The National Science Foundation (NSF) is an independent Federal agency created by Congress in 1950 to "promote the progress of science; [and] to advance the national health, prosperity and welfare" by supporting research and education in all fields of science and engineering.
From those first days, NSF has had a unique place in the Federal Government: it is responsible for the overall health of science and engineering across all disciplines. In contrast, other Federal agencies support research focused on specific missions such as health or defense. The Foundation also is committed to ensuring the nation's supply of scientists, engineers, and science and engineering educators.
NSF funds research and education in most fields of science and engineering. It does this through grants and cooperative agreements to approximately 3,000 institutions of higher education, K-12 school systems, businesses, informal science organizations and other research organizations throughout the U.S. The Foundation accounts for about one-fourth of Federal support to academic institutions for basic research.
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 or information technology, with diagnosis- or treatment-related goals, that applies engineering or computer science principles to problems in biology and medicine while advancing engineering or computer science knowledge is eligible for support. Bioengineering and assistive information technology research to aid persons with disabilities also is eligible.
NSF does not have any programs involving the construction of public works in metropolitan areas, no development assistance programs, no programs requiring State plans as a condition of assistance, none involving coordination of planning in multi-jurisdictional areas and no programs of grants to State and local governments as defined in Section 6501(4) of Title 31 of the United States Code (USC).
NSF receives more than 50,000 proposals each year for research, education and training projects, of which approximately 11,000 are funded. In addition, the Foundation receives more than 15,000 applications for graduate and postdoctoral fellowships. One of NSF's flagship programs, the NSF Graduate Research Fellowship Program (GRFP) helps ensure the vitality and diversity of the scientific and engineering workforce; the program awards about 2,000 fellowships each year. Guidance regarding the GRFP program may be found in the program solicitation, as well as in the GRFP Administrative Guide. The agency operates no laboratories itself but does support National Research Centers, user facilities, certain oceanographic vessels and Antarctic research stations.
The Foundation also supports cooperative research between institutions of higher education (IHEs) and industry, technical research and development on innovations from the small business community, U.S. participation in international scientific and engineering efforts, and educational activities at every academic level. America's Seed Fund powered by NSF - the Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs - annually provides approximately 400 startups and small businesses with research and development (R&D) funding to create and develop a prototype or conduct proof-of-concept work, as the foundation for the introduction of innovative new products or services, getting research, much of it NSF-funded, out of the lab and into the market. NSF's Innovation Corps (I-CorpsTM) program supports NSF-funded researchers in the form of entrepreneurial education, mentoring and funding to accelerate the translation of knowledge derived from fundamental research into emerging products and services. Scientists and engineers can also increase the impact of their NSF-funded research discoveries by developing their technology into a prototype or proof-of-concept through the Partnerships for Innovation (PFI) program, one of the National Science Foundation's technology translation programs. Guidance regarding the NSF's SBIR, STTR, I-CorpsTM and PFI programs may be found in their respective program solicitations.
NSF is structured much like a university, with divisions/offices for the various disciplines and fields of science and engineering and for science, technology, engineering and mathematics education. NSF also uses a variety of management mechanisms to coordinate research in areas that cross traditional disciplinary boundaries. The Foundation is assisted by advisors from the scientific and engineering communities who serve on formal committees or as ad hoc reviewers of proposals. This advisory system, which focuses on both program directions and specific proposals, involves approximately 50,000 scientists and engineers each year. NSF staff members who are experts in a certain field or area make award recommendations; Principal Investigators (PIs) receive unattributed verbatim copies of peer reviews.
Grantees are wholly responsible for conducting their project activities and preparing the results for publication. Thus, the Foundation does not assume responsibility for such findings or their interpretation.
NSF has Text Telephone (TTY) and Federal Information Relay Service (FIRS) capabilities that enable individuals with hearing or speech impairments to communicate with the Foundation about NSF programs, employment or general information. TTY may be accessed at (703) 292-5090 and (800) 281-8749, FIRS at (800) 877-8339.
The NSF Information Center may be reached at (703) 292-5111.
