Announcement and
Administration of Awards

Announcement

Review and processing of proposals requires approximately six months. Decisions are announced individually through written notices to the institution and to the PI. Before notice is sent, NSF staff can give no information concerning the probability that any particular proposal will be supported or declined. Proposers are strongly urged to refrain from making inquiries. Decisions on awards for individual projects are announced as soon as they are made. Thus, some proposers receive a decision earlier than others. The number of awards made depends on the quality of those received and the availability of funds.

Administration of Grants

Grants awarded as a result of this announcement will be administered in accordance with the terms and conditions of NSF GC-1 (10/95) or FDP-III (3/97), Grant General Conditions. Copies of these documents are available at no cost from the NSF Clearinghouse, P.O. Box 218, Jessup, Maryland 20794-0218; by telephone, (301) 947-2722 or via electronic mail: pubs@nsf.gov. More comprehensive information is contained in the GPG (NSF 98-2). NSF publications can also be obtained from the World Wide Web at http://www.nsf.gov.

Prior Approval Requirements

Prior written authorization from NSF is required for the following: 1) transfer of project effort to another institution; 2) changes in objectives or scope; 3) absence or change in PI; 4) a substantial change in PI effort; 5) alterations or rearrangements (construction activities) costing $10,000 or more; 6) establishing relatedness of projects under the direction of collaborating PIs; and, 7) reallocation of funds budgeted for participant or trainee support. Decreases in participant support costs require written approval of the cognizant Program Officer; all other changes listed above require approval of the cognizant Grants Officer. (See Grant General Conditions (GC-1)). For participants in the Federal Demonstration Project, decreases in participant support costs, as well as changes in objectives, scope, or PI require prior written approval from NSF. (see also GPM Exhibit III-I which highlights grantee notifications to, and requests for, approval from NSF.)

Transfer of Principal Investigator

If a PI leaves a project before its completion, the grantee institution has the prerogative to nominate a replacement PI or request that the grant be terminated. Replacement PIs are subject to NSF approval by the cognizant Program Officer named in the grant letter. A written request for the change in PI should include an explanation for the request, the nominee’s qualifications, curriculum vitae, and statement of current and pending support, and must be signed both by the nominee and the grantee’s Authorized Organizational Representative. Approval is then obtained from the cognizant Grants Officer. The appointment of a new PI is not effective until written approval is received from NSF.

In those cases where a particular PI’s participation is integral to a given project and the PI’s original and new organizations agree, NSF will arrange a transfer of the grant and assignment of remaining unobligated funds to the PI’s new organization (See GPM, Section 312 and GPM Exhibit III-2 for NSF Form 1263 ‘‘NSF Grant Transfer Request.’’)

Grant Reports

Annual Progress Reports. All multi-year grants require submission of an annual technical progress report to the cognizant NSF Program Officer [see Article 15 of NSF Grant General Conditions GC-1 (10/95)]. The report should be submitted at least 90 days before the end of the period currently being funded. It should summarize activity during the previous year, assess progress in meeting milestones set in the proposal or through negotiations, identify significant developments, and describe any problems encountered. Reprints of publications and draft materials produced as a result of the project must be provided as soon as they are available. Reports should also include any significant changes planned for the following year. All projects should submit an updated data sheet each year. Annual reports must certify progress on meeting cost-sharing requirements stipulated in the award and must be submitted using NSF Form 1328 available in the GPG (NSF 98-2).

Final Report. Within 90 days after grant expiration, the PI must submit a signed Final Project Report (NSF Form 98A), including the Part IV Summary, to the NSF Program Officer, with a copy to the Authorized Organizational Representative. Applicants should review this form prior to proposal submission so that appropriate tracking mechanisms are included in the evaluation plan to ensure that complete information will be available at the conclusion of the project. Failure to provide final technical reports may prevent funding of subsequent proposals and/or will delay NSF review and processing of pending proposals for that PI and any co-PIs.

The final report should contain technical information needed by NSF for program management and informing the public about the results of supported activities. The report requests information on the gender, race, ethnicity, citizenship, and disability status of individuals supported under the grant. See earlier sections on program descriptions for any special programmatic requirements. The final report should also include certification of cost-sharing as stipulated in the award letter. Projects must transmit final copies of instructional materials developed under grants both to the relevant program (e.g., IMD) and to the Eisenhower National Clearinghouse.

Final expenditure information is supplied by most grantees through the quarterly Federal Cash Transactions Report (SF 272), normally submitted (including a signed certification) by the grantee’s financial officer.

Acknowledgment of NSF Support and Disclaimer

Appropriate acknowledgment of NSF support should be given to NSF-supported projects. Individual programs will inform grantees of specific requirements for funding credit. Generally, NSF funding credit, including the NSF logo, is required at the beginning and end of media programs and on the cover of publications. A disclaimer must appear in publications of any material, whether copyrighted or patented on, or developed under, NSF-supported projects:
‘‘This material is based upon work supported by the National Science Foundation under Grant No. (grantee should enter NSF grant number).’’

The following disclaimer should also be included: ‘‘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.’’

Commercial Publication or Distribution of NSF-Supported Materials

The NSF encourages the broad dissemination of materials resulting from NSF awards. The proposal should identify and briefly describe the materials, proposed media and format, objectives of materials, grade levels, expected market, expected market life, expected need for revisions, and existing or proposed materials with which they might compete. If this award involves the development of materials or publications which will be disseminated commercially, the grantee is responsible for developing, documenting and implementing a publication or distribution plan which includes, at a minimum, the following elements: The grantee shall ensure that the publisher or distributor of any material supported under this NSF award agrees to provide the Government with a royalty-free license to use the materials for Government purposes as described in Grant General Conditions GC-1 (10/95) Article 18. Any publication or distribution agreement must be consistent with GC-1 Article 20. Any materials developed under an award to a Federal Demonstration Project, must ensure that the publisher or distributor of any material supported under the NSF award agrees to provide the Government with a non-exclusive, nontransferable, irrevocable, royalty-free license to exercise or have exercised for or on behalf of the United States throughout the world all the exclusive rights provided by the copyright. Such license does not include the right to sell copies or photo records of the copyrighted works to the public. Any publication or distribution agreement must be consistent with FDP-III, Article 10.

Normally, income generated as a result of commercial publication and/or distribution of NSF-supported materials will be subject to guidance provided in Section 750 of the GPM with the exception that royalty income earned during the life of the project should be used to further project objectives. The grantee is required to retain appropriate financial and other records relating to project income earned during the grant period and for three years beyond the end of the grant period. The grantee’s understanding and acceptance of these income procedures should be provided in the proposal.

Legal Rights to Intellectual Property

NSF normally allows awardees to retain principal legal rights to intellectual property developed under its awards. This policy provides incentive for development and dissemination of inventions, software, and publications that can enhance their usefulness, accessibility, and upkeep. It does not, however, reduce the responsibility of PIs and their institutions to make results, data, and collections available to educational and other appropriate communities.

Nevertheless, NSF remains committed to the development of high-quality programming that will be made widely available to all children, youth, and adults. The Foundation requires that:

Under normal circumstances, NSF also requires that: