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F O U N DAT I O N
PROPOSAL AND AWARD POLICIES
AND PROCEDURES GUIDE
DRAFT
Anticipated Effective January 2023
NSF 23-1
OMB Control Number 3145-0058
Summary of Changes to the
Proposal & Award Policies & Procedures Guide (PAPPG) (NSF 23-1)
Effective Date January 30, 2023
Overall Document
•
Editorial changes have been made throughout to either clarify or enhance the intended
meaning of a sentence or section.
•
References to Research.gov have been incorporated throughout, as part of the final
transition from FastLane to Research.gov for proposal preparation and submission.
By-Chapter Changes
Chapter I: Pre-Submission Information
•
Chapters I.A, NSF Proposal Preparation and Submission and I.C, Categories of
Funding Opportunities, have been updated to address NSF’s use of the Broad Agency
Announcement (BAA) and the associated Broad Agency Announcement Management
System (BAAM).
•
Chapter I.D, Types of Submissions, includes new coverage on the use of concept
outlines and the required use of the Program Suitability and Proposal Concept Tool
(ProSPCT) for submission. Additional changes on the use of concept outlines and the use
of ProSPCT for specific proposal types is available in Chapter II.E.
•
Chapter I.D.2, Letters of Intent (LOI), was modified to specify the information that is
generally included in an LOI.
•
Chapter I.E, Who May Submit Proposals, was revised to clarify eligibility requirements
of For-Profit Organizations, and State and local governments. New coverage on the
eligibility of Tribal Governments also has been included.
•
Chapter I.E.3, Unaffiliated Individuals, has been modified to specify that individuals
submitting proposals in response to postdoctoral Fellowships are not considered
unaffiliated individuals.
•
Chapter I.G.2, Requirements Relating to Unique Entity Identifier (UEI) and
Registration in the System for Award Management (SAM), has been modified to clarify
that subrecipients named in a proposal must obtain a UEI and register in Research.gov,
however, they do not need to be registered in SAM.
Chapter II: Proposal Preparation Instructions
•
Chapter II.B, NSF Disclosure Requirements, incorporates a new section describing
specific NSF disclosures, the sections of the PAPPG they apply to and the consequences
for violating these requirements.
•
Chapter II.D.1.d, Proposal Certifications Provided by the Organization, was modified
to include a new certification by the AOR relating to the William M. (Mac) Thornberry
National Defense Authorization Act for Fiscal Year 2021 requiring that senior personnel
are made aware of the certification requirements required by the Act.
•
Chapter II.D.1.e, Certification Requirement for Senior Personnel Specified in the
William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year
2021, is a new certification requiring senior personnel to certify that the information
provided in their Biographical Sketch and Current and Pending Support documents are
accurate, current, and complete.
•
Chapter II.D.2, Sections of the Proposal, identifies two new checkboxes on the NSF
Cover Sheet: Potential Life Sciences Dual Use Research of Concern (DURC); and Plan
for Safe and Inclusive Field/Vessel/Aircraft Research (PSI-FVAR).
•
Chapter II.D.2.f(vi)(e), Subawards, has been clarified regarding the need to obtain prior
NSF approval if a subaward organization has changed after an award has been made.
•
Chapter II.D.2.f(viii), Indirect Costs, has been revised to provide greater clarity for
organizations that do not have a current negotiated indirect cost rate agreement and wish
to request indirect cost rate recovery above the 10% de minimus rate.
•
Chapter II.D.2.h(i), Biographical Sketch(es), has been revised to increase
standardization with the Common Disclosure Form for the Biographical Sketch that has
been developed in compliance with NSPM-33 Implementation Guidance. NSF has made
every effort to mirror the Common Form. Due to timing disparities between the issuance
of the Common Form and the PAPPG, however, it is possible that variances may occur.
This section also has been revised to require the use of SciENcv for the preparation of
this document (which will go into effect in October 2023).
•
Chapter II.D.2.h(ii), Current and Pending (Other) Support, has been revised to
increase standardization with the Common Form for Current and Pending (Other) Support
that has been developed in compliance with NSPM-33 Implementation Guidance. NSF
has made every effort to mirror the Common Form. Due to timing disparities between the
issuance of the Common Form and the PAPPG, however, it is possible that variances may
occur. This section also has been revised to require the use of SciENcv for the preparation
of this document (which will go into effect in October 2023). Also, in accordance with
NSPM-33 Implementation Guidance, NSF program officers will request updated Current
and Pending (Other) Support prior to making a funding recommendation.
•
Chapter II.D.2.i(xi), Plan for Safe and Inclusive Field/Vessel/Aircraft Research (PSIFVAR), includes a new requirement to address submission of the PSI-FVAR. Each
proposal that proposes to conduct research in the field including on research vessels and
aircraft, must include a PSI-FVAR as a two-page supplementary document. This new
requirement identifies NSF’s expectations, as well as the content requirements for this
supplementary document.
•
Chapter II.E.5, Proposals Involving Human Subjects, provides greater flexibility in the
form that a determination notice must take. The section also clarifies that a PI may conduct
preliminary work that does not involve human subjects while the protocol is being
developed or under review, consistent with organizational guidelines.
•
Chapter II.E.6, Potential Life Sciences Dual Use Research of Concern (DURC), has
been updated with new requirements for situations where a decision has been made to
fund a proposal and use of a select agent is identified. Additional language also has been
added to specify that NSF will not fund research that involves the creation, transfer, or use
of enhanced potential pandemic pathogens except under special circumstances.
•
Chapter II.F, Other Types of Proposals, includes the requirement to submit a Concept
Outline prior to the submission of a full proposal via the Program Suitability and Proposal
Concept Tool (ProSPCT) for the following proposal types: Planning, Rapid Response
Research (RAPID), Early-concept Grants for Exploratory Research (EAGER), and
Research Advanced by Interdisciplinary Science and Engineering (RAISE).
•
Chapter II.F.5, Grant Opportunities for Academic Liaison with Industry (GOALI)
Proposal, has been modified to permit non-SBIR small businesses to receive funding and
includes specific guidance on the eligibility of small business to receive funding under a
GOALI award.
Chapter VII: Award Administration
•
Chapter VII.D, Technical Reporting Requirements, has been clarified to indicate when
NSF required reports become overdue.
Chapter IX: Recipient Standards
•
Chapter IX.B.1, Responsible and Ethical Conduct of Research (RECR), has been
amended to apply the requirement to provide appropriate training and oversight in the
responsible and ethical conduct of research to undergraduate students, graduate
students, postdoctoral researchers, faculty, and other senior personnel. The revised
section also identifies specific areas of applicability.
•
Chapter IX.C, Research Security, has been added as a new section on NSF policy on
research security including overall goals of NSF’s research security initiatives,
organizational requirements for post-award disclosure of current support and in-kind
contribution information, and when PIs and co-PIs must update current support in annual
and final project reports.
Chapter X: Allowability of Costs
•
Chapter X.C.1, Build America, Buy America, and Made in America Statutes,
incorporates information about the Build America, Buy America provisions of the
Infrastructure Investment and Jobs Act.
•
Chapter X.D.2, NSF Cognizant Organizations, includes additional information for when
NSF is the cognizant agency for indirect costs.
Chapter XI: Other Post Award Requirements and Considerations
•
Chapter XI.B.1, Protection of Living Organisms, includes clarifying language for when
IRB approval is required for awards involving human subjects.
•
Chapter XI.B.5, Potential Life Sciences Dual Use Research of Concern (DURC),
includes additional information for recipients on DURC policy requirements.
•
Chapter XI.J, Historic Properties, provides clarifying language on research on historic
properties as required by the National Historic Preservation Act (NHPA).
•
Chapter XI.K, Environmental Considerations, incorporates language on anticipated
and unanticipated environmental impacts.
•
Chapter XI.M, Scientific Integrity, includes a new section on NSF scientific integrity for
organizations and individuals, as well as identifying appropriate NSF offices to report
allegations regarding failures to adhere to scientific integrity principles. The new section
also reminds organizations and individuals that the principles and requirements that
support scientific integrity are integral to multiple topics specified in the PAPPG.
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-Recipient 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.
Broad Agency Announcements (BAAs) ...................................................................................... I-3
5.
Dear Colleague Letters (DCLs) ................................................................................................... I-3
Types of Submissions .............................................................................................................................. I-3
1.
Concept Outlines ......................................................................................................................... I-3
2.
Letters of Intent (LOIs) ................................................................................................................ I-3
3.
Preliminary Proposals ................................................................................................................. I-4
a.
Invite/Not Invite Decisions .............................................................................................. I-4
b.
Encourage/Discourage Decisions .................................................................................. I-4
4.
Full Proposals .............................................................................................................................. I-5
Who May Submit Proposals ..................................................................................................................... I-5
Categories of Proposers........................................................................................................................... I-6
When to Submit Proposals ....................................................................................................................... I-8
1.
Target Dates ................................................................................................................................ I-8
2.
Deadline Dates ............................................................................................................................ I-8
3.
Submission Windows .................................................................................................................. I-8
Special Exceptions to NSF’s Deadline Date Policy ................................................................................. I-8
Natural or Anthropogenic Events ............................................................................................................ I-8
Closure of NSF ......................................................................................................................................... I-9
How to Submit Proposals ......................................................................................................................... I-9
1.
Submission Instructions .............................................................................................................. I-9
2.
Requirements Relating to Unique Entity Identifier (UEI)and
Registration in the System for Award Management (SAM) .................................................. ..... I-9
3.
NSF ID ...................................................................................................................................... I-10
4.
Proposal Receipt ....................................................................................................................... I-10
Proposal Processing .............................................................................................................................. I-10
Proposal & Award
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NSF 22-1
Chapter II:
A.
B.
C.
D.
Proposal Preparation Instructions .........................................................................II-1
Conformance with Instructions for Proposal Preparation........................................................................ II-1
1.
Deviations from NSF Proposal Preparation and Submission Requirements ............................. II-1
2.
Requests for Reasonable and Accessibility Accommodations .................................................. II-1
NSF Disclosure Requirements ................................................................................................................ II-2
Format of the Proposal ............................................................................................................................ II-3
1.
Proposal Pagination Instructions ................................................................................................ II-4
2.
Proposal Font, Spacing and Margin Requirements ................................................................... II-4
3.
Page Formatting ......................................................................................................................... II-4
Proposal Contents ................................................................................................................................... II-5
1.
Single-Copy Documents ............................................................................................................ II-5
a.
Authorization to Deviate from NSF Proposal Preparation Requirements ..................... II-5
b.
List of Suggested Reviewers or Reviewers Not to Include ........................................... II-5
c.
Proprietary or Privileged Information............................................................................. II-5
d.
Proposal Certifications Provided by the Organization................................................... II-5
e.
Certification Provided by Senior Personnel .................................................................. II-7
f.
Submission of Proposals by Former NSF Staff ............................................................ II-7
2.
Sections of the Proposal ............................................................................................................ II-7
a.
Cover Sheet .................................................................................................................. II-8
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-12
(iii)
Results from Prior NSF Support..................................................................... II-12
(iv)
Unfunded Collaborations ................................................................................ II-13
(v)
Group Proposals ............................................................................................ II-13
(vi)
Proposals for Renewed Support .................................................................... II-13
e.
References Cited......................................................................................................... II-13
f.
Budget and Budget Justification.................................................................................. II-13
(i)
Salaries and Wages ....................................................................................... II-14
(a)
Senior Personnel Salaries & Wages Policy ......................................II-14
(b)
Administrative and Clerical Salaries & Wages Policy .......................II-14
(c)
Procedures ........................................................................................ II-15
(d)
Confidential Budgetary Information ...................................................II-15
(ii)
Fringe Benefits ............................................................................................... II-15
(iii)
Equipment ...................................................................................................... II-15
(iv)
Travel .......................................................................................................... II-16
(a)
General ............................................................................................. II-16
(b)
Domestic Travel ................................................................................ II-16
(c)
Foreign Travel ................................................................................... II-16
(v)
Participant Support ......................................................................................... II-16
(vi)
Other Direct Costs .......................................................................................... II-17
(a)
Materials and Supplies (including Costs of Computing Devices) .....II-17
(b)
Publication/Documentation/Dissemination........................................II-18
(c)
Consultant Services (also referred to as Professional
Service Costs) ................................................................................... II-18
(d)
Computer Services ............................................................................ II-18
(e)
Subawards ........................................................................................ II-18
(f)
Other ............................................................................................. II-19
(vii)
Total Direct Costs ........................................................................................... II-19
(viii)
Indirect Costs ................................................................................................. II-19
(ix)
Total Direct and Indirect Costs ....................................................................... II-20
(x)
Fees
.......................................................................................................... II-20
(xi)
Amount of This Request ................................................................................. II-20
(xii)
Cost Sharing................................................................................................... II-20
Proposal & Award
Policies & Procedures Guide
ii
NSF 22-1
(xiii)
E.
F.
Allowable and Unallowable Costs .................................................................. II-21
(a)
Entertainment .................................................................................... II-21
(b)
Meals and Coffee Breaks .................................................................. II-22
(c)
Alcoholic Beverages .......................................................................... II-22
(d)
Home Office Workspace ................................................................... II-22
(e)
Prohibition on Certain Telecommunications and
Video Surveillance Services or Equipment .......................................II-22
g.
Facilities, Equipment and Other Resources ................................................................ II-22
h.
Senior Personnel Documents ..................................................................................... II-23
(i)
Biographical Sketch(es) ................................................................................. II-23
(a)
Senior Personnel ............................................................................................ II-23
(b)
Other Personnel ............................................................................................. II-26
(c)
Equipment Proposals .................................................................................... II-26
(ii)
Current and Pending Support ........................................................................ II-26
(iii)
Collaborators & Other Affiliations Information ................................................II-30
i.
Special Information and Supplementary Documentation ............................................II-31
(i)
Postdoctoral Researcher Mentoring Plan ......................................................II-32
(ii)
Plans for Data Management and Sharing of the Products of Research ........II-32
(iii)
Rationale for Performance of All or Part of the Project Off-campus
or Away from Organizational Headquarters ...................................................II-33
(iv)
Documentation of Collaborative Arrangements of Significance to the
Proposal through Letters of Collaboration .....................................................II-33
(v)
Federal Environmental Statutes ..................................................................... II-33
(vi)
Antarctic Proposals ........................................................................................ II-33
(vii)
Research in a Location Designated, or Eligible to be Designated,
a Registered Historic Place ............................................................................ II-33
(viii)
Research Involving Field Experiments with Genetically Engineered
Organisms ...................................................................................................... II-33
(ix)
Documentation Regarding Research Involving the Use of
Human Subjects, Hazardous Materials, Live Vertebrate Animals,
or Endangered Species .................................................................................. II-33
(x)
Special Components in New Proposals or in Requests for
Supplemental Funding ................................................................................... II-33
(xi)
Plan for Safe and Inclusive Field/Vessel/Aircraft Research (PSI-FVAR) ......II-34
j.
Appendices .................................................................................................................. II-35
Special Processing Instructions ............................................................................................................ II-35
1.
Proprietary or Privileged Information........................................................................................ II-35
2.
Beginning Investigators (applies to proposals submitted to the Biological
Sciences Directorate only) ....................................................................................................... II-36
3.
Collaborative Proposals ........................................................................................................... II-36
4.
Proposals Involving Live Vertebrate Animals ........................................................................... II-38
5.
Proposals Involving Human Subjects ....................................................................................... II-39
6.
Potential Life Sciences Dual Use Research of Concern (DURC) ............................................II-40
7.
Projects Requiring High-Performance Computing Resources, Data Infrastructure or
Advanced Visualization Resources .......................................................................................... II-41
8.
International Activities .............................................................................................................. II-42
Other Types of Proposals...................................................................................................................... II-42
1.
Planning Proposal .................................................................................................................... II-43
2.
Rapid Response Research (RAPID) ........................................................................................ II-44
3.
EArly-concept Grants for Exploratory Research (EAGER) ......................................................II-45
4.
Research Advanced by Interdisciplinary Science and Engineering (RAISE) ..........................II-46
5.
Grant Opportunities for Academic Liaison with Industry (GOALI) ...........................................II-47
6.
Ideas Lab .................................................................................................................................. II-49
7.
Facilitation Awards for Scientists and Engineers with Disabilities (FASED) ............................II-50
8.
Career Life Balance (CLB) Supplemental Funding Requests .................................................II-52
9.
Conference Proposal................................................................................................................ II-53
10.
Equipment Proposal ................................................................................................................. II-56
11.
Travel Proposal ........................................................................................................................ II-57
Proposal & Award
Policies & Procedures Guide
iii
NSF 22-1
12.
13.
Exhibit II-1:
Exhibit II-2
Exhibit II-3:
Center Proposal ....................................................................................................................... II-59
Research Infrastructure Proposal ............................................................................................ II-59
Proposal Preparation Checklist ................................................................................................ II-60
Potentially Disqualifying Conflicts of Interest ........................................................................... II-65
Definitions of Categories of Personnel ..................................................................................... II-66
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 Decision to Award or Decline Proposals ..................................................................................... III-5
G.
Review Information Provided to PI ......................................................................................................... III-6
H.
Release of Recipient Proposal Information ............................................................................................ III-7
Exhibit III-1:
NSF Proposal & Award Process & Timeline ............................................................................. III-8
Chapter IV:
A.
B.
C.
D.
E.
Proposal Withdrawal ............................................................................................................................. IV-1
Proposal 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 NSF Assistance Awards
Chapter VI:
NSF Awards ........................................................................................................... VI-1
A.
B.
C.
D.
E.
Acceptance of Assistance Agreements ................................................................................................. VI-1
Award Instrument .................................................................................................................................. VI-1
NSF Award Conditions .......................................................................................................................... VI-1
NSF Award Periods ............................................................................................................................... VI-2
1.
Definitions ................................................................................................................................. VI-2
2.
Significance of Award Period ................................................................................................... VI-2
3.
Changes in an Award 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.
Cooperative Agreement Increments ........................................................................................ VI-4
5.
Supplemental Support .............................................................................................................. VI-4
Chapter VII: Award Administration .......................................................................................... VII-1
Proposal & Award
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iv
NSF 22-1
A.
B.
C.
D.
E.
Monitoring Project Performance ........................................................................................................... VII-1
1.
Recipient Responsibilities ....................................................................................................... VII-1
2.
Recipient 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, co-PI or Person-Months Devoted to the .................................................................
Project at the Initiation of the Recipient Organization ............................................................. VII-2
a.
Long-Term Disengagement of PI or co-PI ................................................................ VII-3
b.
Changes in Person-Months Devoted to the Project ................................................... VII-3
c.
Addition of co-PI ......................................................................................................... VII-3
d.
Withdrawal of PI or co-PI .......................................................................................... VII-3
e.
Substitute (Change) PI or co-PI ................................................................................ VII-4
f.
Disposition of an Award When a PI Transfers from One Organization to Another
Organization ............................................................................................................... VII-4
3.
Changes in PI, co-PI, 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
5.
Postaward Additions of Postdoctoral Scholars. ...................................................................... VII-6
Cost Sharing .................................................................................................................................... VII-6
Technical Reporting Requirements ...................................................................................................... VII-7
1.
Annual Project Reports ........................................................................................................... VII-8
2.
Final Annual Project Report .................................................................................................... VII-8
3.
Project Outcomes Report for the General Public .................................................................... VII-9
4.
Compliance with Technical Reporting Requirements ........................................................... VII-10
5.
Award Closeout ..................................................................................................................... VII-10
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 Recipients .................................................................................................. VIII-4
5.
Working Capital Advance ....................................................................................................... VIII-4
6.
Recipient 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-5
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.
Recipient 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
Research Security ................................................................................................................................. IX-4
Financial Management Systems Standards.......................................................................................... IX-5
Proposal & Award
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NSF 22-1
E.
F.
Property Management Standards ......................................................................................................... IX-5
1.
Title to Equipment .................................................................................................................... IX-5
2.
Conditions for Acquisition and Use of Property and Equipment .............................................. IX-5
3.
Property Management Requirements for Federally-owned Property ...................................... IX-6
4.
Principles Relating to Use of NSF-Supported Research Instrumentation & Facilities ............. IX-6
5.
Excess Government Personal Property ................................................................................... IX-7
Procurement Standards ...................................................................................................................... IX-10
Chapter X:
A.
B.
C.
D.
E.
F.
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-3
1.
Compensation – Personal Services .......................................................................................... X-3
a.
Salaries and Wages ..................................................................................................... X-3
b.
Fringe Benefits ............................................................................................................. X-3
2.
Intra-University (IHE) Consulting .............................................................................................. X-3
3.
Federal Employees ................................................................................................................... X-3
Other Direct Costs .................................................................................................................................. X-4
1.
Build America, Buy America, and Made in America Statutes ................................................... X-4
2.
News Release Costs ................................................................................................................. X-4
3.
Travel and Temporary Dependent Care Costs ......................................................................... X-4
Indirect Costs ......................................................................................................................................... X-5
1.
NSF Policy ................................................................................................................................. X-5
2.
NSF Cognizant Organizations ................................................................................................... X-6
Fee Payments under NSF Awards ......................................................................................................... X-6
Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment ............... X-7
Chapter XI:
A.
B.
C.
D.
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-5
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.
Live Vertebrate Animals ........................................................................................................... XI-7
4.
Government Permits and Activities Abroad ............................................................................. XI-8
5.
Potential Life Sciences Dual Use Research of Concern (DURC) ............................................ XI-8
Construction, Rearrangements and Reconversions ............................................................................. XI-9
1.
Davis-Bacon Act ....................................................................................................................... XI-9
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-16
3.
Special Patent and Copyright Situations ................................................................................ XI-17
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E.
F.
G.
H.
I.
J.
K.
L.
M.
N.
4.
Dissemination and Sharing of Research Results ................................................................... XI-18
5.
Tangible Property ................................................................................................................... XI-18
Publication/Distribution of Award Materials XI-19
1.
NSF Policy .............................................................................................................................. XI-19
2.
Costs ...................................................................................................................................... XI-19
3.
Responsibilities ...................................................................................................................... XI-19
4.
Recipient Obligations ............................................................................................................. XI-19
International Considerations ............................................................................................................... XI-20
1.
Travel to Foreign Countries .................................................................................................... XI-20
a.
Policy ......................................................................................................................... XI-20
b.
Use of U.S.-Flag Air Carriers .................................................................................... XI-20
c.
Use of Foreign-Flag Air Carriers ............................................................................... XI-21
2.
Charter Flights ........................................................................................................................ XI-22
3.
Projects in a Foreign Country ................................................................................................. XI-22
4.
Passports and Visas............................................................................................................... XI-22
Intergovernmental Review of Federal Programs ................................................................................ XI-22
Handling of Information ....................................................................................................................... XI-23
1.
Questionnaires: Data Collection Under NSF Awards ........................................................... XI-23
2.
Release of Information by NSF .............................................................................................. XI-23
Tax Status ........................................................................................................................................... XI-24
Historic Properties ............................................................................................................................... XI-24
Environmental Considerations ............................................................................................................ XI-24
National Security ................................................................................................................................. XI-24
Scientific Integrity ................................................................................................................................ XI-24
Miscellaneous ...................................................................................................................................... XI-25
1.
Liabilities and Losses ............................................................................................................. XI-25
2.
Pre-College Students and Experimental Curriculum Development Projects ......................... XI-25
3.
Use of Metric Measurements ................................................................................................. XI-26
Chapter XII: Award 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 Award Administration Disputes ........................................................................ XII-3
Research Misconduct .......................................................................................................................... XII-4
1.
NSF Policies and Responsibilities ........................................................................................... XII-4
2.
Role of Recipients ................................................................................................................... XII-5
3.
Reporting Possible Misconduct ............................................................................................... XII-6
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 highly encourages the leadership, partnership, and contributions of individuals who are members of groups
underrepresented and/or underserved in STEM education programs and careers in all NSF opportunities. This
includes leading and designing STEM research and education proposals for funding; serving as peer reviewers,
advisory committee members, and/or committee of visitor members; and serving as NSF leadership, program, and/or
administrative staff. NSF strongly promotes and expects that all individuals, including those from groups that are
underrepresented and/or underserved in STEM are treated equitably and inclusively in the Foundation’s proposal
and award process.
NSF encourages institutions of higher education (IHEs) that enroll, educate, graduate, and employ individuals who
are members of groups underrepresented and/or underserved in STEM education programs and careers to lead,
partner, and contribute to NSF opportunities, including leading and designing STEM research and education
proposals for funding.
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 IHEs 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. Biological
research on mechanisms of disease in humans, including on the etiology, diagnosis, or treatment of disease or
disorder, is normally not supported. Biological research to develop animal models of such conditions, or the
development or testing of procedures for their treatment, also are not normally eligible for support. However, research
with etiology, diagnosis- or treatment-related goals that advances knowledge in engineering, mathematical,
physical, computer, or information sciences is eligible for support. Bioengineering and assistive information
technology research to aid persons with disabilities also are eligible. The agency operates no laboratories itself but
does support National Research Centers, user facilities, certain oceanographic vessels, and Antarctic research
stations. See Funding and Awards on the NSF website for additional information.
NSF receives more than 43,600 proposals each year for research, education, and training projects, of which
approximately 11,300 are funded. In addition, the Foundation receives more than 13,000 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 Foundation also supports cooperative research between IHEs and industry, technical research and development
on innovations from the small business community, U.S. participation in international scientific and engineering
1
For purposes of this Guide, the term “proposal” is interchangeable with the term “application.”
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efforts, and educational activities at every academic level. For example, the Directorate for Technology, Innovation
and Partnerships (TIP) collaborates with all the NSF directorates to advance critical and emerging technologies
addressing societal and economic challenges and opportunities; accelerate the translation of research results from
the lab to market and society; and cultivate new education pathways leading to a diverse skilled technical workforce
comprising researchers, practitioners, technicians, and entrepreneurs. TIP accomplishes these objectives by
catalyzing strategic partnerships that link IHEs, industry, government, nonprofits, civil society, and communities of
practice to cultivate innovation ecosystems throughout the U.S., growing regional economies, creating the jobs of the
future, and enhancing the Nation’s long-term competitiveness. Through TIP, 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 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 an IHE with divisions/offices for the various disciplines and fields of science and
engineering and for STEM 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.
Recipients 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 Telecommunications Device for the Deaf (TDD) 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. TDD 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.
The PAPPG 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 must 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 the Foundation’s awards. Coverage includes the NSF award process, from issuance and
administration of an NSF award through closeout. Guidance is provided regarding other award 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 awards
and is issued pursuant to the authority of Section 11(a) of the NSF Act (42 USC §1870). When NSF award
general terms and 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 or other arrangements. For information relating to NSF contracts or
other arrangements, consult the manuals and guidance maintained by the Division of Acquisition and Cooperative
Support (DACs).