It has been designed for use by both our customer community and NSF staff and consists of two parts:
The System for Award Management (SAM) provides detailed, public descriptions of all Federal assistance listings. SAM replaces the Catalog of Federal Domestic Assistance (CFDA), and all CFDA.gov functionality and data can now be found on beta.SAM.gov. Each assistance listing, however, continues to be associated with a unique five-digit CFDA number.
Any questions or comments regarding the NSF PAPPG should be addressed to the Policy Office, Division of Institution & Award Support, at policy@nsf.gov.
ACH - Automated Clearing House (U.S. Treasury)
E
EAGER - EArly-Concept Grants for Exploratory Research
EFT - Electronic Funds Transfer
EEO - Equal Employment Opportunity
E.O. - Executive Order
F
F&A - Financial & Administrative Costs
FAPIIS - Federal Awardee Performance and Integrity Information System
FAQs - Frequently Asked Questions
FAR - Federal Acquisition Regulation
FASED - Facilitation Awards for Scientists and Engineers with Disabilities
FDP - Federal Demonstration Partnership
FEMA - Federal Emergency Management Agency
FFRDCs - Federally Funded Research and Development Centers
FIRS - Federal Information Relay Service
FOIA - Freedom of Information Act
FOP - Federally-Owned Property
FWA - Federal-wide Assurance
G
GC-1 - Grant General Conditions
GOALI - Grant Opportunities for Academic Liaison with Industry
GPO - Government Printing Office
GSA - General Services Administration
I
IACUC - Institutional Animal Care and Use Committee
IBC - Institutional Biosafety Committee
IHE - Institution of Higher Education
IPA - Intergovernmental Personnel Act
IRB - Institutional Review Board
IRS - Internal Revenue Service
ISE - International Science & Engineering
L
LEM - Limited English Proficiency
LFO - Large Facilities Office
LOI - Letters of Intent
M
MFG - Major Facilities Guide
MREFC - Major Research Equipment and Facilities
N
NASEM - National Academies of Science, Engineering and Medicine
NDAA - National Defense Authorization Act
NEPA - National Environmental Policy Act
NIH - National Institutes of Health
NSB - National Science Board
NSF - National Science Foundation
O
ODI - Office of Diversity and Inclusion
OGC - Office of the General Counsel
OHRP - Office for Human Research Protections
OIA - Office of Integrative Activities
OIG - Office of Inspector General
OLAW - Office for Laboratory Animal Welfare
OMB - Office of Management and Budget
ONR - Office of Naval Research
P
PAPPG - Proposal & Award Policies & Procedures Guide
PD - Project Director
PHS - Public Health Service
PI - Principal Investigator
PNAG - Prospective New Awardee Guide
PO - Program Officer
POR - Project Outcomes Report for the General Public
R
R&D - Research & Development
RAISE - Research Advanced by Interdisciplinary Science and Engineering
RAM - Resolution and Advanced Monitoring Branch
RAPID - Rapid Response Research
RECR - Responsible and Ethical Conduct of Research
REU - Research Experiences for Undergraduates
ROA - Research Opportunity Awards
RTC - Research Terms and Conditions
RUI - Research in Undergraduate Institutions
S
SAM - System for Award Management
SBA - Small Business Administration
SBIR - Small Business Innovation Research Program
SF - Standard Form
SPO - Sponsored Projects Office
SSN - Social Security Number
STEM - Science, Technology, Engineering and Mathematics
STTR - Small Business Technology Transfer
T
TDD - Telephonic Device for the Deaf
TTY - Text Telephone
U
URL - Universal Resource Locator
USC - United States Code
USDA - U.S. Department of Agriculture
V
VSEE - Visiting Scientist, Engineer or Educator
D. Definitions & NSF-Grantee Relationships
1. Definitions
a. An AUTHORIZED ORGANIZATIONAL REPRESENTATIVE (AOR)/AUTHORIZED REPRESENTATIVE means the administrative official who, on behalf of the proposing organization is empowered to make certifications and representations and can commit the organization to the conduct of a project that NSF is being asked to support as well as adhere to various NSF policies and grant requirements.
b. A GRANT AGREEMENT3 means a legal instrument of financial assistance between NSF and a grantee that, consistent with 31 USC 6302, 6304:
(1) Is used to enter into a relationship the principal purpose of which is to transfer anything of value from NSF to the grantee to carry out a public purpose authorized by a law of the United States (see 31 USC 6101(3)); and not to acquire property or services for NSF's direct benefit or use;
(2) Is distinguished from a cooperative agreement in that it does not provide for substantial involvement between NSF and the grantee in carrying out the activity contemplated by the NSF award.
