NSF Policy Update & NSF Policy Update & y pAward Management Issues

y pAward Management Issues

Ask Early Ask Often!Ask Early Ask Often!Ask Early, Ask Often!Ask Early, Ask Often!

Name Title ContactJeremy Leffler Outreach Specialist,

P li Offi Di i ijleffler@nsf.gov

Policy Office; Division of Institution & Award Support; Office of

(703) 292-8075

Budget, Finance & Award Management

Policy Office Division of Institution & Award Support; Office of Budget, Finance &

policy@nsf.gov(703) 292-8243

of Budget, Finance & Award Management

Office of Budget, Finance & AwardManagement Organizational ChartOffice of Budget, Finance & AwardManagement Organizational ChartManagement Organizational ChartManagement Organizational Chart

Office of Budget, Finance & Award Management

BFA

Thomas CooleyChief Financial Officer

Division of Grants Division of Institution & Award

Division ofAcquisition &

Division of Financial Budget Division& Agreements

DGA

Karen Tiplady

Institution & AwardSupport

DIAS

Mary Santonastasso

Acquisition & Cooperative Support

DACS

David Elizalde

FinancialManagement

DFM

Shirl Ruffin

Budget DivisionBD

Marty Rubenstein

NSF PolicyNSF PolicyMain TopicsMain Topics

America COMPETES Act UpdateAmerica COMPETES Act UpdateRecent Changes to the Grant Recent Changes to the Grant Proposal GuideProposal GuideProposal GuideProposal GuideElectronic InitiativesElectronic Initiatives

A i COMPETES A tA i COMPETES A tAmerica COMPETES ActAmerica COMPETES Act

Signed into law on August 9, 2007 Shares goals of the American Competitiveness Initiative (ACI)

Signed into law on August 9, 2007 Shares goals of the American Competitiveness Initiative (ACI)(ACI)Focuses on three primary areas of importance:

Increasing research investment;

(ACI)Focuses on three primary areas of importance:

Increasing research investment;g ;Strengthening educational opportunities in science, technology, engineering, and mathematics from elementary through graduate school;

g ;Strengthening educational opportunities in science, technology, engineering, and mathematics from elementary through graduate school;elementary through graduate school;Developing an innovation infrastructure.elementary through graduate school;Developing an innovation infrastructure.

ACA Policy-Related Provisions of I t t t th R h C it

ACA Policy-Related Provisions of I t t t th R h C itInterest to the Research CommunityInterest to the Research Community

Postdoctoral Research Fellows (SEC 7008) R ibl C d t f R h (SECPostdoctoral Research Fellows (SEC 7008) R ibl C d t f R h (SECResponsible Conduct of Research (SEC 7009)Responsible Conduct of Research (SEC 7009)Cost Sharing (SEC 7013)Cost Sharing (SEC 7013)

Postdoctoral Research Fellows (SEC 7008)

Postdoctoral Research Fellows (SEC 7008)7008)7008)

Mentoring - All grant applications that includeMentoring - All grant applications that includeMentoring All grant applications that include funding to support postdoctoral researchers include a description of the mentoring

Mentoring All grant applications that include funding to support postdoctoral researchers include a description of the mentoringinclude a description of the mentoring activities that will be provided for such individuals…

include a description of the mentoring activities that will be provided for such individuals…individuals…

Reports Annual and final reports for research

individuals…

Reports Annual and final reports for researchReports - Annual and final reports for research grants that include funding to support postdoctoral researchers include a description

Reports - Annual and final reports for research grants that include funding to support postdoctoral researchers include a descriptionpostdoctoral researchers include a description of the mentoring activities providedpostdoctoral researchers include a description of the mentoring activities provided

Postdoctoral Research Fellows I l t ti St t

Postdoctoral Research Fellows I l t ti St tImplementation StrategyImplementation Strategy

R i i d t th l t ti f thR i i d t th l t ti f thRevisions made to the relevant sections of the: Grant Proposal Guide (GPG);FastLane Project Reporting System; and

Revisions made to the relevant sections of the: Grant Proposal Guide (GPG);FastLane Project Reporting System; andFastLane Project Reporting System; and Representative Activities of Broader Impacts document that is posted on the NSF website.

