Chapter I - Pre-Submission Information

Contact with NSF program personnel prior to proposal preparation and submission is encouraged. Some NSF programs have program solicitations that modify the general provisions of the GPG and/or the NSF Grants.gov Application Guide, and, in such cases, the guidelines provided in the solicitation must be followed. (See GPG Section C.4 below for further information on NSF program solicitations.)

B. NSF Programs and Funding Opportunities

NSF does not normally support technical assistance, pilot plant efforts, research requiring security classification, the development of products for commercial marketing, or market research for a particular project or invention. Research with disease-related goals, including work on the etiology, diagnosis or treatment of physical or mental disease, abnormality, or malfunction in human beings or animals, is normally not supported. Animal models of such conditions or the development or testing of drugs or other procedures for their treatment also are not eligible for support. However, research in bioengineering, with diagnosis- or treatment-related goals, that applies engineering principles to problems in biology and medicine while advancing engineering knowledge is eligible for support. Bioengineering research to aid persons with disabilities also is eligible.

The NSF website provides the most comprehensive source of information on NSF Directorates/Offices (including contact information), programs and 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 through e-mail or the user's web browser each time new publications are issued that match their identified interests. "NSF Update" also is available on NSF's website at https://public.govdelivery.com/accounts/USNSF/subscriber/new?qsp=823.

Grants.gov provides an additional electronic capability to search for Federal government-wide grant opportunities. NSF funding opportunities may be accessed via this mechanism. Further information on Grants.gov may be obtained at http://www.grants.gov.

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. Dear Colleague Letters

Dear Colleague Letters (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. In addition, DCLs are often used to draw attention to an impending change in NSF policies or programs.

2. 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, like program announcements, utilize the generic eligibility and proposal preparation instructions specified in the GPG, as well as the National Science Board (NSB)-approved merit review criteria. See GPG Chapter III for additional information.

3. Program Announcements

The term "program announcement" refers to formal NSF publications that announce NSF programs. Program announcements and program descriptions (see C.2 above) are the primary mechanisms used by NSF to communicate opportunities for research and education support, as well as to generate proposals. Program announcements utilize the generic eligibility and proposal preparation guidelines specified in the GPG and incorporate the NSB-approved merit review criteria.

4. 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 the GPG;
• contains additional review criteria relevant to the program;
• requires submission of a letter of intent (see GPG Chapter I.D.1) or preliminary proposal (see GPG Chapter I.D.2);
• deviates from (or restricts) the standard categories of proposers specified in Section E. below;
• limits the number of proposals that may be submitted by any organization and/or researcher/educator;¹
• requires cost sharing;
• requires a limitation in indirect (F&A) costs;
• specifies additional award conditions or reporting requirements;
• anticipates use of a cooperative agreement; or
• permits inclusion of the payment of fees to awardees, when appropriate.

D. TYPES OF SUBMISSIONS

1. Letters of Intent

Some NSF program solicitations require or request submission of a letter of intent (LOI) in advance of submission of a full proposal. An LOI is not a binding document. The predominant reason for its use is to help NSF program staff gauge the size and range of the competition, enabling earlier selection and better management of reviewers and panelists. In addition, the information contained in an LOI is used to help avoid potential conflicts of interest in the review process.

An LOI normally contains the Principal Investigator’s (PI's) and co-PI's names, a proposed title, a list of possible participating organizations (if applicable), and a synopsis that describes the work in sufficient detail to permit an appropriate selection of reviewers. An LOI is not externally evaluated or used to decide on funding. The requirement to submit an LOI will be identified in the program solicitation, and such letters are submitted electronically to NSF. Failure to submit a required LOI identified in a program solicitation will result in a full proposal not being accepted or returned without review.

2. Preliminary Proposals

Some NSF program solicitations require or request submission of a preliminary proposal in advance of submission of a full proposal. The three predominant reasons for requiring submission of a preliminary proposal are to:

• reduce the proposers' unnecessary effort in proposal preparation when the chance of success is very small. This is particularly true of exploratory initiatives when the community senses that a major new direction is being identified, or competitions that will result in a small number of awards;
• increase the overall quality of the full submission; and.
• assist NSF program staff in managing the review process and in the selection of reviewers.