General information about NSF programs may be found on the NSF website. 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. Program
deadline and target date information also appears in individual funding opportunities and on relevant NSF
Division/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 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 SAM.gov site:
47.041
47.049
47.050
47.070
47.074
47.075
47.076
47.078
2
-- Engineering
-- Mathematical and Physical Sciences
-- Geosciences
-- Computer and Information Science and Engineering
-- Biological Sciences
-- Social, Behavioral and Economic Sciences
-- Education and Human Resources
-- Polar Programs
See Chapter VI.C. for additional information on NSF award terms and conditions.
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47.079 -- Office of International Science & Engineering
47.083 -- Office of Integrative Activities
47.084 – Technology, Innovation & Partnerships
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
BAA
BAAM
BFA
CA
CAFATC
CAP
CAPTC
CEQ
CFR
CGI
CLB
CMIA
COA
COI
co-PI
CSA
CSB
DACS
DAS
DCL
DD
DFM
DGA
DHHS
DIAS
DOC
DoED
DUNS
DURC
EAGER
EFT
EEO
E.O.
F&A
FAPIIS
FAQs
FAR
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
Broad Agency Announcement
Broad Agency Announcement
Management System
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
Career-Life Balance
Cash Management Improvement Act
Collaborators and Other Affiliations
Conflict of Interest
co-Principal Investigator
Cooperative Support Agreement
Cooperative Support Branch
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
Department of Education
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
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FASED
FDP
FEMA
FFRDC
FIRS
FOIA
FOP
FWA
GC-1
GOALI
GPO
GSA
IACUC
IBC
IHE
IPA
IRB
IRS
ISE
LEP
LFO
LOI
MREFC
NASEM
NDAA
NEPA
NIH
NSB
NSF
OECR
OGC
OHRP
OIA
OIG
OLAW
OMB
ONR
PAPPG
PHS
PI
PNAG
PO
POR
ProSPCT
R&D
Facilitation Awards for Scientists and
Engineers with Disabilities
Federal Demonstration Partnership
Federal Emergency Management
Agency
Federally Funded Research and
Development Centers
Federal Information Relay Service
Freedom of Information Act
Federally-owned 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 Research Equipment and Facilities
Construction Account
National Academies of Sciences,
Engineering and Medicine
National Defense Authorization Act
National Environmental Policy Act
National Institutes of Health
National Science Board
National Science Foundation
Office of Equity and Civil Rights
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
Public Health Service
Principal Investigator
Prospective New Awardee Guide
Program Officer
Project Outcomes Report for the
General Public
Program Suitability and Proposal
Concept Tool
Research & Development
NSF 23-1
RAISE
RAM
RAPID
RECR
REU
RIG
ROA
RTC
RUI
SAM
SBA
SBIR
Research Advanced by Interdisciplinary
Science and Engineering
Resolution and Advanced Monitoring
Branch
Rapid Response Research
Responsible and Ethical Conduct of
Research
Research Experiences for
Undergraduates
Research Infrastructure Guide
Research Opportunity Awards
Research Terms and Conditions
Research in Undergraduate Institutions
System for Award Management
Small Business Administration
Small Business Innovation Research
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SF
SPO
SSN
STEM
STTR
TDD
TIP
TTY
UEI
URL
USC
USDA
VSEE
Standard Form
Sponsored Projects Office
Social Security Number
Science, Technology, Engineering and
Mathematics
Small Business Technology Transfer
Telephonic Device for the Deaf
Directorate for Technology, Innovation
and Partnerships
Text Telephone
Unique Entity Identifier
Uniform Resource Locator
United States Code
U.S. Department of Agriculture
Visiting Scientist, Engineer or Educator
NSF 23-1
D.
Definitions & NSF-Recipient Relationships
1.
Definitions
a.
An award means an NSF grant or cooperative agreement.
b.
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 award requirements.
c.
A Grant Agreement means a legal instrument of financial assistance between NSF and a recipient
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 recipient 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 recipient in carrying out the activity contemplated by the NSF award.
NSF makes 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.
d.
A Cost Reimbursement Award means a type of award under which NSF agrees to reimburse the
recipient for work performed and/or costs incurred by the recipient up to the total amount specified in the
award. 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 awards are normally cost reimbursement type awards.
e.
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 recipient and NSF. Accountability is
based primarily on performance and results. See 2 CFR §§200.102(c), 200.201(b), and 200.333 for
additional information.
f.
A Cooperative Agreement means a legal instrument of financial assistance between NSF and a
recipient 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 recipient 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 grant in that it provides for substantial involvement between NSF and the
recipient in carrying out the activity contemplated by the NSF award.
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In the case of NSF, grants and cooperative agreements involve the support or stimulation of scientific and
engineering research, science and engineering education or other related activities. NSF is authorized to
use grants and cooperative agreement for this purpose. Grants, however, are the primary mechanism of
NSF support.
g.
Principal Investigator (PI) – see PAPPG Exhibit II-3, Definitions of Categories of Personnel. For
purposes of this document, when used throughout, the term Principal Investigator also includes Project
Director and the term co-Principal Investigator also include co-Project Director.
h.
Recipient - means an entity that receives an award directly from NSF. The term recipient does not
include subrecipients or individuals that are beneficiaries of the award. NSF awards are normally made to
organizations rather than to the PI and any co-PIs identified on a proposal. Categories of eligible proposers
may be found in Chapter I.E.
2.
NSF-Recipient 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 recipient 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 award. NSF will monitor progress and assure compliance
with applicable standards.
(2)
The recipient 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 award. (See Chapter VI.B
for the documents that comprise an NSF award.)
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 recipient. 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
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operations of major in-house university facilities and major instrumentation development, and projects in
which NSF participates with other stakeholder agencies or organizations that have influence over project
direction and/or development.
Under a cooperative agreement, the recipient 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 recipient. 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 recipient 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 recipient 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 recipient 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 recipient community. Consult the NSF website 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 award recipients, NSF Directorates/Offices, and others within the scientific research
and education communities. DGA also maintains a leadership role in the Federal award arena.
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Grants & Agreements Officers have delegated warrant authority to issue awards on behalf of the
Foundation and their approval constitutes a legal obligation of Federal funds for recipients to expend to
fulfill the scope of the approved proposal. In addition, Grants and Agreement Officers are responsible for
issuing all award amendments and certain post-award prior approvals, for monitoring recipient 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 transition to use of 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 recipients. Its major functions include: pre-award reviews of new recipients, Phase II research projects
involving small businesses; budgets of large-scale awards; and indirect cost rate negotiation. CAP provides
guidance to recipients 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 recipients. RAM’s primary
responsibilities include: audit resolution, advanced monitoring to assess recipients’ administrative
capability, performance, and compliance with award terms and conditions; and review of certain post-award
adjustments to expenditures. RAM provides guidance recipients 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 tailored acquisition, contracts, other arrangements, and cooperative agreement award
solutions and support for the Foundation. The Contracts Branch is responsible for planning, solicitation,
negotiation, award, and administration of professional, research and development, and support contracts
for NSF. The Cooperative Support Branch (CSB) is responsible for planning, solicitation, negotiation,
award, and administration of cooperative agreements primarily focused on major facilities, including
Federally Funded Research and Development Centers (FFRDCs) and multi-organizational and
international programs, in all lifecycle stages and certain Mid-Scale Research Infrastructure Projects. CSB
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participates in NSF's Integrated Project Teams, business process reviews, risk assessments, advanced
cost analysis, oversight, and administrative assistance. The CSB Grants & Agreements Officers have
delegated warrant authority to issue awards on behalf of the Foundation, and their approval constitutes a
legal obligation of Federal funds for recipients to expend to fulfill the scope of the approved proposal. In
addition, Grants & Agreements Officers are responsible for issuing all award amendments and certain postaward prior approvals, for monitoring recipient compliance with award terms and conditions, and for the
administration and closeout of these awards. The DACS Policy Branch provides comprehensive
compliance oversight and operational policies to support the DACS mission.
6.
Division of Financial Management (DFM)
DFM is responsible for the financial policy and financial management of NSF. The Division is responsible
for recipient business office relationships and the payment of vendors. The Payments and Analytics Branch
of DFM is available to assist recipient 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: assistance awards 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 Equity and Civil Rights (OECR)
OECR is responsible for administering the Foundation's policies, practices and procedures related to
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 Equal Employment Opportunity (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. OECR also is 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, OECR serves as the Foundation's authority for receiving, processing, and coordinating the NSF
response to all notifications required by the Foundation’s Term and Condition entitled, “Notification
Requirements Regarding Sexual Harassment, Other Forms of Harassment, or Sexual Assault”. (See
Chapter XI.A for additional information.)
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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,
evaluators, and information technology specialists. OIG audits focus on the assistance awards 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 recipient 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 recipients, administrators, and NSF personnel, should contact the OIG, as specified at:
https://oig.nsf.gov/contact/hotline 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
Research.gov, Grants.gov, or the Broad Agency Announcement Management (BAAM) System. Further
information on each system is provided below.
Proposal Preparation and Submission via Research.gov. Research.gov may be used for proposal
preparation, submission, proposal file updates, and budgetary revisions. The policy and procedural
guidance contained in Part I of the PAPPG pertains to proposals submitted via Research.gov.
Proposal Preparation and Submission in the NSF FastLane System is being decommissioned. During the
transition, some parts of FastLane may be left open to support proposal review. Proposal file updates and
budget revisions can be made for FastLane-submitted proposals for a limited period.
Proposal Preparation and Submission via Grants.gov. Grants.gov may be used for proposal
preparation and submission. 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.
Proposal Preparation and Submission via NSF’s BAAM System. The BAAM system may be used for
proposal preparation, submission, proposal file updates, and some select post-award administrative
activities. Detailed information about the BAAM System is available from the BAAM website. The policy and
procedural guidance for submitting to NSF’s BAAM System will be provided in the relevant solicitation or in
the Broad Agency Announcement (BAA). (See also Section C. below for additional information).
B.
NSF Programs and Funding Opportunities
The NSF website provides the most comprehensive source of information on NSF Directorates/Offices
(including contact information), programs, and funding opportunities. See Section C below for more
information on Categories of Funding Opportunities. Use of this website by potential proposers is strongly
encouraged. In addition, "NSF Update" is an information-delivery system designed to keep potential
proposers and other interested parties apprised of new NSF funding opportunities and publications,
important changes in proposal and award policies and procedures, and upcoming NSF Grants
Conferences. Subscribers are informed each time new publications are issued that match their identified
interests.
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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.2) or preliminary proposal (see Chapter
I.D.3);
•
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); 3
•
requires cost sharing;
•
requires a limitation in indirect (Facilities & Administrative (F&A)) costs;
•
specifies additional award conditions and/or reporting requirements; and/or
•
anticipates use of a cooperative agreement.
3Unless
otherwise specified, the term “organization” refers to all categories of proposers.
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4.
Broad Agency Announcements (BAAs)
The term "Broad Agency Announcement" refers to a type of funding opportunity used by NSF for basic and
applied research, scientific study, and experimentation. Unless otherwise specified, NSF can choose to
fund proposals submitted in response to a BAA as grants, cooperative agreements, contracts, or other
arrangements. BAAs are broad in their subject matter and focus on advancing science rather than acquiring
specific products. See Federal Acquisition Regulation Part 35.016 for additional information.
5.
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: Planning,
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.
Concept Outlines
Some NSF proposal types (see Chapter II.E for additional information) or funding opportunities may require
submission of a Concept Outline prior to submission of a full proposal. A Concept Outline is a concise
summary of a project idea that contains information about the prospective PI(s), potentially germane NSF
organizational unit(s), project title, keywords, and brief narrative descriptions of the idea and fit to any
special criteria required for the proposal type or funding opportunity. The primary purposes of requiring a
Concept Outline are to ensure that the concept being proposed by the prospective PI is appropriate for the
proposal type/funding opportunity, and to help reduce the administrative burden associated with submission
of a full proposal. Concept Outlines are considered by cognizant NSF program officers to determine the
appropriateness of the work to the proposal type/funding opportunity. The prospective PI will receive an
email that specifies whether a full proposal may be submitted. Full proposals submitted without the requisite
“Program Officer Concurrence Email” for proposal types/funding opportunities requiring a Concept Outline
will be returned without review or not accepted. See Chapter II.E for additional information.
Concept Outlines also may be submitted at any time by prospective PIs seeking early feedback on the
general appropriateness and potentially relevant funding opportunities for a project idea prior to developing
a full proposal.
Concept Outlines are submitted either by email to a designated address or via the Program Suitability and
Proposal Concept Tool (ProSPCT). An NSF funding opportunity that requires a Concept Outline will provide
directions on use of email or ProSPCT and specific guidance on email formatting or the completion of the
webform to facilitate consistent identification and consideration of the respective Concept Outlines.
ProSPCT consists of a dashboard and webform for prospective PIs to prepare, send, and track the status
of their Concept Outline submissions. The ProSPCT webform uses drop-down selections, validations, and
text entry fields with character count limits to ensure users have provided the minimal complete information
and met consistent formatting requirements based on the selected proposal type prior to submitting the
Concept Outline. ProSPCT users must have a valid Login.gov account to access the tool.
2.
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
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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 PI’s names, a proposed title, a list of possible participating organizations (if
applicable), and a synopsis of one page 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 must 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.
3.
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
Research.gov. 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 the proposing 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.
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.
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4.
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 recipient 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) must 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, award and other business-related activities. Proposers are
encouraged to use the Metric System of weights and measures in proposals submitted to the Foundation.
Recipients 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
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.
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Categories of Proposers – The following describes the eligibility of specific categories of proposers. A
program solicitation, however, may apply more restrictive eligibility criteria.
1.
The following organizations in the following categories are eligible to submit proposals:
(a)
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. IHE (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” must be checked on the Cover Sheet if the
proposal includes funding for an international branch campus of a U.S. IHE.
(b)
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.
(c)
Tribal Governments The term “ tribal government” means the governing body of any Indian or
Alaska Native tribe, band, nation, pueblo, village, or community that the Secretary of the Interior
acknowledges to exist as an Indian tribe under the Federally Recognized Indian Tribe List Act of 1994 (25
U.S.C. 479a, et seq.)
2.
The following organizations may be eligible to submit proposals:
(a)
For-profit Organizations U.S.-based commercial organizations, including small businesses,
with strong capabilities in scientific or engineering research or education and a passion for innovation. An
unsolicited proposal from a for-profit 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 use-inspired
challenges and research resources with those of IHEs; therefore, the Foundation especially welcomes
proposals for cooperative projects involving both IHEs and industry. Specific NSF funding opportunities
also may make For-Profit Organizations eligible for submission of proposals to the Foundation. US-based
affiliates or subsidiaries of foreign organizations must contact the cognizant NSF program officer prior to
preparing and submitting a proposal to NSF.
(b)
State and Local Governments As programmatically necessary and as provided for in a
solicitation or BAA, State, and local governments may be eligible to submit proposals.
(c)
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 or foreign individual’s involvement
to be essential to the project and proposes to provide funding through the NSF budget (through a subaward
or consultant arrangement), the proposer must explain why support from the foreign counterpart’s incountry resources is not feasible and why the foreign organization or foreign individual can carry out the
activity more effectively than a U.S. organization or U.S. individual. In addition, the proposed activity must
demonstrate how one or more of the following conditions have been met:
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•
The foreign organization or foreign individual contributes unique expertise, organizational
capability, facilities, data resources, and/or access to a geographic location not generally available to U.S.
investigators (or which would require significant effort or time to duplicate); and/or
•
The foreign organization or foreign individual offers significant science and engineering education,
training, or research opportunities to the U.S.
Such information must be included in any proposal to NSF, including new and renewal proposals. The
information must be included in the project description section of the proposal. The box for "Funding of a
Foreign Organization or Foreign Individual" must be checked on the Cover Sheet if the proposal includes
funding for a foreign organization or foreign individual.
(d)
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 in advance of proposal submission:
•
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
the individual is a faculty member (or equivalent) of the IHE, although part of the individual’s salary may be
provided by the Federal agency. Preliminary inquiry must be made to the appropriate program before
preparing a proposal for submission.
3.
Unaffiliated individuals 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.
An individual submitting a proposal to an NSF Postdoctoral Fellowship solicitation is not considered an
unaffiliated individual.
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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. 4 Unless
otherwise stated in a program announcement or solicitation, proposals must be received by the specified
date. If the deadline date falls on a weekend, it will be extended to the following Monday; if the date falls on
a Federal holiday, it will be extended to the following business day. Proposals must be received by 5 p.m.
submitter's local time on the established deadline date. 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 occurrence of a natural or anthropogenic event, 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 Event - Flexibility in meeting announced deadline dates because of a natural or
anthropogenic event 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 must 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 must
be uploaded under Nature of Natural or Anthropogenic Event in the Single Copy Document section in
Research.gov. 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
Research.gov.
4A
listing of upcoming target dates and deadlines, sorted by date and by program area is available on the NSF website.
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Closure of NSF – When NSF is closed due to inclement weather or other reason 5, 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 in Chapter I.G.2 below.
2.
Requirements Relating to Unique Entity Identifier (UEI) and Registration in the
System for Award Management (SAM)
All proposers must provide a UEI 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 UEI. NSF will validate that each proposer’s UEI and SAM registration are active and valid prior
to allowing submission of a proposal to NSF. If a registration is not active, an organization will not be able
to submit a proposal. Additionally, if the registration is not revalidated annually and is not valid, NSF will
block any award approval actions. Organizations are responsible for maintaining their SAM registration and
UEI information.
Any subrecipients named in the proposal also are required to obtain a UEI and register in Research.gov.
Subrecipients named in the proposal, however, do not need to be registered in SAM. GSA has implemented
a process by which an organization that will only be a subrecipient may receive a UEI without undergoing
a complete SAM registration. See the SAM.gov website for additional information about registration and
UEI assignment.
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 Federal
financial 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. Proposers are advised that entity registration will become active after three to five business 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 recommended awards. Additionally, payments will not be able to be
processed and approved.
5 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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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 and/or
receive award payments. Note that if an organization’s registration lapses, it will take longer to reactivate
the registration than if the registration is still active when doing the revalidation and recertification.
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 pulled from SAM and used
by NSF to validate organizational information. All name and address changes must be handled via SAM.
NSF has no control over SAM and cannot override SAM data or statuses.
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., Research.gov) should not have more than one NSF ID. Users with more than one NSF ID should
contact the Help Desk at 1-800-381-1532 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 1-800381-1532 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 calendar days after the program
division/office makes its recommendation. Grants and cooperative agreements 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 recipient 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
1.
Deviations from NSF Proposal Preparation and Submission Requirements
Unless specified in a program solicitation, all proposals must comply with the proposal preparation
instructions contained in Part I of the PAPPG or the NSF Grants.gov Application Guide. Conformance will
be strictly enforced unless a written deviation authorization is received in advance of proposal submission
from the cognizant NSF Assistant Director/Office Head or designee. Such deviation authorizations must
be uploaded as a single-copy document and include the name, date, and title of the NSF official, and the
nature of the deviation authorized. (See section C.1 below for additional information.)
Except as noted above, NSF will not accept or will return without review proposals that are not consistent
with these instructions. See Chapter IV.B for additional information.
2.
Requests for Reasonable and Accessibility Accommodations
NSF is dedicated to fostering and maintaining a diverse and inclusive digital environment that eliminates
barriers and ensures our programs, systems, and services are accessible to everyone as required by
Section 508 of the Rehabilitation Act, as amended in 2017. Individuals with disabilities who need reasonable
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accommodations as part of the proposal process must contact the Office of Equity and Civil Rights’ (OECR)
Disability Program Manager (DPM) at [email protected] at least 30 calendar days prior to the proposal
deadline date. Individuals with disabilities who need accessibility accommodations to access NSF proposal
submission and award management systems, websites and other digital content must contact the NSF
Section 508 Compliance Officer at least 30 calendar days prior to the proposal deadline date. For
reasonable accommodation requests, NSF may request medical documentation signed and dated by the
proposer’s physician that describes a) the nature, severity, and duration of the impairment; b) the activities
the impairment limits; and c) why and how the particular reasonable accommodation requested will assist
the proposer.
The information provided in support of a reasonable accommodation request is confidential and available
only to designated agency staff that are responsible for providing and/or coordinating accommodation
services. Decisions on reasonable accommodations are made by the DPM, in concert with applicable
agency officials and based on the information provided. It is important to note that the desired request may
not always be the accommodation that is ultimately provided. NSF is not required to provide
accommodations that impose an “undue hardship” on the operation of the organization or that
fundamentally alter the nature of its programs or activities. Requests for reasonable or accessibility
accommodations may not include personal use items or extensions to proposal deadline dates. All
proposals must be received by the deadline date specified in the NSF funding opportunity.
B.
NSF Disclosure Requirements
As part of the proposal preparation and submission process, all senior personnel identified on a proposal
are required to submit information to assist reviewers and program staff in making informed
recommendations and funding decisions. These disclosures are provided in the following proposal sections:
•
•
•
Biographical Sketch; (see Chapter II,D.h(i));
Current and Pending Support (see Chapter II.D.h(ii); and
Collaborators and Other Affiliations (see Chapter II.D.h(iii)).
It is vital that submission of such disclosure information be taken seriously. The Biographical Sketch and
Current and Pending Support documents require the individual to certify that the information provided is
accurate, current, and complete. Violation of disclosure requirements may lead to criminal, civil, and/or
administrative consequences as may be deemed appropriate based upon the particular facts of the
violation. Violations will be thoroughly investigated by the NSF OIG and referred to criminal and/or civil
offices within the Department of Justice, when warranted.
Depending on the facts surrounding the violation, and consistent with due process requirements, NSF may
consider a range of actions. Such actions include, but are not limited to:
•
non-acceptance of a proposal submitted to NSF;
•
ensuring that individual(s) who violate these requirements are not permitted to perform work under
an NSF award;
•
ineligibility for participation as an NSF reviewer;
•
suspension or termination of an award; and/or
•
placement of the individual or research organization in the SAM or Federal Awardee Performance
and Integrity Information System (FAPIIS) to alert other agencies.
NSF will require senior personnel on potential awards to submit updated Current and Pending Support
information prior to award, as well as part of the annual and final reporting process, when applicable.
NSF may consider the following factors, where relevant and consistent with applicable laws and regulations,
in determining the appropriate consequences for violations of disclosure requirements:
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•
harm or potential harm to NSF, the Federal Government, U.S. taxpayers, and other national
interests;
•
intent of the offender;
•
the offender’s knowledge of requirements;
•
pattern of violation versus isolated incident;
•
existence and timing of self-disclosure;
•
policies, procedures, and training available to the offender; and
•
any other mitigating factors.
C.
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 setup wizard in Research.gov, the PI will be prompted to select the
applicable response that describes the nature and type of proposal being developed:
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Research (see Chapter II, Sections A through D);
Planning Proposal (see Chapter II.F.1);
Rapid Response Research (RAPID) (see Chapter II.F.2);
Early-concept Grants for Exploratory Research (EAGER) (see Chapter II.F.3);
Research Advanced by Interdisciplinary Science and Engineering (RAISE) (see Chapter II.F.4);
Grant Opportunities for Academic Liaison with Industry (GOALI) (see Chapter II.F.5);
Ideas Lab (see Chapter II.F.6);
Facilitation Awards for Scientists and Engineers with Disabilities (FASED) (see Chapter II.F.7);
Career-Life Balance (CLB) Supplemental Funding Requests (see Chapter II.F.8);
Conference (see Chapter II.F.9);
Equipment (see Chapter II.F.10);
Travel (see Chapter II.F.11);
Center (see relevant funding opportunity and Chapter II.F.12);
Research Infrastructure (see relevant funding opportunity and Chapter II.F.13); or
Fellowship (see relevant funding opportunity).
Whether the proposal is:
•
•
•
A collaborative proposal from one organization (see Chapter II.E.3.a);
A collaborative proposal from multiple organizations (see Chapter II.E.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 Research.gov.
Additional information on NSF auto-compliance checks is available on the NSF website.
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1.
Proposal Pagination Instructions
For proposals submitted via Research.gov, the system will automatically paginate a proposal. Each section
of the proposal that is uploaded as a file should leave out page numbering unless otherwise directed within
Research.gov.
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 6 (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.
6
Macintosh users also may use Helvetica and Palatino fonts.
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D.
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, these documents should be submitted in Research.gov. 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.
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. 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.E.1.
See also Chapter II.B. for additional information on Single Copy Documents.
d.
Proposal Certifications Provided by the Organization
Government-wide certifications and representations 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 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. 7
See also PAPPG Chapters II.F.8 and II.F.11 for additional information on proposal certifications.
The required NSF-specific proposal certifications are as follows:
(i)
Certification for Authorized Organizational Representative (AOR) or Individual Proposer:
The AOR is required to complete certifications regarding the accuracy and completeness of statements
contained in the proposal, as well as to certify that the organization (or individual) agrees to accept the
obligation to comply with award terms and conditions.
(ii)
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 the AOR’s knowledge, all financial
7
Detailed instructions for completion of this process are available in Research.gov.
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disclosures required by the conflict of interest policy were made; and that conflicts of interest, if any, were,
or prior to the organization’s expenditure of any funds under the award, will be, satisfactorily managed,
reduced or eliminated in accordance with the organization’s conflict of interest policy. Conflicts that cannot
be satisfactorily managed, reduced or eliminated, and research that proceeds without the imposition of
conditions or restrictions when a conflict of interest exists, must be disclosed to NSF via use of NSF’s
electronic systems.
(iii)
Certification Regarding Flood Hazard Insurance 8: 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 recipients located in FEMA-designated special
flood hazard areas are certifying that adequate flood insurance has been or will be obtained in the following
situations:
(1)
for NSF awards for the construction of a building or facility, regardless of the dollar amount of the
award; and
(2)
for other NSF awards when more than $25,000 has been budgeted in the proposal for repair,
alteration, or improvement (construction) of a building or facility.
Prospective recipients 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.
(iv)
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 undergraduate students, graduate students,
postdoctoral researchers, faculty, and other senior personnel who will be supported by NSF to conduct
research.
NSF’s RECR policy is available in Chapter IX.B. While training plans are not required to be included in
proposals submitted to NSF, institutions are advised that they are subject to review upon request. NSF has
provided funding to the Online Ethics Center for S&E, 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.
(v)
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.
(vi)
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.
8
This government-wide certification is not included in SAM and must be submitted as part of an NSF proposal.
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(vii)
Certification Requirement Specified in the William M. (Mac) Thornberry National Defense
Authorization Act for Fiscal Year 2021, Section 223(a)(1) (42 USC 6605(a)(1)): The AOR is required to
complete a certification that each individual employed by the organization and identified on the proposal as
senior personnel has been made aware of the certification requirements identified in the William M. (Mac)
Thornberry National Defense Authorization Act for Fiscal Year 2021, Section 223(a)(1) (42 USC
6605(a)(1)).
e.
