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NSF 15-1 December 26, 2014

Table of Contents

This document has been archived and replaced by nsf16001.

PAPPG - Printable Version

Significant Changes and Clarifications to the PAPPG


  1. About the National Science Foundation

  2. Foreword

  3. Listing of Acronyms

  4. Definitions & NSF-Grantee Relationships

  5. NSF Organizations

  6. NSF Electronic Capabilities Modernization Status

Part I - Grant Proposal Guide

Part II - Award & Administration Guide

A. About the National Science Foundation

The National Science Foundation (NSF) is an independent Federal agency created by the National Science Foundation Act of 1950, as amended (42 USC 1861-75). The Act states the purpose of the NSF is "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 2,000 colleges, universities, K-12 school systems, businesses, informal science organizations and other research organizations throughout the US. The Foundation accounts for about one-fourth of Federal support to academic institutions for basic research.

The Foundation considers proposals1 submitted by organizations on behalf of individuals or groups for support in most fields of research. Interdisciplinary proposals also are eligible for consideration.

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.

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 over 50,000 proposals each year for research, education and training projects, of which approximately 11,000 are funded. In addition, the Foundation receives several thousand applications for graduate and postdoctoral fellowships. 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 universities and industry, US participation in international scientific and engineering efforts, and educational activities at every academic level.

NSF is structured much like a university, with divisions/offices for the various disciplines and fields of science and engineering and for science, math, engineering and technology 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; 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.

Facilitation Awards for Scientists and Engineers with Disabilities provide funding for special assistance or equipment to enable persons with disabilities to work on NSF-supported projects. See GPG Chapter II.D.4 for instructions regarding preparation of these types of proposals.

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.

B. Foreword

The Proposal & Award Policies & Procedures Guide (PAPPG)2 is comprised of documents relating to the Foundation's proposal and award process. The PAPPG, in conjunction with NSF�s Grant General Conditions, serves as the Foundation�s implementation of 2 CFR � 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. If the PAPPG is silent on a specific area covered by 2 CFR � 200, the requirements specified in 2 CFR � 200 must be followed.

It has been designed for use by both our customer community and NSF staff and consists of two parts:

  • Part I, the NSF Grant Proposal Guide (GPG) contains NSF�s proposal preparation and submission guidelines. The GPG provides guidance for the preparation and submission of proposals to NSF. Some NSF programs have program solicitations that modify the general provisions of the GPG, and, in such cases, the guidelines provided in the solicitation must be followed.

  • The policy and procedural guidance contained in the NSF Application Guide should be followed when preparing and submitting proposals to NSF via

  • Part II, the NSF Award and Administration Guide (AAG), contains guidance on managing and monitoring the award and administration of grants and cooperative agreements made by the Foundation. Coverage includes the NSF award process, from issuance and administration of an NSF award through closeout. Guidance regarding other grant requirements or considerations that either is not universally applicable or which do not follow the award cycle also is provided. When NSF Grant General Conditions or an award notice reference a particular AAG section, that section becomes part of the award requirements through incorporation by reference.

General information about NSF programs may be found on the NSF website at Additional information about special requirements of individual NSF programs may be obtained from the appropriate Foundation program office. Information about most program deadlines and target dates for proposals are available on the NSF website at . Program deadline and target date information also appears in individual program announcements and solicitations and on relevant NSF Divisional/Office websites.

Catalog of Federal Domestic Assistance

NSF programs fall under the following categories in the latest Catalog of Federal Domestic Assistance (CFDA) issued by the Office of Management and Budget and the General Services Administration:

47.041 -- Engineering
47.049 -- Mathematical and Physical Sciences
47.050 -- Geosciences
47.070 -- Computer and Information Science and Engineering
47.074 -- Biological Sciences
47.075 -- Social, Behavioral and Economic Sciences
47.076 -- Education and Human Resources
47.079 -- Office of International & Integrative Activities

A listing of applicable NSF CFDA numbers, is available on the NSF Website at:

Any questions or comments regarding the NSF Proposal & Award Policies & Procedures Guide should be addressed to the Policy Office, Division of Institution & Award Support, at (703) 292-8243 or by e-mail to

C. Acronym List



















AAG - Award & Administration Guide

ABR - Accomplishment-Based Renewal

ACH - Automated Clearing House (U.S. Treasury)