The NSF program solicitation will specify content and submission requirements when preliminary proposals are to be used. Preliminary proposals are prepared by the PI using the Proposal Preparation Module in FastLane. On the Cover Sheet, the PI clicks on the "Preliminary Proposal" check box. The PI completes only the sections appropriate to the preliminary proposal. The PI then forwards the proposal to the appropriate office at his/her organization, and the Authorized Organizational Representative (AOR) signs and submits the preliminary proposal via use of NSF’s electronic systems.

One of the following two types of decisions may be received from NSF upon submission of a preliminary proposal. The program solicitation will specify the type of decision to be rendered for a particular program.

a. Invite/Not Invite Decisions

This type of mechanism is used when the NSF decision made on the preliminary proposal is final, affecting the PI'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 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 Sponsored Projects Office will be notified of NSF's decision to either encourage or discourage submission of a full proposal.

3. Full Proposals

The full proposal should present the (1) objectives and scientific, engineering, or educational significance of the proposed work; (2) suitability of the methods to be employed; (3) qualifications of the investigator and the grantee organization; (4) effect of the activity on the infrastructure of science, engineering and education, if applicable; and (5) amount of funding required. It should present the intellectual merit and broader impacts of the proposed project clearly and should be prepared with the care and thoroughness of a paper submitted for publication. The requisite proposal preparation instructions are contained in GPG 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 National Science Board. (See GPG Chapter III for additional information on NSF processing and review of proposals.)

NSF expects strict adherence to the rules of proper scholarship and attribution. The responsibility for proper scholarship and attribution rests with the authors of a proposal; all parts of the proposal should be prepared with equal care for this concern. Authors other than the PI (or any co-PI) should be named and acknowledged. Serious failure to adhere to such standards can result in findings of research misconduct. NSF policies and rules on research misconduct² are discussed in the AAG Chapter VII.C, as well as 45 CFR Part 689.

The Metric Conversion Act of 1975, as amended, and Executive Order 12770 of 1991 encourage Federal agencies to use the Metric System (SI) in procurement, grants and other business-related activities. Proposers are encouraged to use the Metric System of weights and measures in proposals submitted to the Foundation. Grantees also are encouraged to use metric units in reports, publications and correspondence relating to proposals and awards.

Proprietary or Privileged Information

Patentable ideas, trade secrets, privileged or confidential commercial or financial information, disclosure of which may harm the proposer, should be included in proposals only when such information is necessary to convey an understanding of the proposed project. Such information must be clearly marked in the proposal and be appropriately labeled with a legend such as,

"The following is (proprietary or confidential) information that (name of proposing organization) requests not be released to persons outside the Government, except for purposes of review and evaluation."

Such information also may be included as a separate statement. If this method is used, the statement must be submitted as a single-copy document in the Proposal Preparation Module in FastLane. (See also GPG Chapter II.C.1 for further information regarding submission of single-copy documents.) ³

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. (See also GPG Chapter III.H.)

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.

Categories of Proposers

Except where a program solicitation establishes more restrictive eligibility criteria, individuals and organizations in the following categories may submit proposals:

1. Universities and Colleges - Universities and two- and four-year colleges (including community colleges) accredited in, and having a campus located in, the US acting on behalf of their faculty members. Such organizations also are referred to as academic institutions. Academic institutions located outside the US fall under paragraph 6. below.
2. Non-profit, non-academic organizations - Independent museums, observatories, research laboratories, professional societies and similar organizations located in the US that are directly associated with educational or research activities.
3. For-profit organizations - US commercial organizations, especially small businesses with strong capabilities in scientific or engineering research or education. An unsolicited proposal from a commercial organization may be funded when the project is of special concern from a national point of view, special resources are available for the work, or the proposed project is especially meritorious. NSF is interested in supporting projects that couple industrial research resources and perspectives with those of universities; therefore, it especially welcomes proposals for cooperative projects involving both universities and the private commercial sector.
4. State and Local Governments - State educational offices or organizations and local school districts may submit proposals intended to broaden the impact, accelerate the pace, and increase the effectiveness of improvements in science, mathematics and engineering education in both K-12 and post-secondary levels.
5. Unaffiliated Individuals - Scientists, engineers or educators in the US and US citizens may be eligible for support, provided that the individual is not employed by, or affiliated with, an organization, and the individual:
   • has demonstrated the capability and has access to any necessary facilities to carry out the project; and
   • agrees to fiscal arrangements that, in the opinion of the NSF Division of Grants & Agreements, ensure responsible management of Federal funds.

