.D.1, III.H, XI.H.2.c
Procurement Standards .............................................................................................................. IX.E
Products ........................................................................................................................... II.C.2.f(i)(c)
Professional Preparation .................................................................................................. II.C.2.f(i)(a)
Professional Service Costs…........................................................................................ II.C.2.g(vi)(c)
Program Announcements .......................................................................................................... I.C.3
Program Descriptions ................................................................................................................. I.C.2
Program Income..................................................................................................................... VIII.D.4
Program Solicitations ................................................................................................................. I.C.4
Project Descriptions ............................................. II.C.2.d, II.C.2.e, II.C.2.j, II.D.3.b, II.E, Exhibit II-1
Project Income ....................................................................................................................... VIII.D.4
Project Performance .................................................................................................................. VII.A
Proposal & Award
Policies & Procedures Guide
NSF 20-1
Project/Performance Site Primary Location ..................................................................... …II.C.2.a.1
Project Reports .......................................................................................................................... VII.D
Project Summary................................................................................................. II.C.2.b, Exhibit II-1
Property
Acquisition ................................................................................................................... IX.D.2
Copyright and Publication .................................................................................. XI.D.2, XI.E
Data and Software ...................................................................................................... XI.D.4
Equipment ..................................................................................... II.C.2.g(iii), IX.D.1, X.C.3
Excess Government Personal Property ...................................................................... IX.D.5
Intellectual ...................................................................................................................... XI.D
Inventions and Patents................................................................................................ XI.D.1
Management Standards ................................................................................................. IX.D
Materials and Supplies ............................................................................ II.C.2.g(vi)(a), IX.D
Protection of Historic Places .......................................................... II.C.2.a.4(i), II.C.2.j, XI.J
Title................................................................................................ IX.D, IX.D.1, IX.D.4, XI.D
Proposal
Certifications ...................................................................... I.G.2, II.C.1, II.C.1.d, Exhibit II-1
Conference ........................................................ II.C.2.g(iv), II.C.2.g(v), II.C.2.j, II.E.7, II.E.9
Contents .......................................................................................................................... II.C
Cover Sheet ........................................................................................... II.C.2.a, Exhibit II-1
Declination of Proposals for Financial or Administrative Reasons ................................. III.F
Declinations ........................................................................................ III.E., III.F, Chapter IV
Deviations .................................................................... I.F, II.A, II.C.2.d, II.C.2.j, Exhibit II-1
File Updates ........................................................................................................... III.C, IV.A
Format .............................................................................................................................. II.B
International Travel ................................................................... II.C.2.g(iv)(c), II.C.2.j, II.E.9
Margin and Spacing Requirements...............................................................II.B, Exhibit II-1
Not Accepted .................................................................................................................. IV.B
Page Formatting ............................................................................................................... II.B
Pagination Instructions ..................................................................................................... II.B
Preparation Checklist ........................................................................................... Exhibit II-1
Processing ........................................................................................................................I.H
Proposal & Award Process & Timeline ............................................................... Exhibit III-1
Receipt .......................................................................................................................... I.G.5
Reconsideration ............................................................................................................. IV.D
Renewed Support .................................... II.C.2.a.4(e), II.C.2.d(vi), II.E.1, II.E.2, Chapter V
Return without Review .................II.A, II.B, II.C, Exhibit II-1, Exhibit III-1, IV.B, IV.D.2, IV.E
Revisions Made During the Review Process ................................................................. III.D
Sections ....................................................................................................................... II.C.2
Status ............................................................................................................................ I.G.5
Submission .................................... Chapter I, Chapter II, Exhibit II-1, IV.A, IV.E, Chapter V
Symposia .................................................................................................. see “Conference”
Time Sensitive Proposals....................................................................................... I.H, II.E.1
Title........................................................................................................... I.D.1, II.C.2.a.4(a)
Types ............................................................................................................................... II.E
Withdrawal ....................................................................................................... Chapter IV.A
Proprietary Information................................. II.C.1.d, II.C.2.g(i)(d), II.D.1, Exhibit II-1, III.H, XI.H.2.c
Prospective New Awardee Guide ...................................................................................... Chapter II
Provisional Rate ........................................................................................................................ X.D.1
Public Access Policy .................................................................................. XI.D.2.c, XI.E.1, XI.E.4.d
Publication(s) ........................................ II.C.2.d(iii), II.C.2.f(i)(c), II.C.2.g(vi)(b), XI.D.4, XI.E, XI.H.2
Proposal & Award
