NSF Policy & ElectronicsNSF Policy & Electronics

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Ask Early, Ask OftenAsk Early, Ask Often

Jean FeldmanJean Feldman

BFA/DIASBFA/DIAS

(703) 292-8243(703) 292-8243

jfeldman@nsf.gjfeldman@nsf.govov

NSF PolicyNSF Policy

CoverageCoverage

Consolidation of the Grant Proposal Guide Consolidation of the Grant Proposal Guide (GPG) and the Grant Policy Manual (GPM)(GPG) and the Grant Policy Manual (GPM) Why do it?Why do it? What significant changes may be What significant changes may be

coming your way???coming your way???

Consolidation of Major NSF Consolidation of Major NSF Policy DocumentsPolicy Documents

The Grant Proposal Guide (GPG) and The Grant Proposal Guide (GPG) and Grant Policy Manual (GPM) are being Grant Policy Manual (GPM) are being combined and consolidated into a combined and consolidated into a single electronic policy framework single electronic policy framework

The NSF Proposal & Award Policies & The NSF Proposal & Award Policies & Procedures Guide also will eventually Procedures Guide also will eventually include the NSF Grants.gov Application include the NSF Grants.gov Application Guide and other post-award policy Guide and other post-award policy issuancesissuances

Reasons for Changing to New Reasons for Changing to New Policy FrameworkPolicy Framework

Improve both the awareness and knowledge of the Improve both the awareness and knowledge of the complete set of NSF policies and procedural complete set of NSF policies and procedural documents; documents;

Increase ease of access to the policies and Increase ease of access to the policies and procedures that govern the entire grant lifecycle; procedures that govern the entire grant lifecycle;

Eliminate duplicative and often truncated coverage Eliminate duplicative and often truncated coverage between the GPG and GPM; between the GPG and GPM;

Increase the transparency of our proposal and Increase the transparency of our proposal and award process; andaward process; and

Allow NSF to better manage amendments between Allow NSF to better manage amendments between the documents due to administrative changes.the documents due to administrative changes.

National Science Foundation National Science Foundation (NSF) (NSF)

Proposal & Award Policies and Proposal & Award Policies and Procedures GuideProcedures Guide

IntroductionIntroduction

A.A. About the National Science About the National Science FoundationFoundation

B.B. ForewordForeword

C.C. AcronymsAcronyms

D.D. Definitions & NSF-Grantee Definitions & NSF-Grantee RelationshipsRelationships

E.E. NSF OrganizationsNSF Organizations

Exhibit 1:Exhibit 1: NSF Organizational ChartNSF Organizational Chart

National Science Foundation National Science Foundation (NSF) (NSF)

Proposal & Award Policies and Proposal & Award Policies and Procedures GuideProcedures Guide

Part I: Proposal Preparation & Part I: Proposal Preparation & Submission GuidelinesSubmission Guidelines

A.A. Grant Proposal Guide (GPG)Grant Proposal Guide (GPG)

B.B. Grants.gov Application Guide Grants.gov Application Guide

(to be incorporated into the NSF(to be incorporated into the NSF

Proposal & Award Policies and Proposal & Award Policies and

Procedures Guide at a later date) Procedures Guide at a later date)

National Science Foundation National Science Foundation (NSF) (NSF)

Proposal & Award Policies and Proposal & Award Policies and Procedures GuideProcedures Guide

Part II:Part II: Award & Administration Award & Administration GuidelinesGuidelines Award and Administration Guide Award and Administration Guide

(formerly the GPM)(formerly the GPM) The document can be viewed or printed in The document can be viewed or printed in

its entirety or as separate files.its entirety or as separate files. The GPG is accessed well over 1 million The GPG is accessed well over 1 million

times per year whereas the times per year whereas the Administrative guidelines are accessed Administrative guidelines are accessed less than half that amountless than half that amount

Significant Changes That Are Significant Changes That Are Coming Your Way….Coming Your Way….

Linkable organization chart housed within documentLinkable organization chart housed within document Increased coverage on Grants.gov apply functionIncreased coverage on Grants.gov apply function Coverage on exceptions to NSF’s deadline date policyCoverage on exceptions to NSF’s deadline date policy Designated fontsDesignated fonts Increased consistency with FastLane Proposal Preparation Increased consistency with FastLane Proposal Preparation

GuidanceGuidance Additional guidance on submission of “personal” Additional guidance on submission of “personal”

informationinformation Information on selection of reviewersInformation on selection of reviewers Updated budget preparation instructionsUpdated budget preparation instructions

Significant Changes That May Significant Changes That May Be Coming Your Way…Be Coming Your Way…

(Cont’d)(Cont’d) Incorporation of language regarding use of Incorporation of language regarding use of

F&A rate at the time of the award F&A rate at the time of the award Updated coverage on categories of Updated coverage on categories of

proposals, or costs, that are not proposals, or costs, that are not authorized indirect costs authorized indirect costs

