Source: https://nsf.gov/pubs/policydocs/pappg17_1/pappg_2.jsp
Timestamp: 2018-06-25 10:15:59
Document Index: 367516203

Matched Legal Cases: ['§ 200', '§ 200', '§ 200', '§ 200', '§ 200', '§ 200', '§ 200', '§ 200', '§ 200', '§ 200']

As a general policy, NSF limits the salary compensation requested in the proposal budget for senior personnel to no more than two months of their regular salary in any one year. This limit includes salary compensation received from all NSF-funded grants. This effort must be documented in accordance with 2 CFR § 200, Subpart E, including 2 CFR § 200.430(i). If anticipated, any compensation for such personnel in excess of two months must be disclosed in the proposal budget, justified in the budget justification, and must be specifically approved by NSF in the award notice budget.17 Under normal rebudgeting authority, as described in Chapters VII and X, a recipient can internally approve an increase or decrease in person months devoted to the project after an award is made, even if doing so results in salary support for senior personnel exceeding the two month salary policy. No prior approval from NSF is necessary as long as that change would not cause the objectives or scope of the project to change. NSF prior approval is necessary if the objectives or scope of the project change.
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:
Domestic travel includes travel within and between the US, its territories and possessions.19 Travel, meal and hotel expenses of grantee employees who are not on travel status are unallowable. Costs of employees on travel status are limited to those specifically authorized by 2 CFR § 200.474.
he 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.
Except where specifically identified in an NSF program solicitation, the applicable US Federally negotiated indirect cost rate(s) must be used in computing indirect costs (F&A) for a proposal. Use of an indirect cost rate lower than the organization’s current negotiated indirect cost rate is considered a violation of NSF’s cost sharing policy. See section (xii) below. The amount for indirect costs should be calculated by applying the current negotiated indirect cost rate(s) to the approved base(s). Indirect cost recovery for colleges, universities, and other organizations of higher education are additionally restricted by 2 CFR § 200, Appendix III, paragraph C.7. which specifies Federal agencies are required to use the negotiated F&A rate that is in effect at the time of the initial award throughout the life of the sponsored agreement. Additional information on the charging of indirect costs to an NSF award is available in Chapter X.D.
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 guidance22 is as follows:
As stipulated in 2 CFR § 200.99, "Voluntary committed cost sharing means cost sharing specifically pledged on a voluntary basis in the proposal's budget or the Federal award on the part of the non-Federal entity and that becomes a binding requirement of Federal award." As such, to be considered voluntary committed cost sharing, the amount must appear on the NSF proposal budget and be specifically identified in the approved NSF budget.23 Unless required by NSF (see the section on Mandatory Cost Sharing below), inclusion of voluntary committed cost sharing is prohibited and Line M on the proposal budget will not be available for use by the proposer. NSF Program Officers are not authorized to impose or encourage mandatory cost sharing unless such requirements are explicitly included in the program solicitation.
Although these resources are not considered voluntary committed cost sharing as defined in 2 CFR § 200.306, the Foundation does expect that the resources identified in the Facilities, Equipment and Other Resources section will be provided, or made available, should the proposal be funded. Chapter VII.B.1 specifies procedures for use by the grantee when there are postaward changes to objectives, scope or methods/procedures.
Postdoctoral Researcher Mentoring Plan. Each proposal26 that requests funding to support postdoctoral researchers27 must upload under “Mentoring Plan” in the supplementary documentation section of FastLane, a description of the mentoring activities that will be provided for such individuals. In no more than one page, the mentoring plan must describe the mentoring that will be provided to all postdoctoral researchers supported by the project, regardless of whether they reside at the submitting organization, any subrecipient organization, or at any organization participating in a simultaneously submitted collaborative proposal. Proposers are advised that the mentoring plan must not be used to circumvent the 15-page Project Description limitation. See Chapter II.D.5 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.