Policies & Procedures Guide
NSF 20-1
Proposal & Award
Policies & Procedures Guide
NSF 20-1
Q
Questionnaires ......................................................................................................................... XI.H.1
R
Rapid Response Research Grants (RAPID) .............................................................................. II.E.1
Rearrangements and Reconversion Costs ...................................................................... X.C.1, XI.C
Rebudgeting ................................................................................................................... X.A.3, X.B.2
Recombinant DNA ................................................................................................................... XI.B.2
Recompetition .................................................................................................................... Chapter V
Reconsideration of Proposals ..................................................................................................... IV.D
Records Retention ..................................................................................................................... VII.E
References Cited ................................................................................... II.C.2.e, II.D.3.b, Exhibit II-1
Refunds to NSF ......................................................................................................................... VIII.D
Rehabilitation Act of 1973 ........................................................................................................ XI.A.3
Reimbursements ...................................................................................................... VIII.C.4, VIII.C.5
Release of Grantee Proposal Information................................................................................... III.H
Release of Information ............................................................................................................. XI.H.2
Relocation Costs ....................................................................................................................... X.C.4
Renewed Support ............................................................................ II.C.2.a.4(e), II.C.2.d(vi), VI.E.2
Accomplishment-Based Renewal ................................................................................... V.B
Traditional Renewal ........................................................................................................ V.A
Rental or Lease of Facilities/Equipment ................................................................................... X.C.3
Reporting Requirements .................................................................................... VII.D, VIII.E, XII.C.3
Reports
Annual Project ............................................................................................. VII.D.1, XI.H.2.c
Cost Sharing .............................................................................................................. VII.C.3
Final Disbursement Reporting ..................................................................................... VIII.E
Final Project ................................................................................................ VII.D.2, XI.H.2.c
Project Outcomes Report for the General Public ....................................................... VII.D.3
Technical Information Items .......................................................................................... VII.D
Request for Advance or Reimbursement .................................................................................. VIII.C
Research Advanced by Interdisciplinary Science and Engineering (RAISE) ............................ II.E.3
Research Assistant, Definition .......................................................................................... Exhibit II-3
Research Equipment............................................................. II.C.2.g(iii), II.C.2.i, II.E.8, II.E.11, IX.D
Research Experiences for Undergraduates ............................................................................. II.C.2.j
Research Infrastructure Proposal ............................................................................................ II.E.11
Research in Undergraduate Institutions ................................................................................... II.C.2.j
Research Involving Wildlife ............................................................................................. II.D.4, X.B.3
Research Misconduct....................................................................................................... I.D.3, XII.C
Research Opportunity Awards ................................................................................................. II.C.2.j
Residual Funds ........................................................................................................................ VI.E.2
Resolution of Grant Administration Disputes ............................................................................. XII.B
Responsible Conduct of Research ................................................................................ II.C.1.d, IX.B
Resubmission of Proposal .......................................................................................................... IV.E
Results from Prior NSF Support ....................................................... II.C.2.d, Exhibit II-1, Chapter V
Return without Review ..............................II.A, II.B, II.C, Exhibit II-1, Exhibit III-1, IV.B, IV.D.2, IV.E
Review Criteria ..................................................................................... I.D.3, Exhibit II-1, Chapter III
Reviews, Copies of ....................................................................................... III.G, IV.A, IV.C, IV.D.3
Revisions to Proposals (Made During the Review Process) ...................................................... III.D
Proposal & Award
Policies & Procedures Guide
NSF 20-1
Revocation ................................................................................................................................. XII.A
Rights in Data and Software ....................................................................................................... XI.D
Risk Management Framework ..................................................................................................... III.F
Royalties under Grants ............................................................................................................... XI.D
S
Sabbatical Leave .................................................................................................................. VII.B.2.a
Salaries and Wages .................................................................................................... II.C.2.g(i), X.B
Administrative and Clerical Salaries and Wages Policy… ...................... II.C.2.g(i)(b), X.B.2
Confidential Budgetary Information ............................................ II.C.1.c, II.C.2.g(i)(d), II.D.1
Policies .................................................................................... II.C.2.g(i)(a),II.C.2.g(i)(b),X.B
Procedures ................................................................................................. II.C.2.g(i)(c), X.B
Scope, Change in ................................................................................................................ VII.B.1.a,
Security, National ......................................................................................................................... XI.L
Seismic Safety ......................................................................................................................... XI.C.3
Selection of Reviewers ................................................................................................... II.C.1.b, III.B