NSF awards the following two types of grants:
(a) A STANDARD GRANT means a type of grant in which NSF agrees to provide a specific level of support for a specified period of time with no statement of NSF intent to provide additional future support without submission of another proposal.
(b) A CONTINUING GRANT means a type of grant in which NSF agrees to provide a specific level of support for an initial specified period of time, usually a year, with a statement of intent to provide additional support of the project for additional periods, provided funds are available and the results achieved warrant further support.
c. A COST REIMBURSEMENT AWARD means a type of grant under which NSF agrees to reimburse the grantee for work performed and/or costs incurred by the grantee up to the total amount specified in the grant. Such costs must be allowable in accordance with the applicable cost principles. Accountability is based primarily on technical progress, financial accounting and fiscal reporting. Except under certain programs and under special circumstances, NSF grants and cooperative agreements are normally cost reimbursement type awards.
d. A FIXED AMOUNT AWARD means a type of award in which NSF provides a specific level of support without regard to actual costs incurred under the award. This type of NSF award reduces some of the administrative burden and recordkeeping requirements for both the grantee and NSF. Accountability is based primarily on performance and results.
e. A COOPERATIVE AGREEMENT means a legal instrument of financial assistance between NSF and an awardee that, consistent with 31 USC 6302-6305:
(1) Is used to enter into a relationship the principal purpose of which is to transfer anything of value from NSF to the grantee to carry out a public purpose authorized by a law of the United States (see 31 USC 6101(3)); and not to acquire property or services for NSF's direct benefit or use;
(2) Is distinguished from a grant in that it provides for substantial involvement between NSF and the grantee in carrying out the activity contemplated by the NSF award.
In the case of NSF, assistance awards involve the support or stimulation of scientific and engineering research, science and engineering education or other related activities. NSF is authorized to use grants or cooperative agreements for this purpose. Grants, however, are the primary mechanism of NSF support.
f. A GRANTEE means the organization or other entity that receives a grant and assumes legal and financial responsibility and accountability both for the awarded funds and for the performance of the grant-supported activity. NSF grants are normally made to organizations rather than to individual Principal Investigator/Project Director(s). Categories of eligible proposers may be found in Chapter I.F.
g. PRINCIPAL INVESTIGATOR/PROJECT DIRECTOR (PI/PD) - see PAPPG Exhibit II-3, Definitions of Categories of Personnel.
2. NSF-Grantee Relationships
a. Grants will be used by NSF when the accomplishment of the project objectives requires minimal NSF involvement during performance of the activities. Grants establish a relationship between NSF and the grantee in which:
(1) NSF agrees to provide up to a specified amount of financial support for the project to be performed under the conditions and requirements of the grant. NSF will monitor grant progress and assure compliance with applicable standards.
(2) The grantee agrees to perform the project as proposed, to the prudent management of the funds provided and to carry out the supported activities in accordance with the provisions of the grant. (See Chapter VI.B, for the documents that comprise an NSF grant.)
b. Cooperative agreements will be used by NSF when the accomplishment of the project objectives requires substantial ongoing Foundation involvement during the project performance period. Substantial agency involvement may be necessary when an activity is technically and/or managerially complex and would require extensive or close coordination between NSF and the awardee. This, however, does not affect NSF's right to unilaterally suspend or terminate support for cause or consider termination in accordance with Chapter XII, if it is in the best interest of NSF or the Government. The doctrine of substantial involvement is set forth in the Federal Grant and Cooperative Agreement Act of 1977 (31 USC 6301-6308).
NSF utilizes two types of cooperative agreements:
- Standalone Cooperative Agreement (CA), which consists of a cooperative agreement for a single, unified award where there is no need to provide separate, discrete funding and oversight for the projects or programs under that award.