Such information also may be included as a separate statement. If this method is used, the statement must be submitted as a single-copy document in the Proposal Preparation Module in FastLane. (See also Chapter II.C1Chapter II.C.1 for further information regarding submission of single-copy documents.)28
a.	Any project proposing use of vertebrate animals for research or education shall comply with the Animal Welfare Act (7 USC 2131, et seq.) and the regulations promulgated thereunder by the Secretary of Agriculture (9 CFR 1.1-4.11) pertaining to the humane care, handling, and treatment of vertebrate animals held or used for research, teaching or other activities supported by Federal awards. In accordance with these requirements, proposed projects involving use of any vertebrate animal for research or education must be approved by the submitting organization's Institutional Animal Care and Use Committee (IACUC) before an award can be made. For this approval to be accepted by NSF, the organization must have a current Public Health Service (PHS) Approved Assurance. See also Chapter XI.B.3 for additional information on the administration of awards that utilize vertebrate animals. Note that for some types of vertebrate animals, additional review may be required.
Any project proposing use of vertebrate animals for research or education must comply with the provision in the PHS Assurance for Institutional Commitment (Section II) that requires the submitting organization to establish and maintain a program for activities involving animals in accordance with the Guide for the Care and Use of Laboratory Animals (Guide). Taxon-specific guidelines may be used as supplemental references.30 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).
d.	Projects involving the care or use of vertebrate animals at an international organization or international field site also require approval of research protocols by the US grantee's IACUC. If the project is to be funded through an award to an international organization or through an individual fellowship award that will support activities at an international organization, NSF will require a statement explicitly listing the proposer's name and referencing the title of the award to confirm that the activities will be conducted in accordance with all applicable laws in the international country and that the International Guiding Principles for Biomedical Research Involving Animals (see: http://www.cioms.ch/) will be followed.
(iii)	The PHS Approved Animal Welfare Assurance Number must be entered in the space provided. If IACUC approval has not been obtained prior to submission, the proposer should indicate "Pending" in the space provided for the approval date. If a decision is made to fund the proposal, the organization must provide a copy of the approval letter from the IACUC (including Assurance Number and organizational signature). The approval letter must affirm that an animal-use protocol covering the proposed activities has been approved, and should explicitly list the proposer’s name, the title and number of the NSF proposal, and the date of IACUC approval. The approval letter must be provided to the cognizant NSF Program Officer before an award can be issued.
f.	For fellowship proposals submitted by individuals that involve use of vertebrate animals, the proposal should contain the information specified in paragraph b. above. In addition, a copy of the approval letter from the IACUC (including Assurance Number and organizational signature) should be included as an Other Supplementary Document in FastLane. The approval letter must affirm that an animal-use protocol covering the proposed activities has been approved, and should explicitly list the proposer's name, the title and number of the NSF proposal, and the date of IACUC approval. If IACUC approval has not been obtained prior to submission, the proposer should indicate "Pending" in the space provided for the approval date. If a decision is made to fund the proposal, the proposer must provide a signed copy of the official IACUC approval letter (which includes the items specified above) to the cognizant NSF Program Officer before an award can be issued.
a.	Projects involving research with human subjects must ensure that subjects are protected from research risks in conformance with the relevant Federal policy known as the Common Rule (Federal Policy for the Protection of Human Subjects, 45 CFR 690). All projects involving human subjects must either (1) have approval from an Institutional Review Board (IRB) before issuance of an NSF award; or, (2) must affirm that the IRB has declared the research exempt from IRB review, in accordance with the applicable subsection, as established in section 101(b) of the Common Rule. If certification of exemption is provided after submission of the proposal and before the award is issued, the exemption number corresponding to one or more of the exemption categories also must be included in the documentation provided to NSF.
NSF cannot accept any IRB document that requires continued monitoring of the award activities involving human subjects by NSF. For projects lacking definite plans for the use of human subjects, their data or their specimens, pursuant to 45 CFR 690.118, NSF can accept a determination notice31 that establishes a limited time period under which the PI may conduct preliminary or conceptual work that does not involve human subjects. (Further instructions are provided in paragraph (iv) below.)