Senior Personnel ............................................................ II.C.2.f(i), II.C.2.g(i)(a), II.C.2.h, Exhibit II-2
Sexual Harassment, Other forms of Harassment, or Sexual Assault ......................... VII.A.2, XI.A.1
Sex Discrimination ............................................................................................................. I.E, XI.A.4
Shared Use of Equipment ......................................................................................... IX.D.2.d, IX.D.3
Sharing Research Results .............................................................................................. XI.D.4, XI.E
Short-Term Absence of PI/PD ................................................................................................ VII.B.2
Significant Change, Delay or Event of Unusual Interest ...................................................... VII.B.1.c
Single Copy Documents......................................................................................... II.C.1, Exhibit II-1
Site Visits.............................................................................................................................. VII.A.1.c
Small Business ....................................................................... I.E.3, II.C.2.a(4)(g), IV.D.2.b, IX.D.1.b
Software Rights ........................................................................................................................... XI.D
Special Exceptions (to Deadline Date Policy) ............................................................................. I.F.2
Special Processing Instructions .................................................................................II.E, Exhibit II-1
Special Information ...............................................................................................II.C.2.j, Exhibit II-1
Sponsored Projects Office .................................................................................... I.D.2, II.C.2.j, IV.A
Staff Benefits .................................................................................................... see “Fringe Benefits”
Standards
Financial Management Systems ......................................................................... VIII.A, IX.C
Grantee ............................................................................................................... Chapter IX
Procurement ................................................................................................................... IX.E
Property Management.................................................................................................... IX.D
Start Date ............................................................................................................................. VI.D.1.a
State Governments ...................................................................................................... I.E.4, II.C.2.h,
Students ..................... I.E, II.C.2.f(ii), II.C.2.g(i)(c), II.E.6, II.E.7, Exhibit II-1, Exhibit II-3, Chapter V
Subawards ........................................................................... II.C.2.g(vi)(e), II.D.3, VII.B.3, VIII.C.2.b
Submission
Instructions ............................................................................... I.G.2, Chapter II, Exhibit II-1
Windows ......................................................................................................................... I.F.3
Substitute Principal Investigator/Project Director ................................................................. VII.B.2.e
Sunshine Act ..................................................................................................................... XI.H.2.b(ii)
Supplemental Support.................................................................................................... II.E.6, VI.E.4
Supplementary Documentation .......................................... II.B.2, II.C.2, II.C.2.d, II.C.2.j, Exhibit II-1
Supplies................................................................................................ see “Materials and Supplies”
Suspension of Award ................................................................................................................. XII.A
Proposal & Award
Policies & Procedures Guide
NSF 20-1
Synergistic Activities ........................................................................................................ II.C.2.f(i)(d)
System for Award Management (SAM) ..................................................................................... I.G.3
T
Table of Contents ......................................................................................................... II.C.2, II.C.2.c
Tangible Property ........................................................................................................................ XI.D
Target Dates ............................................................................................................................... I.F.1
Tax Status ..................................................................................................................................... XI.I
Technical Reporting Requirements ............................................................................................ VII.D
Temporary Dependent Care Travel Costs .............................................. II.C.2.g(iv)(a), II.E.7, X.C.5
Termination of Award ................................................................................................................. XII.A
Thesis Advisor ..................................................................................................... II.C.1.e, Exhibit II-2
Title
Equipment ................................................................................................................... IX.D.1
Patents and Inventions............................................................................................. XI.D.1.c
Supplies and Materials ................................................................................................... IX.D
Tangible Property ..................................................................................................... XI.D.5.b
Title of Proposed Project ..................................................................................... I.D.1, II.C.2.a.(4)(a)
Total Direct Costs .............................................................................................................. II.C.2.g(vii)
Traditional Renewal ..................................................................................................................... V.A
Transfer of
Equipment ................................................................................................. VII.B.2.f, IX.D.2.g
Grant ........................................................................................................................ VII.B.2.f
Funds ........................................................................................................ VII.B.2.f, VII.B.31
Principal Investigator/Project Director ........................................................................ VII.B.2
Project Effort .............................................................................................................. VII.B.2
Travel Allowances
Dependent of Key Project Personnel ......................................... II.C.2.g(iv)(a), II.E.7, X.C.5
Domestic ................................................................................................II.C.2.g(iv)(b), II.E.9
Foreign ................................................................................................... II.C.2.g(iv)(c), II.E.9
Types of Proposals ....................................................................................................................... II.E