Updated coverage on cost sharingUpdated coverage on cost sharing Revision of human and vertebrate animal Revision of human and vertebrate animal

data for consistency with Grants.govdata for consistency with Grants.gov Updated proposal checklistUpdated proposal checklist

Significant Changes That May Significant Changes That May Be Coming Your Way…(Cont’d)Be Coming Your Way…(Cont’d)

Incorporation of two additional Incorporation of two additional proposal certifications previously proposal certifications previously contained only in the GPMcontained only in the GPM

Movement of the NSF Reconsideration Movement of the NSF Reconsideration Policy to Part IPolicy to Part I

Addition of a new subject index to the Addition of a new subject index to the GPGGPG

Electronic Initiatives Electronic Initiatives Update Update

CoverageCoverage

Project Report Tracking and Project Report Tracking and Notification SystemNotification System

Grants.govGrants.gov

Research & Related Working GroupResearch & Related Working Group

Project Report Tracking and Project Report Tracking and Notification SystemNotification System

Required Technical Progress ReportsRequired Technical Progress Reports Annual Project Reports Annual Project Reports

Due 90-days prior to Expiration DateDue 90-days prior to Expiration Date Required for Required for ALLALL Standard & Continuing Standard & Continuing

Grants and Cooperative AgreementsGrants and Cooperative Agreements Final Project ReportsFinal Project Reports

Due Within 90-days after the Expiration of an Due Within 90-days after the Expiration of an AwardAward

Required for Required for ALLALL Standard & Continuing Standard & Continuing Grants and Cooperative AgreementsGrants and Cooperative Agreements

Required for Individual Research Fellowships Required for Individual Research Fellowships per Program Solicitationper Program Solicitation

Project Report Tracking & Project Report Tracking & Notification System Notification System

Business Rules and System EditsBusiness Rules and System Edits Provides set reporting reports – annual Provides set reporting reports – annual

and final divisible by 12 monthsand final divisible by 12 months Tracking System includes: periods, status, Tracking System includes: periods, status,

and due/overdue datesand due/overdue dates External & Internal Communities Ability to External & Internal Communities Ability to

Electronically Electronically Notification reminders automatic to PIs Notification reminders automatic to PIs

and SPOsand SPOs

Project Report Tracking & Project Report Tracking & Notification System (cont’d)Notification System (cont’d)

Back office systems to include hard editsBack office systems to include hard edits No future funding if overdue annual/final No future funding if overdue annual/final

reportsreports No PI changes or time extensionsNo PI changes or time extensions No changes after final report approvalNo changes after final report approval Report status cannot be re-setReport status cannot be re-set No postaward administrative changes No postaward administrative changes

Implementation: November 18, 2006 Implementation: November 18, 2006

FastLane – View Awards by Report FastLane – View Awards by Report Requirements or Creation Eligibility (new Requirements or Creation Eligibility (new

screen)screen)

Search capability by Award Number and Award Expiration Date.

Definitions provided to the user so the right Report is created.

Awards are now divided into tabs for APR/FPR and GPRA report requirements as well as for IPR creation eligibility.

Award and Award Expiration Dates shown to user.

PI locates and selects the Award from the list to create Project Report by clicking on the Award number text link.

FastLane – View Selected Award’s Project FastLane – View Selected Award’s Project Report Requirements (new screen)Report Requirements (new screen)

Award period is divided into reporting periods with a start and end date.

PI views Project Report requirements for reporting periods generated by Awards System for selected Award.

Archive of previous Reports submitted prior to incorporation of new functionality can now be accessed from this screen by clicking link.

PI is clearly informed when each Report is due for submission and when it is overdue for submission.

PI clicks on the “Create/Edit” link to access the Project Reports System Control Screen.

PI can only create the first Report for a given period and can only create the next Report upon approval of the first.

PI can track the status of their Report with NSF Report and My Submission Statuses. Definitions of these statuses can be accessed by the link above.

What is Grants.gov?What is Grants.gov?

A single source for finding grant A single source for finding grant opportunities opportunities

A standardized manner of locating A standardized manner of locating and learning more about funding and learning more about funding opportunities opportunities

A single, secure and reliable source A single, secure and reliable source for applying for Federal grants online for applying for Federal grants online

A simplified grant application process A simplified grant application process with reduction of paperwork with reduction of paperwork

Grants.gov Current Status &Grants.gov Current Status &Next StepsNext Steps

All 26 grant-making agencies are required All 26 grant-making agencies are required to post all discretionary grant programs in to post all discretionary grant programs in the Grants.gov Find the Grants.gov Find

OMB has directed agencies to post in OMB has directed agencies to post in Grants.gov Apply:Grants.gov Apply: 75% of their funding opportunities in FY 75% of their funding opportunities in FY

2006;2006; 100% of their funding opportunities in FY 100% of their funding opportunities in FY

2007.2007.