FastLane Project Reporting System; and Representative Activities of Broader Impacts document that is posted on the NSF website.

Proposals that contain postdoctoral researchers must include, as a separate section within the Project Proposals that contain postdoctoral researchers must include, as a separate section within the Project c ude, as a sepa ate sect o t t e ojectDescription, a description of the mentoring activities to be provided to such individuals. This includes simultaneously submitted collaborative proposals and

c ude, as a sepa ate sect o t t e ojectDescription, a description of the mentoring activities to be provided to such individuals. This includes simultaneously submitted collaborative proposals andsimultaneously submitted collaborative proposals and proposals that include subawards.simultaneously submitted collaborative proposals and proposals that include subawards.

Postdoctoral Research Fellows I l t ti St t

Postdoctoral Research Fellows I l t ti St tImplementation StrategyImplementation Strategy

The Review Criteria section of the GPG has been revised to add language stating that the mentoring activities described in the Project Description will be

The Review Criteria section of the GPG has been revised to add language stating that the mentoring activities described in the Project Description will beactivities described in the Project Description will be evaluated under the Broader Impacts criterion.activities described in the Project Description will be evaluated under the Broader Impacts criterion.

The Return without Review section and the Proposal Preparation Checklist will emphasize that proposals that do not describe mentoring activities provided to

The Return without Review section and the Proposal Preparation Checklist will emphasize that proposals that do not describe mentoring activities provided to t at do ot desc be e to g act t es p o ded topostdoctoral researchers will be returned without review.

t at do ot desc be e to g act t es p o ded topostdoctoral researchers will be returned without review.

Postdoctoral Research Fellows I l t ti St t

Postdoctoral Research Fellows I l t ti St tImplementation StrategyImplementation Strategy

The FastLane project reporting format has been modified to inform PIs of the requirement to report on the mentoring activities provided to

The FastLane project reporting format has been modified to inform PIs of the requirement to report on the mentoring activities provided toreport on the mentoring activities provided to postdoctoral researchers during the performance period.

report on the mentoring activities provided to postdoctoral researchers during the performance period.period.

This includes any postdoctoral researcher not identified in the

period.This includes any postdoctoral

researcher not identified in theoriginal proposal submission!original proposal submission!

Postdoctoral Research Fellows I l t ti St t

Postdoctoral Research Fellows I l t ti St tImplementation StrategyImplementation Strategy

N GPG (NSF 09 29) i dN GPG (NSF 09 29) i dNew GPG (NSF 09-29) was issued on February 17, 2009, and effective for

l b itt d ft A il 6

New GPG (NSF 09-29) was issued on February 17, 2009, and effective for

l b itt d ft A il 6proposals submitted on or after April 6.proposals submitted on or after April 6.

Mentoring Plan must be submitted as a one-page Supplementary Document.Mentoring Plan must be submitted as a one-page Supplementary Document.p g pp yp g pp y

Responsible Conduct of Research Responsible Conduct of Research (SEC 7009)(SEC 7009)

Each institution that applies for financial assistanceEach institution that applies for financial assistanceEach institution that applies for financial assistance from the Foundation for science and engineering research or education describe in its grant proposal

t i l d l t id i t t i i d

Each institution that applies for financial assistance from the Foundation for science and engineering research or education describe in its grant proposal

t i l d l t id i t t i i dmust include a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduate students, graduate

must include a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduate students, graduate g , gstudents, and postdoctoral researchers participating in the proposed research project.

g , gstudents, and postdoctoral researchers participating in the proposed research project.

The Ethics Education in Science and Engineering (EESE) program sponsored a workshop on August The Ethics Education in Science and Engineering (EESE) program sponsored a workshop on August ( ) p g p p g25/26th to address RCR and responsible professional practices.

( ) p g p p g25/26th to address RCR and responsible professional practices.