If the project involves human subjects and is to be performed outside of the US, evidence of IRB approval also is required. If there is no IRB approval provided, and the international country is not included in the Department of Health and Human Services, Office for Human Research Protections (OHRP), International Compilation of Human Research Standards (http://www.hhs.gov/ohrp/international/intlcompilation/intlcompilation.html), nor is an Assurance on file with OHRP (http://ohrp.cit.nih.gov/search/search.aspx?styp=bsc), NSF may decline to support the project.
(iv)	If the project lacks definite plans regarding use of human subjects, their data or their specimens, pursuant to 45 CFR 690.118, the proposer must check the box for "Human Subjects" on the Cover Sheet and enter "Pending" in the space provided for the approval date. If available at the time of proposal submission, the determination notice should be uploaded as an Other Supplementary Document in FastLane. If the determination notice is not available, and, the decision is made to fund the proposal, the organization must provide a signed copy of the determination notice to the cognizant program prior to award.
1. verification that the project continues to lack immediate plans for the involvement of human subjects, their data, or their specimens; or
(v)	The Federal Wide Assurance (FWA) Number that the proposer has on file with OHRP should be entered, if available.
6.	Dual Use Research of Concern (DURC)
Proposing organizations are responsible for identifying NSF-funded life sciences proposals that could potentially be considered dual use research of concern as defined in the Policy and for compliance with the requirements established in that Policy therein. (See also Chapter XI.B.5 for additional information.)
Many research projects require access to computational, data storage or visualization resources in order to complete the work proposed. Typically such resources will be noted in the proposal under Facilities, Equipment and Other Resources. For those projects that require such resources at a scale that is beyond that available locally, NSF supports a number of national resources. For the most computationally massive projects, the Blue Waters system at University of Illinois, Urbana/Champaign, is the most suitable. Blue Waters is designed to support a small number (~50) of research teams involved with projects requiring the most advanced computational and data resources. The allocation review process is through proposal submission to the cognizant Program Officer in the Office of Advanced CyberInfrastructure within the NSF Directorate for Computer & Information Science & Engineering. Proposals are reviewed for both their scientific and computational needs. The Blue Waters supercomputer provides sustained performance of 1 petaflop on a range of real-world science and engineering applications. It is one of the most powerful supercomputers in the world. Those interested should visit the Blue Waters portal (https://bluewaters.ncsa.illinois.edu/) for more details of the system's hardware and capabilities.
The most general set of computational and data resources funded by NSF are accessible through the XSEDE project. XSEDE provides the integrating fabric for a collection of very powerful supercomputers, a high-throughput computing environment, high-volume data storage facilities, advanced visualization services, connected by a high-bandwidth private network, a training education and outreach program in how to use its services, and an extended collaborative support program to assist researchers in using the advanced computational resources. The physical resources themselves are provided by Service Providers (SP) via separate awards from NSF. Allocations of those resources for large projects are determined by the XSEDE Resource Advisory Committee, which meets quarterly, using an external set of experts. Smaller requests do not require a proposal or review and a simple on-line process may be used to request such an allocation. NSF encourages prospective users to seek more information at: https://www.xsede.org/allocations.
The agenda and duration32 of the Ideas Lab are communicated to meeting participants by the cognizant NSF Program Officer. Typically, Anonymous real-time peer review involving the participants and the Ideas Lab panel is incorporated into the workshop format, providing iterative constructive feedback during the development of project ideas. The Ideas Lab concept incorporates a "guided creativity" process, thus the use of a facilitator(s) is included, both to guide the creation of interdisciplinary teams and the creative development of ideas, and to ensure that the workshop progresses in a productive manner. At the end of the Ideas Lab, the Ideas Lab panel will provide a consensus report summarizing their evaluation of each project idea. The recommendations of the Ideas Lab panel are advisory to NSF. Within seven to fourteen days following the Ideas Lab, the NSF Program Officers will determine which project ideas are meritorious and should be invited as full proposals. At the NSF Program Officers’ discretion (subject to Division Director 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.