Certification Requirement for Senior Personnel Specified in the William M. (Mac) Thornberry
National Defense Authorization Act for Fiscal Year 2021, Section 223(a)(1) (42 USC 6605(a)(1)): In
accordance with Section 223(a)(1) of the William M. (Mac) Thornberry National Defense Authorization
Act for Fiscal Year 2021 (42 USC 6605(a)(1)), senior personnel are required to certify in SciENcv that the
information provided in their Biographical Sketch and Current and Pending Support documents are
accurate, current, and complete.
Senior personnel are required to update their Current and Pending Support disclosures prior to award, and
at any subsequent time the agency determines appropriate during the term of the award.
False representations may be subject to prosecution and liability pursuant to, but not limited to, 18 U.S.C.
§§287, 1001, 1031 and 31 U.S.C. §§3729-3733 and 3802.
See additional information on NSF Disclosure Requirements in Chapter II.B.
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/recipient, 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
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 9, or being returned without
review. See Chapter IV.B for additional information.
A full research proposal must contain the following sections 10. Note that the NSF Grants.gov Application
Guide may use different naming conventions, and sections may appear in a different order than in
Research.gov, however, the content is the same:
a.
b.
c.
d.
e.
f.
9
Cover Sheet
Project Summary
Table of Contents
Project Description
References Cited
Budget and Budget Justification
Proposal Not Accepted is defined as Research.gov will not permit submission of the proposal by the AOR.
See Chapter II.F. for the proposal preparation requirements for other types of proposals submitted to NSF.
10
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g.
h.
i.
Facilities, Equipment and Other Resources
Senior Personnel Documents
(i)
Biographical Sketch(es)
(ii)
Current and Pending Support
(iii)
Collaborators and Other Affiliations (see also PAPPG Chapter II.D.1 for additional
information on submission of single copy documents
Special Information and Supplementary Documentation 11
(i)
Postdoctoral Mentoring Plan (if applicable)
(ii)
Data Management Plan
(iii)
Plan for Safe and Inclusive Field/Vessel/Aircraft Research (PSI-FVAR) (if applicable)
The proposal preparation instructions for Planning, 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 submitted 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 seven components of the Cover Sheet. The Cover Sheet data elements are as follows:
•
Requested Start Date and Proposal Duration
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. PIs should consult their 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.
•
Related Letter of Intent (LOI)
If an LOI was submitted, enter the LOI ID number that was issued upon submission.
•
Related Preliminary Proposal
If a preliminary proposal was submitted, and the organization was either invited or encouraged/discouraged
to submit a full proposal, provide the Preliminary Proposal Number.
•
Prime Organization
The information on the Awardee Organization is prefilled on the Cover Sheet based on the login information
entered. NSF uses the legal business name and physical address from the organizations’ SAM registration.
The awardee organization name, address, NSF organization code, UEI, 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.
See PAPPG Chapter II.D.2.i for additional information on submission of special information and supplementary
documentation.
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Organizations must identify their status by checking all the applicable boxes on the Cover Sheet:
o
For-profit organizations must be U.S.-based commercial organizations, including small
businesses, with strong capabilities in scientific or engineering research or education and a passion
for innovation. See PAPPG Chapter I.E.3 for additional information.
o
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.
o
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.
•
Primary Place of Performance
The Primary Place of Performance (PPoP) information will default to the organization’s physical address. If
the project will be performed at a location other than the awardee organization, provide the following
information (where applicable).
o
Organization Name (identify the organization name of the primary site where the work will
be performed, if different than the awardee);
o
Country
o
Street Address;
o
City;
o
State/Territory; and
o
9-digit Postal Code.
Note that not all fields listed above are required. Research.gov specifies the fields that are required for
projects that will be performed at locations other than that of the proposing organization.
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.
•
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 space provided.
•
Other Information
If any of the following items on the Cover Sheet are applicable to the proposal being submitted, the relevant
box(es) must be checked.
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o
Beginning Investigator (See Chapter II.E.2) (Note: this box is applicable only to proposals
submitted to the Biological Sciences Directorate.)
o
Disclosure of Lobbying Activities (See Chapter II.D.1.d)
o
Proprietary or Privileged Information (See Chapter II.D.1.c and II.E.1)
o
Special Exceptions to the Deadline Date Policy (See Chapter I.F.3)
o
Historic Places (See Chapter II.D.2.i(vii))
o
Live Vertebrate Animals 12 (See Chapter II.E.4)
o
Human Subjects 13 (See Chapter II.E.5)
o
Funding of an International Branch Campus of a U.S. IHE (See Chapter I.E.1) – 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 below.
o
Funding of a Foreign Organization or Foreign Individual (See Chapter I.E.6) – 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 below.
o
International Activities Country Name(s) – each proposal that describes an international
activity, proposers should list the primary countries involved. 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.E.8)
o
Potential Life Sciences Dual Use Research of Concern (DURC) (See Chapters II.E.6 and
XI.B.5)
o
Plan for Safe and Inclusive Field/Vessel/Aircraft Research (PSI-FVAR) – For each proposal
that proposes to conduct research in the field, including on research vessels and aircraft, proposers
must include a PSI-FVAR as a supplementary document. Research in the field is defined as
data/information/samples being collected off-campus or off-site. If multiple field research
excursions (inclusive of multiple visits and/or sites) are proposed, only a single overarching PSIFVAR must be submitted. (See Chapter II.D.2.i(xi)).
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
12 If the proposal includes use of live vertebrate animals, supplemental information is required. See Chapter II.E.4. for
additional information.
13 If the proposal includes use of human subjects, supplemental information is required. See Chapter II.E.5. for
additional information.
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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.
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.D.2.i(ii) 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 or foreign individual (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.
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(ii)
Page Limitations and Inclusion of Uniform Resource Locators (URLs) within the Project
Description
Brevity will assist reviewers and Foundation staff in dealing effectively with proposals. Therefore, the Project
Description (including Results from Prior NSF Support, which is limited to five pages) may not exceed 15
pages. Visual materials, including charts, graphs, maps, photographs, and other pictorial presentations are
included in the 15-page limitation. PIs are cautioned that the Project Description must be self-contained,
and that URLs must not be used because: 1) the information could circumvent page limitations; 2) the
reviewers are under no obligation to view the sites; and 3) the sites could be altered or deleted between
the time of submission and the time of review.
Conformance to the 15-page limit will be strictly enforced and may not be exceeded unless a deviation has
been specifically authorized. (Chapter II.A contains information on deviations.)
(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.”
(e)
evidence of research products and their availability, including, but not limited to: data, publications,
samples, physical collections, software, and models, as described in any Data Management Plan;
and
(f)
if the proposal is for renewed support, a description of the relation of the completed work to the
proposed work.
If the project was recently awarded and therefore no new results exist, describe the major goals and broader
impacts of the project. Note that the proposal may contain up to five pages to describe the results. Results
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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.D.2.g) and documented
in a letter of collaboration from each collaborator. Such letters should be provided in the supplementary
documentation section of Research.gov and follow the format instructions specified in Chapter II.D.2.i.
Collaborative activities that are identified in the budget should follow the instructions in Chapter II.E.3.
(v)
Group Proposals
NSF encourages submission of proposals by groups of investigators; often these are submitted to carry out
interdisciplinary projects. Unless stipulated in a specific program solicitation, however, such proposals will
be subject to the 15-page Project Description limitation established in Section (ii) above. PIs who wish to
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.D.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.
Budget and Budget Justification
The proposal budget sets forth how much money the proposer is requesting, by category, to complete the
project. The budget justification provides a more detailed breakdown of proposed spending in each category
as well as a justification supporting the numbers provided in each budget category. This information is relied
upon by NSF in formulating the total award amount and final award budget that is incorporated into any
resultant award. (See PAPPG Chapter VI.B.1.)
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.D.2.f(vi)(e) for further instructions on proposals that contain
subawards. For collaborative proposals submitted by multiple organizations, each organization must
include a separate budget justification of no more than five pages.
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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 Research Infrastructure 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-3 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. 14
Under normal rebudgeting authority, as described in Chapters VII and X, a recipient can internally approve
an increase or decrease in person months devoted to the project after an award is made, even if doing so
results in salary support for senior personnel exceeding the two-month salary policy. No prior approval from
NSF is necessary 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:
(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 and Agreements Officer; and
(iv)
The costs are not also recovered as indirect costs.
NSF recipients 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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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.E.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. 15
(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 award funds may be requested to fund fringe benefits as a direct cost. These are typically determined
by application of a calculated fringe benefit rate for a particular class of employee (full time or part-time)
applied to the salaries and wages requested. They also may be paid based on actual costs for individual
employees if that institutional policy has been approved by the cognizant Federal agency. See 2 CFR
§200.431 for the definition and allowability of inclusion of fringe benefits on a proposal budget.
(iii)
Equipment (Line D on the Proposal Budget)
Equipment is defined as tangible personal property (including information technology systems) having a
useful life of more than one year and a per-unit acquisition cost which equals or exceeds the lesser of the
capitalization level established by the proposer for financial statement purposes, or $5,000. It is important
to note that the acquisition cost of equipment includes modifications, attachments, and accessories
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.
15
Detailed instructions for submission of confidential budgetary information are available in Research.gov.
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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 and 200.439 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. 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 and Agreements Officer. Temporary dependent
care costs above and beyond regular dependent care that directly result from travel to conferences are
allowable costs provided that the conditions established in 2 CFR §200.475 are met.
Allowance for air travel normally will not exceed the cost of round-trip, economy airfares. Persons traveling
under NSF awards 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. 16 Travel, meal,
and hotel expenses of recipient employees who are not on travel status are unallowable. Costs of
employees on travel status are limited to those specifically authorized by 2 CFR §200.475.
(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
connection with NSF-sponsored conferences or training projects. Any additional categories of participant
support costs other than those described in 2 CFR §200.1 (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.F.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.
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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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. 17 In training activities that involve off-site
field work, 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 costs budgeted as participant support unless the recipient’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, and computer and
vendor 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.
(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.
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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(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 to be conducted under the award. 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. 18
(c)
Consultant Services (also referred to as Professional Service Costs) (Line G3 on the
Proposal Budget) 19
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 2021 (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
provided either through approval specifically granted in the award notice or by receiving written prior
approval from the cognizant NSF Grants and Agreements Officer after an award is issued. If the subaward
organization is changed, prior approval of the new subaward organization must be obtained from the
cognizant NSF Grants and Agreements Officer.
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
18
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.
19 In the rare case of funding to a foreign organization or foreign individual, see Chapter I.E.6 for additional
requirements.
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.
21 In the rare case of funding to a foreign organization or foreign individual, see Chapter I.E.6 for additional
requirements.
20
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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 §200.331 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 required organizational determination.
NSF does not negotiate rates for organizations that are not direct recipients of NSF funding (e.g.,
subrecipients). Consistent with 2 CFR §200.332, NSF recipients must use the domestic subrecipient’s
applicable U.S. Federally negotiated indirect cost rate(s). If no such rate exists, the NSF recipient must
determine the appropriate rate in collaboration with the subrecipient. The appropriate rate will be: a
negotiated rate between the NSF recipient and the subrecipient; a prior rate negotiated between a different
pass-through entity and the same subrecipient, or the de minimis indirect cost recovery rate of 10% of
modified total direct costs.
It is also NSF’s expectation that NSF recipients will use foreign subrecipients’ applicable U.S. Federally
negotiated indirect cost rate(s). However, if no such rate exists, the NSF recipient will fund the foreign
subrecipient using the de minimis indirect cost rate recovery of 10% of modified total direct costs. See also
Chapter I.E.6. for additional requirements on issuance of a subaward or consultant arrangement to a foreign
organization or a foreign individual.
Proposers are responsible for ensuring that proposed subrecipient costs, including indirect costs, are
reasonable and appropriate.
(f)
Other (Line G6 on the Proposal Budget) 22
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
§200.331 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
In the rare case of funding to a foreign organization or foreign individual, see Chapter I.E.6 for additional
requirements.
22
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cost sharing policy. See section (xii) below. The amount for indirect costs must be calculated by applying
the current negotiated indirect cost rate(s) to the approved base(s), and such amounts must be specified
in the budget justification. Indirect cost recovery for IHEs is additionally restricted by 2 CFR §200, Appendix
III, paragraph C.7. which specifies Federal agencies are required to use the negotiated F&A rate that is in
effect at the time of the initial award throughout the life of the sponsored agreement. Additional information
on the charging of indirect costs to an NSF award is available in Chapter X.D.
Domestic proposing organizations that do not have a current negotiated rate agreement with a cognizant
Federal agency may choose to apply the de minimis rate of 10% to a base of modified total direct costs
(MTDC) as authorized by 2 CFR §200.414(f). No supporting documentation is required for proposed rates
of 10% or less of modified total direct costs. Organizations without a current negotiated indirect cost rate
agreement and that wish to request indirect cost rate recovery above 10% 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 or may issue a formally negotiated indirect cost rate agreement
(NICRA). The contents and financial data included in indirect cost proposals vary according to the makeup of the proposing organization. Instructions for preparing an indirect cost rate proposal can be found on
the NSF website. NSF formally negotiates indirect cost rates for the organizations for which NSF has rate
cognizance. NSF does not negotiate rates for entities that do not yet hold direct NSF funding, nor does NSF
negotiate rates for subrecipients.
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 recipients 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 23 is as follows:
Voluntary Committed and Uncommitted Cost Sharing
As stipulated in 2 CFR §200.1, 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. 24 Unless required by NSF (see the section on Mandatory Cost Sharing below), inclusion of
23
24
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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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.D.2.g for further information). While not required by NSF,
the recipient may, at its own discretion, continue to contribute voluntary uncommitted cost sharing to NSFsponsored 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. 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. 25
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 26. 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 recipient.
(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. When costs typically considered as entertainment are necessary to accomplish
the proposed objectives, they must be included in the budget and justified in the budget justification. Travel,
meal, and hotel expenses of recipient employees who are not on travel status are unallowable. See also 2
CFR §200.438.
25 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.
26 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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(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 recipient employees who are not on travel status are unallowable.
See also 2 CFR §200.438
(c)
Alcoholic Beverages
No NSF funds may be requested or spent for alcoholic beverages.
(d)
Home Office Workspace
Rental of any property owned by individuals or entities affiliated with NSF recipients (including commercial
or residential real estate), for use as home office workspace is unallowable. See 2 CFR §200.465(f).
(e)
Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment
Section 889 of the National Defense Authorization Act (NDAA) for Fiscal Year (FY) 2019 (Public Law 115232) prohibits the head of an executive agency from obligating or expending loan or grant funds to procure
or obtain, extend, or renew a contract to procure or obtain, or enter into a contract (or extend or renew a
contract) to procure or obtain the equipment, services, or systems as identified in section 889 of the NDAA
for FY 2019. See 2 CFR §§200.216, 200.471, PAPPG Chapter X.F, and the applicable award terms and
conditions for additional information.
g.
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, and subawardees 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 §200.1,
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 recipient when there are postaward changes to objectives, scope, or
methods/procedures.
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h.
Senior Personnel Documents
(i)
Biographical Sketch(es)
Note: The mandate to use SciENcv only for preparation of the Biographical Sketch will go into effect
for new proposals submitted or due on or after October 23, 2023. In the interim, proposers may
continue to prepare and submit this document via use of SciENcv or the NSF fillable PDF. NSF,
however, encourages the community to use SciENcv prior to the October 2023 implementation.
(a)
Senior Personnel
This section of the proposal is used to assess how well qualified the individual, team, or organization is to
conduct the proposed activities. A Biographical Sketch (limited to three pages) must be provided separately
for each individual designated as senior personnel through use of SciENcv (Science Experts Network
Curriculum Vitae). SciENcv will produce an NSF-compliant PDF version of the Biographical Sketch. Senior
personnel must prepare, save, certify, and submit these documents as part of their proposal via
Research.gov or Grants.gov.
Senior personnel include the individuals designated by the proposer/awardee organization and approved
by NSF who contribute in a substantive, meaningful way to the scientific development or execution of a
research and development project proposed to be carried out with a research and development award. 27
A table entitled, NSPM-33 Implementation Guidance Pre- and Post-award Disclosures Relating to the
Biographical Sketch and Current and Pending (Other) Support 28 has been created to provide helpful
reference information regarding pre-award and post-award disclosures. The table includes the types of
activities to be reported, where such activities must be reported in the proposal, as well as when updates
are required in the proposal and award lifecycle. A final column identifies activities that are not required to
be reported.
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).
The format of the Biographical Sketch is as follows:
*= required
(1)
Identifying Information
(i)
*Name: Enter the name of the senior person (Last name, First name, Middle name, including any
applicable suffix).
(ii)
ORCID ID 29 (Optional): Enter the ORCID ID of the senior person.
(iii)
*Position Title: Enter the current position title of the senior person.
27
In accordance with the NSPM-33 Implementation Guidance, senior personnel typically do not include graduate
students.
28
This table supersedes in its entirety, Table 2a and Paragraph 7 of the Disclosure Requirements and Standardization
Section of the NSPM-33 Implementation Guidance.
29 See https://orcid.org for information on obtaining an ORCID ID.
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(2)
*Organization and Location:
(i)
Name: Enter the name of the primary organization of the senior person.
(ii)
Location: Enter the City, State/Province, and Country where the primary organization is located. If
the State/Province is not applicable, enter N/A. Indicate “virtual” if the project is not based in a physical
location.
(3)
*Professional Preparation
Provide a list of the senior person’s professional preparation (e.g., education and training), listed in reverse
chronological order by start date. Include all postdoctoral and fellowship training, as applicable, listing each
separately. Also include the baccalaureate degree or other initial professional education.
For each entry provide:
•
the name of the organization;
•
the location of the organization: Enter the City, State/Province, and Country where the primary
organization is located. If the State/Province is not applicable, enter N/A.
•
the degree received (if applicable);
•
the month and year the degree was received (or expected receipt date). For fellowship applicants
only, also include the start date of the fellowship; and
•
(4)
the field of study.
*Appointments and Positions
Provide a list, in reverse chronological order by start date, of all the senior person’s academic, professional,
or institutional appointments and positions, beginning with the current appointment (including the
associated organization and location). Appointments and positions include any titled academic,
professional, or institutional position whether or not remuneration is received, and whether full-time, parttime, or voluntary (including adjunct, visiting, or honorary).
For each entry provide:
•
•
•
•
•
•
Start date: YYYY
End date: YYYY
Appointment or Position Title
Name of organization
Department (if applicable)
Location of organization: City, State/Province, Country
With regard to professional appointments, senior personnel must only identify all current domestic and
foreign professional appointments outside of the individual's academic, professional, or institutional
appointments at the proposing organization.
(5)
*Products
Provide 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 that demonstrate the senior person’s
qualifications to carry out the project as proposed. Acceptable products must be citable and accessible,
including but not limited to:
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•
publications, conference papers, and presentations;
•
website(s) or other Internet site(s);
•
technologies or techniques;
•
inventions, patent applications, and/or licenses; and
•
other products, such as data, databases, or datasets, physical collections, audio or video products,
software, models, educational aids or curricula, instruments or equipment, research material, interventions
(e.g., clinical or educational), or new business creation.
Only the list of ten will be used in the review of the proposal.
Each product must include full citation information including:
•
•
•
•
•
•
names of authors;
product title;
date of publication or release;
website URL;
other persistent identifier (if available); and
other relevant citation information (e.g., in the case of publications, title of enclosing work such as
journal or book, volume, issue, pages).
If any of the items specified above is not applicable, enter N/A.
Senior personnel who wish to include publications in the products section of the Biographical Sketch that
include multiple authors may, at their discretion, choose to list one or more of the authors and then "et al"
in lieu of including the complete listing of authors' names.
(6)
*Synergistic Activities
Provide a list of up to five distinct examples that demonstrates the broader impact of the individual’s
professional and scholarly activities that focus on the integration and transfer of knowledge as well as its
creation. Examples may 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; participation in international research collaborations;
participation in international standards development efforts; and service to the scientific and engineering
community outside of the individual’s immediate organization.
Synergistic activities must be specific and must not include multiple examples to further describe the
activity. Examples with multiple components, such as committee member lists, sub-bulleted highlights of
honors and prizes, or a listing of organizations for which the individual has served as a reviewer, are not
permitted.
(7)
*Certification
Each individual will be required to certify in SciENcv, on behalf of themselves, that the information is current,
accurate, and complete. This includes, but is not limited to, information related to domestic and foreign
appointments and positions. Misrepresentations and/or omissions may be subject to prosecution and
liability pursuant to, but not limited to, 18 U.S.C. §§287, 1001, 1031 and 31 U.S.C. §§3729-3733 and 3802.
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(ii)
Current and Pending (Other) Support
Note: The mandate to use SciENcv only for the preparation of Current and Pending (Other) Support
information will go into effect for new proposals submitted or due on or after October 23, 2023. In
the interim, proposers may continue to prepare and submit this document via use of SciENcv or the
NSF fillable PDF. NSF, however, encourages the community to use SciENcv prior to the October
2023 implementation.
(a)
Current and Pending (Other) Support 30 information is used to assess the capacity of the individual
to carry out the research as proposed and helps assess any potential scientific and budgetary
overlap/duplication, as well as overcommitment with the project being proposed. Note that there is no page
limitation for this section of the proposal, though some fields have character limitations for consistency and
equity.
(b)
Senior personnel include the individuals designated by the proposer/awardee organization and
approved by NSF who contribute in a substantive, meaningful way to the scientific development or
execution of a research and development project proposed to be carried out with a research and
development award. 31
(c)
Current and Pending (Other) Support must be provided separately for each individual designated
as senior personnel through use of SciENcv. SciENcv will produce an NSF-compliant PDF version of the
Current and Pending (Other) Support. Senior personnel must prepare, save, certify, and submit these
documents as part of their proposal via Research.gov or Grants.gov.
(d)
Consistent with NSPM-33, senior personnel are required to disclose contracts associated with
participation in programs sponsored by foreign governments, instrumentalities, or entities, including foreign
government-sponsored talent recruitment programs 32. Further, if an individual receives direct or indirect
support that is funded by a foreign government-sponsored talent recruitment program, even where the
support is provided through an intermediary and does not require membership in the foreign governmentsponsored talent recruitment program, that support must be disclosed. Senior personnel must also report
other foreign government sponsored or affiliated activity. Note that non-disclosure clauses associated with
these contracts are not acceptable exemptions from this disclosure requirement.
30
According to 42 U.S.C §§ 6605, “current and pending support”: (A) means all resources made available, or expected
to be made available, to an individual in support of the individual's research and development efforts, regardless of (i)
whether the source of the resource is foreign or domestic; (ii) whether the resource is made available through the entity
applying for a research and development award or directly to the individual; or (iii) whether the resource has monetary
value; and (B) includes in-kind contributions requiring a commitment of time and directly supporting the individual's
research and development efforts, such as the provision of office or laboratory space, equipment, supplies, employees,
or students.
31 In accordance with the NSPM-33 Implementation Guidance, senior personnel typically do not include graduate
students.
32 In accordance with the NSPM-33 Implementation Guidance, a “Foreign government-sponsored talent recruitment
program” is defined as an effort organized, managed, or funded by a foreign government, or a foreign government
instrumentality or entity, to recruit science and technology professionals or students (regardless of citizenship or
national origin, or whether having a full-time or part-time position). Some foreign government-sponsored talent
recruitment programs operate with the intent to import or otherwise acquire from abroad, sometimes through illicit
means, proprietary technology or software, unpublished data and methods, and intellectual property to further the
military modernization goals and/or economic goals of a foreign government. Many, but not all, programs aim to
incentivize the targeted individual to relocate physically to the foreign state for the above purpose. Some programs
allow for or encourage continued employment at United States research facilities or receipt of Federal research funds
while concurrently working at and/or receiving compensation from a foreign institution, and some direct participants not
to disclose their participation to United States entities. Compensation could take many forms including cash, research
funding, complimentary foreign travel, honorific titles, career advancement opportunities, promised future
compensation, or other types of remuneration or consideration, including in-kind compensation.
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(e)
A table entitled, NSPM-33 Implementation Guidance Pre- and Post-award Disclosures Relating to
the Biographical Sketch and Current and Pending (Other) Support 33 has been created to provide helpful
reference information regarding pre-award and post-award disclosures. The table includes the types of
activities to be reported, where such activities must be reported in the proposal, as well as when updates
are required in the proposal and award lifecycle. A final column identifies activities that are not required to
be reported.
(f)
Do not submit any personal information in the Current and Pending (Other) support. 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 current and pending (other) support 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.
(g)
A separate submission must be provided for each active project/pending proposal as well as inkind contributions using the format specified below.
The formats of Current and Pending (Other) Support are as follows:
*= required
(i)
Identifying Information
*Name: Enter the name of the senior person (Last name, First name, Middle name, including any applicable
suffix).
ORCID ID 34 (Optional): Enter the ORCID ID of the senior person.
*Position Title: Enter the current position title of the senior person.
(ii)
*Organization and Location
Name: Enter the name of the primary organization of the senior person.
Location: Enter the City, State/Province, and Country where the primary organization is located. If the
State/Province is not applicable, enter N/A.
(iii)
Projects/Proposals
In this section, disclose ALL existing projects, as well as all projects currently under consideration for
funding, in accordance with the definitions for “current” and “pending” below. Unless otherwise specified,
there is no page or character limit.
*Project/Proposal Title: Enter the title of each project/proposal being reported.
*Status of Support: Select the appropriate status type as defined below:
•
Current – all ongoing projects, or projects with ongoing obligations, from whatever source
irrespective of whether such support is provided through the proposing organization or is provided directly
to the individual.
33
This table supersedes in its entirety, Table 2a and Paragraph 7 of the Disclosure Requirements and Standardization
Section of the NSPM-33 Implementation Guidance.
34 See https://orcid.org for information on obtaining an ORCID ID.
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•
Pending – any proposal currently under consideration for funding (including this proposal) from
whatever source irrespective of whether such support is provided through the proposing organization or is
provided directly to the individual.
Proposal/Award Number (if available): Enter the applicable proposal/award number for each proposal
and/or award, if available.
*Source of Support: Identify the entity for each proposal and/or award that is providing the support. Include
all Federal, State, Tribal, territorial, local, foreign, public, or private foundations, non-profit organizations,
industrial or other commercial organizations, or internal funds allocated toward specific projects.
*Primary Place of Performance: Identify the primary location where the project or activity is being executed.
Enter the City, State/Province, and Country where the organization is located. If the State/Province is not
applicable, enter N/A. Indicate “virtual” if the project is not based in a physical location.
*Project/Proposal Start Date:
proposed/approved.
Indicate the start date (MM/YYYY)
of
the project/activity as
*Project/Proposal End Date: Indicate the end date (MM/YYYY) of the project/activity as proposed/approved.
*Total Award Amount: Enter the total award amount for the entire period of performance, including indirect
costs, rounded to the nearest dollar. If the support is in a foreign country’s currency, convert to U.S. dollars
at time of submission.