Responsible Conduct of Research (SEC 7009)

Responsible Conduct of Research (SEC 7009)(SEC 7009)(SEC 7009)

d l ll d h l fd l ll d h l fProposed implementation will consider the results from the workshop, as well as the following:Proposed implementation will consider the results from the workshop, as well as the following:

A new certification requirement ;The role of the PI in describing the training proposed in the proposal; and

A new certification requirement ;The role of the PI in describing the training proposed in the proposal; andproposed in the proposal; and The post award requirements for complying with the training requirement -- or is this another broader impact such as mentoring

proposed in the proposal; and The post award requirements for complying with the training requirement -- or is this another broader impact such as mentoringimpact such as mentoring.impact such as mentoring.

Responsible Conduct of Research ( )

Responsible Conduct of Research ( )(SEC 7009)(SEC 7009)

ll l bl h d fll l bl h d fNSF will solicit public comment on the draft implementation plan from the grantee community via the Federal Register

NSF will solicit public comment on the draft implementation plan from the grantee community via the Federal Registervia the Federal Register.

Anticipated release date of Federal Register notice

via the Federal Register.

Anticipated release date of Federal Register noticeAnticipated release date of Federal Register notice is late winter 2009.Anticipated release date of Federal Register notice is late winter 2009.

ACA Cost Sharing UpdateACA Cost Sharing UpdateACA Cost Sharing UpdateACA Cost Sharing Update

2004 li li i t d t h i t2004 li li i t d t h i t2004 policy eliminated cost sharing at NSF.2004 policy eliminated cost sharing at NSF.

ACA directed the NSB to evaluate the ACA directed the NSB to evaluate the impact of the NSF cost sharing policy.impact of the NSF cost sharing policy.

Preliminary report recommendations.Preliminary report recommendations.

ACA Cost Sharing UpdateACA Cost Sharing UpdateACA Cost Sharing UpdateACA Cost Sharing Update

S d NSB R t C t Sh iS d NSB R t C t Sh iSecond NSB Report on Cost Sharing:Second NSB Report on Cost Sharing:

http://www.nsf.gov/nsb/committees/cs/index.jsp

Recommendations have two primary objectives:To allow but narrowly circumscribe the application

Recommendations have two primary objectives:To allow but narrowly circumscribe the applicationTo allow, but narrowly circumscribe, the application of mandatory cost sharing requirements in NSF Programs;

To allow, but narrowly circumscribe, the application of mandatory cost sharing requirements in NSF Programs;To prohibit voluntary committed cost sharing in NSF proposals and eliminate post-award tracking and reporting requirements

To prohibit voluntary committed cost sharing in NSF proposals and eliminate post-award tracking and reporting requirementsreporting requirements.reporting requirements.

Recent Changes to theG t P l G id

Recent Changes to theG t P l G idGrant Proposal GuideGrant Proposal Guide

F lt lF lt lFaculty salary Replacement of the Small Grants for Faculty salary Replacement of the Small Grants for Exploratory Research Program with:

RAPIDExploratory Research Program with:

RAPIDEAGEREAGER

Former Faculty Summer Salary P li ( i 1978)

Former Faculty Summer Salary P li ( i 1978)Policy (since 1978)Policy (since 1978)

“As a general policy, NSF recognizes that salaries of faculty “As a general policy, NSF recognizes that salaries of faculty g p y, g ymembers and other personnel associated directly with the project constitute appropriate direct costs and may be requested in proportion to the effort devoted to the project.

g p y, g ymembers and other personnel associated directly with the project constitute appropriate direct costs and may be requested in proportion to the effort devoted to the project.

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

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 theCompensation for time normally spent on research within the term of appointment is deemed to be included within the faculty member’s regular organizational salary.

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.

Summer salary for faculty members at colleges and universities on academic-year appointments is limited to no more than two-ninths of their regular academic-year salary.

