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NSF 16-1 January 25, 2016

AAG - Table of Contents

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AAG - printable version (PDF)

Significant Changes and Clarifications to the PAPPG

  1. NSF Awards
    1. Acceptance of Assistance Agreements
    2. Award Instrument
    3. NSF Award Conditions
    4. NSF Grant Periods
      1. Definitions
      2. Significance of Grant Period
      3. Changes in a Grant Period
        1. Start Date
        2. End Date
        3. No-Cost Extension
        4. Two-Year Extensions for Special Creativity
    5. Additional Funding Support
      1. Types of Additional Funding Support
      2. Renewed Support
      3. Support under Continuing Grants
      4. Supplemental Support
  1. Grant Administration
    1. Monitoring Project Performance
      1. Grantee Responsibilities
      2. Grantee Notifications to NSF and Requests for NSF Approval
    2. Changes in Project Direction or Management
      1. Changes in Objectives, Scope or Methods/Procedures
        1. Changes in Objectives or Scope
        2. Significant Changes in Methods or Procedures
        3. Significant Changes, Delays or Events of Unusual Interest
      2. Changes in PI/PD, co-PI/co-PD or Person-Months Devoted to the Project
        1. Background
        2. Basic Requirements
        3. Long-Term Absence of PI/PD or co-PI/co-PD
        4. Change in Person-Months Devoted to the Project
        5. Withdrawal of PI/PD or co-PI/co-PD
        6. Substitute PI/PD or co-PI/co-PD
        7. Disposition of a Grant When a PI/PD Transfers from One Organization to Another Organization
      3. Subawarding, Transferring or Contracting Out Part of an NSF Award (Subaward)
    3. Cost Sharing
      1. General
      2. Mandatory Cost Sharing Commitments
      3. Mandatory Cost Sharing Records and Reports
    4. Technical Reporting Requirements
      1. Annual Project Reports
      2. Final Project Report
      3. Project Outcomes Report for the General Public
      4. Compliance with Technical Reporting Requirements
      5. Grant Closeout
    5. Records Retention and Audit
    Exhibit II-1 -- Consolidated Listing of Program- and Cost-Related Grantee Notifications To and Requests For Approval From The National Science Foundation
  1. Financial Requirements and Payments
    1. Standards for Financial Management
    2. Definitions
    3. Payment Requirements
      1. Requesting Payments
      2. Payment Policies
      3. Request for Advance
      4. Special Payment Grantees
      5. Working Capital Advance
      6. Grantee Banking Information for Payments
    4. Cash Refunds And Credits To NSF
      1. Final Unobligated Balance
      2. Erroneous Payments
      3. Interest Earned on Advance Payments
      4. Program Income
      5. Other Cost Credits
    5. Award Financial Reporting Requirements � Final Disbursement Reporting
    Exhibit III-1 -- Request for Advance or Reimbursement Form (SF 270)
  1. Grantee Standards
    1. Conflict of Interest Policies
    2. Responsible Conduct of Research (RCR)
      1. Background
      2. Institutional Responsibilities
    3. Financial Management Systems Standards
    4. Property Management Standards
      1. Title to Equipment
        1. Title to Equipment - Non-Profit Organizations
        2. Title to Equipment - Commercial Organizations
      2. Conditions for Acquisition and Use of Equipment
      3. Principles Relating to Use of NSF-Supported Research Instrumentation and Facilities
      4. Property Management Standards When Title Retained by NSF
      5. Excess Government Personal Property
        1. Policy
        2. Eligibility
        3. Procedures
        4. Visiting Holding Agency Facilities
        5. Dollar Limitation
        6. Restrictions
        7. Costs
        8. Title
        9. Accountability and Recordkeeping
    5. Procurement Standards
  1. Allowability of Costs
    1. Basic Considerations
      1. Conflicting Guidelines
      2. Other Considerations
        1. Maximum Obligation
        2. Pre-Award (Pre-Start Date) Costs
        3. Post-End Costs
      3. Prior Written Approvals
        1. General
        2. NSF Prior Approval Policy
    2. Direct Costs
      1. Compensation � Personal Services
        1. Salaries and Wages
        2. Fringe Benefits
      2. Administrative and Clerical Salaries and Wages
      3. Intra-University (IHE) Consulting