7.	Conference Proposals33
g.	Results from Prior NSF Support (up to five pages): If the PI or any co-PI identified on the proposal has received NSF support with a start date in the past five years (including any current funding and no cost extensions), information on the award is required for each PI and co-PI, regardless of whether the support was directly related to the proposal or not. See Chapter II.C.2.d.(iii) for additional instructions on preparation of this section.
g. Meals and Coffee Breaks. Meals that are an integral and necessary part of a conference (e.g., working meals where business is transacted). Funds may be included for furnishing a reasonable amount of hot beverages or soft drinks to conference participants and attendees during periodic coffee breaks.
d.	Results from Prior NSF Support (up to five pages): If the PI or any co-PI identified on the proposal has received NSF support with a start date in the past five years (including any current funding and no cost extensions), information on the award is required for each PI and co-PI, regardless of whether the support was directly related to the proposal or not. See Chapter II.C.2.d.(iii) for additional instructions on preparation of this section.
This type of proposal normally competes with proposals for research or education projects.34
e.	Results from Prior NSF Support (up to five pages): If the PI or any co-PI identified on the proposal has received NSF support with a start date in the past five years (including any current funding and no cost extensions), information on the award is required for each PI and co-PI, regardless of whether the support was directly related to the proposal or not. See Chapter II.C.2.d.(iii) for additional instructions on preparation of this section.
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.
As an integral part of its responsibility for strengthening the science and engineering infrastructure of the country, NSF provides support for the construction and operation of major research equipment and facilities. NSF depends on the research communities to provide the justification, planning, development, and implementation of facility projects. This normally occurs through National Academies studies, workshop reports, professional society activities, and other community-based mechanisms, including engineering studies and research projects related to the development of new technologies. Many of these mechanisms are funded by interested NSF Programs on the basis of merit-reviewed proposals. Construction funding depends on the scale of the proposed facility. For large facilities construction, the Major Research Equipment and Facilities Construction (MREFC) account is one option. Proposers are strongly encouraged to contact the appropriate NSF Program to discuss the availability of funding and the appropriate funding mechanisms in advance of proposal submission. The Large Facilities Manual (LFM), a public document managed by the Large Facilities Office, contains NSF policy on the planning and management of large facility projects. The policies in the LFM apply to all large facility projects funded by NSF. The purpose of the LFM is to: (1) provide guidance for NSF staff and awardees to carry out effective project planning, management, assistance, assurance, and oversight of large facilities; (2) clearly state the policies, requirements, and recommended procedures pertinent at each stage of a facility’s life cycle, and (3) document best practices that ensure accountability and effectiveness of the program.
It is imperative that all proposals conform to the proposal preparation and submission instructions specified in Part I of the Proposal and Award Policies and Procedures Guide. Conformance with all preparation and submission instructions is required and will be strictly enforced unless a deviation has been approved in advance of proposal submission. Note that some NSF program solicitations modify standard NSF proposal preparation guidelines, and, in such cases, the guidelines provided in the solicitation must be followed. FastLane uses the rules specified for each type of proposal, (e.g., Research, RAPID, EAGER, RAISE, GOALI, Ideas Lab, FASED, Conference, Equipment, or Travel) to check for compliance prior to submission to NSF. Proposers are strongly advised to review the applicable sections of Chapter II.E. relevant to the type of proposal being developed PRIOR to submission. NSF will not accept35 or will return without review proposals that are not consistent with these instructions. See Chapter IV.B and visit: http://www.nsf.gov/bfa/dias/policy/autocompliance.jsp for additional information.
[ ]	Collaborators and Other Affiliations Information has been separately provided for each individual identified as senior project personnel.
[ ]	The Project Summary should be written in the third person.
[ ]	Results from Prior NSF Support have been provided for PIs and co-PIs who have received NSF support with a start date in the past five years. Results related to Intellectual Merit and Broader Impacts are described under two separate, distinct headings, and are limited to five pages of the Project Description.
[ ]	Appendices many not be included unless a deviation has been authorized.