Summer salary for faculty members at colleges and universities on academic-year appointments is limited to no more than two-ninths of their regular academic-year salary. g y yThis limit includes summer salary received from all NSF-funded grants.”

g y yThis limit includes summer salary received from all NSF-funded grants.”

Revised Faculty Salary PolicyRevised Faculty Salary PolicyRevised Faculty Salary PolicyRevised Faculty Salary Policy

Limits salary compensation for senior project personnel to no Limits salary compensation for senior project personnel to no y p p j pmore than two months of their regular salary in any one year:

Th li it i l d l ti i d f ll

y p p j pmore than two months of their regular salary in any one year:

Th li it i l d l ti i d f llThe limit includes salary compensation received from all NSF-funded awards.Broadens the previous policy away from the concept of

The limit includes salary compensation received from all NSF-funded awards.Broadens the previous policy away from the concept ofBroadens the previous policy away from the concept of “two summer months” and allows senior project personnel to schedule work when appropriate throughout the year. A ti f h l i f t

Broadens the previous policy away from the concept of “two summer months” and allows senior project personnel to schedule work when appropriate throughout the year. A ti f h l i f tAny compensation for such personnel in excess of two months must be specifically justified in the proposal, and if approved by NSF, will be included in the award budget.

Any compensation for such personnel in excess of two months must be specifically justified in the proposal, and if approved by NSF, will be included in the award budget.if approved by NSF, will be included in the award budget.if approved by NSF, will be included in the award budget.

Grants for Rapid Response Research (RAPID)

R id l f f d d dit d it i

(RAPID)

•Rapid release of funds and expedited merit review

•The RAPID funding mechanism would be used forThe RAPID funding mechanism would be used for projects having a:

ith d t il bilit f•severe urgency with regard to availability of, or access to data, facilities or specialized equipment, including quick-response research on natural orincluding quick response research on natural or anthropogenic disasters and similar unanticipated events.

RAPID (continued)RAPID (continued)

Requests may be for up to $200K and of one yearRequests may be for up to $200K and of one yearRequests may be for up to $200K and of one year duration. Award size, however, should be consistent with:

Requests may be for up to $200K and of one year duration. Award size, however, should be consistent with:

Project scopeExisting grants in similar areasProject scopeExisting grants in similar areas

Only internal review required (external review in rare cases permissible with notification to PI)No cost extensions and requests for supplemental

Only internal review required (external review in rare cases permissible with notification to PI)No cost extensions and requests for supplementalNo cost extensions and requests for supplemental funding in accordance with existing NSF policiesFollow-on full proposals – “RAPID renewals” –

No cost extensions and requests for supplemental funding in accordance with existing NSF policiesFollow-on full proposals – “RAPID renewals” –Follow on full proposals RAPID renewals externally reviewed Follow on full proposals RAPID renewals externally reviewed

EArly-concept Grants for Exploratory R h (EAGER)Research (EAGER)

Exploratory work on potentiallyExploratory work on potentiallyExploratory work on potentially transformative untested/novel research ideas or approaches in their early stages

Exploratory work on potentially transformative untested/novel research ideas or approaches in their early stagesideas or approaches in their early stagesHigh risk-high payoff projects that

I l di ll diff t h

ideas or approaches in their early stagesHigh risk-high payoff projects that

I l di ll diff t hInvolve radically different approaches;Apply new expertise; or,Involve radically different approaches;Apply new expertise; or,Engage novel disciplinary or interdisciplinary perspectivesEngage novel disciplinary or interdisciplinary perspectivesp y p pp y p p

EAGER (continued)EAGER (continued)

Req ests ma be fo p to $300K and pReq ests ma be fo p to $300K and pRequests may be for up to $300K and up to two years duration. Award size, however should be consistent with:

Requests may be for up to $300K and up to two years duration. Award size, however should be consistent with:however, should be consistent with:

Project scopeExisting grants in similar areas

however, should be consistent with:Project scopeExisting grants in similar areasExisting grants in similar areas

Review process no cost extensions requests

Existing grants in similar areas

Review process no cost extensions requestsReview process, no cost extensions, requests for supplemental funding, and follow-on full proposals would follow same rules as RAPID