      4. Federal Employees
    3. Other Direct Costs
      1. Rearrangements and Alterations (Construction)
      2. News Release Costs
      3. Rental or Lease of Facilities or Special Purpose Equipment
      4. Relocation Costs
      5. Temporary Dependent Care Travel Costs
    4. Indirect Costs
      1. NSF Policy
      2. NSF Cognizant Organizations
    5. Fee Payments Under NSF Grants
  1. Other Post Award Requirements and Considerations
    1. Non-Discrimination Statutes
      1. General
      2. Title VI of the Civil Rights Act of 1964
        1. Background
        2. NSF Regulations
        3. Civil Rights Certification - Subrecipients
        4. Grant Conditions
      3. Section 504 of the Rehabilitation Act of 1973
        1. Background
        2. NSF Regulations
        3. Section 504 Certification - Subrecipients
        4. Grant Conditions
      4. Title IX of the Education Amendments of 1972 (Sex Discrimination)
        1. Background
        2. NSF Regulations
        3. Grant Conditions
      5. Age Discrimination Act - of 1975
        1. Background
        2. NSF Regulations
        3. Grant Conditions
      6. Equal Employment Opportunity under E.O. 11246
        1. Background
        2. Grant Conditions
      7. Limited English Proficiency under E.O. 13166
    2. Protection of Living Organisms
      1. Human Subjects
        1. Background
        2. NSF Regulation
        3. Grant Conditions
      2. Research Involving Recombinant or Synthetic Nucleic Acid Molecules
        1. Applicability
        2. Policy
        3. Research Requiring Prior Approval of the Director, NIH
        4. Recombinant DNA Research Outside the U.S.
      3. Vertebrate Animals
        1. Background
        2. Federal Regulations
        3. Grant Conditions
      4. Government Permits and Activities Abroad
      5. Life Science Dual Use Research of Concern (DURC)
    3. Construction, Rearrangements and Alterations
      1. Davis-Bacon Act
      2. Bonding and Insurance
      3. Seismic Safety of Buildings
    4. Intellectual Property
      1. Patents and Inventions
        1. Background
        2. National Science Foundation Patent Policy
        3. Standard Patent Rights Clause
        4. Electronic Invention Handling
      2. Copyright
        1. Rights to Copyrightable Material
        2. Standard Copyrightable Material Clause
      3. Special Patent and Copyright Situations
        1. Special Grant Provisions
        2. Grants Not Primarily for Research
        3. Grants Affected by International Agreements
      4. Dissemination and Sharing of Research Results
      5. Tangible Property
        1. Background
        2. Legal Rights to Tangible Property
    5. Publication/Distribution of Grant Materials
      1. NSF Policy
      2. Costs
      3. Responsibilities
      4. Grantee Obligations
    6. International Considerations
      1. Travel to Foreign Countries
        1. Policy
        2. Use of US-Flag Air Carriers
        3. Use of Foreign-Flag Air Carriers
      2. Charter Flights
      3. Projects in a Foreign Country
      4. Passports and Visas
    7. Intergovernmental Review of Federal Programs
    8. Handling of Information
      1. Questionnaires: Data Collection Under NSF Grants
        1. Paperwork Control
        2. NSF Policy
      2. Release of Information by NSF
        1. Press Releases
        2. Open Government Legislation
        3. Release of Project Reports
    9. Tax Status
    10. Protection of Properties in the National Register of Historic Places
    11. Environmental Compliance
    12. National Security
    13. Miscellaneous
      1. Liabilities and Losses
      2. Pre-College Students and Experimental Curriculum Development Projects
      3. Use of Metric Measurements
  1. Grant Administration Disputes and Misconduct
    1. Suspension and Termination Procedures
      1. Definitions
      2. Suspension and Termination
        1. NSF Policy
        2. Procedures for Suspension or Termination by NSF
      3. Termination by Mutual Agreement
        1. NSF Policy
        2. Procedures
      4. NSF Suspension or Termination Review Procedure
    2. Informal Resolution of Grant Administration Disputes
      1. Background
      2. Scope of Post-Award Disputes Covered
      3. Procedures
    3. Research Misconduct
      1. NSF Policies and Responsibilities
      2. Role of Grantees
      3. Reporting Possible Misconduct