- Master Cooperative Agreement/Cooperative Support Agreement (CA/CSA), which consists of a master or overall agreement having separate and specific awards (CSAs) that are funded individually under the umbrella of the master agreement. CSAs have their own terms and conditions in addition to those of the master agreement. The scope of CSAs falls within the scope of the master agreement, but each CSA has its own distinct award number and funding based on its approved budget; no funding is attached to the master CA.
Examples of projects suitable for cooperative agreements include: management of research centers, large curriculum projects, multi-user facilities, projects which involve complex subcontracting, construction or operations of major in-house university facilities and major instrumentation development, and projects in which NSF participates with other stakeholder agencies or organizations that have influence over project direction and/or development.
Under a cooperative agreement, the awardee has primary responsibility for the conduct of the project. To the extent that NSF does not reserve responsibility for coordinating or integrating the project activities with other related activities or does not assume a degree of shared responsibility for certain aspects of the project, all such responsibilities remain with the awardee. While NSF will monitor the cooperative agreement in accordance with the terms and conditions of the award, the Foundation will not assume overall control of a project or unilaterally change or direct the project activities.
The cooperative agreement will specify the extent to which NSF will advise, review, approve or otherwise be involved with project activities, as well as NSF's right to require more clearly defined deliverables. NSF may provide advice, guidance or assistance of a technical, management, or coordinating nature and may require that the awardee obtain NSF prior approval of specific decisions, milestones, or project activities. Substantial involvement is incorporated in key areas of accountability in both financial and programmatic award terms; examples include prior agency approval requirements, type and frequency of project plans, special reporting requirements, and project and awardee reviews that NSF will conduct during the term of the award.
Cooperative agreements for construction are generally funded through a separate appropriation from Congress for Major Research Equipment and Facilities Construction (MREFC). NSF maintains the MREFC appropriations in a separate budget account, for major construction projects that successfully undergo a rigorous selection process. MREFC funds cannot be co-mingled with funds for activities other than construction; therefore, NSF issues a separate award for operations and other activities related to commissioning and management of the facility or major instrument. The awardee is required to maintain an accounting system capable of segregating MREFC and operating costs, and to ensure that such costs are applied accordingly.
Many major facility awards, including those for NSF-supported Federally Funded Research and Development Centers (FFRDCs), consist of a cooperative agreement as an umbrella award, establishing the overall basic provisions of the award, and separate cooperative support agreements. The cooperative support agreements contain specific terms and conditions for construction activities, management and operations, research activities that are co-sponsored by other agencies, and any other focused activities that NSF needs to monitor separately from the overall objectives of the cooperative agreement.
E. NSF Organizations
The NSF organizations/offices described below are normally of most direct interest to the NSF proposer and awardee community. Consult the NSF website at: http://www.nsf.gov/staff/orglist.jsp for the most current listing of NSF offices/directorates and an organizational chart.
1. National Science Board
The NSB was established by Congress in 1950, and along with the Director, constitutes the National Science Foundation. The Board provides oversight for, and establishes the policies of, the agency within the framework of applicable national policies set forth by the President and Congress. In this capacity, the Board identifies issues that are critical to NSF's future, approves NSF's strategic budget directions, approves annual budget submissions to the Office of Management and Budget (OMB), approves new programs and major awards, analyzes NSF's budget to ensure progress and consistency along the strategic direction set for NSF, and ensures balance between initiatives and core programs. In addition, the Board serves as an independent body of advisors to both the President and Congress on broad national policy issues and, together with the Director, recommends and encourages the pursuit of national policies related to science and engineering research and education. The Board is comprised of 24 members appointed by the President. The NSF Director also serves as an ex officio voting member of the Board. Members are selected on the basis of their distinguished service in science and engineering research and education, and are representative of scientific, engineering, and educational leadership throughout the Nation.