*Person-Month(s) (or Partial Person-Months) Per Year Committed to the Project: Enter how much time the
individual anticipates is necessary to complete the scope of work on the proposed project or award. Enter
the number of person-months (even if unsalaried) for the current budget period and enter the proposed
person-months for each subsequent budget period. If the individual is reporting person-months that span
two calendar years, the individual should enter the latter year. For example, if the entry covers the
organization’s fiscal year of June 2023 through May 2024, the individual would enter “2024” for the year
and include the corresponding person-months as defined and used by the organization in proposals
submitted to NSF. If the time commitment is not readily ascertainable, reasonable estimates should be
provided.
*Overall Objectives: Provide a brief statement of the overall objectives of the proposal/award. This field is
limited to 1500 characters.
*Statement of Potential Overlap: Provide a description of the potential overlap with any pending proposal
or award and this proposal in terms of scope, budget, or person-months planned or committed to the project
by the individual. If there is no potential overlap, enter N/A in this field.
(iv)
In-Kind Contributions
In this section, disclose ALL 35 in-kind contributions related to current and pending support. In-kind
contributions include, but are not limited to, office/laboratory space, equipment, supplies, and employee or
student resources.
*Status of Support: Select the appropriate status type as defined below:
•
Current – all in-kind contributions obligated from whatever source irrespective of whether such
support is provided through the proposing organization or is provided directly to the individual.
See the table entitled, NSPM-33 Implementation Guidance Pre- and Post-award Disclosures Relating to the
Biographical Sketch and Current and Pending (Other) Support for instructions on in-kind support for use on the project
being proposed.
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•
Pending – all in-kind contributions currently under consideration from whatever source irrespective
of whether such support is provided through the proposing organization or is provided directly to the
individual.
*In-Kind Contribution Start Date: Indicate the start date (MM/YYYY) of the in-kind contribution as
proposed/approved.
*In-Kind Contribution End Date: Indicate the end date (MM/YYYY) of the in-kind contribution as
proposed/approved.
*Source of Support: Identify the entity(ies) that is/are providing the in-kind contribution. Include, for example,
Federal, State, Tribal, territorial, local, foreign, public, or private foundations, non-profit organizations,
industrial or other commercial organizations, or internal funds allocated toward specific projects.
*Summary of In-Kind Contribution(s): Provide a summary of the in-kind contribution(s) not intended for use
on the project/proposal being proposed to NSF, whether or not it has an associated time commitment. If
the time commitment or dollar value is not readily ascertainable, reasonable estimates should be provided.
*Person-Month(s) (or Partial Person-Months) Per Year Associated with the In-kind Contribution: Enter how
much time the individual anticipates is necessary to complete the scope of work associated with the in-kind
contribution. Enter the number of person-months (even if unsalaried) for the current budget period and
enter the proposed person-months for each subsequent budget period. If the individual is reporting personmonths that span two calendar years, the individual should enter the latter year. For example, if the entry
covers the organization’s fiscal year of June 2023 through May 2024, the individual would enter “2024” for
the year and include the corresponding person-months as defined and used by the organization in
proposals submitted to NSF. If the time commitment is not readily ascertainable, reasonable estimates
should be provided.
*U.S. Dollar Value of In-Kind Contribution: Enter the U.S. dollar value of the in-kind contribution. If the
dollar value is not readily ascertainable, reasonable estimates should be provided. If the support is in a
foreign country’s currency, convert to U.S. dollars at time of submission, rounded to the nearest dollar.
*Overall Objectives: Provide a brief statement of the overall objectives of the in-kind contribution(s). This
field is limited to 1500 characters.
*Statement of Potential Overlap: Provide a description of the potential overlap with any current or pending
in-kind contribution and this proposal in terms of scope, budget, or person-months planned or committed
to the project by the individual. If there is no overlap, then enter N/A in the field.
(v)
*Certification
When the individual signs the certification on behalf of themselves, they are certifying that the information
is current, accurate, and complete. This includes, but is not limited to, information related to current,
pending, and other support (both foreign and domestic) as defined in 42 U.S.C. §§6605. Misrepresentations
and/or omissions may be subject to prosecution and liability pursuant to, but not limited to, 18 U.S.C. §§
287, 1001, 1031 and 31 U.S.C. §§3729-3733 and 3802.
(h)
The individual also must report any proposal, other than the proposal currently being submitted,
that will likely be submitted imminently or in the near future.
(i)
Prior to making a funding recommendation, the cognizant NSF program officer will request that an
updated version of Current and Pending (Other) Support be submitted via Research.gov. See Chapter III.C
for additional information.
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(iii)
Collaborators & Other Affiliations Information (Single Copy Document) (See Chapter II.D.1
for additional information on Single Copy Documents.)
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. Refer to the frequently asked questions on the COA template page for additional information.
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.
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 awards, 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: 36 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.
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).
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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. The
instructions at the top of the template may be deleted, and rows may be inserted as needed to provide
additional names 37.
This information is used to manage reviewer selection. See Exhibit II-2 for additional information on
potential reviewer conflicts.
i.
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.
(i)
Postdoctoral Researcher Mentoring Plan. Each proposal 38 that requests funding to support
postdoctoral researchers 39 must upload under “Mentoring Plan” in the supplementary documentation
section of Research.gov, 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.E.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
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.
(ii)
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 Research.gov. 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;
To accommodate long names or other information, the font size may be reduced to fit data within the cell.
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.
39 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.
37
38
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4.
policies and provisions for re-use, re-distribution, and the production of derivatives; and
5.
them.
plans for archiving data, samples, and other research products, and for preservation of access to
Data management requirements and plans specific to the Directorate, Office, Division, Program, or other
NSF unit, relevant to a proposal are available on the NSF website.. 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.
(iii)
Rationale for performance of all or part of the project off-campus or away from
organizational headquarters.
(iv)
Documentation of collaborative arrangements of significance to the proposal through
letters of collaboration. (See Chapter II.D.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. While not
required, the following format may be used in preparation of letters of collaboration:
“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.
(v)
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.
Supplemental information also may be requested to assist NSF in complying with Executive Orders and
Presidential memoranda directing Federal agencies to carry out their obligations to engage in Tribal
consultation when Tribal interests may be impacted. The types of information that may be requested is
shown in the Organization Environmental Impacts Checklist.
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(vi)
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.
(vii)
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.
(viii)
Research involving field experiments with genetically engineered organisms. (See Chapter
XI.B.2)
(ix)
Documentation regarding research involving the use of human subjects, hazardous
materials, live vertebrate animals, or endangered species. (See Chapter II.E.4, Chapter II.E.5, and
Chapter XI.B).
(x)
Special components in new proposals or in requests for supplemental funding. This
includes, for example, Facilitation Awards for Scientists and Engineers with Disabilities (FASED), Research
Opportunity Awards (ROAs), Research Experiences for Undergraduates (REUs), Facilitating Research at
Primarily Undergraduate Institutions (RUIs), Research Experiences for Veterans (REV), and Research
Experiences for Teachers, and Research Experiences for Graduates. See Chapter II.F.7 for information on
FASED, and, for the other programs identified, consult the relevant solicitation or Dear Colleague Letter.
(xi)
Plan for Safe and Inclusive Field/Vessel/Aircraft Research (PSI-FVAR). Each proposal that
proposes to conduct research in the field, including on vessels and aircraft, must upload, under “PSI-FVAR”
in the supplementary documentation section of Research.gov, a plan that includes the elements specified
below. Research in the field is defined as data/information/samples being collected off-campus or off-site.
There is a two-page limitation on the PSI-FVAR. No embedded links may be included within the two-page
document. If multiple field research excursions (inclusive of multiple visits and/or sites) are proposed, only
a single overarching PSI-FVAR must be submitted. If a required section within the PSI-FVAR is not
applicable, the proposer should specify that the section is not applicable. The two-page PSI-FVAR will be
reviewed as an integral part of the proposal, and will be considered under intellectual merit, broader
impacts, or both, as appropriate for the project being proposed.
Simultaneously submitted collaborative proposals and proposals that include subawards are a single
unified project and should include only one supplemental combined PSI-FVAR, regardless of the number
of non-lead collaborative proposals or subawards included. In such collaborative proposals, the PSI-FVAR
should discuss the relevant data issues in the context of the collaboration.
Field research is a necessary component of many STEM fields. Fieldwork presents unique challenges that
can increase the likelihood of harassment, including but not limited to, challenging physical conditions,
social isolation, and limited communication methods. All research should be done in an environment free
from harassment.
It is NSF’s expectation that:
1.
All personnel will treat others with dignity and respect, will exercise the highest level of professional
and ethical behavior, and will work cooperatively to resolve differences; and
2.
It is everyone's responsibility to provide a safe and inclusive workplace. While not exhaustive, the
following acts are examples of conduct that do not meet NSF’s expectations:
(a)
Abuse of any person, including, but not limited to, harassment, stalking, bullying, or hazing of any
kind, whether the behavior is carried out verbally, physically, electronically, or in written form; or
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(b)
Conduct that is unwelcome, offensive, indecent, obscene, or disorderly. The PSI-FVAR will
document background information, pre-deployment activities, and plans for conduct while in the field and
must include the following two sections:
1.
Background Information:
•
Description of Field Location(s) – (Note: only one PSI-FVAR is required per proposal if the research
involves multiple locations).
•
Inclusion/Safety from Harassment (SfH) Challenges for the Location(s) – e.g., communication
limitations due to isolation (satellite phone only?); diversity of local Community (using Community to indicate
the human community) compared to diversity of field/vessel/aircraft team; cultural/language/legal
differences that may present personnel safety challenges.
•
Inclusion/SfH Challenges for the Team – e.g., number and type of organizations involved in the
team; number of experienced versus novice team members.
2.
Preparation for Fieldwork:
(a)
Inclusive Climate:
•
Planned Trainings – e.g., Nondiscrimination; Bystander Intervention; Allyship; Privilege; Cultural
Competency; and Anti-Harassment.
•
Planned processes to establish shared team definitions of roles, responsibilities, and culture – e.g.,
Code of Conduct, Code of Ethics.
•
Field Support Plan – e.g., mentor/mentee support; regular check-ins and/or events.
(b)
Safety from Harassment:
•
Incident Reporting/Communications Plan – e.g., within team, to organization(s); minimizing single
points within the plan (e.g., single person overseeing access to a single satellite phone); specifics if multiple
organizations involved; consideration of involvement outside the funded organization(s).
•
Field Incident Support Plan – e.g., real-time assistance resources (points of contact, hotlines);
response activities (safety standdowns, return to organization guidance).
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.
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E.
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 Research.gov. (See also
Chapter II.D.1 for further information regarding submission of single-copy documents.) 40
The box for "Proprietary or Privileged Information" must be checked on the Cover Sheet when the proposal
contains such information. While NSF will make every effort to prevent unauthorized access to such
material, the Foundation is not responsible or in any way liable for the release of such material.
2.
Beginning Investigators (applies to proposals submitted to the Biological Sciences
Directorate only)
Research proposals to the Biological Sciences Directorate ONLY (not proposals for conferences)
cannot be duplicates of proposals to any other Federal agency for simultaneous consideration. The only
exceptions to this rule are: (1) when the Program Officers at the relevant Federal agencies have previously
agreed to joint review and possible joint funding of the proposal; or (2) proposals for PIs who are beginning
investigators (individuals who have not been a PI or co-PI on a Federally funded award with the exception
of doctoral dissertation, postdoctoral fellowship or research planning grants). For proposers who qualify
under this latter exception, the box for "Beginning Investigator" must be checked on the Cover Sheet.
3.
Collaborative Proposals
A collaborative proposal is one in which investigators from two or more organizations wish to collaborate
on a unified research project. Collaborative proposals may be submitted to NSF in one of two methods:
as a single proposal, in which a single award is being requested (with subawards administered by the lead
organization); or by simultaneous submission of proposals from different organizations, with each
organization requesting a separate award. In either case, the lead organization’s proposal must contain all
of the requisite sections as a single package to be provided to reviewers (that will happen automatically
when procedures below are followed). All collaborative proposals must clearly describe the roles to be
played by the other organizations, specify the managerial arrangements, and explain the advantages of the
multi-organizational effort within the Project Description.
a.
Submission of a collaborative proposal from one organization
The single proposal method allows investigators from two or more organizations who have developed an
integrated research project to submit a single, focused proposal. A single investigator bears primary
responsibility for the administration of the award and discussions with NSF, and, at the discretion of the
organizations involved, investigators from any of the participating organizations may be designated as coPIs. Note, however, that if awarded, a single award would be made to the submitting organization, with any
collaborators listed as subawards. (See Chapter II.D.2.f(vi)(e) for additional instructions on preparation of
this type of proposal.)
40
Detailed instructions for submission of proprietary or privileged information are available in Research.gov.
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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.D.2.i(i).
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
Research.gov. For these proposals, the project title must begin with the words "Collaborative Research:” If
funded, each organization bears responsibility for a separate award.
Required sections of the proposal differ based on the organization’s role. The following sections are
required for a collaborative proposal submitted by:
Lead Organization
Non-Lead Organization
•
•
Cover Sheet
Project Summary
•
•
•
•
•
•
•
Table of Contents (automatically
generated)
Project Description
References Cited
Biographical Sketch(es)
•
Budget and Budget Justification
•
•
•
Current and Pending Support
Facilities, Equipment and Other
Resources
Data Management Plan
Postdoctoral Mentoring Plan (if
applicable)
Collaborators & Other Affiliations
Information
•
•
•
•
•
•
Cover Sheet
Table of Contents (automatically
generated)
Biographical Sketch(es)
Budget and Budget Justification
Current and Pending Support
Facilities, Equipment and Other
Resources
Collaborators & Other Affiliations
Information
See Chapter II.D.2.i 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: 41
(i)
Each non-lead organization must assign their proposal a proposal PIN. This proposal PIN and the
temporary proposal ID generated by Research.gov 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 Research.gov lead proposal by using the "Link Collaborative Proposals" option found
on the "Form Preparation" screen.
41
Detailed instructions for the preparation and submission of collaborative proposals are available in Research.gov.
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(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 or foreign individual (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 Live Vertebrate Animals
a.
Any project proposing use of live 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 live 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 live vertebrate animal for research or
education must be approved by the submitting organization's Institutional Animal Care and Use Committee
(IACUC) before an award can be made. For this approval to be accepted by NSF, the organization must
have a current Public Health Service (PHS) Approved Assurance. See also Chapter XI.B.3 for additional
information on the administration of awards that utilize live vertebrate animals. Note that for some types of
live vertebrate animals, additional review may be required.
Any project proposing use of live 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. 42 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
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.
42
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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, are available on the APHIS website.
d.
Projects involving the care or use of live vertebrate animals at an international organization or
international field site also require approval of research protocols by the U.S. recipient’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 will be followed.
e.
The following information regarding the organization’s intention to utilize live vertebrate animals as
part of the project should be provided on the Cover Sheet:
(i)
The box for "Live Vertebrate Animals" must be checked on the Cover Sheet if care and use of live
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 Animal
Welfare 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. If
a PHS Animal Welfare Assurance has not been obtained prior to submission, the proposer should indicate
“Pending” in the space provided for the PHS Animal Welfare Assurance Number. If a decision is made to
fund the proposal, the cognizant NSF Program Officer will notify the NSF Animal Welfare Officer to initiate
negotiation of a PHS-approved Animal Welfare Assurance with OLAW. A PHS Animal Welfare Assurance
must be approved by OLAW before an award can be issued.
f.
For fellowship proposals submitted by individuals that involve the care and use of live 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 Research.gov. 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 Animal Welfare 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 live
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); or, (2) an IRB determination that the project is
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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 43 that establishes
that 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
is required. If IRB approval is provided, and a Federal Wide Assurance (FWA) is not on file with the
Department of Health and Human Services, Office for Human Research Protections (OHRP), 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:
(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 determination notice
must be provided to the cognizant program prior to award.
NSF will be flexible with the form that this notice takes, as long as the written determination makes clear
that no work with human subjects, including recruitment, will be conducted until full IRB approval is
obtained. NSF will add a term and condition to the award that prevents any research involving human
subjects from being carried out, or otherwise restricts the drawing down of funds, until IRB approval has
been obtained. The PI may conduct preliminary or conceptual work that does not involve human subjects
while the protocol is being developed or is under review, consistent with organizational guidelines.
43
An NSF-approved format for submission of these determinations is available on the NSF website.
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(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.
Potential Life Sciences Dual Use Research of Concern (DURC)
a.
Applicability
This section applies to all research, for which NSF award 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 as published in September, 2014, and/or would fall under the Department of Health and Human
Service’s Framework for Guiding Decisions about Proposed Research Involving Enhanced Potential
Pandemic Pathogens, as published in January 2017, 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 or involve enhanced
potential pandemic pathogens (PPPs).
Proposing organizations are responsible for identifying NSF-funded life sciences proposals that could
potentially be considered DURC or involve enhanced PPPs as defined in the Policy and for compliance
with the requirements established in that Policy therein.
The box for “Potential Life Sciences Dual Use Research of Concern” must be checked on the Cover Sheet
if use of select agents or other enhanced potential pandemic pathogens, as defined by the Policy, are
envisioned, and those agents or PPPs are used in ways that lead to enhancement of specific properties
specified within the Policy.
If a decision is made to fund the proposal, and use of a select agent as identified by the Policy is proposed,
the proposer must submit evidence of registration of the select agent with the CDC or USDA as required
by the Select Agent Regulations. In addition, the proposer must submit a justification demonstrating how
the potential benefits of the research far outweigh the risks. The justification must be signed and certified
by the Institutional Biosafety Committee or other appropriate Institutional Review Entity whose role includes
review of research involving agents covered under the Policy before an award can be issued.
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.) NSF also will
not fund research that involves the creation, transfer, or use of enhanced PPPs except under special
circumstances where the potential benefits to society far outweigh the risks and all other conditions of the
Policy are met.
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 described 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 research teams
requiring the most advanced computational and data capabilities. The Office of Advanced
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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, as well as their readiness to utilize the resource. The Frontera system is among
the largest and most powerful supercomputers ever deployed at a U.S. IHE; 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 and how researchers can request access can
be found on the Frontera website.
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 on the NCAR website. The intention to request use
of these NSF-supported national resources should be described 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 on the XSEDE website.
For researchers requiring high-throughput computing – computing that is characterized by executing large
numbers of tasks over a long period of time - The Partnership to Advance Throughput Computing (PATh)
makes Distributed High Throughput Computing (dHTC) capacity available to researchers through a fabric
of services. These services enable the federation of resources into an effective source of computing
capacity for a wide spectrum of science applications. PATh supports single-PIs and collaborative science
groups across science and engineering disciplines to join the cohort of international physical science
collaborations who have leveraged the dHTC paradigm for decades. More information on accessing dHTC
services and computing capacity can be found on the PATh website.
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)
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.
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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.)
F.
Other Types of Proposals
In addition to standard research proposals that follow the proposal preparation instructions contained in
sections A through D 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 specified in sections A through D of this chapter. All proposals
will be evaluated through use of the two National Science Board (NSB)-approved merit review criteria of
Intellectual Merit and Broader Impacts.
1.
Planning Proposal
A planning proposal is a type of proposal used to support initial conceptualization, planning and
collaboration activities that aim to formulate new and sound plans for large-scale projects in emerging
research areas for future submission to an NSF program. This type of proposal is not intended to provide
seed funding for a proposal that has been declined, nor is it appropriate for preliminary research on efforts
that are aligned with established research programs. Rather, planning proposals are appropriate for the
development of larger-scale proposals in specific areas in which NSF wishes to ensure a sufficiently robust
competition in the future. These include areas in which NSF is initiating new funding opportunities;
assessment of infrastructure (including cyberinfrastructure) needs; and/or large-scale research,
infrastructure (including cyberinfrastructure), or training efforts that require coordination of multi-disciplinary
approaches, expertise, and/or organizations at regional scales. In these cases, NSF is especially interested
in activities that would catalyze new collaborations that broaden the participation of individuals or
organizations underrepresented in NSF award portfolios.
PIs are advised that they must submit a Concept Outline prior to submission of a planning proposal. This
will aid in determining the appropriateness of the work for consideration under this type of proposal. Concept
Outlines can be submitted either by email to a cognizant Program Officer or via the Program Suitability and
Proposal Concept Tool (ProSPCT). An NSF funding opportunity that includes planning proposals will
provide specific guidance on submission of Concept Outlines using either email or the ProSPCT form. See
Chapter I.D.1 for additional information on Concept Outlines. For Concept Outlines that must be submitted
via ProSPCT, users must have a valid Login.gov account to access the tool. PIs will receive an email from
the cognizant NSF program officer that specifies whether a full proposal may be submitted. The email
confirming approval to submit a planning proposal must be uploaded by the prospective PI in the “Program
Officer Concurrence Email” section of Research.gov.
Planning proposals do not constitute any commitment on behalf of the PI/co-PI(s) or their organizations to
submit a future proposal or carry out a research, education, or infrastructure project, nor do they imply an
intent on the part of NSF to support a future proposed project beyond the planning grant.
The following provides guidance regarding the preparation, review, or administration of planning
proposals/awards:
•
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 planning proposal, including how the funds
will be used to formulate a sound approach for future submission to an NSF program. Note this proposal
preparation instruction deviates from the standard proposal preparation instructions contained in this Guide;
planning proposals must otherwise be compliant with the proposal preparation requirements specified in
Part I of the PAPPG.
•
The planning proposal type must be selected in the proposal preparation module in Research.gov.
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•
Only internal merit review is required for planning 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.
•
Email documentation from at least one NSF Program Officer confirming approval to submit a
planning proposal must be uploaded by the PI as a document entitled "Planning – Program Officer
Concurrence Email" in the Supplementary Documentation section of Research.gov.
•
Requests may be for up to $100,000 per year (including indirect costs) and for up to two years in
duration. The award size, however, will be consistent with the scope of the proposed planning activities and
of a size comparable to planning grants in similar areas.
•
Planning proposals are not eligible for reconsideration, if declined. See PAPPG Chapter IV.D.2.b.
•
No-cost extensions and requests for supplemental funding will be processed in accordance with
standard NSF policies and procedures.
•
NSF does not anticipate renewal of planning awards. However, renewed funding of a planning
award may be requested only through submission of a Traditional or Accomplishment-Based Renewal
proposal that will be subject to full external merit review. See Chapter V for further information.
2.
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
events and similar unanticipated occurrences.
RAPID proposals are NOT 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.
PIs are advised that they must submit a Concept Outline prior to submission of a RAPID proposal. This will
aid in determining the appropriateness of the work for consideration under this type of proposal. Concept
Outlines can be submitted either by email to a cognizant Program Officer or via ProSPCT. An NSF funding
opportunity that includes RAPID proposals will provide specific guidance on submission of Concept Outlines
using either email or via ProSPCT. See Chapter I.D.1 for additional information on Concept Outlines. For
Concept Outlines that must be submitted via ProSPCT, users must have a valid Login.gov account to
access the tool. The prospective PI will receive an email from the cognizant NSF program officer that
specifies whether a full proposal may be submitted. The email confirming approval to submit a RAPID
proposal must be uploaded by the prospective PI in the “Program Officer Concurrence Email” section of
Research.gov.
The following provides guidance regarding the preparation, review, or administration of RAPID
proposals/awards:
•
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.
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•
The “RAPID” proposal type must be selected in the proposal preparation module in Research.gov.
•
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.
•
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 Research.gov.
•
Requests may be for up to $200K (including indirect costs) 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 Traditional or
Accomplishment-Based Renewal proposal that will be subject to full external merit review. See Chapter V
for further information.
3.
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.
EAGER proposals are NOT:
•
for projects that are appropriate for submission as "regular" NSF proposals;
•
for planning grants;
•
to support the collection of preliminary data; or
•
to provide services to NSF.
PIs are advised that they must submit a Concept Outline prior to submission of a EAGER proposal. This
will aid in determining the appropriateness of the work for consideration under this type of proposal. Concept
Outlines can be submitted either by email to a cognizant Program Officer or via ProSPCT. An NSF funding
opportunity that includes EAGER proposals will provide specific guidance on submission of Concept
Outlines using either email or via ProSPCT. See Chapter I.D.1 for additional information on Concept
Outlines. For Concept Outlines that must be submitted via ProSPCT, users must have a valid Login.gov
account to access the tool. The prospective PI will receive an email from the cognizant NSF program officer
that specifies whether a full proposal may be submitted. The email confirming approval to submit a RAPID
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proposal must be uploaded by the prospective PI in the “Program Officer Concurrence Email” section of
Research.gov.
The following provides guidance regarding the preparation, review, or administration of EAGER
proposals/awards:
•
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 Research.gov.
•
The project title will be preceded by the prefix “EAGER:”
•
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.
•
Requests may be for up to $300K (including indirect costs) 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 an EAGER award may be requested only through submission of a Traditional
or Accomplishment-Based Renewal proposal that will be subject to full external merit review. See Chapter
V for further information.
4.
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 are advised that they must submit a Concept Outline prior to submission of a RAISE
proposal. This will aid in determining the appropriateness of the work for consideration under this type of
proposal. Concept Outlines can be submitted either by email to a cognizant Program Officer or via
ProSPCT. An NSF funding opportunity that includes RAISE proposals will provide specific guidance on
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submission of Concept Outlines using either email or via ProSPCT. See Chapter I.D.1 for additional
information on Concept Outlines. For Concept Outlines that must be submitted via ProSPCT, users must
have a valid Login.gov account to access the tool. The prospective PIs will receive emails from the
cognizant NSF program officers that specifies whether a full proposal may be submitted. Please note, this
may be a single email message that identifies at least two NSF program officers who jointly considered the
RAISE Concept Outline. The email(s) confirming approval to submit a RAISE proposal must be uploaded
by the prospective PIs in the “Program Officer Concurrence Email” section of Research.gov. 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 Research.gov.
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 Research.gov.
The project title will be preceded by the prefix “RAISE:”
•
Requests may be for up to $1,000,000 (including indirect costs) 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 interdisciplinary and transformative potential of the project will be evaluated within the
intellectual merit of the proposal.
•
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.
•
RAISE awards are not eligible for renewal.
5.
Grant Opportunities for Academic Liaison with Industry (GOALI) Proposal
GOALI is a type of proposal that seeks to stimulate collaboration between IHEs 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, unsolicited proposal, 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:
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•
Interdisciplinary IHE-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 scholars, and students to conduct research and gain experience in an
industrial setting; and
•
Industrial scientists and engineers to bring industry's perspective and integrative skills to academe.
GOALI proposals should focus on research that addresses shared interests by academic researchers and
industrial partners. The research should further scientific and engineering foundations to enable future
breakthrough technologies with the potential to address critical industry needs. Industry involvement
assures that the research is industrially relevant. PIs 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 IHE-industry 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 IHE 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 except as noted below for small businesses.
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 scholars will benefit from the interaction. The proposed research
should be transformative, beneficial to industry, and further collaboration between the institution of higher
education and industrial partners.