Review process, no cost extensions, requests for supplemental funding, and follow-on full proposals would follow same rules as RAPIDproposals would follow same rules as RAPID proposalsproposals would follow same rules as RAPID proposals

NSF Grants.gov Implementation in FY 2009

NSF Grants.gov Implementation in FY 2009Implementation in FY 2009Implementation in FY 2009

Unless otherwise specified optional submissionUnless otherwise specified optional submissionUnless otherwise specified, optional submission for the vast majority of NSF programs

Note that after October 1, 2008, any funding

Unless otherwise specified, optional submission for the vast majority of NSF programs

Note that after October 1, 2008, any funding ote t at a te Octobe , 008, a y u d gopportunity that is posted will require use of FastLane until Adobe forms are implemented!!

ote t at a te Octobe , 008, a y u d gopportunity that is posted will require use of FastLane until Adobe forms are implemented!!

Will not be used until a Grants.gov solution has been developed for:Will not be used until a Grants.gov solution has been developed for:been developed for:

Separately submitted collaborative proposalsFellowship programs that require submission f f l tt

been developed for:Separately submitted collaborative proposalsFellowship programs that require submission f f l ttof reference lettersof reference letters

Research govResearch govResearch.govResearch.gov

Research.gov…g

Enables institutions and grantees to:− access a menu of grants management and information

services − for multiple federal agencies

in one place− in one place

Modernizes FastLane by providing services:− tailored to meeting the unique needs of the researchtailored to meeting the unique needs of the research

community− aimed at easing the grants administrative burden

25

Increases transparency and public access to information about federal research spending and outcomes

Research gov PartnershipsResearch gov PartnershipsResearch.gov PartnershipsResearch.gov Partnerships

Research.gov simplifies the research community’s Research.gov simplifies the research community’s g p yaccess to information and grant services for multiple federal agencies

N ti l S i F d ti (L d)

g p yaccess to information and grant services for multiple federal agencies

N ti l S i F d ti (L d)National Science Foundation (Lead)National Aeronautics and Space Administration (Partner)

National Science Foundation (Lead)National Aeronautics and Space Administration (Partner)(Partner)Department of Defense Research (Partner)USDA’s Cooperative State Research, Education, and

(Partner)Department of Defense Research (Partner)USDA’s Cooperative State Research, Education, and Extension Service (Partner)Extension Service (Partner)

What does Research gov offer today?What does Research gov offer today?What does Research.gov offer today?What does Research.gov offer today?

Public ServicesPublic ServicesResearch Spending & Results

P li LibPolicy Library

Research News & Events

Beta ServicesGrants Application Status

Federal Financial ReportFederal Financial Report

Institution & User Management

Community Driven Solutions

Research.gov gives you fast and easy access to information and

Community Driven Solutions

services in one place for multiple federal research agencies

Public Services Now AvailableResearch Spending and Results: Search NSF and NASA grant awardsResearch Spending and Results: Search NSF and NASA grant awardsPolicy Library: Find federal and agency-specific policies, guidelines, and

procedures for use by federal agencies and the awardee community.Research Headlines: Get the latest news and events for NSF, NASA, , ,

USDA/CSREES, and the research community.

Grantee services in BetaGrants Application Status: Check the status of applications submitted toGrants Application Status: Check the status of applications submitted to

NSF, USDA/CSREES, and DoD Army Research Office Federal Financial Report: Complete and submit grant financial reports to

NSF using the new government-wide standard form. Institution and User Management: Institution Administrators can add

users and manage their profiles.