2. Program Divisions/Offices
Program Divisions/Offices are responsible for the scientific, technical and programmatic review and evaluation of proposals and for recommending that proposals be declined or awarded. The scientific, engineering and/or educational aspects of an award will be monitored by the NSF Program Officer identified in the award notice. (See Chapter III for a detailed description of the NSF Merit Review Process.) Integral staff in the program division/office relative to the NSF proposal and award process are:
a. NSF Program Officers. Program Officers are considered subject matter experts in both technical and programmatic areas. They conduct merit review of proposals and recommend which projects should be funded by the Foundation.
b. NSF Division Directors. Division Directors are NSF executives whose responsibilities include long-range planning, contributing to the achievement of the Foundation's strategic goals and objectives, and providing stewardship for budgetary and other resources. They are responsible for ensuring the integrity of the merit review and award process.
3. Division of Grants & Agreements (DGA)
DGA is responsible for the award and administration of the majority of NSF's assistance awards - i.e., grants, cooperative agreements, and fellowship awards, recommended for support by NSF program offices. From pre-award through closeout, DGA conducts a variety of business, financial, and administrative reviews to ensure compliance with award terms and conditions and consistency with applicable NSF policies and Federal rules and regulations. DGA provides stewardship and support to a diverse set of stakeholders including awardees, NSF Directorates/Offices, and others within the scientific research and education communities. DGA also maintains a leadership role in the Federal grants arena. In carrying out NSF's primary mission of promoting the progress of science, DGA continually interacts with academic and non-academic institutions, private industry, State and local governments, and other Federal agencies.
Grants & Agreements Officers (Grants Officers) have delegated warrant authority to issue awards on behalf of the Foundation and their approval constitutes a legal obligation of Federal funds for awardees to expend to fulfill the scope of the approved proposal. In addition, Grants Officers are responsible for issuing all award amendments and certain post-award prior approvals, for monitoring awardee compliance with award terms and conditions, and for the administration and closeout of these awards.
4. Division of Institution and Award Support (DIAS)
DIAS is responsible for the development and implementation of proposal and award policies & procedures, clearance of NSF funding opportunities, risk assessment and post-award monitoring activities, cost analysis and award support, audit resolution, electronic award and systems administration, and outreach to the external community. DIAS also represents and advocates for the needs of the research community in NSF electronic research administration activities, including the modernization of NSF's externally-facing FastLane system with Research.gov.
a. DIAS, through the Policy Office, is responsible for the development, coordination, and issuance of NSF pre- and post-award policies for the assistance programs of NSF. The Policy Office provides guidance on policies and procedures related to NSF's electronic proposal and award systems. The responsibility for reviewing and providing official clearance approval for NSF funding opportunities also resides in the Policy Office.
Another important function of the Policy Office is the coordination of outreach programs for external stakeholders and NSF staff. Through a variety of mechanisms, the Policy Office coordinates the release of timely and relevant information regarding NSF policies and procedures, proposal preparation, and award management to the broad research community. In addition to working closely with professional research administration associations, the Policy Office coordinates two major grants conferences held at various locations throughout the U.S., typically in the spring and fall each year.
b. DIAS staff in the Cost Analysis and Audit Resolution (CAAR) Branch perform cost analyses and resolve audit findings pertaining to the allowability, allocability, and appropriateness of costs claimed under all NSF assistance awards. CAAR responsibilities include the performance of accounting systems reviews, financial capability reviews, budget reviews, and award monitoring and business assistance. CAAR also negotiates indirect cost rates for organizations that have Federal awards where NSF provides the preponderance of funding.
c. DIAS staff in the Systems Office are responsible for the administration, oversight, and interpretation of business rules for assistance awards across NSF electronic corporate systems. It is also responsible for systems analysis and requirements development necessary for the implementation of assistance awards business rules.
5. Division of Acquisition and Cooperative Support (DACS)
DACS provides acquisition and cooperative agreement award support for the Foundation. The Contracts Branch is responsible for planning, solicitation, negotiation, award and administration of professional, administrative, and research support contracts for NSF. The Cooperative Support Branch (CSB) is responsible for planning, solicitation, negotiation, award and administration of cooperative agreements for FFRDCs and major research facilities in various stages of construction and operations, including multi-institutional and international programs. This includes participation and input on NSF project advisory teams, business process reviews and redesign, risk assessments, and administrative assistance. The CSB Grants & Agreements Officers (Grants Officers) have delegated warrant authority to issue awards on behalf of the Foundation and their approval constitutes a legal obligation of Federal funds for awardees to expend to fulfill the scope of the approved proposal. In addition, Grants Officers are responsible for issuing all award amendments and certain post-award prior approvals, for monitoring awardee compliance with award terms and conditions, and for the administration and closeout of these awards.