The industrial participant cannot use or receive any NSF funds on a GOALI award with the exception of
small businesses that meet these requirements and are not currently funded NSF SBIR/STTR recipients:
•
Must be a small business (fewer than 500 employees) located in the U.S;
•
At least 50% of the company’s equity must be owned by U.S. citizens or permanent residents; and
•
All funded work must take place in the U.S. (including work done by consultants and contractors).
In addition to the above requirements, the size of the subaward to the small business partner must not
exceed one-third of the total award budget. The proposal must disclose any financial interest that the PI,
co-PI, Senior Personnel and/or IHE have in the small business partner and identify appropriate mitigation
of any financial conflict of interest.
Review of GOALI proposals should assess the following aspects in addition to evaluating the Intellectual
Merit and Broader Impacts of the proposal.
•
What new knowledge generated by the proposed work could lead to innovations that can help
address societal challenges?
•
What critical role do the partner(s) bring to the collaboration without which the proposed project
cannot be successfully executed?
•
What is the anticipated longer term societal impact coming forth from the GOALI research project
if successful?
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•
What opportunities for industrial experience and training could the proposed GOALI project create
for students/postdoctoral scholars/faculty?
Specific instructions for each type of request are provided below.
a.
Requests as part of a competitive proposal submission
GOALI proposals must follow the deadlines applicable to an existing funding opportunity as well as the
following GOALI-specific requirements: For GOALI collaborative proposals, the proposal must be submitted
by a single organization with any collaborators listed as subawards. Collaborative proposals submitted
through multiple organizations will not be accepted. See PAPPG Chapter II.E.3 for additional information.
(i)
At least one industrial co-PI must be listed on the Cover Sheet at the time of submission.
(ii)
The IHE-industry interaction should be described in the Project Description;
(iii)
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 institution
of higher education). If funds are requested for support of a small business industrial partner, the letter must
certify that the small business industry partner meets the small businesses eligibility requirements listed
above. All GOALI-related confirmation letters must be uploaded under "GOALI-Industrial PI Confirmation
Letter" in Research.gov. This supplementary documentation will not be counted towards the 15-page
Project Description limitation; and
(iv)
IHE and industrial partners should agree in advance as to how intellectual property (IP) rights will
be handled. A signed IHE-industry agreement on IP (including publication and patent rights) must be
submitted prior to issuance of an award. All such IP agreements must be consistent with federal law and
terms and conditions of the award. NSF is responsible neither for the agreement reached nor the IP
information exchanged between the institution of higher education 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 Research.gov. Such requests
should include a brief description of the proposed activity, a budget, and a budget justification, in addition
to items (ii)-(iv) above. At least one industrial participant must be included in the GOALI activity and must
be specified in the GOALI-Industrial PI Confirmation Letter.
6.
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.
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
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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.
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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 Research.gov. 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 44 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
calendar days following the Ideas Lab, the NSF Program Officers will determine which project ideas are
meritorious and should be invited as full proposals. At the NSF Program Officers’ discretion (subject to
Division Director concurrence), they may invite none, some, or all of the project ideas as full proposals, with
the final funding decision to occur after the full proposals have been received and reviewed. Invited full
proposals (which are prepared in accordance with standard research proposal formatting guidelines) must
be submitted within two months of receiving NSF notification after the Ideas Lab.
d.
Stage 4: Review and recommendation of full proposals
Invited proposals will be reviewed internally by the cognizant NSF Program Officers, the Ideas Lab
panelists, and other external reviewers, as appropriate. Resulting awards will be administered in
accordance with standard NSF policies and procedures, including no-cost extensions and supplemental
funding requests. Renewed funding of an Ideas Lab award may be requested only through submission of
a full proposal that will be subject to external merit review. Such proposals would be designated as an
“Ideas Lab renewal.”
7.
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:
•
44
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
Ideas Labs are generally one to five days in duration.
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•
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 wheelchairs, prosthetics, hearing aids, TDD/text-phones, or general readers for the blind
would not be supported because the need for them is not specific to the proposed project. Similarly, ramps,
elevators, or other structural modifications of research facilities are not eligible for direct support under this
program.
No maximum funding amount has been established for such requests. It is expected, however, that the cost
(including equipment adaptation and installation) will not be a major component of the total proposed budget
for the project. Requests for funds for special equipment or assistance to facilitate the participation of
individuals with disabilities should be included in the proposed budget for the project and documented in
the budget justification. The specific nature, purpose and need for such equipment or assistance should be
described in sufficient detail in the Project Description to permit evaluation of the request by knowledgeable
reviewers.
b.
Supplemental funding requests to existing NSF awards
Supplemental funds for special equipment or assistance to facilitate participation in NSF-supported projects
by persons with disabilities may be requested under existing NSF awards. Normally, title is vested in the
recipient organization for equipment purchased in conjunction with NSF-supported activities. In accordance
with the applicable award terms and conditions, the recipient 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 recipient 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 Research.gov 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 award.
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8.
Career-Life Balance (CLB) Supplemental Funding Requests
NSF recognizes that primary dependent care responsibilities, or other family considerations, pose unique
challenges to the STEM workforce. Career-Life Balance supplemental funding to existing awards may be
requested as described below:
a.
Research award recipients may request supplemental funding:
•
To support additional personnel (e.g., a technician or research assistant) to sustain research when
the PI, co-PI, or other member of the senior personnel is on family leave for either primary dependent care
responsibilities or other direct family considerations; and
•
To support additional personnel (e.g., a technician or research assistant) to sustain research while
a postdoctoral researcher or graduate student being supported by NSF on the award is on family leave for
either primary dependent care responsibilities or other direct family considerations.
b.
Postdoctoral fellowship recipients may request supplemental funding:
Provided that a postdoctoral fellowship award, funded through one of NSF’s postdoctoral fellowship
programs, is made to an organization and not directly to the fellow, the recipient may request supplemental
funding for the following purpose:
•
To support additional personnel (e.g., a technician or research assistant) to sustain research while
the postdoctoral fellow being supported by NSF on the award is on family leave for either primary dependent
care responsibilities or other direct family considerations.
NSF postdoctoral fellows who receive funding directly from NSF rather than through an organization are
ineligible to receive CLB supplements.
c.
Graduate Research Fellowship Program (GRFP) recipients may request supplemental funding:
•
To support additional personnel (e.g., a technician or research assistant) to sustain the research of
the NSF Graduate Research Fellow on approved medical deferral due to primary dependent care (family
leave) situations. 45
d.
Special Instructions for the Preparation and Submission of CLB Supplemental Funding Requests
For all eligible categories noted above, the supplemental funding request may include funding for up to six
months of salary support or stipend for a maximum of $30,000 in direct costs of salary compensation or
stipend, but the duration of the salary or stipend support may not exceed the duration of the family leave.
Fringe benefits and associated indirect costs (F&A), but not tuition, may be included in addition to the salary
costs, and therefore, the total supplemental funding request may exceed $30,000.
All requests for CLB supplemental funding support must be submitted by using the “Supplemental Funding
Request” function in Research.gov and must be adequately justified. It may take NSF up to two months or
more to process such a request. CLB supplemental funding requests will usually be reviewed internally
unless the program officer determines that the advice of external reviewers is essential.
The CLB supplemental funding request must:
(i)
Clearly specify that it is a CLB supplemental funding request;
45 The supplemental funding described in this section of the PAPPG is in addition to the limited paid leave option for
Fellows on Tenure with an NSF-approved medical deferral.
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(ii)
Provide a description of how the technician, research assistant, or equivalent would be used to
sustain the research effort while the PI, co-PI or other member of the senior personnel is on family leave,
the postdoctoral researcher or graduate student is on family leave, or the NSF Graduate Research Fellow
is on medical deferral due to a family leave situation;
(iii)
Provide a budget and budget justification in support of the requested costs;
(iv)
Identify the proposed period of performance for the technician, research assistant, or equivalent;
(v)
Include the following statement:
“The Authorized Organizational Representative hereby certifies that the request for a technician (or
equivalent) is because the (PI/co-PI/senior personnel/NSF Graduate Research Fellow/postdoctoral
researcher/graduate student) is, or will be, on family leave status (or equivalent) from the organization in
accordance with the organization’s policies. The Authorized Organizational Representative also affirms that
the organization is able to fill the position for which funding is being requested, in an appropriate timeframe.”
(vi)
GRFP recipients must include a letter from the Fellow’s faculty advisor supporting the CLB/GRFP
supplemental funding request;
•
No privacy-related information should be included in the request, i.e., the rationale for leave should
not be disclosed to NSF;
•
Questions about the submission of a CLB supplemental funding request should be addressed to
the cognizant NSF program officer.
9.
Conference Proposal 46
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 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 47, 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.
Proposers should not submit the policy or code-of-conduct to NSF for review.
A conference proposal must contain the elements identified below:
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.”
46
47
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•
Collaborators & Other Affiliations Information (see Chapter II.C.2.h(i)) (for conference proposals in
excess of $50,000)
•
Cover Sheet
•
Project Summary (see Chapter II.D.2.b)
•
Project Description (see Chapter II.D.2.d) that also includes:
o
A statement of the need for such a gathering and a list of topics;
o
A listing of recent meetings on the same subject, including dates and locations;
o
The names of the chairperson and members of organizing committees and their
organizational affiliations;
o
Information on the location and probable date(s) of the meeting and the method of
announcement or invitation;
o
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;
o
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);
o
A description of plans to identify resources for childcare 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; and
i.
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.D.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.D.2.f. The following provides a listing of the types of costs that may
be included on a conference budget. When anticipated, such costs should be specifically and clearly
identified in the proposed scope or work and budget. Note that registration fees under NSF-supported
conferences are considered program income. For additional information on program income generated
from conferences, see Chapter VIII.D.4.
o
Conference Facilities. Rental of facilities and necessary equipment.
o
Supplies. Expendable materials and supplies necessary for the meeting.
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o
Conference Services. Costs of translation services, audio visual, webcast, and computer
services for recording, transmitting, and transcribing the proceedings.
o
Publication Costs. Costs of publishing the proceedings.
o
Salaries. Salaries of professional personnel, editorial, clerical, and other staff members in
proportion to the time or effort devoted to the preparation and conduct of the conference and
summarizing its results.
o
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.
o
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 recipient organization in its
regular operations as the result of the recipient organizations’ written policies. In the absence of
an acceptable, written recipient organizational policy regarding meal costs, 2 CFR §200.475(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.
o
Participant Support Costs. (See Chapter II.D.2.f(v)).
o
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, etc.) are unallowable
and may not be requested. Travel, meal, and hotel expenses of recipient employees who are not on travel
status also are not permitted. See also Chapter II.D.2.f(xiii)(a) and 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.D.2.h(ii)).
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•
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.D.2.g 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. (See Chapter II.D.2i(ii)).
10.
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.D.2.h(iii).);
•
Cover Sheet;
•
Project Summary (see Chapter II.D.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.D.2.d(iii) for additional instructions on preparation of this
section.
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•
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.D.2.h(i) should be consulted
to prepare this portion of the proposal; also see Chapter II.D.2.h(i)(c).
•
Proposal Budget and Budget Justification: A budget and budget justification for the operation,
maintenance, and administration of the proposed equipment (Chapter II.D.2.f should be consulted to
prepare this portion of the proposal).
•
Current and Pending Support: Chapter II.D.2.h(ii) 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.D.2.i(ii)).
•
•
Postdoctoral Mentoring Plan (if applicable): Chapter II.D.2.i(i) should be consulted to prepare this
portion of the proposal.
This type of proposal normally competes with proposals for research or education projects. 48
11.
Travel Proposal
A proposal for travel support, either domestic and/or international, for participation in scientific and
engineering meetings is 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.D.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;
48
See Chapter IX.D. for additional information on the administration of equipment awards.
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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:
•
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.D.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.D.2.f. A group travel proposal may request support only for the travel costs
of the proposed activity. A recipient of a group travel award is 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. Guidance on specific costs relevant to a group travel
proposal is highlighted below.
a.
Travel, meal, and hotel expenses of recipient employees who are not on travel status are
unallowable. Costs of employees on travel status are limited to those specifically authorized by 2 CFR
§200.475.
b.
Temporary dependent care costs (a dependent is defined in 26 USC 152) above and beyond
regular dependent care that will directly result from travel to conferences are allowable costs provided that
the costs are:
(i)
a direct result of the individual’s travel for the NSF conference award;
(ii)
consistent with the recipient's documented travel policy for all employee travel; and
(iii)
only temporary during the travel period.
See 2 CFR §200.475 for additional information on travel costs.
c.
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 codesharing 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.D.2.h(ii) must 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,
a description of such support must 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.D.2.g must 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.
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Data Management Plan: Plans for management and sharing of any data products resulting from
the activity. Chapter II.D.2.i(ii) must be consulted to prepare this portion of the proposal.
By signing the Cover Sheet, the AOR is certifying that prior to the proposer’s participation in the
meeting, the proposer will assure that the meeting organizer has a written policy or code-of-conduct that
addresses sexual harassment, other forms of harassment, 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 meeting
will be resolved. The proposer is not required to submit the meeting organizer’s policy or code-of-conduct
for review by NSF.
12.
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.
13.
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
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 Research
Infrastructure 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 Research Infrastructure 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 or accommodation 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. The requirements specified for each type of proposal are compliance checked by NSF
electronic systems prior to submission. Proposers are strongly advised to review Chapter II.D (for Research
proposals) and the applicable sections of Chapter II.F. relevant to the other types of proposals being
developed prior to submission. NSF will not accept 49 or will return without review proposals that are not
consistent with these instructions. See Chapter IV.B and the Automated Compliance Checking of NSF
Proposals webpage 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.
[ ]
49
General:
[ ]
The proposer has an active and valid SAM registration and a valid UEI.
[ ]
The proposer has reviewed and certified compliance with the government-wide financial
assistance certifications and representations in SAM.
[ ]
The proposal is compliant with the provisions in the PAPPG and/or the relevant Broad
Agency Announcement (BAA) or program solicitation.
[ ]
The proposal is responsive to the relevant program description or announcement (if
applicable).
[ ]
If the proposal has been previously declined and is being resubmitted, the proposal has
been substantively revised to take into account the major comments from the prior NSF
review.
[ ]
The proposed work is appropriate for funding by NSF, and is not a duplicate of, or
substantially similar to, a proposal already under consideration by NSF from the same
submitter.
[ ]
The proposal will be submitted by 5 p.m. submitter's local time if there is an established
deadline date.
Proposal Not Accepted is defined as Research.gov will not permit submission of the proposal.
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[ ]
[ ]
[ ]
[ ]
Single Copy Documents:
[ ]
Authorization to Deviate from NSF Proposal Preparation Requirements is included (if
applicable).
[ ]
List of Suggested Reviewers, or Reviewers Not To Include has been provided (if
applicable).
[ ]
Proposers that require a reasonable and/or accessibility accommodation have contacted
the applicable NSF office.
[ ]
SF LLL, Disclosure of Lobbying Activities has been provided (if applicable).
[ ]
Collaborators and Other Affiliations (COA) Information has been separately provided for
each individual identified as senior personnel through use of the COA template.
Cover Sheet:
[ ]
For interdisciplinary proposals, all relevant programs have been identified.
[ ]
Proposal title includes any necessary prefix.
[ ]
For a renewal proposal, the previous award number has been entered.
[ ]
Related letter of intent number has been entered (if applicable).
[ ]
Related preliminary proposal number has been entered (if applicable).
[ ]
The “Special Exception to the Deadline Date Policy” box has been checked on the NSF
Cover Sheet and the requisite Single Copy Document has been provided (if applicable).
[ ]
Appropriate box(es) have been checked, and requisite information has been provided.
[ ]
If the box for “Funding of an International Branch Campus of a U.S. IHE” or “Funding of a
Foreign Organization or Foreign Individual” has been checked on the Cover Sheet, the
name of the applicable country(ies) in the International Activities Country Name(s) box(es)
has been provided.
Project Summary:
[ ]
The Project Summary does not exceed one page.
[ ]
The Project Summary contains an overview, a statement on the intellectual merit of the
proposed activity, and a statement on the broader impacts of the proposed activity.
Project Description:
[ ]
The Project Description does not exceed the 15-page limitation specified in the PAPPG,
the relevant program solicitation or BAA, or the limitation provided in the instructions for
types of proposals (e.g., Planning, RAPID, EAGER and Ideas Lab).
[ ]
Project Description contains a separate section labeled “Broader Impacts”.
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[ ]
Project Description contains the requisite explanation/justification for proposals that include
funding to an International Branch Campus of a U.S. IHE or to a foreign organization or
foreign individual, including through use of a subaward or consultant arrangement.
[ ]
Project Description is self-contained, and Uniform Resource Locators (URLs) have not
been included.
[ ]
Results from Prior NSF Support have been provided for any PI or co-PI identified on the
proposal that 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.
[ ]
Results related to Intellectual Merit and Broader Impacts are described under two
separate, distinct headings; and
[ ]
[ ]
[ ]
[ ]
Results are limited to five pages of the Project Description.
References Cited:
[ ]
This section includes bibliographic citations only and does not provide parenthetical
information outside of the Project Description.
[ ]
Each reference is in the required format, which may vary according to the norms of the
scientific discipline.
Biographical Sketch(es):
[ ]
A separate Biographical Sketch has been prepared through use of SciENcv and provided
for each individual identified as senior personnel. Each pdf file has been uploaded into
Research.gov or Grants.gov.
[ ]
Each Biographical Sketch does not exceed three pages.
[ ]
The content described has been prepared in accordance with the instructions, and does
not contain additional information beyond that specified.
Proposal Budget:
[ ]
Each budget line item has been documented and justified in the Budget Justification.
[ ]
Any compensation for senior personnel in excess of two months has been disclosed in the
Proposal Budget and justified in the Budget Justification.
[ ]
Contracts for the purpose of obtaining goods and services for the proposer’s own use have
been identified on Line G6 of the Proposal Budget, when applicable.
[ ]
The amount for indirect costs was calculated by applying the current negotiated indirect
cost rate(s) to the approved base(s), and the amount has been specified in the Budget
Justification.
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[ ]
[ ]
Cost Sharing:
[ ]
[ ]
[ ]
[ ]
Each Budget Justification does not exceed five pages or the page limitation specified in
the relevant program solicitation. For proposals that contain subawards, each subaward
includes a separate Budget Justification that does not exceed five pages.
Unless required by an NSF program solicitation, voluntary committed cost sharing has not
been included. Note that voluntary committed cost sharing is prohibited and Line M on the
proposal budget will not be available for use by the proposer. While not required by NSF,
proposing organizations may, at their own discretion, continue to contribute voluntary
uncommitted cost sharing to NSF-sponsored projects. These resources are not auditable
by NSF and should not be included in the Proposal Budget or Budget Justification.
Current and Pending Support:
[ ]
A separate Current and Pending Support document has been prepared through use of
SciENcv and provided for each individual identified as senior personnel. Each pdf file has
been uploaded into Research.gov or Grants.gov.
[ ]
The content described has been prepared in accordance with the instructions, and does
not contain additional information beyond that specified.
Facilities, Equipment and Other Resources:
[ ]
An aggregated description of the internal and external resources (both physical and
personnel) that the organization and its collaborators will provide to the project, should it
be funded, has been included.
[ ]
In-kind contributions intended for use on the project being proposed (such as
office/laboratory space, equipment, supplies, employees, students) have been identified,
where applicable.
[ ]
No quantifiable financial information has been provided.
[ ]
If there are no facilities, equipment or other resources identified, a statement to that effect
has been included in this section of the proposal and uploaded into Research.gov or
Grants.gov.
Special Information and Supplementary Documentation:
[ ]
A Postdoctoral Mentoring Plan, limited to one page, has been included, if required.
[ ]
A Data Management Plan, limited to two pages, has been included.
[ ]
Letters of collaboration documenting collaborative arrangements of significance to the
proposal have been included (if applicable).
[ ]
A Plan for Safe and Inclusive Field/Vessel/Aircraft Research (PSI-FVAR) has been
included, when appropriate.
[ ]
Other types of information identified in Chapter II.C.2.i have been included, as appropriate.
[ ]
Any additional items specified in a relevant program solicitation have been included.
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[ ]
Appendices:
[ ]
[ ]
Appendices have not been included unless a deviation has been authorized.
Other Types of Proposals:
[ ]
For other types of proposals (see Chapter II.F), the applicable proposal preparation
guidance has been followed.
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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 the potential reviewer 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 or a member of the reviewer’s household is currently enrolled
as a student, or at which the reviewer 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
For purposes of NSF, senior personnel include:
1.
(co) Principal Investigator (PI) -- the individuals designated by the proposing/recipient organization
and approved by the Federal research funding agency who contribute in a substantive, meaningful way to
the scientific development or execution of a research and development project proposed to be carried out
with a research and development award. 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. For purposes of this
document, when used throughout, the term Principal Investigator also includes Project Director (PD), and
the term co-PI also includes 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.
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
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.
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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.D.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.D.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 Submitted Proposals Module in Research.gov allows the organization to request the replacement of
files or revision of other proposal attributes, associated with a previously submitted proposal. All budgetary
revisions must be submitted through Submitted Proposals Module in Research.gov. 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; 50 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 revisions
to proposal attributes will immediately replace the existing files and become part of the official proposal.
50The
status of a proposal may be found in Research.gov.
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PIs can access the Proposal File Update Module via the Submitted Proposals Module in Research.gov.
Authorized individuals in the organization’s SPO can initiate or review requests for proposal file updates
using the Submitted Proposals Module in Research.gov. 51
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 Submitted Proposals Module in
Research.gov 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."
Note that a recommendation for an award by an NSF Program Officer does not constitute approval or
obligation of Federal funds. Proposers are cautioned that only an appointed NSF Grants and Agreements
Officer may make commitments, obligations, or awards on behalf of NSF or authorize the expenditure of
funds. No commitment on the part of NSF or the Government should be inferred from technical or budgetary
51Detailed
instructions on submitting proposer-initiated proposal file updates are available on the Research.gov website.
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discussions with an NSF Program Officer. A PI or organization that makes financial or personnel
commitments in the absence of an award notice approved by an NSF Grants and Agreements Officer does
so at its own risk.
F.
NSF’s Decision to Award or Decline Proposals
Declination of proposals for programmatic reasons is addressed in Chapter IV.C.
1.
Decision to Award or Financially/Administratively Decline a Proposal
If the program recommendation is to award a proposal and final Division/Office or other programmatic
approval is obtained, then the recommended proposal 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. Pre-award review includes utilization of NSF’s risk-based framework, which evaluates
the risks posed by proposers prior to issuance of an NSF award. After the completion of any necessary
pre-award administrative and/or financial reviews, a final decision by a Grants and Agreements Officer will
be made to fund or decline the proposal. See Chapter VI for additional information on NSF Awards.
DGA generally makes the decision to award or decline proposals within 30 days after the program
Division/Office makes its recommendation. DACS review of major facilities and related proposals follows
the requirements and timeline in the Research Infrastructure Guide.
Proposals from organizations that:
•
•
•
•
•
have not had an active NSF award within the preceding five years;
involve special situations (such as coordination with another Federal agency or a private funding
source);
are to be awarded as cooperative agreements;
are new or renewal proposals that exceed $20 million in total costs; or
have other unusual considerations;
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 (currently FAPIIS) in accordance with Federal-wide
requirements, but only after the proposer has had an opportunity to exhaust the appeal procedures
contained in Chapter III.F.2 below.
2.
Process to Appeal NSF’s Decision to Decline a Proposal for Financial or Administrative Reasons
a.
Background
A proposer who has been declined for an NSF award for reasons related to NSF’s pre-award financial and
administrative reviews will be afforded the opportunity to discuss the decline decision with the cognizant
NSF Grants and Agreements Officer or Branch Chief in DGA or DACS. If, after obtaining further clarification
from the cognizant NSF Grants and Agreements Officer or Branch Chief in DGA or DACS, the proposer
believes that NSF made a substantive or procedural error in arriving at its decision to decline an award, the
proposer may submit a request for review to the cognizant Division Director of DGA or DACS. The decision
made by the cognizant Division Director of DGA or DACS is final.
Award of NSF assistance is discretionary. A formal hearing, therefore, is not provided.
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b.
Applicability
Chapter III.F.2.c below 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
(i)
Proposers who are declined for an NSF award for financial or administrative reasons will be
identified as such in the declination notice. A proposer who disagrees with NSF’s decision should first
contact the cognizant NSF Grants and Agreements Officer or Branch Chief in DGA or DACS, who will afford
the proposer an informal opportunity to obtain further clarification.
(ii)
If dissatisfied with the explanation provided by the cognizant NSF Grants and Agreements Officer
or Branch Chief in DGA or DACS, the proposing organization’s 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,
DGA, or the Division Director, 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.
(iii)
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.
(iv)
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.
(v)
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 designee for a final written decision for the
agency. The Division Director, DGA or DACS or designee will communicate the decision in writing to the
proposer, normally within 15 days of receipt of the report, unless otherwise specified by NSF. The decision
made by the Division Director, DGA or DACS, is final.
G.
Review Information Provided to PI
When a decision has been made (whether an award or a declination), the following information is released
electronically to the PI:
•
description of the process in which the proposal was reviewed;
•
copies of all reviews used in the decision (with any reviewer-identifying information redacted);
•
if the proposal was reviewed by a panel at any point in the process; a copy of the panel summary
and recommendation; and/or
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•
site-visit reports, if applicable.
In addition, if not otherwise provided in the panel summary, the PI is provided a written explanation of the
basis for the declination. A PI also may request and obtain any other releasable material in NSF's file on
the individual’s 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 Recipient 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.E.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 awards that contain descriptions of inventions in which either the
Government or the recipient 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 recipient of receipt of requests for copies of funded proposals so the
recipient 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 DGA
and DACS
Research.GOV
Ad Hoc
NSF Program
Officer
Panel
Combination
Program Officer
Analysis &
Recommendations
Division
Director
Concurrence
Internal
Organization
Decline
Proposal
Receipt
at NSF
90 Calendar Days
Proposal Preparation
DD Concur
6 Months
Proposal Receipt to DD Concurrence of PO Recommendation
* In accordance with Chapter III.F. the Division of Grants and Agreements (DGA) or the Division of Acquisition and Cooperative
Support (DACS) may decline a proposal recommended for award after conducting a review of business, financial and policy
implications.
Award
30 Calendar 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. Research.gov 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 52 can initiate or review a proposal withdrawal using the Proposal File
Updates/Budget Revisions" function in Research.gov".
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.
52
AORs also can initiate a proposal withdrawal.
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B.
Proposal Not Accepted or Returned Without Review
A proposal will not be accepted 53 or will be returned without review by NSF for the following reasons.
The proposal:
1.
is inappropriate for funding by the National Science Foundation (see Chapter I.B);
2.
is submitted with insufficient lead-time before the activity is scheduled to begin;
3.
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);
4.
is a duplicate of, or substantially similar to, a proposal already under consideration by NSF from
the same submitter (see Chapter I.G.2);
5.