Award ManagementMain Topics

Award Management PhilosophyAward Management PhilosophyTypes of AwardsAward NotificationsTypes of AwardsAward NotificationsReporting RequirementsReporting Requirements

NSF Award Management Phil h

NSF Award Management Phil hPhilosophyPhilosophy

Assistance AgencyResearch Carried Out by AwardeeAssistance AgencyResearch Carried Out by AwardeeResearch Carried Out by AwardeeIntegrated Oversight Enterprise:

Program Oversight of Scientific ProgressBFA O i ht f C li d B i A i t

Research Carried Out by AwardeeIntegrated Oversight Enterprise:

Program Oversight of Scientific ProgressBFA O i ht f C li d B i A i tBFA Oversight of Compliance and Business Assistance

Audit Responsibility Reside with OIGEnd to End Award Management

BFA Oversight of Compliance and Business AssistanceAudit Responsibility Reside with OIGEnd to End Award ManagementEnd to End Award ManagementRisk Based ReviewEnd to End Award ManagementRisk Based Review

Award Administration –Relevant Roles of Awardee & NSF

Award Administration –Relevant Roles of Awardee & NSFRelevant Roles of Awardee & NSFRelevant Roles of Awardee & NSF

A d R lA d R lAwardee RoleAwardee has full responsibility for the conduct of project or activity and for adherence to the

Awardee RoleAwardee has full responsibility for the conduct of project or activity and for adherence to theproject or activity and for adherence to the award conditions Awardee agrees to comply with the applicable

project or activity and for adherence to the award conditions Awardee agrees to comply with the applicableAwardee agrees to comply with the applicable Federal requirements and for the prudent management of all expenditures and actions

Awardee agrees to comply with the applicable Federal requirements and for the prudent management of all expenditures and actionsmanagement of all expenditures and actionsExpenditures must be allowable, allocable, and reasonable

management of all expenditures and actionsExpenditures must be allowable, allocable, and reasonable

Award Administration –R l t R l f A d & NSF

Award Administration –R l t R l f A d & NSFRelevant Roles of Awardee & NSFRelevant Roles of Awardee & NSF

d l ( i d)d l ( i d)Awardee Role (Continued)All actions must also be:

C i t t ith d t d diti

Awardee Role (Continued)All actions must also be:

C i t t ith d t d ditiConsistent with award terms and conditions;Consistent with NSF and awardee policies;Represent effective utilization of resources; and

Consistent with award terms and conditions;Consistent with NSF and awardee policies;Represent effective utilization of resources; andRepresent effective utilization of resources; andDo not constitute a significant project change.

NSF Role

Represent effective utilization of resources; andDo not constitute a significant project change.

NSF RoleHands off project and minimal monitoring (except for Cooperative Agreements)Hands off project and minimal monitoring (except for Cooperative Agreements)

Types of AwardsTypes of AwardsTypes of AwardsTypes of Awards

Grants & Cooperative AgreementsRelationship is of assistance

Grants & Cooperative AgreementsRelationship is of assistancePrincipal purpose is to accomplish a public purpose of support or stimulationPrincipal purpose is to accomplish a public purpose of support or stimulation

ContractsRelationship is one of procurement

ContractsRelationship is one of procurementp pPrincipal purpose is for the direct benefit or use of the Federal government

p pPrincipal purpose is for the direct benefit or use of the Federal government

The NSF AwardThe NSF AwardThe NSF AwardThe NSF Award

GrantsGrantsGrantsAward Letter, Research Terms & Conditions, Grant General Conditions (GC-1) occasional special

GrantsAward Letter, Research Terms & Conditions, Grant General Conditions (GC-1) occasional specialGeneral Conditions (GC 1), occasional special conditions, and other documents incorporated by reference

General Conditions (GC 1), occasional special conditions, and other documents incorporated by referenceElectronic dissemination of Award Letter to AORAwardee Distribution of Terms & Conditions Electronic dissemination of Award Letter to AORAwardee Distribution of Terms & Conditions

Also available electronically via FastLane

Cooperative AgreementsAlso available electronically via FastLane

Cooperative AgreementsFinancial & Administrative Terms and ConditionsProgrammatic Terms and ConditionsFinancial & Administrative Terms and ConditionsProgrammatic Terms and Conditions

Please Be AwarePlease Be AwarePlease Be Aware…Please Be Aware…

C ti t h dd dC ti t h dd dCooperative agreements have added conditions due to substantial i l t f NSF