1.	(co) Principal Investigator/Project Director (PI/PD) means the individual(s) designated by the proposer, and approved by NSF, who will be responsible for the scientific or technical direction of the project. NSF does not infer any distinction in scientific stature among multiple PIs, whether referred to as PI or co-PI. If more than one, the first one listed will serve as the contact PI, with whom all communications between NSF program officials and the project relating to the scientific, technical, and budgetary aspects of the project should take place. The PI and any identified co-PIs, however, will be jointly responsible for submission of the requisite project reports. The term "Principal Investigator" generally is used in research projects, while the term "Project Director" generally is used in centers, large facilities, and other projects. For purposes of this Guide, PI/co-PI is interchangeable with PD/co-PD.
7 FAQs regarding FastLane proposal preparation and submission also are available in the FastLane. Back to Text
8Macintosh users also may use Helvetica and Palatino typefaces.Back to Text
9 Further instructions for this process are available in FastLane. Back to Text
10Detailed instructions for completion of this process are available in FastLane. Back to Text
11Detailed instructions submission of the SF LLL are available in FastLane. Back to Text
12 A wide array of information exists to help inform development of an institution’s RCR training plan. For example, many professional societies as well as governmental licensing authorities for professional scientists and engineers have adopted policies or best practices that might be usefully considered. In addition, research is illuminating existing practices surrounding ethical issues, and providing an evaluation of pedagogical innovations in ethics education.Back to Text
13 Proposal Not Accepted is defined as FastLane will not permit submission of the proposal. Back to Text
14 See Chapter II.E for the proposal preparation requirements for other types of proposals submitted to NSF. Back to Text
15 If the proposal includes use of vertebrate animals, supplemental information is required. See Chapter II.D.4 for additional information.Back to Text
16 If the proposal includes use of human subjects, supplemental information is required. See Chapter Chapter II.D.5 for additional information. Back to Text
17NSF grantees remain subject to the provisions of OMB M-01-06, "Clarification of OMB A-21 Treatment of Voluntary Uncommitted Cost Sharing and Tuition Remission Costs," regarding requirements for committing and tracking "some level" of faculty (or senior researcher) effort as part of the organized research base.Back to Text
18 Detailed instructions for submission of confidential budgetary information are available in FastLane. Back to Text
19 According to the IRS, US territories and possessions are as follows: Puerto Rico, US Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, Midway Island, Wake Island, Palmyra Island, Howland Island, Johnston Island, Baker Island, Kingman Reef, Jarvis Island, and other US islands, cays, and reefs that are not part of any of the fifty states. See also: http://www.irs.gov/Individuals/International-Taxpayers/Persons-Employed-In-U.S.-Possessions.Back to Text
20See Chapter XI.F and Grant General Conditions (GC-1) Article 10 for additional information on travel restrictions.Back to Text
22See NSF's Revised Cost Sharing Policy Statement for the Foundation’s overarching policies on cost sharing. Back to Text
25 2 CFR § 200.306 describes criteria and procedures for the allowability of cash and in-kind contributions in satisfying cost sharing and matching requirements. Back to Text
26 For purposes of meeting the mentoring requirement, simultaneously submitted collaborative proposals, and collaborative proposals that include subawards, constitute a single unified project. Therefore, only one mentoring plan may be submitted for the entire project.Back to Text
28Detailed instructions for submission of proprietary or privileged information are available in FastLane at: http://www.fastlane.nsf.gov/help/proprietary.htm.Back to Text
30Guidelines to the Use of Wild Birds in Research; Guidelines of the American Society of Mammalogists for the Use of Wild Mammals in Research; Guidelines for the Use of Fishes in Research; and Guidelines for the Use of Live Amphibians and Reptiles in Field and Laboratory Research. Back to Text
31 An NSF-approved format for submission of these determination notices is available on the NSF website.Back to Text
32 Ideas Labs are generally one to five days in duration. Back to Text
34 See Chapter IX.D for additional information on the administration of equipment awards. Back to Text
35 Proposal Not Accepted is defined as FastLane will not permit submission of the proposal. Back to Text