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 Chapter II.A through II.D), the NSF Grants.gov Application Guide, or program
solicitation;
6.
is not responsive to the NSF funding opportunity;
7.
does not meet an announced proposal deadline date;
8.
was previously reviewed and declined and has not been substantially revised (see Chapter IV.E);
9.
duplicates another proposal that was already awarded; and/or
10.
does not contain each of the required sections of the proposal, as described in Chapter II.D.2.
C.
Declinations
A PI whose proposal for NSF support has been declined by the NSF Program Officer will receive information
and an explanation of the reason(s) for declination along with copies of the reviews considered in making
the decision. If the PI is not satisfied with that explanation, the PI may request additional information from
the cognizant NSF Program Officer or Division Director. See Chapter III.G for additional information on the
review information that can be provided.
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 is not satisfied that the proposal was fairly handled and reasonably reviewed,
the PI may request reconsideration by the cognizant Assistant Director (AD) or Office Head. An organization
(or an unaffiliated PI) still not satisfied after reconsideration by the cognizant AD/Office Head may request
53
Proposal Not Accepted is defined as Research.gov will not permit submission of the proposal.
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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.
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 award
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)
(8)
Fellowships;
Travel;
Planning;
Rapid Response Research (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.
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a.
Explanations by the NSF Program Officer or Division Director
When a proposal is declined, the PI 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 who is considering asking for
reconsideration should first contact the cognizant NSF Program Officer or Division Director, who will afford
the PI 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
may request in writing that NSF reconsider its action. Such a request will be considered only if the PI has
first sought and obtained further clarification from the cognizant NSF Program Officer or Division Director,
and only if the request is received by the Foundation within 90 days after the declination or the 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 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 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. If results cannot be furnished within 45 days, the AD/Office Head will
send the PI 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, the AD/Office Head will inform the PI
that the PI’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 of the results of the reconsideration,
the proposing organization or an unaffiliated PI 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. 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 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).
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(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.
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. 54
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. 55 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.
a brief summary (not to exceed four pages) of plans for the proposed support period.
2.
information on human resources development at the postdoctoral, graduate, and undergraduate
levels; and
3.
copies of no more than six reprints 56 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.
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.
54Reference
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 end date of
an award to determine whether it is in the best interest of US science and engineering to recompete that award.
55This requirement applies to both types of renewal proposals: Traditional Renewal and Accomplishment-Based
Renewal.
56Reprints should be provided as supplementary documentation and should be submitted via the Proposal Preparation
Module in Research.gov.
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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 NSF Assistance
Awards
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 award terms and condition 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
Recipients are free to accept or reject the award. Normally, a request to drawdown NSF funds constitutes
acceptance, however, in limited circumstances, NSF may require formal acceptance of an award. If the
recipient chooses not to accept the award, then a written request should be sent to the cognizant NSF
Program Officer to withdraw (or terminate) the award.
B.
Award Instrument
1.
Composition of an NSF Award
Composition of an NSF award includes:
a.
the award notice, including any special conditions applicable to the award and any numbered
amendments thereto;
b.
general Federal award information as required by 2 CFR §200.210;
c.
the budget, which indicates the amounts, by categories of expense, on which NSF has based its
support;
d.
the applicable NSF general conditions referenced in the award notice;
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 Research.gov. SPOs are able to view, print and/or
download NSF award notices for their organizations.
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 on the NSF website. When these conditions reference a
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particular PAPPG section, that section becomes part of the award requirements through incorporation by
reference.
D.
NSF Award 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 award. 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 pre-award 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 award except to satisfy obligations to pay allowable project costs committed on or before that
date. The end date is the last day of a month.
c.
Award Date is the date when the NSF award is signed by the cognizant NSF Grants and
Agreements Officer.
d.
Budget period is the time interval from the start date of a funded portion of an NSF award to the
end date of that funded portion during which the recipient is authorized to expend the funds awarded,
including any funds carried forward or other revisions pursuant to 2 CFR §200.308.
e.
Award 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 Award Period
a.
An NSF award gives authority to the recipient to commit and expend funds in support of the project
up to the award amount specified in the award notice at any time during the award 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 award.
3.
Changes in an Award Period
a.
Start Date
Once an award is made, the start date cannot be changed; however, recipients 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 for a no-cost extension, or by approval of a request for supplemental support
(up to six additional months in accordance with Section E.4. below). When appropriate, the NSF Grants
and Agreements Officer will issue an amendment to the award.
c.
No-Cost Extension
(i)
Grantee-Approved Extension. 57 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. Recipients are
not authorized to extend an award that contains a zero balance. The recipient shall notify NSF, providing
57
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supporting reasons for the extension and the revised period of performance, at least ten calendar days prior
to the end date specified in the grant to ensure accuracy of NSF’s grant data. All grantee-approved
extension notifications must be signed and submitted by the AOR via use of NSF’s electronic systems. For
grantee-approved extensions, no amendment will be issued. The revised end date may 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. 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. NSF will
not extend an award that contains a zero balance.
(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 and Agreements
Officer, and, if approved, will be in the form of an amendment to the grant specifying a new end date.
Recipients 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, recipients 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 58.
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.
Grants 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 award. 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 award amount awarded will be in the form of renewed
support, continuing grant or cooperative agreement increments or supplemental support. A description of
each of these additional funding mechanisms is provided below.
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
As defined in 2 CFR §200.1, Renewal award means an award made subsequent to an expiring NSF award
for which the start date is contiguous with, or closely follows, the end of the expiring NSF award. A renewal
award's start date will begin a distinct period of performance.
Generally, costs incurred under the old award cannot be transferred to the new award. Residual funds
remaining in the old award cannot be transferred to the new award.
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 the 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 project
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 via use of Research.gov and approved by the NSF Program Officer prior
to the end of the current budget period. (See Chapter VII.D for additional information on submission of
project reports).
4.
Cooperative Agreement Increments
a.
Unlike continuing grants, funding increments for projects being supported under cooperative
agreements (CA) or cooperative support agreements (CSA) are recommended for funding by the cognizant
NSF Program Officer in accordance with the terms and conditions of the CA, which may be based on the
original budget or submission of a revised budget via email or as directed.
b.
Continued funding is subject to NSF’s judgment of satisfactory progress, including milestones or
other requirements of the CA or CSA, availability of funds, and receipt and approval of the required annual
report, and, if required by the award, the annual cost sharing certification.
5.
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.
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b.
A request for supplemental support must be submitted electronically via Research.gov 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 Research.gov.
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
caused by a change in the indirect cost rate or by changes in direct cost expenditures which affect the
indirect cost base. (See Chapter X.A.2.a.)
d.
If approved, the NSF Grants and Agreements Officer will amend the award 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.
Recipients are reminded that most NSF appropriated funds have a limited period of availability for
expenditure before the appropriation cancels. 59 Any extensions of the end date due to award of
supplemental funding does not extend the period of availability for canceling funds of the original award.
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.
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 PAPPG Chapter VIII.E.
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Chapter VII: Award Administration
A.
Monitoring Project Performance
1.
Recipient Responsibilities
a.
The recipient has full responsibility for the conduct of the project or activity supported under an NSF award
and for the results achieved. The recipient 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 award. In order to carry out these responsibilities, each recipient organization shall agree to comply with
the applicable Federal requirements for awards and to the prudent management of all expenditures and actions
affecting the award. Documentation for each expenditure or action affecting the award 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 award terms and conditions;
(ii)
is consistent with NSF and recipient 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 PIs 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, recipient management control systems and administration and management of
the award and to provide technical assistance as may be required. If any site visit is made by the Foundation on
the premises of the recipient or a subrecipient under an award, the recipient shall provide and shall require its
subrecipients to provide all reasonable facilities and assistance for the safety and convenience of the NSF
representatives.
2.
Recipient Notifications to NSF
The following is a listing of recipient 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 or co-PI 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 Equity
and Civil Rights website; or
g.
Placement by the recipient of a PI or co-PI on administrative leave or the imposition of any administrative
action on the PI or any co-PI 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 Equity and Civil Rights 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
and Agreements Officer will amend the award. 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.D.2.g for further information).
b.
Significant Changes in Methods or Procedures
NSF believes that the PI and co-PI, operating within the established policies of the recipient organization, should
feel free to pursue interesting and important leads that may arise during the conduct of a research (or other awardsupported) 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
recipient official(s). The PI 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 should notify the
appropriate recipient official(s). The PI 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, co-PI or Person-Months Devoted to the Project at the Initiation of the Recipient
Organization
The NSF decision to support a proposed project is based to a considerable extent upon its evaluation of the
proposed PI and any identified co-PI’s knowledge of the field of study and their 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 (and co-PI) should be continuously responsible for the conduct of the project and be closely involved
with the effort.
If the recipient determines that there is a need for the addition of a new co-PI, or the current PI or co-PI plans to,
or becomes aware that the current PI or co-PI will: (i) devote substantially less effort to the project than anticipated
in the approved proposal; (ii) sever connection with the recipient organization; or (iii) otherwise relinquish active
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direction of the project, the individual must advise the appropriate official at the recipient organization, who shall
initiate action appropriate to the situation under the guidelines that follow.
a.
Long-Term Disengagement of PI or co-PI
(i)
In the event the PI or co-PI 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. 60 The cognizant NSF Program
Officer will provide written approval to the recipient if the arrangements are satisfactory, but no formal amendment
to the award will be made. If the arrangements are not satisfactory to NSF, the award may be terminated as
prescribed in Chapter XII.A.
(ii)
In the event the PI or co-PI 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 recipient
organization must contact the cognizant NSF Program Officer for procedural guidance regarding any existing
awards or pending proposals of the PI or co-PI.
b.
Changes in Person-Months Devoted to the Project
If the PI or co-PI will devote substantially less time to the project than anticipated in the approved proposal,
(defined in the applicable award terms and conditions as a reduction of 25% or more in time) that PI or co-PI
should consult with the appropriate officials of the recipient 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 recipient organization or NSF determines that the reduction of effort will
substantially impair the successful execution of the project, the NSF Program Officer will consult the NSF Grants
and Agreements Officer. The NSF Grants and Agreements Officer may:
(i)
request the recipient to nominate a replacement PI or co-PI 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 award.
c.
Addition of co-PI
In the event the recipient desires to add a new co-PI to a project 61, the AOR must sign and submit the request via
use of NSF’s electronic systems. The new co-PI’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 also should be included. If approved by NSF, the Grants and
Agreements Officer will amend the award.
d.
Withdrawal of PI or co-PI
In the event the PI or co-PI severs connection with the recipient organization or otherwise relinquishes active
direction of the project, the AOR must sign and submit a notification of the withdrawal of the PI or co-PI via
Research.gov. 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 recipient also must:
(i)
initiate transfer of the award as described in Chapter VII.B.2.f. (This is generally reserved for the
withdrawal of the PI);
60
61
A shorter period is provided in situations falling under Chapter XI.A.1.g.
NSF’s policy limits the number of co-PIs to four per award.
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(ii)
nominate a substitute as described in Chapter VII.B.2.e; or
(iii)
initiate award closeout procedures through submission of final reports as described in Chapter VII.D.2.
(This is generally reserved for the withdrawal of the PI if no substitute is nominated).
e.
Substitute (Change) PI or co-PI
In the event the recipient desires to continue the project with a substitute PI or co-PI, the AOR must sign and
submit the request via use of NSF’s electronic systems. The substitute PI’s name or co-PI’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 or co-PI also should
be included. If approved by NSF, the Grants and Agreements Officer will amend the award. If not approved, NSF
may take steps, pursuant to Chapter XII.A to suspend or terminate the award.
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 recipient must submit a "Change of PI" request using the Research.gov 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 an Award When a PI Transfers from One Organization to Another Organization
(i)
Policy. When a PI plans to leave an organization during the course of a award, the organization has the
prerogative to nominate a substitute PI or request that the award be terminated and closed out. In those cases
where the PI’s original and new organizations agree, NSF will facilitate a transfer of the award and the assignment
of remaining unobligated funds to the PI’s new organization. This should normally be done with a tripartite
agreement (involving NSF, the PI’s original organization and new organization), or by a subaward arrangement
between the PI’s original and new organizations, subject to NSF’s consent. (See Chapter VII.B.3)
(ii)
Procedures. When a PI plans to leave an organization during the course of an award, the PI 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 recipient to nominate a substitute PI (see Chapter VII.B.2.e). If
the project is to be continued at the PI’s new organization, and if NSF and both organizations agree, formal
notification of the impending transfer can be electronically initiated by either the PI or the PI’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 award;
(d)
detailed line item budget for the transfer amount and any outstanding award 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.D.2.i(i). The plan must be uploaded under “Mentoring Plan” in the
Supplementary Documentation section of Research.gov. The PI must report on the mentoring activities provided
to the individual(s) in annual and final project reports.
The original organization concurs with the transfer of the award by electronically forwarding the request to the
new organization.
The new organization completes the request by providing a detailed budget for the transfer amount agreed to by
both organizations. The AOR of the new organization must sign and submit the request via use of NSF’s electronic
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systems. Submission of the request constitutes agreement by the new organization to assume responsibility for
completion of the project effort and to administer the award (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 awards made to the new organization. Special terms and conditions, as appropriate,
cited in the original award will convey to the new recipient organization.
NSF will assign a proposal number at the time of submission. This proposal number will become the new award
number when the transfer is approved by an NSF Grants and Agreements Officer.
(iii)
Fund Transfer. Upon receipt of the above material, NSF will review the request and, if approved, deduct
the specified transfer amount from the original award and re-establish it under a new award number at the new
organization. Award notification by the NSF Grants and Agreements Officer will constitute NSF approval of the
award transfer. The award notification also will specify the applicable award terms and conditions that govern the
award.
(iv)
Monetary Discrepancies. Upon transfer of the award to the new organization, any monetary discrepancies
must be resolved between the original and the new recipient. 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. PIs 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 award as an allowable cost. Budgets should not include funds to “buy”
equipment that had been previously obtained with Federal funds.
(vi)
Possible Alternatives to the Transfer Process. When the amount of time and funds remaining in a project
are modest, and if both the original and new organizations are in agreement, the original organization may issue
a subaward to the new organization for completion of the project. This and other possible alternatives should be
discussed with the NSF Grants and Agreements Officer.
3.
Changes in PI, co-PI 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 or any co-PI,
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 recipient must nominate a substitute PI or co-PI via use of NSF’s
electronic systems. The substitute PI’s name or co-PI’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 or co-PI also should be included. If approved by NSF, the Grants and Agreements Officer will amend
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the award. If not approved, or a substitute PI or co-PI is not available, NSF may take steps, pursuant to Chapter
XII.A to suspend or terminate the award.
4.
Subawarding or Transferring Part of an NSF Award (Subaward) 62
Excluding the purchase of items such as commercially available materials and supplies, equipment, or general
support services allowable under the award, 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 an award has been made, the recipient
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 Research.gov.
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 award signed by the Grants and Agreements Officer. The
NSF award terms and conditions will identify which articles flow-down to subrecipients.
Procurements under NSF awards are subject to Chapter X.C as well as 2 CFR §200.317-327.
5.
Postaward Additions of Postdoctoral Scholars
If a recipient 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
recipient must send the cognizant NSF Program Officer the requisite mentoring plan, as described in Chapter
II.D.2i(i).
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.D.2.i(i). The plan should be uploaded to the “Other Supplementary Documents” section of the
Research.gov 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 63 (see Chapter
II.D.2.f(xii)) is as follows:
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
•
62In
63
the rare case of funding to a foreign organization or foreign individual, see Chapter I.E.6 for additional requirements.
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 recipient.
2.
Mandatory Cost Sharing Commitments
2 CFR §200.306 prescribes criteria and procedures for the allowability of cash and in-kind contributions.
Recipients 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 is available on the NSF website.
3.
Mandatory Cost Sharing Records and Reports
a.
Recipient Records
Recipients shall maintain records of all project costs that are claimed by the recipient 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.
Recipient 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 award to meet the final notification
requirement. The cost share notification is considered due during the 90 or 120 day period respectively. The
notification becomes overdue the day after the respective 90 or 120 day period ends.
c.
Changes to the Cost Sharing Amount Specified on Line M of the NSF Award Budget
Should the recipient 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 recipient plans to take to secure replacement cost
sharing; or indicate the plans that the recipient has to either continue or phase out the project in the absence of
the approved level of cost sharing.
Should NSF agree to the organization’s proposed plans, the NSF Grants and Agreements Officer will modify the
award accordingly, including, if appropriate, reducing the amount of NSF support. Should the organization’s plans
be unacceptable to NSF, the award may be subject to termination. NSF modifications to proposed cost sharing
revisions are made on a case-by-case basis.
Failure by the organization to notify NSF, in accordance with the paragraph above, may result in the disallowance
of some or all of the costs charged to the award; the subsequent recovery by NSF of some or all of the NSF funds
provided under the award; possible termination of the award; and may constitute a violation of the terms of the
award so serious as to provide grounds for subsequent suspension or debarment.
D.
Technical Reporting Requirements
NSF requires project reports for all assistance awards. Information from these reports is used in annual reports to
Congress to demonstrate the Foundation’s performance as mandated by the Government Performance and
Results Act (GPRA) of 1993. These reports also provide NSF program officers and administrative offices with
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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 the Research Performance Progress Report (RPPR), which is the government-wide standard
for use with research and research-related activities. As implemented, the following components comprise NSF
project reports:
•
•
•
•
•
•
Accomplishments;
Products;
Participants/Organizations
Impact;
Changes/Problems; and
Special Requirement (if applicable).
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 §200.329 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 current budget period.
Annual project reports must be submitted in Research.gov no later than 90-days prior to the end of the current
budget period to provide sufficient time for review and approval by the cognizant NSF Program Officer. The report
becomes overdue the day after the end of the current budget period if it has not been submitted by the PI and
approved by the cognizant NSF Program Officer.
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 will 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
may be established in the applicable solicitation.
For multi-year standard grants, PIs are required to submit annual reports as outlined above. In the case of
cooperative agreements, the annual project 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 Annual Project Report
The final annual project report is the last annual report of the project and should be written specifically for the most
recently completed budget period. It should address progress in all activities of the project in its final year, including
any activities intended to address the Broader Impacts criterion that are not intrinsic to the research. This report
is not cumulative. By submitting the final annual project report, the PI is signifying that the scope of work for the
project has been completed and that the PI does not anticipate that any further research activities (including a nocost extension, supplemental funding, or transfer of the award) need to be completed on the project. Submission
of the final annual project report, however, does not preclude the recipient from requesting any further payments
for costs incurred during the period of performance.
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Unless otherwise specified in the award, the final annual project report must be submitted in Research.gov no
later than 120-days following the end date of the award. As reflected in the Project Report System, the report is
considered due during the 120-day period. If the report has not been submitted by the PI and approved by the
cognizant NSF Program Officer within the 120-days period, the report becomes overdue. In addition, the recipient
also shall provide to the cognizant NSF Program Officer, within 120-days following the end date of the award:
•
any unique reports or other end items specified in the award, including any reporting requirements set
forth in any NSF brochure, guide, solicitation, etc., referenced in the award as being directly related to
either the award or the administration of the award.
•
a final cost share notification documented and certified by the AOR for awards where there is mandatory
cost sharing established for the program.
Final annual 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 award that are reported in annual and
final project reports. Other products that have resulted from the award may also be listed. Examples of
other products include collections, data sets, software, as well as educational materials.
c.
Information regarding anticipated publication of project results, as well as any other information that would
be of interest to the public also may be included in this section.
Recipients 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 in Research.gov no later than 120 days following the end date of the award. The
report becomes overdue the day after the 120-day period ends if it has not been submitted by the PI. By submitting
the POR, the PI is signifying that the scope of work for the project has been completed and that the PI does not
anticipate that any further research activities (including a no-cost extension, supplemental funding, or transfer of
the award) need to be completed on the project. Submission of the POR, however, does not preclude the recipient
from requesting any further payments for costs incurred during the period of performance.
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4.
Compliance with Technical Reporting Requirements
PIs must submit final technical reports within the time period specified. Failure to provide these reports on a
timely basis will delay NSF review and processing of pending proposals for all identified PIs and co-PIs
on a given award.
5.
Award Closeout
Award closeout is the process by which NSF determines that all applicable administrative actions and all required
work of the award have been completed. 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. Awards are administratively closed
after the award is financially closed. In most cases, awards are administratively closed automatically based solely
on the financial closeout of the award. There are certain cases, such as if the award includes a cost sharing
requirement or Federally-owned equipment, where the administrative close is held until the award is reviewed by
an NSF Official. The administrative closeout of the award is an NSF action. If additional documentation is
required, NSF will contact the recipient. In addition to the financial and administrative closeout, all required project
reports, including the Final Annual Project Report and Project Outcomes Report, must also be submitted to
completely close the award, and after determination that any other administrative requirements in the award have
been met. Awards will be financially closed out 120 days after their expiration date.
In accordance with 2 CFR §200.344(i), if the recipient does not submit all required reports within one year of the
period of performance end date, NSF must report the recipient’s material failure to comply with the terms and
conditions of the award with the OMB-designated integrity and performance system (currently FAPIIS). NSF may
also pursue other enforcement actions per 2 CFR §200.339.
In the event a final audit has not been performed prior to the closeout of the award, 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
award must be retained by the recipient for a period of three years from award financial closeout described in
Chapter VIII.E.3, except as noted in 2 CFR §200.334.
2.
It is the responsibility of recipients 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 §200.1. 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 nonresearch 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 recipient 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 recipient. Payments, however, may not be made prior to an award being signed by
an NSF Grants and Agreements Officer.
NSF has a reversionary 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.
The provisions of this chapter apply to all NSF awards. Graduate fellowship awards made to domestic
institutions of higher education are included, but contracts are excluded. All categories of recipients 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 recipients 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 recipient disburses the funds for program
purposes.
2.
Business Officer – means the financial official of the recipient organization who has primary
responsibility for the accountability for, and reporting on, NSF award funds.
3.
Cash on Hand – means a recipient 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 recipient to a project or
program for which an NSF award was received.
5.
Financial Functions – means the NSF systems and services used by recipients to transmit financial
information to NSF. Recipients must access Financial Functions through Research.gov. The primary
Financial Functions used by recipients are:
(a)
Award Cash Management Service (ACM$) – means NSF’s award payment process under which
recipients 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 recipients prior to ACM$ implementation to report the financial activity of NSF
awards on a quarterly basis.
6.
Recipient - means an entity that receives an award directly from NSF. The term recipient does not
include subrecipients or individuals that are beneficiaries of the award. NSF awards are normally made to
organizations rather than to the PI and any co-PIs identified on a proposal. Categories of eligible proposers
may be found in Chapter I.E.
7.
Recipient Obligations – means orders placed for property and services, contracts and subawards
made, and similar transactions during a given period that require payment by the recipient during the same
or a future period.
8.
Improper Payment – means any payment that should not have been made or that was made in an
incorrect amount under statutory, contractual, administrative, or other legally applicable requirements.
9.
NSF Obligations – means funds authorized by an NSF Grants and Agreements Officer for a specific
NSF award creating a balance payable to a recipient.
10.
Payments – means the funds transferred from NSF to the recipient 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.
11.
Unexpended Balance – means the sum of the awarded funds not yet obligated by the recipient and
obligated balances not yet paid by the recipient. 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.
Unliquidated Obligations –
(a)
for recipients operating on a cash basis, means obligations incurred by the recipient that have not
been paid (liquidated).
(b)
for recipients operating on an accrual expenditure basis, means obligations incurred by the
recipient for which an expenditure has not been recorded.
13.
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 recipients, except for some Special Payment recipients (see Chapter VIII.C.4), and some foreign
recipients, are required to request payments electronically through ACM$. Under ACM$, recipients must
provide award level detail at the time of the payment request.
Certain Special Payment recipients and foreign recipients 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 recipient for its actual
disbursements.
a.
Timing of Payments. Advance payments to recipients 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 recipient 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 recipient 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 recipients to subrecipients
and contractors shall conform to the same standards of timing and amount as apply to payments by NSF
to its recipients.
c.
Withholding Payments. NSF reserves the right, upon written notice, to withhold future payments
after a specified date if the recipient 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 recipient 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 recipient; nor will any of these funds
be deposited in personal bank accounts for disbursement by personal check.
3.
Request for Payment
a.
Recipients 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
recipients submitting payment requests in advance of costs incurred:
(i)
Funds for the project period have been obligated by a Grants and Agreements Officer in the form
of an electronically signed grant;
(ii)
The recipient 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 recipient; and
(iii)
The recipient’s financial management system meets the standards for fund control and
accountability prescribed in 2 CFR §200.302.
b.
Recipients shall maintain advances of NSF funds in interest bearing accounts as specified in
Chapter VIII.D.3.
4.
Special Payment Recipients
When recipients 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
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NSF Grants and Agreements Officer is responsible for establishing the documentation requirements for
special payment recipients. 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 recipient to cover estimated disbursement needs for a given initial
period. Thereafter, the recipient 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 recipients’ unreimbursed program
disbursements.
6.
Recipient 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 recipient 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 are preferred, where
practical, and should be submitted through Pay.gov.
.
When electronic remittances are not practical, 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 NSF Award ID(s) and the reason for the return (e.g., excess cash,
funds not spent, interest, part interest part other, etc.) should be included in any remittance submitted to
NSF.
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
recipient to maintain excessive funds on hand.
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3.
Interest Earned on Advance Payments
The following provisions implement the applicable portions of 2 CFR §200.305 on interest income.
Recipients shall maintain advances of NSF funds in interest-bearing accounts, unless any of the following
apply:
a.
The recipient receives less than $250,000 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.
Recipients 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 an explanation stating that the refund is for interest, include
NSF as the name of the awarding agency, and list the Federal award number(s) for which the interest was
earned. 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 Locator Code (ALC): 75010501
Name (abbreviated when possible) and ALC Agency POC: Michelle Haney, (301) 492-5065
(iv)
For recipients that do not have electronic remittance capability, please make check** payable to:
“The Department of Health and Human Services.”
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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)
Questions can be directed to PMS at 877-614-5533 or [email protected].
4.
Program Income
a.
Background
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 recipient 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 award, program income does not include rebates,
credits, discounts, and interest earned on any of them. See also 35 USC §§200-212 “Disposition of Rights
in Educational Awards” as it applies to inventions made under Federal awards.
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 recipient during the
period of the grant is to be retained by the recipient, added to the funds committed to the project by NSF,
and thus used to further project objectives. The recipient has no obligation to NSF with respect to program
income received beyond the period of the grant. The recipient 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 recipient 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.)
(ii)
Special Treatment
In exceptional circumstances, the NSF Grants and Agreements Officer, in collaboration with Program
Officers and other appropriate NSF offices, may approve use of a special grant provision to restrict or
eliminate a recipient’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
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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, recipients are required to submit a Program Income Reporting Worksheet to NSF in
order to report program income earned and expended for any of their awards or to validate that they did
not earn and expend program income for any of their 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 recipients through the
Program Income page of Research.gov. Recipients 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. Recipients 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
calendar days after the end of the Federal fiscal year.