Cooperative agreements have added conditions due to substantial i l t f NSFinvolvement of NSF

Be aware that there is generally more reporting and oversight required for a

involvement of NSFBe aware that there is generally more reporting and oversight required for areporting and oversight required for a cooperative agreement than a grantThere should be ongoing dialogue with the

reporting and oversight required for a cooperative agreement than a grantThere should be ongoing dialogue with theThere should be ongoing dialogue with the cognizant Program Officer to fully understand the conditions of this type of award

There should be ongoing dialogue with the cognizant Program Officer to fully understand the conditions of this type of award

Awardee-Approved Notifications Awardee-Approved Notifications to NSFto NSF

Single 12 Month No Cost ExtensionThis is not to be used for awards that contain a zero balance

Single 12 Month No Cost ExtensionThis is not to be used for awards that contain a zero balancebalanceDoes not include Cooperative Agreements

Significant Changes in Methods & Procedures*

balanceDoes not include Cooperative Agreements

Significant Changes in Methods & Procedures*Significant Changes in Methods & ProceduresUnusual Occurrences*Short Term Absences (less than 90 days)*

Significant Changes in Methods & ProceduresUnusual Occurrences*Short Term Absences (less than 90 days)*( y )Conflict of Interest Not handled by Awardee

( y )Conflict of Interest Not handled by Awardee

** Note that these three items are notifications that are sent directly from PI to the AOR and then to NSF.

Awardee-Authorized ApprovalsAwardee-Authorized Approvalspppp

Virtually All Budget Changes are PI’s Prerogative – Subject to Organizational Virtually All Budget Changes are PI’s Prerogative – Subject to Organizational g j gApproval

Note: Unless such changes constitute a change in objective or scope

g j gApproval

Note: Unless such changes constitute a change in objective or scopeobjective or scopeException for Participant Support

90 Day Pre-Award Costs

objective or scopeException for Participant Support

90 Day Pre-Award Costs90 Day Pre Award Costs90 Day Pre Award Costs

NSF Prior Approval Requirements (Technically Related)

NSF Prior Approval Requirements (Technically Related)(Technically Related)(Technically Related)

Change in Objective or Scope Change in Objective or Scope g j pChange in Expiration Date (no-cost extension)PI/co-PI Changes

g j pChange in Expiration Date (no-cost extension)PI/co-PI Changes

Withdrawal or Change of PI/co-PI

Long-term Absence: Defined as 90 days or

Withdrawal or Change of PI/co-PI

Long-term Absence: Defined as 90 days or g ymore

Reduction in PI Level of Effort: Defined as a

g ymore

Reduction in PI Level of Effort: Defined as aReduction in PI Level of Effort: Defined as a reduction of 25% or more in time devoted to project

Reduction in PI Level of Effort: Defined as a reduction of 25% or more in time devoted to projectprojectproject

NSF Prior Approval Requirements (Financially Related)

NSF Prior Approval Requirements (Financially Related)(Financially Related)(Financially Related)

Transferring the Project Effort via:Transferring the Project Effort via:g jSubawardTransfer of the Award to a New Organization (“PI Transfers”)

g jSubawardTransfer of the Award to a New Organization (“PI Transfers”)( PI Transfers )

Reallocation of Participant Support Alterations and Renovations over $25,000

( PI Transfers )Reallocation of Participant Support Alterations and Renovations over $25,000 (Construction)Change in Cost Sharing Amount Identified on Line M of the Cumulative Award Budget

(Construction)Change in Cost Sharing Amount Identified on Line M of the Cumulative Award BudgetLine M of the Cumulative Award BudgetPre-award costs more than 90 days priorLine M of the Cumulative Award BudgetPre-award costs more than 90 days prior

Award TransfersAward TransfersAward TransfersAward Transfers

Th d i d t th i itTh d i d t th i itThe award is made to the universityOrganization has the discretion of appointing a substitute PI or terminating the award