6. Division of Financial Management (DFM)
DFM is responsible for the financial policy and financial management of NSF. The Division is responsible for NSF's financial reporting, grantee business office relationships and payment of vendors. The Cash Management Branch of DFM is available to assist grantee financial and business officials in matters of payment and financial reporting discussed in Chapter VIII of the PAPPG.
7. Large Facilities Office (LFO)
LFO is the Foundation's primary resource for all oversight practices related to mid-scale and major facility projects and is the NSF-wide resource on project management best practices. LFO has the institutional authority and resources to effectively develop mandatory policies, practices and procedures, which are approved by senior management, for all stages of the facility life-cycle. The Office provides: (1) expert assistance on non-scientific and non-technical aspects of project planning, budgeting, and implementation for mid-scale and major facilities; (2) assurance that all applicable requirements are followed in order to give credence to NSF's oversight capabilities; and (3) facilitates the use of best practices by fostering coordination and collaboration throughout NSF to share application of lessons learned from prior major facility projects.
8. Office of the General Counsel (OGC)
OGC is the legal advisor and advocate for the Foundation, providing legal advice and counsel on all aspects of the Foundation's programs, policies, and operations, as well as areas affecting science and technology more broadly. Advice is provided in a wide variety of areas, such as: grants and contracts; ethics and conflicts of interest; Freedom of Information Act; Privacy Act; labor and personnel law; environmental law; Federal fiscal and administrative law and procedure; and international law and agreements.
9. Office of Diversity and Inclusion (ODI)
ODI is responsible for administering the Foundation's policies, practices and procedures related to internal and external equal opportunity and civil rights. Its mission is to ensure the agency is in compliance with the laws and regulations that govern Federal-sector EEO and civil rights; as well as, to foster a diverse and inclusive work environment that ensures equal opportunity through policy development, workforce analyses, outreach and education to best serve the Foundation's employees and its stakeholders. ODI is also responsible for responding to all civil rights matters pertaining to NSF programs or activities receiving Federal financial assistance, including Title IX Compliance activities. In addition, ODI serves as the Foundation's authority for resolving and responding to all notifications required by NSF's term and condition regarding sexual harassment, other forms of harassment, or sexual assault. (See Chapter XI.A for additional information.)
10. Office of Inspector General (OIG)
OIG is an independent oversight office that reports directly to the NSB and Congress. It is responsible for conducting audits, reviews, and investigations of NSF programs, and of organizations and individuals that apply for or receive NSF funding. OIG also investigates allegations of research misconduct, such as plagiarism, falsification, or fabrication, involving researchers who request or receive NSF funding (see Chapter XII.C.1). The OIG staff includes scientists, attorneys, auditors, law enforcement personnel, evaluators, and information technology specialists. OIG audits focus on NSF's internal agency programs, as well as grants, cooperative agreements and contracts funded by NSF. Their purpose is to ensure that the financial, administrative, and program activities of NSF are conducted efficiently and effectively, and that the NSF awardee organization's claimed costs are allowable, reasonable and properly allocated.
OIG investigations focus on program integrity and financial or nonfinancial wrongdoing by organizations and individuals who submit proposals to, receive awards from, conduct business with, or work for NSF. Statutory law enforcement authority was granted to OIG by the U.S. Attorney General.
Anyone, including grantees, administrators, and NSF personnel, should contact the OIG, as specified at: https://www.nsf.gov/oig/report-fraud/ to report instances of possible misconduct, fraud, waste, or abuse.
For purposes of this Guide, the term "proposal" is interchangeable with the term "application." Back to Text
See Chapter VI.C. for additional information on NSF award conditions. Back to Text
For purposes of this Guide, except where explicitly noted, the term "grant" is interchangeable with the terms "cooperative agreement or award", and the term "grantee" is interchangeable with the "awardee" of a cooperative agreement. Back to Text