(c)
Postdoctoral Research Fellowship awards made directly to individuals are exempt from this annual
reporting requirement.
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 recipient 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 recipients 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 recipient 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 $1.00 or more from the final award amount, then
the recipient should submit an “Adjustment to a Financially Closed Award” through the ACM$ payment
process.
2.
Recipients 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 calendar 120 days after the award end date 64 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.
Recipients also have the option of using ACM$ to designate awards for financial closeout prior to
NSF’s regularly scheduled close out date. Recipients 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.
Recipients 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 65, 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 recipient 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 recipient should return the funds associated with the downward adjustment in accordance with section
D. Cash Refunds and Credits to NSF.
6.
NSF will notify recipients of any canceling appropriations on open awards in order for recipients to
properly expend and draw down funds before the end of the Federal fiscal year. Recipients must not
interpret NSF's notification of canceling appropriations as direction to draw down NSF funds for which there
is no associated expenditure need. Recipients 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 award 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, recipients will still have the full 120-day closeout period to submit
final annual project reports in accordance with the award terms and conditions.
64 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.
65 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:
Recipient 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 awards, each governing a different area: financial management, property management, and
procurement management. Chapter IX.D, IX.E and IX.F implement these standards and extend their
applicability to all types of recipients of NSF awards, including for-profit organizations.
A.
Conflict of Interest Policies
1.
NSF requires each recipient 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, co-PIs, 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, private equity, or other ownership interests); venture or other capital financing, 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. 66
When OGC is notified of an unmanageable conflict of interest by a recipient, OGC will conduct the following
review:
a.
Examine a copy of the organization’s conflict of interest policy to ascertain if the policy includes
procedures for addressing unmanageable conflicts.
66 Recipient notifications of conflict of interest that cannot be managed, reduced, or eliminated and recipient notifications
of situations where research will proceed without the imposition of conditions or restrictions when a conflict of interest
exists, must be signed and submitted by the AOR via use of NSF’s electronic systems.
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b.
Contact the recipient 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 recipient 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 award 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.
diligently protect proprietary information and intellectual property from inappropriate disclosure; and
c.
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), as amended, 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, postdoctoral researchers,
faculty, and other senior personnel supported by the proposed research project. Such training must include,
at a minimum,
(1)
(2)
(3)
mentor training and mentorship;
training to raise awareness of potential research security threats; and
Federal export control, disclosure, and reporting requirements.
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.
The language specified below provides NSF’s implementation of Section 7009, as amended.
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 undergraduate students, graduate students, postdoctoral
researchers, faculty, and other senior personnel who will be supported by NSF to conduct research. As
noted in Chapter II.D.1.d(iv), 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
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circumstances at each institution. Accordingly, it is the responsibility of each institution to determine the
content, focus and the delivery method for the RECR training. 67 Such content, however, must include the
statutory training requirements noted above. 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,
postdoctoral researchers, faculty, and other senior personnel 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.
Research Security
NSF is committed to safeguarding the integrity and security of science while also keeping fundamental
research open and collaborative. NSF seeks to address an age of new threats and challenges through
close work with our partners in academia, law enforcement, intelligence, and other federal agencies. By
fostering transparency, disclosure and other practices that reflect the values of research integrity, NSF is
helping to lead the way in ensuring taxpayer-funded research remains secure.
NSF’s research security initiatives seek to:
•
continue to increase the clarity and comprehensiveness of the Foundation’s disclosure
requirements;
•
coordinate with U.S. government interagency partners to harmonize disclosure information to the
extent practicable;
•
communicate and build awareness with the scientific community;
•
share knowledge and best practices;
•
improve transparency and clarification for disclosure; and
•
mitigate risk through assessment and analysis to better understand the scale and scope.
In accordance with the Guidance for Implementation of National Security Presidential Memorandum 33
(NSPM-33) on National Security Strategy for United States Government-Supported Research and
Development, the Foundation requires the following post-award updates to current and pending support
information after issuance of an NSF award:
1.
Post-award Disclosure of Current Support and In-Kind Contribution Information
If an organization discovers that a PI or co-PI on an active NSF award failed to disclose current support or
in-kind contribution information 68 as part of the proposal submission process (see PAPPG Chapter
67NSF has provided funding to the Online Ethics Center for S&E, 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.
68 The post-award disclosure requirement applies to current support (including in-kind contributions) that was active as
of the date the proposal was submitted to NSF. See NSF Pre-award and Post-award Disclosures Relating to the
Biographical Sketch and Current and Pending Support which has been developed to assist users in determining the
types of activities that must be disclosed.
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II.D.2.h(ii)), the AOR must submit the information specified in the applicable general term and condition
article entitled, “Post-award Disclosure of Current Support and In-kind Contribution Information” within 30
calendar days of the identification of the undisclosed current support or in-kind contribution through use of
the Notification and Request Module in Research.gov.
NSF may consult with the AOR, or designee, if necessary, and determine the impact of the new information
on the NSF-funded award, and, where necessary, take appropriate action.
2.
Update of Current Support in Annual and Final Project Reports
PIs and co-PIs on active NSF awards must indicate if there has been a change in active other support since
submission of the proposal, or the last reporting period in their annual and final project report. If there has
been a change, the individual must submit a revised current and pending support document prepared in
SciENcv as part of their project report.
NSF may consult with the PI or co-PI and the AOR, if necessary, and determine the impact of the new
information on the NSF-funded award, and, where necessary, take appropriate action.
D.
Financial Management Systems Standards
NSF recipients are required to have financial management systems which meet the requirements of 2 CFR
§200.302.
E.
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 award. In the rare instances
where NSF awards involve the acquisition of real property, the real property standards of 2 CFR §200.311
are applicable to such NSF awards. 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 award will
vest in the recipient, subject to the conditions identified the applicable award terms and conditions, and in
Chapter IX.E.2.a. below.
1.
Title to Equipment
Title to equipment purchased or fabricated with NSF funds will normally vest in the recipient organization
upon acquisition. This includes IHEs or other non-profit organizations, small businesses, or other for-profit
organizations, foreign public entities or foreign organizations, and State, local or tribal governments. Only
if specified in the award will title pass directly to the government upon acquisition and is then designated
as Federally-owned property. 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” as outlined below and in
accordance with the applicable award terms and conditions.
2.
Conditions for Acquisition, Use, and Disposition of Equipment
a.
Recipient Assurance. The recipient will assure each purchase of equipment is:
(i)
necessary for the research or activity supported by the award;
(ii)
not otherwise reasonably available and accessible;
(iii)
of the type normally charged as a direct cost to sponsored agreements; and
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(iv)
acquired in accordance with organizational practice.
b.
General Purpose Equipment. Expenditures for general purpose equipment are typically not
available for support. General Purpose Equipment is defined in 2 CFR §200.1.
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(c)(1) unless the provision in 2 CFR §200.313(c)(4) applies.
d.
Equipment Sharing. The equipment must be shared on other projects or programs in accordance
with 2 CFR §200.313(c)(1).
e.
Property Management Requirements. The recipient 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), recipients 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. (See section E.4 below, Principles Relating to the Use of NSF-Supported Research
Instrumentation and Facilities.)
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 at any time during the award period.
(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.
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) must be identified, tagged or segregated in such a manner as to indicate clearly its
ownership by the government. Unless otherwise provided in the award, such FOP must be used only for
the performance of the project. The recipient must submit an annual inventory report and final inventory
report for all FOP by NSF award number to NSF using the NSF's Central Property Inventory Repository
(CPIR). The annual report must be received in the CPIR system no later than October 15 each year.
Additionally, the final inventory report for all FOP is due upon the end date of the award for further agency
guidance on utilization and disposition. (See Chapter IX.E.5). Contact the NSF Property Administrator at
[email protected] for access to the CPIR system or for any property related questions.
4.
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 recipients use NSFsupported 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 award, and/or (2) may have a
material and deleterious effect on the success of private companies engaged in the provision of equivalent
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services. It is contrary to the NSF's intent for recipients to use NSF-supported research instrumentation or
facilities to provide services for a fee in competition with private companies in a manner that is prohibited
by 2 CFR §200.313(c)(3).
Recipients should implement the above principles and related award conditions in a reasonable manner.
Recipients are expected to provide fair and adequate consideration of any complaints about use of
instrumentation and facilities.
5.
Excess Government Personal Property
a.
Policy
(i)
As a means of expanding the ability of recipients to accomplish NSF objectives while conserving
supply and equipment funds, NSF will continue to sponsor the transfer of excess government personal
property to NSF recipients.
(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 award-supported activity;
(b)
the property is such that it would have been procured under the award for which property is being
requested if additional award funds had been available;
(c)
the property is used as part of the award 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.E.5.f.)
b.
Eligibility
Eligible organizations are NSF recipients 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 PIs are not eligible for
excess government personal property under NSF sponsorship.
c.
Procedures
(i)
To access a worldwide inventory of available excess personal property, an eligible recipient should
contact the Property Administrator ([email protected]), to become a registered user of GSAXcess®,
GSA’s online personal property system.
(ii)
Recipients 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.
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(iii)
Materials and equipment so selected should be inspected whenever possible (see Chapter
IX.E.5.d), or the holding Federal agency should be contacted by the recipient 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 recipient should freeze items by Checkout of the
Selection Cart to generate a Transfer Control Number/SF 122, Transfer Order Excess Personal Property.
(v)
The recipient 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 the AOR. The following information should also be provided on
each SF 122:
(a)
name of recipient;
(b)
award number;
(c)
award end date;
(d)
the statement “The above equipment is requested for use by the recipient in support of research
or education as outlined in the award”; and
(e)
the statement “Transfer is in accordance with the provisions of 41 CFR §101.43.” The recipient
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 award under which the equipment is to be used, and should cite the conditions of this section as
being binding upon the recipient, 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 award title to equipment. As confirmation of approval, the recipient will receive copies of the
SF 122 from the GSA APO. If the request is disapproved, it will be returned to the recipient with an
appropriate explanation.
(ix)
Upon receipt of the requested property, the recipient 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.
d.
Visiting Holding Agency Facilities
(i)
Under current GSA regulations all non-Federal recipient 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 an award should be limited to no more than two persons. The primary
screener should be the PI. However, if the PI finds it impossible to screen, the PI may designate, in writing,
a substitute.
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(iii)
Normally, certification will be on a regional basis; however, NSF will, under certain circumstances,
sponsor recipient 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, recipients may be authorized to
acquire property under each NSF award up to a total acquisition cost equal to the dollar value of that
particular award. Any request for excess property which causes the total to exceed the value of the award
will require additional justification beyond that requested in Chapter IX.E.5.c. A higher percentage of excess
property requested under a particular award by a recipient 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 award.
Recipients 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 awards. As defined in the GSA regulations, “project awards” refers to awards made for
specific purposes with established termination dates, e.g., awards 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 awards, or travel awards. In addition, on “summer-type training awards,”
no property may be acquired after the training period has terminated. Further, recipients 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 recipient 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)
(i)
66
67
Instruments and Laboratory Equipment;
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
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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 recipient for the purpose of cannibalization, unless the granting
agency sends with the transfer request a supporting statement which clearly indicates that disassembly of
the requested item for secondary use of its component parts, or for repair and maintenance of a similar
item, has greater potential benefit than utilization of the item in its existing form and that a clear cost savings
to the government will result, subject to final determination by GSA.
g.
Costs
Excess government personal property is usually secured without cost. However, the recipient should
specify the method of shipment and must pay all costs of packing, transportation and subsequent
installation, rehabilitation and maintenance if required. Award funds may be used to pay such costs.
h.
Title
Title to excess government personal property obtained by colleges, universities, and other non-profit
recipients through NSF sponsorship remains with the government until the property is delivered to the
recipient organization. Upon delivery, the recipient should forward to NSF a receipted SF 122 which clearly
lists the items of property actually obtained by the recipient. Unless NSF informs the recipient 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 recipient 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 recipient 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 recipient. Excess government personal
property may not be transferred to a foreign country without the express written approval of the Grants and
Agreements Officer.
i.
Accountability and Recordkeeping
(i)
While no particular type of classification of accounts or inventory system is required, NSF expects
that the responsible officials of the recipient 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.E.5.e, relating to the dollar limitation on the amount of excess government
personal property provided by NSF, recipients 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 recipient must maintain suitable records to identify its location, description, utilization, and
value. The use of excess government personal property under an NSF award is subject to inspection and
audit by representatives of NSF at all reasonable times during the life of the award under which the property
was acquired.
(ii)
Further details may be obtained from the Property Administrator, Division of Administrative
Services, National Science Foundation, 2415 Eisenhower Avenue, Alexandria, VA 22314, or via email
([email protected]).
F.
Procurement Standards
NSF recipients shall adhere to the requirements of 2 CFR §§200.317-327 which prescribes standards for
use by recipients in establishing procedures for the procurement of supplies and other expendable property,
equipment, real property, and other services with Federal funds.
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Chapter X:
A.
Allowability of Costs
Basic Considerations
Expenditures under NSF cost reimbursement awards are governed by the Federal cost principles and must
conform with NSF policies where articulated in the applicable award general terms and conditions, award
special provisions and recipient internal policies. While recipients are encouraged to seek advice regarding
the treatment of costs from the NSF Grants and Agreements Officer identified in the award notice, it is the
recipient 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. 69, award terms and conditions,
and any other specific requirements of both the award notice and the applicable program solicitation. In
addition, recipients should ensure that their own internal policies and procedures and other requirements
are met for all charges to NSF awards. Otherwise such costs may be disallowed during audit resolution or
by specific determination of an NSF Grants and Agreements Officer.
In the event a recipient anticipates charging an item of direct cost that might subsequently be disputed, an
authorized official of the recipient organization should discuss the matter with the cognizant NSF Grants
and Agreements Officer and document the conditions or factors surrounding the item in order to avoid
possible subsequent disallowance. If the NSF Grants and Agreements Officer determines that such costs
are appropriate considering the special requirements of a particular NSF sponsored activity, this should be
documented through an advance agreement or understanding. Advance agreements regarding the
treatment of such costs may be incorporated by specific language in the award notice, or by other written
correspondence.
1.
Conflicting Guidelines
It is NSF’s intent that the following guidance on cost allowability be consistent with the Federal cost
principles. However, in the event of any discrepancy between the summary information contained in this
Chapter and any specific provision of the cost principles contained in 2 CFR §200, Subpart E, the cost
principles in effect as of the start date of the NSF award will govern. In the case of a discrepancy between
the special provisions of an NSF award and the standards of the cost principles, the special provisions of
the award 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 award,
as amended. NSF does not amend awards 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)
Recipients may incur allowable pre-award costs within the 90-day period immediately preceding
the start date of the award providing:
(a)
69
the approval of pre-award spending is made and documented in accordance with the recipient's
policies and procedures; and
Applicable cost principles for for-profit organizations are contained in Federal Acquisition Regulation Part 31.
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(b)
the advanced funding is necessary for the effective and economical conduct of the project. 70
(2)
Pre-award expenditures are made at the recipient's risk. Recipient 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 recipient 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.
(4)
Pre-award costs charged to NSF awards generally must be charged to the initial budget period of
the award, unless otherwise determined by NSF or the prime recipient. (See 2 CFR §200.458).
Additional information on pre-award costs is available at 2 CFR §§200.308(e)(1) & (e)(4).
c.
Post-End Date Costs
NSF funds may not be expended subsequent to the end date of the award, 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 recipient until after the
award 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 recipient typically should not purchase items of equipment, computing devices, or restocking
of materials and supplies (see 2 CFR §200.453) to expend remaining funds in anticipation of the end date
of the award where there is little, or no time left for such items to be utilized in the actual conduct of the
funded project.
However, in accordance with 2 CFR §200.461, recipients 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. Publication costs such as this should be charged in the final budget period of
the award, unless otherwise specified by NSF.
3.
Prior Written Approvals
The funding of items identified in the approved NSF budget constitutes NSF’s authorization for the recipient
to incur these costs, provided there is not a specific limitation in the award 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 recipient is authorized to transfer funds from one budget
category to another for allowable expenditures. Recipients should refer to the applicable award general
terms and conditions referenced in the award.
The Research Terms and Conditions (RTC), Appendix A, (NSF column) and the NSF Prior Approval Matrix
for State & Local Governments and For-Profit Organizations, as applicable, provide a consolidated listing
of prior approvals that are required to be obtained from the Foundation for NSF awards. Unless otherwise
specified in the award notice or the applicable award 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.
70 In the case of a renewal award, recipients are reminded that costs incurred under the old grant cannot be
transferred to the new award.
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When a change requires NSF approval as specified in RTC Appendix A, the request must be submitted via
the Notification and Request Module in Research.gov. If no specific option is available for the request, the
“Other Request” option must be used. The request should clearly state which budget items, if any, are to
be changed and by what amounts, and should justify 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 award period is allowable, in accordance with 2 CFR §200.430.
b.
Fringe Benefits
If the proposer’s usual accounting practices provide that its contributions to employee benefits (leave,
employee insurance, social security, retirement, other payroll-related taxes, etc.) be treated as direct costs,
NSF award 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 the consultant’s
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.
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C.
Other Direct Costs
1.
Build America, Buy America, and Made in America Statutes
Except under certain programs, NSF does not normally make awards for construction or facility
improvements. However, any form of construction, alteration, maintenance, or repair of infrastructure in the
U.S. using Federal funds must follow the requirements specified in the Build America, Buy America
provisions of the Infrastructure Investment and Jobs Act §§ IIJA P.L. 117-58, Sections 70911-70917 as
follows:
(i)
when using federal funds for the purchase of goods, products, and materials produced in the United
States;
(ii)
all iron, steel, manufactured products, and construction materials used in Federally funded projects
must be produced in the U.S;
(iii)
the awardee must implement these requirements in its procurements and the article must flow down
to all subawards and contracts at any tier; and
(iv)
when supported by rationale, the awardee must submit a waiver request to the cognizant NSF
Program Officer and Grants and Agreements Officer if these requirements cannot be met.
2
News Release Costs
Costs of communicating with the public and press to announce the results and accomplishments of an NSFsupported project are allowable. Recipients 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 recipient employees who are not on travel status are unallowable.
Costs of employees on travel status are limited to those specifically authorized by 2 CFR §200.475.
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 recipient’s documented travel policy for all employee travel; and
c.
only temporary during the travel period.
See 2 CFR §200.475 for additional information on travel costs.
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D.
Indirect Costs
1.
NSF Policy
a.
Except as noted in an NSF program solicitation, it is NSF policy that recipients are entitled to
reimbursement from award 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 PIs seek reductions
or waivers of indirect costs.
b.
The awarded indirect cost rate is generally based upon a recipient’s current Federally negotiated
indirect cost rate agreement. When establishing an indirect rate for an award where the domestic recipient
does not have a current negotiated rate agreement, NSF will consider the rate proposed in the budget, the
recipient’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.
Foreign recipients 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 recipients 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, recipients receiving awards
should ensure that they understand the type of indirect cost rate, the applicable base and the type of rate
used in the award.
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. A predetermined rate is not subject to adjustment.
In rare circumstances where recipients 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.
(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.
Recipients 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.
Special Limitation concerning Colleges and Universities subject to 2 CFR §200 Appendix III, paragraph
C.7: This section contains an additional restriction on recovery of indirect costs for institutions of higher
education. For these entities, 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:
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"7. Fixed Rates for the Life of the Sponsored Agreement.
"Except as provided in paragraph (c)(1) of §200.414, Federal agencies must use the negotiated rates 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.”
c.
NSF will not amend an award solely to provide additional funds for changes in indirect cost rates.
d.
NSF will generally fund continuing grant increments and supplemental support using the negotiated
indirect cost rate(s) approved at the time of the initial award. See Chapter VI.E.
e.
Any negotiations with respect to business and financial matters on specific awards, including the
amount of indirect cost reimbursement, are conducted by the cognizant Grants and Agreements Officer
with an authorized official of the recipient’s organization. It is the responsibility of the recipient to ensure
that its negotiated indirect cost rate agreements remain current. When a recipient does not have a current
negotiated indirect cost rate in effect at the time of award but had a previous indirect cost rate agreement,
the cognizant Grants and Agreements Officer may elect to use the most recently negotiated rate for award
funding purposes or may request that the proposal budget be revised to apply the de minimis rate of 10%
to modified total direct costs (MTDC). The NSF Cost Analysis and Pre-Award Review Branch in the Division
of Institution and Award Support provides advisory assistance to the Grants and Agreements Officer.
2.
NSF Cognizant Organizations
NSF negotiates rates for those recipients over which it holds rate cognizance. For NSF to be the cognizant
agency for indirect costs, NSF must provide the preponderance of a recipient’s direct federal funding. NSF
does not negotiate rates for recipients who do not hold direct NSF funding or for those entities serving only
as subrecipients.
Organizations for which NSF is the cognizant agency must keep their rate agreements current. Recipients
with provisional to final rate agreements are required to submit indirect cost rate proposals, prepared in
accordance with NSF proposal submission requirements, within six months after the end of their fiscal year.
Organizations that are unable to submit their indirect cost rate proposal within this time frame should
request a submission extension. Failure to maintain a currently negotiated indirect cost rate agreement
could lead to NSF restricting budgeted indirect costs to the 10% de minimus rate applied to the MTDC
base.
See the Indirect Cost Rate Proposal Submission Procedures site for indirect cost rate proposal submission
requirements. The submission of indirect cost rate proposals and requests for submission extensions
should be sent to [email protected].
E.
Fee Payments under NSF Awards
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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F.
Prohibition on Certain Telecommunications and Video Surveillance
Services or Equipment
Section 889 of the National Defense Authorization Act (NDAA) for Fiscal Year (FY) 2019 (Public Law 115232) prohibits the head of an executive agency from obligating or expending loan or award funds to procure
or obtain, extend, or renew a contract to procure or obtain, or enter into a contract (or extend or renew a
contract) to procure or obtain the equipment, services, or systems as identified in section 889 of the NDAA
for FY 2019.
(a)
In accordance with 2 CFR §200.216 and §200.471, for all awards that are issued on or after August
13, 2020, recipients and subrecipients are prohibited from obligating or expending loan or award funds to:
(1)
Procure or obtain;
(2)
Extend or renew a contract to procure or obtain; or
(3)
Enter into a contract (or extend or renew a contract) to procure or obtain equipment, services, or
systems that uses covered telecommunications equipment or services as a substantial or essential
component of any system, or as critical technology as part of any system. As described in Public Law 115232, section 889, covered telecommunications equipment is telecommunications equipment produced by
Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities).
(i)
For the purpose of public safety, security of government facilities, physical security surveillance of
critical infrastructure, and other national security purposes, video surveillance and telecommunications
equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology
Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities).
(ii)
Telecommunications or video surveillance services provided by such entities or using such
equipment.
(iii)
Telecommunications or video surveillance equipment or services produced or provided by an entity
that the Secretary of Defense, in consultation with the Director of the National Intelligence or the Director
of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or
otherwise connected to, the government of a covered foreign country.
(b)
In implementing the prohibition under Public Law 115-232, section 889, subsection (f), paragraph
(1), heads of executive agencies administering loan, award, or subsidy programs shall prioritize available
funding and technical support to assist affected businesses, institutions and organizations as is reasonably
necessary for those affected entities to transition from covered communications equipment and services,
to procure replacement equipment and services, and to ensure that communications service to users and
customers is sustained.
(c)
See Public Law 115-232, section 889 for additional information.
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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 recipients from discriminating against individuals who participate
in any of their programs, services, and activities. These statutes 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 awards 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 recipients.
b.
When NSF receives a complaint alleging discrimination under any of these statutes, NSF may refer
the complaint to the recipient or another entity with authority or jurisdiction to investigate the complaint when
the complaint does not meet NSF requirements of acceptance for investigation. In this instance, when the
complaint is referred to the recipient by NSF, the recipient shall acknowledge receipt to NSF of the referred
complaint and inform NSF of the final disposition of the complaint.
Information on the complaint process can be found on the OECR website. The complainant may also use
the recipient’s internal discrimination complaint process. Such processes are required for NSF recipients to
implement under Title IX for sex discrimination complaints, including sexual harassment and under Section
504 for disability discrimination complaints. Recipients 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 recipients are required under these regulations to keep records deemed
pertinent to ascertain a recipient’s compliance with these regulations. It also requires the recipient 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 recipient has complied or is complying with these
regulations.
d.
NSF proposers and recipients are advised that NSF may conduct pre-award and post-award
compliance reviews to ensure that the recipient is complying with NSF’s civil rights regulations. Recipients
are required to provide NSF with access to information, records, recipient officials, recipient program
participants, and facilities deemed pertinent by NSF to ascertain a recipient’s compliance with these
regulations.
e.
NSF proposers and recipients 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 recipient receives Federal financial assistance from NSF.
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Proposers and recipients 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.
f.
NSF proposers and recipients may contact the Office of Equity and Civil Rights (OECR) at the link
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
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 and any co-PIs identified on an NSF award to
be in positions of trust. The PI and co-PI(s) and all award personnel must comport themselves in a
responsible and accountable manner during the performance of award activities whether at the recipient
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. IHEs and other organizations that receive NSF funding 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 or co-PIs 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, or co-PIs 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 prevention 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.
Award Condition
Each NSF research award includes as part of the award 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 recipients,
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 recipients’ 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 recipients’ compliance with Title VI. These regulations also provide for the enforcement
procedures to compel recipient compliance with Title VI if a recipient 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 recipients 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 recipients 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 recipient’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 recipients.
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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On August 14, 2020, the U.S. Department of Education’s (DoED) revised regulations implementing Title IX
went into effect (34 CFR 106). Recipients are advised that this action did not change NSF’s Title IX
regulations. NSF recipients also may be recipients of DoED funding and will have the responsibility to
comply with both DoED’s and NSF’s Title IX regulations. In Title IX compliance activities involving recipients
that fall under the jurisdiction of both NSF and DoED, NSF will determine whether the recipient is in
compliance with NSF’s Title IX regulations only. Recipients are advised that a determination by NSF that
the recipient is in compliance or non-compliance with NSF Title IX regulations does not mean that the
recipient is in compliance with DoED’s Title IX regulations. Recipients with Title IX compliance obligations
to DoED are encouraged to contact DoED’s Office for Civil Rights if there are questions or concerns
regarding compliance with DoED’s revised Title IX regulations.
b.
NSF Regulations
NSF regulations implementing Title IX are found at 45 CFR §618. All NSF recipients 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 recipients 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 recipients 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 recipients 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 recipients.
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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 awards
for construction. E.O. 11246 is enforced by the U.S. Department of Labor’s Office of Federal Contract
Compliance Programs.
b.
Award Condition
In instances when E.O. 11246 is applicable, the award will include an equal opportunity article in
conformance with regulations issued by the Secretary of Labor at 41 CFR §60.
7.
Limited English Proficiency under E.O. 13166
a.