   Unaffiliated individuals must contact the appropriate program prior to preparing and submitting a proposal.

6. Foreign organizations - NSF rarely provides support to foreign organizations. NSF will consider proposals for cooperative projects involving US and foreign organizations, provided support is requested only for the US portion of the collaborative effort.
7. Other Federal agencies - NSF does not normally support research or education activities by scientists, engineers or educators employed by Federal agencies or Federally Funded Research and Development Centers (FFRDCs). Under unusual circumstances, other Federal agencies and FFRDCs may submit proposals directly to NSF. A proposed project is only eligible for support if it meets one or more of the following exceptions, as determined by a cognizant NSF Program Officer:
   • Special Projects. Under exceptional circumstances, research or education projects at other Federal agencies or FFRDCs that can make unique contributions to the needs of researchers elsewhere or to other specific NSF objectives may receive NSF support.
   • National and International Programs. The Foundation may fund research and logistic 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 US Antarctic Research Program.
   • International Travel Awards. In order to 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 a university and a Federal agency (such as a Veterans Administration Hospital, or with a university and a FFRDC) may submit proposals through the university and may receive support if he/she is a faculty member of the university, although part of his/her salary may be provided by the Federal agency. Preliminary inquiry must be made to the appropriate program before preparing a proposal for submission.

F. When to Submit Proposals

Proposers should allow adequate time for processing of proposals (see GPG 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 only may be authorized in accordance with GPG Chapter II.A.

   Special Exceptions to NSF’s Deadline Date Policy

   In the event of a natural or anthropogenic disaster, or when NSF is closed due to inclement weather or other reason that interferes with an organization’s ability to meet a proposal submission deadline, NSF has developed the following guidelines for use by impacted organizations.

   Natural or Anthropogenic Disasters - Flexibility in meeting announced deadline dates because of a natural or anthropogenic disaster that impacts a proposer’s ability to submit a proposal to NSF may be granted with the approval of the cognizant NSF Program Officer. Where possible, such requests should be submitted in advance of the proposal deadline. The Foundation will work with each impacted organization on a case-by-case basis to address its specific issue(s). 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 "late proposal." Proposers should then follow the written or verbal guidance provided by the cognizant NSF Program Officer. Generally, NSF permits extension of the deadline by up to five business days.

   Closure of NSF – When NSF is closed due to inclement weather or other reason⁴, deadline(s) that occurred during the closure will be extended to the following business day after the closure ends.

3. Submission windows: designated periods of time during which proposals will be accepted for review by NSF. It is NSF’s policy that the end date of a submission window converts to, and is subject to, the same policies as a deadline date.

These target dates, deadlines, and submission windows are published in specific program descriptions, program announcements and solicitations that can be obtained through the NSF website.⁵ Unless otherwise stated in a program announcement or solicitation, proposals must be received by the specified date. If the deadline date falls on a weekend, it will be extended to the following Monday; if the date falls on a Federal holiday, it will be extended to the following business day. Proposals must be received by 5 p.m. submitter's local time on the established deadline date.⁶ Failure to submit by 5.p.m. submitter’s local time will result in the proposal not being accepted. See GPG Chapter IV.B for additional information.

G. How to Submit Proposals

1. Electronic Requirements

Proposals to NSF must be submitted via the NSF FastLane System or via use of Grants.gov. For proposals prepared and submitted via Grants.gov, the guidelines specified in the NSF Grants.gov Application Guide apply.