ACMS - Award Cash Management Service

AD - Assistant Director

ADPE - Automatic Data Processing Equipment

AOR - Authorized Organizational Representative


BFA - Budget, Finance & Award Management


CAAR - Cost Analysis & Audit Resolution Branch

CAFATC - Cooperative Agreement Financial/Administrative Terms and Conditions

CAPTC - Cooperative Agreement Programmatic Terms and Conditions

CEQ - Council on Environmental Quality

CFR - Code of Federal Regulations

CGI - Continuing Grant Increment

CMIA - Cash Management Improvement Act

COI - Conflict of Interest

Co-PD - Co-Project Director

Co-PI - Co-Principal Investigator


DACS - Division of Acquisition and Cooperative Support

DAS - Division of Administrative Services

DCL - Dear Colleague Letter

DD - Division Director

DFM - Division of Financial Management

DGA - Division of Grants and Agreements

DHHS - Department of Health and Human Services

DIAS - Division of Institution and Award Support

DOC - Department of Commerce

DUNS - Data Universal Numbering System


EAGER - EArly-Concept Grants for Exploratory Research

EFT - Electronic Funds Transfer

E.O. - Executive Order


F&A - Financial & Administrative Costs

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

FIRS - Federal Information Relay Service

FOIA - Freedom of Information Act

FWA - Federal-wide Assurance


GC-1 - Grant General Conditions

GOE - Government Owned Equipment

GPG Grant Proposal Guide

GPO - Government Printing Office

GSA - General Services Administration


IACUC - Institutional Animal Care and Use Committee

IBC - Institutional Biosafety Committee

IRB - Institutional Review Board

IRS - Internal Revenue Service


LOI - Letters of Intent


MREFC - Major Research Equipment and Facilities


NEPA - National Environmental Policy Act

NIH - National Institutes of Health

NSB - National Science Board

NSF - National Science Foundation


ODI - Office of Diversity and Inclusion

OGC - Office of the General Counsel

OHRP - Office for Human Research Protections

OIIA - Office of International and Integrative Activities

OIG - Office of Inspector General

OMB - Office of Management and Budget

ONR - Office of Naval Research


PAPPG - Proposal & Award Policies & Procedures Guide

PD - Project Director

PHS - Public Health Service

PI - Principal Investigator

PNAG - Prospective New Awardee Guide

PO - Program Officer


RAPID - Rapid Response Research Grants

REU - Research Experiences for Undergraduates

ROA - Research Opportunity Awards

RTC - Research Terms and Conditions

RUI - Research in Undergraduate Institutions


SBA - Small Business Administration

SBIR - Small Business Innovation Research Program

SF - Standard Form

SF LLL - Disclosure of Lobbying Activities

SPO - Sponsored Projects Office

SSN - Social Security Number

STTR - Small Business Technology Transfer


TDD - Telephonic Device for the Deaf

TTY - Text Telephone


URL - Universal Resource Locator

USC - United States Code

USDA - U. S. Department of Agriculture

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 assurances 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 U.S.C. 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 U.S.C. 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 2 CFR � 200, Subpart E. 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 recipient and NSF. Accountability is based primarily on performance and results.

e. A COOPERATIVE AGREEMENT means a legal instrument of financial assistance between NSF and recipient that, consistent with 31 U.S.C. 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 recipient to carry out a public purpose authorized by a law of the United States (see 31 U.S.C. 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 recipient 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 GPG Chapter I.

g. PRINCIPAL INVESTIGATOR/PROJECT DIRECTOR (PI/PD) means the individual(s) designated by the proposer, and approved by NSF, who will be responsible for the scientific or technical direction of the project. NSF does not infer any distinction in scientific stature among multiple PIs, whether referred to as PI or co-PI. If more than one, the first one listed will serve as the contact PI, with whom all communications between NSF program officials and the project relating to the scientific, technical, and budgetary aspects of the project should take place. The PI and any identified co-PIs, however, will be jointly responsible for submission of the requisite project reports. The term "Principal Investigator" generally is used in research projects, while the term "Project Director" generally is used in centers, large facilities, and other projects. For purposes of this Guide, PI/co-PI is interchangeable with PD/co-PD.

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 Award and Administration Guide (AAG) Chapter I.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 agency 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 AAG Chapter VII, if it is in the best interest of NSF or the Government.

The distinction of a cooperative agreement is that NSF is substantially involved; however, awardees have primary management responsibility for conduct of their projects. 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. Cooperative agreements 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. As NSF determines it appropriate, the Foundation may provide advice, guidance or assistance of a technical, management, or coordinating nature and require that the awardee obtain NSF prior approval of specific decisions, milestones, or procedures. While NSF will monitor cooperative agreements in accordance with the terms and conditions of the award, it will not assume overall control of a project or unilaterally change or direct the project activities. All cooperative agreements will state the nature and extent of expected NSF involvement to ensure that the responsibilities of each party are fully understood. Examples of projects which might be suitable for cooperative agreements are: 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.

Some cooperative agreements are funded through the Foundation�s Major Research Equipment and Facilities Construction (MREFC) account. The MREFC appropriation provides a separate budget account for major research equipment and facilities. Once an award for an MREFC project is established with MREFC funds, no other funding will be commingled with these funds. Operating funds for MREFC activities and supplements will be funded under a separate award to support the MREFC activities. The awardee is required to segregate MREFC from Operations accounts to avoid the commingling of MREFC funds with other appropriations under NSF assistance awards. In special cases, as in the awards for the NSF-supported Federally Funded Research and Development Centers (FFRDCs), a cooperative agreement will be used as an umbrella award, establishing the overall basic provisions of the agreements. Separate cooperative support agreements with specific terms and conditions will be issued for MREFC and Operations activities.