Conference ................................................................................................................... II.E.7
EArly-concept Grants for Exploratory Research (EAGER) ........................................... II.E.2
Equipment .................................................................................................................... II.E.8
Facilitation Awards for Scientists and Engineers with Disabilities (FASED) ................. II.E.6
Grant Opportunities for Academic Liaison with Industry (GOALI) ............................... II.E.4
Ideas Lab ..................................................................................................................... II.E.5
Center ......................................................................................................................... II.E.10
Rapid Response Research (RAPID) ............................................................................ II.E.1
Research Advanced by Interdisciplinary Science and Engineering (RAISE) .............. II.E.3
Research Infrastructure............................................................................................... II.E.11
Travel ........................................................................................................................... II.E.9
U
Unaffiliated Individuals .................................................................................................... I.E.5, IV.D.1
Unallowable Costs ........................................................................................................... II.C.2.g(xiii)
Alcoholic Beverages ........................................................................................II.C.2.g(xiii)(c)
Entertainment Costs....................................................................................... II.C.2.g(xiii)(a)
Meals and Coffee Breaks .................................................................... II.C.2.g(xiii)(b), X.C.5
Proposal & Award
Policies & Procedures Guide
NSF 20-1
Undergraduate Student, Definition .................................................................................... Exhibit II-3
Underrecovery of Indirect Costs ........................................................................ II.C.2.g(viii), X.D.1.c
Unfunded Collaborations................................................................................................... II.C.2.d(iv)
Uniform Resource Locators (URLs) ...................................................................II.C.2.d(ii), II.C.2.f(c)
Unit of Consideration .......................................................................................................... II.C.2.a(3)
Universities, Definition ................................................................................................................. I.E.1
Unliquidated Obligations ...................................................................................................... VIII.B.10
Unobligated Balance .............................................................................................. VIII.B.11, VIII.D.1
Unused Award Funds ............................................................................................................. VIII.D.1
US-Flag Air Carriers ....................................................................................... II.C.2.g(iv)(a), XI.F.1.b
V
Vertebrate Animals ....................................................................... II.C.2.a(4)(i), II.C.2.j, II.D.4, XI.B.3
Veterans Administration .............................................................................................................. I.E.7
Visas .............................................................................................................................. X.C.4, XI.F.4
Visual Materials .................................................................................................................. II.C.2.d(ii)
Visualization Resources ............................................................................................................ II.D.7
W
Wages ...................................................................................................... see “Salaries and Wages”
Wildlife Research ........................................................................................................... II.D.4, XI.B.3
Withdrawal of Principal Investigator/Project Director ........................................................... VII.B.2.d
Withdrawal of Proposal ............................................................................................................... IV.A
Withholding Payments ........................................................................................................ VIII.C.2.c
Woman-Owned Business............................................................................................... II.C.2.a(4)(g)
Working Capital Advance ....................................................................................................... VIII.C.5
X
XSEDE…................................................................................................................................... II.D.7
Proposal & Award
Policies & Procedures Guide
NSF 20-1
Privacy Act and Public Burden Statements
The information requested on proposal forms and project reports is solicited under the authority of the
National Science Foundation Act of 1950, as amended. The information on proposal forms will be used in
connection with the selection of qualified proposals; and project reports submitted by awardees will be used
for program evaluation and reporting within the Executive Branch and to Congress. The information
requested may be disclosed to qualified reviewers and staff assistants as part of the proposal review
process; to proposer institutions/grantees to provide or obtain data regarding the proposal review process,
award decisions, or the administration of awards; to government contractors, experts, volunteers and
researchers and educators as necessary to complete assigned work; to other government agencies or other
entities needing information regarding Proposers or nominees as part of a joint application review process,
or in order to coordinate programs or policy; and to another Federal agency, court, or party in a court or
Federal administrative proceeding if the government is a party. Information about Principal Investigators
may be added to the Reviewer file and used to select potential candidates to serve as peer reviewers or
advisory committee members. See Systems of Records, NSF-50, "Principal Investigator/Proposal File and
Associated Records,” 79 Federal Register 76398 (December 22, 2014), and NSF-51, "Reviewer/Proposal
File and Associated Records," 79 Federal Register 76398 (December 22, 2014). Submission of the
information is voluntary. Failure to provide full and complete information, however, may reduce the
possibility of receiving an award.
An agency may not conduct or sponsor, and a person is not required to respond to, an information collection
unless it displays a valid OMB control number. The OMB control number for this collection is 3145-0058.
Public reporting burden for this collection of information is estimated to average 120 hours per response,
including the time for reviewing instructions. Send comments regarding the burden estimate and any other
aspect of this collection of information, including suggestions for reducing this burden, to:
Suzanne H. Plimpton
Reports Clearance Officer
Office of the General Counsel
National Science Foundation
Alexandria, VA 22314
Proposal & Award
Policies & Procedures Guide
NSF 20-1
| File Type | application/pdf |
| File Title | Draft PAPPG (NSF 20-1) Nov 2020 |
| Author | Hunter, Samantha Brewton |
| File Modified | 2019-11-14 |
| File Created | 2019-11-08 |