2. 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 GPG Chapter IV.B for further information.)

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.

In submission of a proposal by the the Authorized Organizational Representative (AOR) for funding, the AOR is required to provide certain proposal certifications. (See GPG Chapter II.C.1.d for a listing.) This certification process will occur concurrently with submission of the proposal.

3. Requirements Relating to Data Universal Numbering System (DUNS) Numbers and Registration in the System for Award Management (SAM)

Proposers must provide a Dun and Bradstreet (D&B) DUNS number when applying for a new award or renewal award. NSF requires that organizations registering to use NSF’s electronic systems have a valid and active SAM registration and have a valid DUNS number. NSF will also validate that each proposer’s DUNS number and SAM registration are active and valid prior to allowing submission of a proposal to NSF. Any subrecipients named in the proposal also are required to obtain a DUNS number and register in FastLane. Subrecipients named in the proposal, however, do not need to be registered in SAM.

The SAM is the primary registrant database for the US Government. SAM collects, validates, stores, and disseminates data in support of agency acquisition missions, including Federal agency contract and assistance awards. This SAM registration must be maintained with current information at all times during which the organization has an active award or a proposal under consideration by NSF. Failure to comply with the SAM registration requirement prior to proposal submission may impact the processing of the proposal. To register in the SAM, go to https://www.sam.gov. Proposers are advised that entity registration will become active after three to five days when the Internal Revenue Service (IRS) validates the Tax ID Number.

The organization also is 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. If the registration is not renewed, it will expire. An expired registration will impact the organization’s ability to submit proposals or receive grant payments.

SAM is the NSF system of record for organizational information, including financial information. The Legal Business Name and Physical Address information are automatically input into the proposer’s SAM registration from D&B, and it is the organization’s responsibility to keep this information updated.

4. NSF ID

The NSF ID is a unique numerical identifier assigned to users by NSF. The NSF ID will be used throughout NSF’s electronic systems⁷ as a login ID and identification verification. Each individual user of NSF systems, (e.g., Fastlane and Research.gov) should not have more than one NSF ID. Users with more than one NSF ID should contact the Help Desk at (800) 673-6188 or (703) 292-8142 or by e-mail to fastlane@nsf.gov 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 NSF Act of 1950, as amended.

5. Proposal Receipt

Once the proposal is submitted, PIs can check the status of the proposal via use of NSF’s electronic systems. If a proposal number is not reflected in the electronic systems, contact the Help Desk at (800) 673-6188 or (703) 292-8142 or by e-mail to fastlane@nsf.gov.

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 GPG Chapter III for additional information on the NSF merit review process). In addition, proposers should be aware that the NSF Division of Grants and Agreements generally makes awards within 30 days after the program division/office makes its recommendation. Grants 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.

¹ Unless otherwise specified, the term "organization" refers to all categories of proposers. Back to Text
² 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. Organizations involved in international collaborations might find the following document provided by the Organisation for Economic Co-operation and Development (OECD) to be useful: "Best Practices for Ensuring Scientific Integrity and Preventing Misconduct".Back to Text
³ Detailed instructions for submission of proprietary or privileged information are available in FastLane at http://www.fastlane.nsf.gov/help/proprietary.htm.Back to Text
⁴ This policy is not intended to cover NSF closures due to lapses in appropriation. In such cases, specific guidance will be issued, as appropriate. Back to Text
⁵ A listing of upcoming target dates and deadlines, sorted by date and by program area is available on the NSF website at http://nsf.gov/funding/pgm_list.jsp?org=NSF&ord=date. Back to Text
⁶ Letters of intent or preliminary proposals also follow the 5 p.m. submitter's local time standard. Back to Text
⁷ NSF has developed a matrix entitled, Electronic Capabilities Modernization Status, that lists NSF’s grantee electronic capabilities, and whether they can be found in FastLane, Research.gov or both. This matrix will be updated as appropriate, independent of the PAPPG revision cycle. The Electronic Capabilities Modernization Status website is available at https://www.nsf.gov/bfa/dias/policy/estatus_matrix.jsp.Back to Text