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 for the most current listing of NSF offices/directorates and an organizational chart.

1. National Science Board

The National Science Board 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 the 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, 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 is to serve as an independent body of advisors to both the President and Congress on broad national policy issues and, together with the Director, recommend and encourage the pursuit of national policies related to science and engineering research and education. The Board is composed 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 GPG 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 and they provide technical and programmatic expertise. They conduct merit review of proposals and recommend projects for support by the Foundation.

b. NSF Division Directors. A Division Director�s 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 also are responsible for ensuring the integrity of the merit review and award process.

3. Division of Grants & Agreements (DGA)

The Division of Grants and Agreements (DGA) supports the issuance of NSF assistance awards and provides stewardship across the continuum of non-large facility awards from pre-award through closeout. DGA supports a diverse set of stakeholders including grantees, NSF Directorates and others within the national scientific research and education communities, and maintains a leadership role in the federal grants arena. In carrying out NSF's primary mission of providing basic research support, DGA interacts on a continuing basis with academic and non-academic institutions, private industry, state and local governments, and other Federal agencies. DGA is responsible for the business, financial and administrative review of all recommended grants, most cooperative agreements and other assistance awards and assuring that they are consistent with applicable policies, regulations, directives and fund certifications.

Grants & Agreements Officers are responsible for issuing all amendments and certain post award prior approvals under these awards, for monitoring awardee compliance with the terms and conditions of the awards, 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 proposal-generating documents, risk assessment and post-award monitoring activities, cost analysis and award support, audit resolution, electronic award and systems administration, leading the modernization of NSF�s externally-facing FastLane system, and outreach to the external community.

A more detailed description of the responsibilities of each of the operating organizations within DIAS follows:

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 the National Science Foundation. 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 all NSF proposal-generating documents 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 US, 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 awards, including grants and cooperative agreements. 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. With regard to electronic award and procurement systems administration, the Systems Office within DIAS is responsible for the administration, oversight, and interpretation of business rules for assistance awards across NSF's corporate systems. In addition, the Systems Office is responsible for systems analysis and requirements development necessary for the implementation of assistance awards business rules across NSF's corporate systems. DIAS also is responsible for defining the business requirements for the modernization of PI, awardee, and reviewer-facing functions that are delivered through

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 research 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, major research facilities and various science, technology, engineering and education center programs. CSB provides cooperative agreement management and oversight for supported multi-institutional and international programs. This includes key participation and input on NSF project advisory teams, business process reviews and redesign, risk assessments, financial and administrative assistance to all stakeholders and on-site support for large research facilities and FFRDCs.

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 III of the AAG.

7. 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: contracts and grants; 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.

8. Office of Diversity and Inclusion (ODI)

ODI is responsible for responding to all civil rights matters pertaining to NSF programs or activities receiving Federal financial assistance. (See AAG Chapter VI.A for additional information.)

9. Office of Inspector General (OIG)

OIG is an independent oversight office that reports directly to the National Science Board and the Congress. It is responsible for conducting audits, reviews, and investigations of NSF programs, 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 AAG Chapter VII.C.1). The OIG staff includes scientists, attorneys, certified public accountants, investigators, evaluators, and information technology specialists. OIG audits focus on NSF�s internal agency programs, as well as grants, contracts, and cooperative agreements funded by NSF. Their purpose is to ensure that the financial, administrative, and program activities of NSF are conducted efficiently and effectively, and that NSF awardee organizations claim costs that are allowable, reasonable and properly allocated. OIG investigations focus on program integrity and financial or non-financial wrongdoing by organizations and individuals who submit proposals to, receive awards from, conduct business with, or work for NSF. Grant recipients and administrators should contact the (OIG 1-800-428-2189 or to report any instances of possible misconduct, fraud, waste, or abuse.

F. NSF Electronic Capabilities Modernization Status

NSF has undertaken a multi-year effort to modernize and transition grantee electronic capabilities from FastLane to During this time, electronic capabilities will be developed and launched in These capabilities may simultaneously still be available in FastLane for a period of time prior to being ultimately retired and the functionality available exclusively through In order to assist grantees, NSF has developed a matrix that lists NSF�s electronic capabilities, and whether they can be found in FastLane, or both. This matrix will be updated as appropriate, independent of the Proposal & Award Policies & Procedures Guide revision cycle. The current version is located at:

1 For purposes of this Guide, the term "proposal" is interchangeable with the term �application.� Back to Text
2 This Guide has been developed is for use with NSF assistance programs; for information relating to NSF contracts, consult the NSF Contracting Process. Back to Text
3 For purposes of this Guide, except where explicitly noted, the term �grant� is interchangeable with the term �cooperative agreement�, and the term �grantee� is interchangeable with the �awardee� of a cooperative agreement. Back to Text