Background
E.O. 13166 requires Federal agencies and NSF recipients 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 recipients in their efforts to comply with Title VI when providing LEP
individuals with access to recipient programs, services and activities.
b.
Award Condition
In instances when E.O. 13166 is applicable, NSF recipients 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 recipient 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.
(ii)
During the life of the award, additional IRB approval must be obtained if the protocols for the use
of human subject have 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 new IRB approval letter indicating approval of the covered activities, for example by explicitly referencing
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the title and/or award number of the award. In the event the recipient's FWA is canceled or lapses, the
recipient must immediately notify the cognizant NSF Grants and Agreements Officer identified in the award.
(iii)
Supplements to existing awards do not require a separate IRB approval letter. If the scope of the
project has been substantively changed from the award, however, a new signed IRB approval letter is
required, indicating approval of the covered activities, and explicitly referencing the title of the award.
c.
Award Condition
Each NSF award contains as part of the award 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 recipient’s responsibilities regarding the use of human subjects during the
life of the award:
“It is the recipient’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 award funds are used, that falls within the scope of the
Guidelines for Research Involving Recombinant DNA or Synthetic Nucleic Acid Molecules (NIH Guidelines),
as amended in April 2019, hereafter referred to as the “Guidelines”.
b.
Policy
NSF recipients 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. Recipient 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
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(iii)
requests to perform experiments without regard to the containment specified in the Guidelines, i.e.,
exemptions from the Guidelines.
3.
Live Vertebrate Animals
a.
Background
The recipient is responsible for the humane care and treatment of any live 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 awards.
b.
Federal Regulations
(i)
Any recipient performing research on live vertebrate animals 71 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 live vertebrate animals held or
used for research, teaching, or other activities supported by Federal awards. The recipient 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 NASEM Guide). Taxon-specific guidelines may be used as supplemental
references. 72 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 OLAW-Departures from the Guide).
(ii)
During the life of the award, additional IACUC approval must be obtained if the protocols for the
care or the use of live 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 recipient's PHS-approved
Animal Welfare Assurance is canceled or lapses, the recipient must immediately notify the cognizant NSF
Grants and Agreements 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)
Awards to U.S. recipients for projects involving the care or use of live vertebrate animals at a foreign
institution or foreign field site also require approval of research protocols by the U.S. recipient’s IACUC. If
the project is to be funded through an award to a foreign organization or through an individual fellowship
award that will support activities at a foreign 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
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 will be followed.
In addition to live vertebrate animals covered by the Animal Welfare Act, the requirements specified in this
coverage also are extended to rats, birds, and mice.
72 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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c.
Award Condition
Each NSF award contains as part of the award general terms and conditions, an article implementing NSF
regulations on projects involving research with live vertebrate animals. In addition, each award notice
contains the following language relating to a recipient’s responsibilities regarding the care or use of live
vertebrate animals during the life of the award:
“It is the recipient’s responsibility to ensure that any live vertebrate animal work conducted
under this award has Institutional Animal Care and Use Committee (IACUC) approval,
where required, that the approval be from an organization that has a current Public Health
Service-approved Animal Welfare Assurance, and that such approval remains valid at all
times that live vertebrate animal work is conducted under the award. See NSF PAPPG
Chapter II.D.4, for additional information. This condition extends to live vertebrate animal
work funded via use of a subaward. Failure to comply with this article 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 recipient should obtain any required permits prior to undertaking the proposed
activities.
b.
The recipient 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 recipient
compliance with the laws and regulations of the country in which the work is to be conducted.
5.
Potential Life Sciences Dual Use Research of Concern (DURC)
a.
Applicability
This section applies to all research, for which NSF award 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 as published in September 2014, and/or would fall under the Department of Health and Human
Services Framework for Guiding Decisions about Proposed Research Involving Enhanced Potential
Pandemic Pathogens, as published in January 2017, 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 recipient expectations about NSF-funded research with certain
high-consequence pathogens and toxins with potential to be considered dual use research of concern.
Recipients 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, NSF will not consider funding research that would lead to a gain of function for agents
associated with the U.S. Government Policy on Dual Use Research of Concern. NSF will not fund research
that involves the creation, transfer or use of enhanced potential pandemic pathogens except under special
circumstances where the potential benefits to society far outweigh the risks and all other conditions of the
Policy are met.
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(i)
Each organization involved in the conduct of NSF-supported research that utilizes select agents or
other enhanced potential pandemic pathogens, as defined by the Policy, must have a standing Institutional
Biosafety Committee (IBC) or other Institutional Review Entity (IRE) whose role is the review of research
involving agents covered by the Policy.
(ii)
Use of the select agents or other potential pandemic pathogens as defined by the Policy must be
registered with the CDC or USDA as directed under the Select Agent Regulations. Documentation
demonstrating appropriate registration of the agent must be submitted to NSF prior to issuance of the
award.
(iii)
In the rare cases where NSF funds research that involves the creation, transfer, or use of enhanced
potential pandemic pathogens, then special award conditions will be applied to ensure adequate oversite
by the cognizant NSF program officer or other NSF official. Award terms and conditions also will specify
the establishment of a risk mitigation plan for the research that must be reviewed and approved by the IRE
and NSF, as well as the requirement of maintenance of records of institutional review of the research and
risk mitigation activities for three years after completion of the project.
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 award programs
involving construction. However, unless specifically stated in the award, the Davis-Bacon Act does not
normally apply to NSF awards since recipients normally retain title to property acquired under the award
and the construction, if any, is normally on non-Government land.
2.
Bonding and Insurance
The NSF Act (42 USC §1870c) provides NSF with authority to enter into grants, contracts or other
agreements without performance or other bonds. Therefore, unless the award 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 recipients involved with Federally-assisted construction and rarely are new buildings
involved. NSF ensures compliance with the Order through its recipients by inclusion of a specific award
condition in any appropriate award.
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
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its recipients. 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 terms and conditions 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 article
to apply to awards 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 article a stipulation that NSF reserves the right to direct a recipient 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 award 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 article to require recipients or their representatives to send
NSF confirmations of the Government licenses for subject inventions and the page of any U.S. patent
application that contains the Federal support article;
(d)
since NSF normally uses the same article for all subrecipients, the first two subparagraphs of
paragraph g. of the article specified in the DOC guidance have been reduced to one;
(e)
paragraph c.1 of the article has been changed to require that invention disclosures be submitted
electronically via the iEdison system;
(f)
paragraph l. of the article has been changed to require that all communications required by the
Patents Rights article 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 article is substituted when the award 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 article prescribed by DOC at 37 CFR §401.14 in
all of its awards for the performance of experimental, developmental or research work, including awards
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 Article
Each NSF award contains as part of the award general terms and conditions, an article implementing the
standard patent rights article.
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d.
Special patent provisions
(i)
At the request of the prospective recipient, or on recommendation from the cognizant NSF Program
Officer, the cognizant NSF Grants and Agreements Officer may negotiate special patent provisions when
it has been determined that exceptional circumstances require restriction or elimination of the right of a
prospective recipient to retain title to any subject invention in order to better promote the policy and
objectives of chapter 18 of title 35 of the USC or the National Science Foundation Act. The cognizant Grants
and Agreements 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 recipient, 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 award 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 article 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
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.
Awards Not Primarily for Research
(i)
Awards 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 USC, 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.
Awards 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 article in 37 CFR §401.14. Therefore, as permitted by 37 CFR
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§401.5(d), paragraph b. of the standard Patent Rights article has been modified to provide that the
Foundation may require the recipient to transfer to a foreign government or research performer such rights
in any subject invention as are contemplated in the international agreement. The award must identify the
applicable agreement or treaty.
(ii)
After an invention is disclosed to the NSF Patent Assistant, the recipient of an award subject to an
international agreement will be informed as to what rights, if any, it must transfer to the foreign participants.
Recipients also may request the cognizant NSF Program Officer to provide them with copies of the identified
international agreements before or after accepting the award.
g.
Retention of Rights by the Inventor
If a recipient 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 recipient notifies the NSF Patent Assistant that it does not intend to patent the invention.
Such requests will normally be granted unless either the recipient 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 terms and conditions that would have been applied to the recipient, 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 recipient 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 recipient 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 recipient and inventor to
promptly make all research results available to the scientific and engineering community.
(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 recipient’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 recipient’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 recipient 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 recipient 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.
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(ii)
Approval of assignments by nonprofit organizations (required by subparagraph (k)(1) of the Patent
Rights article in 37 CFR §401.14) will be granted by the NSF Patent Assistant unless it is determined that
the interests of the U.S. 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 U.S. Government
will be adversely affected by such waiver.
(iv)
The preference for U.S. industry imposed by paragraph (i) of the Patent Rights article 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 recipient to retain title to subject inventions
imposed under paragraph d. of this policy may be waived by the cognizant Grants and Agreements 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.
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
article 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
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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 article 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 recipient to convey to the Foundation or a designee title
in one or more countries to any invention to which the recipient has elected not to retain title. The NSF
Patent Assistant may request immediate conveyance of title to a subject invention if the recipient fails: (1)
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 recipient to comply with
the requirements of paragraph (c) of the Patent Rights article 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 and Agreements Officer refusing to eliminate restrictions on or
limitation of the right of a recipient to retain title to subject inventions imposed under Chapter XI.D.1.d. of
this policy may be appealed to the Director, Division of Acquisition and Cooperative Support (DACS) by an
affected party within thirty days.
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(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 and Agreements 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 and Agreements Officer, with concurrence of
the cognizant Program Officer, will negotiate a background rights provision. If the affected recipient is a
small business firm or nonprofit organization, the provision will conform to the requirements of the BayhDole Act (35 USC 202(f)) as implemented by 37 CFR 401.12).
p.
Subawards
As provided in paragraph (g) of the Patent Rights article in 37 CFR §401.14, recipients should normally use
that article in all subawards. At the request of the recipient or subrecipient or on recommendation from NSF
staff, the cognizant Grants and Agreements Officer may direct the recipient to insert into subawards relating
to scientific research a special patent provision negotiated under section XI.D.1.d(i).
q.
Utilization reports
Paragraph (h) of the standard Patent Rights article set forth in 37 CFR §401.14 obliges recipients “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 recipients 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
Recipients are required to use the iEdison System to disclose NSF subject inventions. Detailed instructions
for use of that system are provided on the iEdison website 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.
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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 awards 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 recipient’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 award.
b.
Standard Copyrighted Material Article
Unless a special article has been negotiated, each NSF award that relates to scientific or engineering
research contains as part of the award 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,
recipients 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.
Each NSF award contains as part of the award general terms and conditions, an article implementing the
public access requirements.
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3.
Special Patent and Copyright Situations
a.
Special Award Provisions
At the request of the prospective recipient or on recommendation from NSF staff, the cognizant NSF Grants
and Agreements Officer, with the concurrence of the cognizant NSF Program Officer, may negotiate special
patent or copyright provisions when the Grants and Agreements Officer determines that exceptional
circumstances require restriction or elimination of the right of a prospective recipient 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 recipient, 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.
Awards Not Primarily for Research
(i)
Awards not primarily intended to support scientific or engineering research generally do not contain
patent or copyrighted material provisions. Examples of such awards 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 award:
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.
Awards 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 articles. In those cases, the standard articles will be modified through the addition of the
following to the award:
“This project is supported under the cooperative program listed below. Your rights in
inventions, writings, and data may be affected.”
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 award subject to an
international agreement will be informed as to what rights, if any, it must transfer to foreign participants.
Recipients also may ask the NSF Program Officer for copies of the identified international agreement before
or after accepting an award.
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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 awards. Recipients are expected to permit and encourage such publication by those actually
performing that work, unless a recipient 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 awards. Recipients 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. Exceptions to this sharing expectation may be provided by
the recipient for a particular field or discipline to safeguard the rights of individuals and subjects, the validity
of results, the integrity of collections, or to accommodate the legitimate interest of investigators. A recipient
or investigator also may request a particular adjustment or exception from the cognizant NSF Program
Officer.
c.
Investigators and recipients are encouraged to share software and inventions created under the
award or otherwise make them or their products widely available and usable.
d.
NSF normally allows recipients to retain principal legal rights to intellectual property developed
under NSF awards 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.
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 award conditions; and through appropriate support and incentives for data cleanup,
documentation, dissemination, storage and the like.
(f)
Each NSF award contains, as part of the award general terms and conditions, an article
implementing dissemination and sharing of research results.
5.
Tangible Property
a.
Background
Some NSF awards 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 award, all legal rights to tangible property collected or created during NSFassisted research remain with the recipient or investigators as determined by the policies of the
organization. As members of the scientific and engineering community, both recipients and investigators
are responsible for making such tangible property appropriately available to other researchers. See also,
for example, 2 CFR §§200.313 and 200.314 regarding Equipment and Supplies.
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E.
Publication/Distribution of Award 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 award general terms and conditions.
2.
Costs
Cost of documenting, preparing, publishing, disseminating, and sharing research findings and supporting
material are allowable charges against the award. (See Chapter X.A.2.c.)
3.
Responsibilities
Unless otherwise provided in the award, 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 recipient may prescribe.
4.
Recipient Obligations
a.
Acknowledgement of Support. Unless otherwise provided in the award, the recipient is responsible
for assuring that an acknowledgment of NSF support is made:
(i)
in any publication (including World Wide Web pages) of any material based on or developed under
this project through use of the following language:
"This material is based upon work supported by the National Science Foundation under
Award No. (NSF award number)."
(ii)
NSF support also must be orally acknowledged during all news media interviews, including popular
media such as radio, television, and news magazines.
Each NSF award contains as part of the award general terms and conditions, an article implementing the
recipient obligations regarding the acknowledgement of support.
b.
Disclaimer. The recipient is responsible for assuring that every publication of material (including
World Wide Web pages) based on or developed under an NSF award, except scientific articles or papers
appearing in scientific, technical, or professional journals, contains the following disclaimer:
"Any opinions, findings and conclusions or recommendations expressed in this material
are those of the author(s) and do not necessarily reflect the views of the National Science
Foundation."
c.
Copies for NSF. The recipient 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 recipient is responsible for ensuring that
copyrighted material published in peer-reviewed scholarly journals, papers in juried conference
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proceedings, and datasets are accessible to the public in accordance with the award general terms and
conditions.
e.
Recipients 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 award contains as part of the award general terms and conditions, an article
implementing the recipient 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:
(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.
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(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 U.S. and a foreign government, which the Department of Transportation has determined meets
the requirements of the Fly America Act. Information on "Open Skies" agreements in which the U.S. has
entered is available on the GSA website.
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 U.S.; or (2) a point in the U.S. and any point outside
the U.S. 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., recipients) between a point in the U.S. and a point outside the U.S.
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 U.S. 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.
(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.
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(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 recipient should obtain any required permits prior to undertaking the proposed
activities.
b.
The recipient 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
recipient compliance with the laws and regulations of the country in which the work is to be conducted.
c.
The recipient 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.
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H.
Handling of Information
1.
Questionnaires: Data Collection Under NSF Awards
a.
Paperwork Control
Under the OMB regulation, Controlling Paperwork Burdens on the Public (5 CFR §1320), if a recipient
obtains information from ten or more persons by means of identical questions, it is considered to be
“sponsored” by NSF only if:
(i)
the recipient is collecting the information at the specific request of NSF; or
(ii)
the terms of the award 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 recipients
should obtain the necessary control number from the cognizant NSF Program Officer.
b.
NSF Policy
Data collection activities of NSF recipients are the responsibility of recipients, 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
Awards for projects which appear to be of special interest to the general public may be made the subject
of an NSF or joint NSF/recipient press release to the news media. (See Chapter X.C.2.)
b.
Open Government Legislation
(i)
Pursuant to the Freedom of Information Act (FOIA) (5 USC §552), NSF will provide agency records,
with certain exceptions, if the request is in writing, includes the requester's name and means of contact,
such as an email address or 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 on the NSF FOIA website.
(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 recipients, 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 recipients 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
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others without notice to the recipient. 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 award is the responsibility of the IRS, State and local tax authorities and the courts.
J.
Historic Properties
NSF is required by the National Historic Preservation Act (54 USC § 306108, et seq.) (NHPA), to take into
account the effect of funding activities on historic properties eligible for or listed in the National Register of
Historic Places. Occasionally, an NSF award may involve activities that require mitigation or other actions
under the NHPA and the implementing regulations of the Advisory Council on Historic Preservation (36
CFR § 800). In such cases, as deemed appropriate by NSF, conditions meeting the requirements of the
NHPA may be included in the award and the recipients may be required to coordinate with State or local
historical preservation officers in implementing any required avoidance, minimization, and mitigation
measures and/or in meeting reporting requirements.
K.
Environmental Considerations
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 award, the recipient
learns of any potential or actual unanticipated environmental impacts, the recipient shall immediately notify
NSF of such impacts. The recipient shall also cease all work anticipated to cause or that is causing such
unanticipated environmental impacts until NSF has had a reasonable opportunity to assess the situation,
carry out any required environmental compliance activities, and provide further direction to the
recipient. Other post-award environmental obligations include meeting any requirements to implement
mitigation measures and/or meet reporting requirements identified during the environmental review
process. These requirements may be the responsibility of the recipient and/or NSF.
L.
National Security
NSF awards are intended for unclassified, publicly releasable research. The recipient will not be granted
access to classified information. NSF does not expect that the results of the research project will involve
classified information.
If, however, in conducting the activities supported under an award, the PI is concerned that any of the
research results involve potentially classifiable information that may warrant Government restrictions on the
dissemination of the results, the PI should promptly notify the cognizant NSF Program Officer.
M.
Scientific Integrity
Scientific integrity is essential to helping ensure informed government decision-making, accountability, and
trust, while maintaining a vibrant scientific enterprise. Protecting scientific integrity results in better
decisions, which translate into better policies that help people and communities of all backgrounds thrive. 73
The National Science Foundation maintains high standards for scientific integrity, as expressly described
throughout this Guide, through transparency and accountability of NSF policies and procedures, and
responsible and ethical conduct of research. Additional information about scientific integrity is available on
the NSF website.
73
See the White House Office of Science and Technology Policy Scientific Integrity Task Force Report.
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All organizations and personnel supported by NSF are expected to uphold the highest standards for
scientific integrity. Scientific integrity builds on key principles of honesty, objectivity, ethical behavior,
transparency, and professionalism in the conduct of scientific activities in an inclusive environment that is
conducive to excellence in research and education.
Organizations and all individuals supported by NSF awards, are reminded that the principles, expectations,
and requirements that support scientific integrity are integral to multiple topics specified in the PAPPG,
including:
Conflicts of interest (PAPPG Chapter, IX.A);
Disclosure requirements (PAPPG Chapter II.B);
o
Biographical Sketch (PAPPG Chapter II.D.2.h(i));
o
Current and Pending Support (PAPPG Chapter II.D.2.h(ii);
o
Collaborators and Other Affiliations (PAPPG Chapter II.D.2.h(iii));
Human Subjects (PAPPG Chapters II.E.5 and XI.B);
Live Vertebrate Animals (PAPPG Chapters II.E.4 and XI.B.3);
Non-discrimination (PAPPG Chapter XI);
NSF proposal processing and merit review (PAPPG Chapters III and IV);
Plan for Safe and Inclusive-Field/Vessel/Aircraft Research (PAPPG Chapter II.D.2.i.(xi);
Potential Life Science Dual Use Research of Concern (PAPPG Chapters II.E.6. and XI.B.5);
Publication and Distribution of Grant Materials (PAPPG Chapter XI.E);
Responsible and ethical conduct of research (PAPPG Chapter IX.B); and
Research misconduct (PAPPG Chapter IX.C).
•
•
•
•
•
•
•
•
•
•
•
Reports or allegations regarding failures to adhere to Scientific Integrity principles 74, such as discrimination,
harassment, and research misconduct may be referred to the appropriate offices such as the Office of
Equity and Civil Rights and Office of the Inspector General, as appropriate. Information about whistleblower
protection is available at https://www.whistleblowers.gov. Reports of allegations regarding whistleblower
reprisal by NSF staff and panelists may be made to Office of the Inspector General. Reports of allegations
regarding whistleblower reprisal by NSF awardees and contractors also may be made to Office of the
Inspector General.
N.
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 award, whether with respect
to persons or property of the recipient or third parties. The recipient 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, recipients of awards that 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
74
See the White House Office of Science and Technology Policy Scientific Integrity Task Force Report.
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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 an award (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, awards, and other business-related activities.
Each NSF award will contain as part of the award general terms and conditions, an article encouraging PIs
to submit project reports, final reports, other reports, and publications produced under awards that employ
the metric system of measurements.
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Chapter XII:
Award 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 recipient or a decision by NSF to terminate the award.
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)
An award may be suspended or terminated in whole or in part in any of the following situations:
(a)
By NSF, if the recipient fails to comply with the terms and conditions of a Federal award;
(b)
By NSF, to the greatest extent authorized by law, if an award no longer effectuates the program
goals or agency priorities;
(c)
By NSF, with the consent of the recipient, in which case the two parties must agree upon the
termination conditions, including the effective date and, in the case of partial termination, the portion to be
terminated;
(d)
By the recipient upon sending to NSF written notification setting forth the reasons for such
termination, the effective date, and, in the case of partial termination, the portion to be terminated. However,
if NSF determines in the case of partial termination that the reduced or modified portion of the NSF award
will not accomplish the purposes for which the NSF award was made, NSF may terminate the Federal
award in its entirety;
(e)
By NSF, pursuant to termination provisions included in the NSF award; or
(f)
By NSF, when ordered by the Deputy Director under NSF’s Regulation on Research Misconduct
[45 CFR Part 689].
(ii)
Normally, action by NSF to suspend or terminate an award will be taken only after the recipient 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 an award 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 recipient 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 award and the governing cost principles.
(iv)
Within 30 days of the termination date the recipient will furnish a summary of progress under the
award 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 award,
including this section, and the governing cost principles, giving due consideration to the progress under the
award. In no event will the total of NSF payments under a terminated award exceed the award amount or
the NSF pro rata share when cost sharing was anticipated, whichever is less.
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(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.
(vi)
NSF will report award terminations to the OMB-designated integrity and performance system in
accordance with Federal regulation, but only after the recipient 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 recipient has failed to comply with one or more of the terms and conditions
of an award, the NSF Grants and Agreements Officer will normally advise the recipient in writing of the
nature of the problem and that failure to correct the deficiency may result in suspension or termination of
the award. The recipient 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 and to the cognizant NSF Program Officer. NSF, however, may
immediately suspend or terminate a award without notice when it believes such action is reasonable to
protect the interests of the government.
(ii)
If a satisfactory response is not received within the above period, the NSF Grants and Agreements
Officer may issue a notice immediately suspending authority to further obligate award funds, in whole or in
part. Notice of suspension is sent to the AOR, with a copy to the PI. 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 recipient to
take corrective action. In the event that the deficiency is not corrected to the satisfaction of NSF, the NSF
Grants and Agreements Officer may issue a notice of termination. 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 recipient 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 recipient 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 award may be terminated by mutual agreement.
b.
Procedures
(i)
If the recipient wishes to terminate the project, the AOR should advise the NSF Grants and
Agreements Officer in writing and send a copy to the cognizant NSF Program Officer.
(ii)
If NSF wishes to terminate the project, the NSF Grants and Agreements Officer will advise the
recipient’s AOR in writing and send copies to the PI and the cognizant NSF Program Officer.
(iii)
Within 30 days after receipt of request from either party for termination by mutual agreement, the
other party will provide an appropriate written response. In the event of disagreement between the parties,
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the NSF Grants and Agreements Officer will make a final decision, subject to the review procedures
prescribed by Chapter XII.B.
(iv)
Following termination, award closeout procedures will be initiated.
4.
NSF Suspension or Termination Review Procedure
Recipients 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 Award 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
and Agreements Officer post-award decisions under an NSF award.
2.
Scope of Post-Award Disputes Covered
The disputes below are covered under the process described in Chapter XII.B.3:
a.
cost disallowances pursuant to a Grants and Agreements Officer’s decision (e.g., specific
disallowances under an individual award or as a result of an audit report);
b.
termination orders; and
c.
the final settlement amount under a termination.
3.
Procedures
a.
The recipient 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 recipient’s disagreement or dispute and identify the NSF Grants and Agreements Officer’s decision in
question, giving reasons for the request for review and providing any other material pertinent to the request.
NSF will determine the appropriate Division to respond to the dispute.
b.
The letter to the Division Directors, DGA and DACS, must be either postmarked or stamped
received by NSF no later than 30 days after the date of the NSF letter notifying the recipient 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 recipient’s position with respect to the disputed matter and the facts and rationale that support the
recipient’s position. Dispute requests will be reviewed if the recipient:
•
submits new information (which was unavailable at the time of the original decision);
•
identifies an error in fact or application of NSF policy in the original decision; or
•
improper procedures were followed in the original decision.
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d.
The Division Director, DGA or DACS, will review or designate one or more individuals to review the
matter. One reviewing official will be at least at a management level equivalent to the official who made
the decision that is being reviewed. In no case, will the review be conducted by any individual involved with
the original decision or involved in recommending and/or monitoring the programmatic aspects of the
project, or responsible for negotiating and/or administering its business or financial aspects.
e.
The designated individual(s) will review and consider all relevant information available. A report
which identifies the conclusion and recommendation will be completed, and in disputes covered under:
(i)
Chapter XII.B.2.a and Chapter XII.B.2.b, the report will be completed within 30 days and forwarded
to the Director, DGA or DACS or their designee for a final and unappealable written decision for the agency.
The Director, DGA or DACS or their designee will communicate the decision in writing to the recipient,
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 designee. The NSF Deputy Director or designee will make the final and unappealable decision
for the agency and will communicate the decision in writing to the recipient 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 awards, suspending or terminating
awards, 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 recipient, 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.
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f.
The Deputy Director adjudicates research misconduct proceedings, and the Director decides
appeals.
g.
After receiving an investigation report, the subject’s rebuttal and recommendations of the OIG, the
NSF Deputy Director may initiate further investigation or hearings or order interim or final actions. A written
disposition specifying actions to be taken will be sent to affected individuals or organizations and will include
instructions on how to pursue an appeal to the Director of the Foundation.
2.
Role of Recipients
a.
Recipients bear primary responsibility for prevention and detection of misconduct. In most
instances, NSF will rely on recipients 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 recipient 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 recipient 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 recipient wishes NSF deferral to continue, NSF may require submission of periodic status reports.
d.
Recipients 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:
Website (preferred): https://oig.nsf.gov/contact/hotline
Anonymous Phone: 800-428-2189
US Mail:
2415 Eisenhower Ave
Alexandria, VA 22314
Attn: OIG Hotline
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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
Policy Office, Division of Institution and Award Support
Office of Budget, Finance, and Award Management
National Science Foundation
Alexandria, VA 22314
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| File Type | application/pdf |
| File Title | Draft PAPPG (NSF 23-1) August 2022 |
| Author | Hunter, Samantha Brewton |
| File Modified | 2022-08-30 |
| File Created | 2022-08-23 |