The award is made to the universityOrganization has the discretion of appointing a substitute PI or terminating the award

If willing to transfer the award to another university be sure to:

Reconcile final expenditures

If willing to transfer the award to another university be sure to:

Reconcile final expendituresReconcile final expendituresAccurately determine what funds are to be transferredF d t f d t b h d

Reconcile final expendituresAccurately determine what funds are to be transferredF d t f d t b h dFunds transferred cannot be changedNSF cannot intervene or redo a transfer after it is made

Funds transferred cannot be changedNSF cannot intervene or redo a transfer after it is made

Consider making a subaward rather than transferring the whole awardConsider making a subaward rather than transferring the whole award

Technical ReportsTechnical ReportsTechnical ReportsTechnical Reports

Required Technical ReportsRequired Technical ReportsRequired Technical ReportsAnnual Project Reports

Due No Later Than 90 days prior to Expiration Date

Required Technical ReportsAnnual Project Reports

Due No Later Than 90 days prior to Expiration DateDue No Later Than 90 days prior to Expiration DateRequired for ALL Standard & Continuing Grants and Cooperative Agreements

Due No Later Than 90 days prior to Expiration DateRequired for ALL Standard & Continuing Grants and Cooperative Agreements

Final Project ReportsDue Within 90-days after the Expiration of an AwardRequired for ALL Standard & Continuing Grants and

Final Project ReportsDue Within 90-days after the Expiration of an AwardRequired for ALL Standard & Continuing Grants andRequired for ALL Standard & Continuing Grants and Cooperative AgreementsRequired for Individual Research Fellowships per P S li it ti

Required for ALL Standard & Continuing Grants and Cooperative AgreementsRequired for Individual Research Fellowships per P S li it tiProgram SolicitationProgram Solicitation

Technical ReportsTechnical Reportspp

Report Contents Include:Report Contents Include:Report Contents Include:ParticipantsActivities & Findings

Report Contents Include:ParticipantsActivities & FindingsActivities & FindingsPublications & ProductsContributions

Activities & FindingsPublications & ProductsContributionsContributionsSpecial Requirements

Technical Monitoring

ContributionsSpecial Requirements

Technical MonitoringTechnical MonitoringProgram Officer Site VisitsParticipation in required Outreach activities

Technical MonitoringProgram Officer Site VisitsParticipation in required Outreach activitiesParticipation in required Outreach activitiesParticipation in required Outreach activities

Interim Project Reports (Not required)

Interim Project Reports (Not required)(Not required)(Not required)

Si ifi t E tSi ifi t E tSignificant EventsPer special conditions of the awardSignificant EventsPer special conditions of the awardNo submission/preparation after grant is closedNo submission/preparation after grant is closedNo Business Process Associated, Information onlyNo Business Process Associated, Information onlyNo Publication CitationsNo Publication Citations

Project Reporting FactsProject Reporting Factsj p gj p g

Extending the grant period does not relieve PIs of reporting requirementsIn the last year of a grant, the PI owes only a final report

Extending the grant period does not relieve PIs of reporting requirementsIn the last year of a grant, the PI owes only a final reportIn the last year of a grant, the PI owes only a final reportFinal Report submission means final action – no further activityIf the PI leaves prior to submitting a required report the

In the last year of a grant, the PI owes only a final reportFinal Report submission means final action – no further activityIf the PI leaves prior to submitting a required report theIf the PI leaves prior to submitting a required report, the organization must still fulfill reporting obligationsThe organization is responsible for submission of required

If the PI leaves prior to submitting a required report, the organization must still fulfill reporting obligationsThe organization is responsible for submission of required reports; not the PIReports cannot be submitted prior to period start dateNo publication citations after final report approved grant

reports; not the PIReports cannot be submitted prior to period start dateNo publication citations after final report approved grantNo publication citations after final report approved, grant closedNo publication citations after final report approved, grant closed

Accessing Documents on the b

Accessing Documents on the bNSF WebsiteNSF Website

www nsf govProposal PreparationProposal Preparation

www.nsf.gov

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