NSF Grants.gov Lessons NSF Grants.gov Lessons Learned in FY 06Learned in FY 06

NSF has receivedNSF has received just over 559 application just over 559 application submissions through Grants.gov since June 2005. submissions through Grants.gov since June 2005.

This count includes applications submitted to:This count includes applications submitted to: Four programs requiringFour programs requiring submission through submission through

Grants.gov; and Grants.gov; and 171 programs to date where submission 171 programs to date where submission

through Grants.gov was optional.through Grants.gov was optional. When submission through Grants.gov was an When submission through Grants.gov was an

option, option, 1%1% of the applicants chose to submit of the applicants chose to submit through Grants.gov.through Grants.gov.

NSF Grants.gov Lessons NSF Grants.gov Lessons Learned Learned in FY 06in FY 06

Of the 559 submissions, 301 applications Of the 559 submissions, 301 applications were successfully inserted into FastLane were successfully inserted into FastLane ((54% success rate54% success rate). ).

The 258 applications or 46 percent of The 258 applications or 46 percent of applications that were not successful applications that were not successful required the applicant to correct problems required the applicant to correct problems and resubmit. and resubmit.

Major Problems EncounteredMajor Problems Encountered

Applicants submitting applications with Applicants submitting applications with attachments that are not in PDF. attachments that are not in PDF.

The PI or Co-PI typed their name The PI or Co-PI typed their name differently in various portions of the differently in various portions of the application and the software could not tell application and the software could not tell if this was the same or another individual.if this was the same or another individual.

Problems with registrationProblems with registration

Major Problems Encountered Major Problems Encountered (Cont’d)(Cont’d)

Mac and UNIX issuesMac and UNIX issues Applicants had varying success in Applicants had varying success in

submitting proposals, some taking as submitting proposals, some taking as many as four attempts before many as four attempts before successful insertion into FastLanesuccessful insertion into FastLane. .

NSF Implementation in NSF Implementation in 20072007

By close of FY 2006, 79% of NSF funding By close of FY 2006, 79% of NSF funding opportunities had been posted in opportunities had been posted in Grants.gov ApplyGrants.gov Apply

Those programs designated required in FY Those programs designated required in FY 06 will remain required in FY 0706 will remain required in FY 07

Unless otherwise specified, optional Unless otherwise specified, optional submission for the vast majority of NSF submission for the vast majority of NSF programsprograms

NSF Implementation in 2007 NSF Implementation in 2007 (Cont’d)(Cont’d)

Will not be used until a Grants.gov solution Will not be used until a Grants.gov solution has been developed, for:has been developed, for: Separately submitted collaborative Separately submitted collaborative

proposalsproposals Fellowship programs that require Fellowship programs that require

submission of reference letterssubmission of reference letters

And, please don’t forget….And, please don’t forget…. NSF also does NSF also does notnot accept accept

applications through Grants.gov for:applications through Grants.gov for: Letters of IntentLetters of Intent Preliminary ProposalsPreliminary Proposals Changed/Corrected ApplicationsChanged/Corrected Applications ContinuationsContinuations Supplemental Funding RequestsSupplemental Funding Requests

NSF Grants.gov Required in NSF Grants.gov Required in 20072007

Antarctic Artists and Writers (OPP)Antarctic Artists and Writers (OPP) Scientific Computing Research Environments for the Scientific Computing Research Environments for the

Mathematical Sciences (MPS)Mathematical Sciences (MPS) Living Stock Collections (BIO)Living Stock Collections (BIO) Advanced Learning Technologies (CISE)Advanced Learning Technologies (CISE) CEDAR, GEM, and SHINE Postdoctoral Research CEDAR, GEM, and SHINE Postdoctoral Research

(GEO)(GEO) Research in Disability Education (EHR)Research in Disability Education (EHR) Infrastructure Materials Applications and Structural Infrastructure Materials Applications and Structural

Mechanics (ENG)Mechanics (ENG) Geography and Regional Science (SBE)Geography and Regional Science (SBE)

Words to Live By….Words to Live By….

File attachments must be in pdfFile attachments must be in pdf Check to ensure the program does not Check to ensure the program does not

require mandatory submission!!require mandatory submission!! Check the institutional names used!Check the institutional names used! Use the Checklist!Use the Checklist! Read the Grants.gov Application GuideRead the Grants.gov Application Guide Follow any special instruction in the funding Follow any special instruction in the funding

opportunityopportunity Allow extra time for editing!!!Allow extra time for editing!!!

SF 424 (R&R)SF 424 (R&R)&&

The R&R SubcommitteeThe R&R Subcommittee

What is the R&R?What is the R&R?

A group of agency representatives (both A group of agency representatives (both technical & policy) from agencies that technical & policy) from agencies that sponsor research who provide guidance sponsor research who provide guidance and feedback to the Grants.gov PMO on and feedback to the Grants.gov PMO on issues related to the SF 424 (R&R)issues related to the SF 424 (R&R) The R&R was originally formed to The R&R was originally formed to

provide agency feedback and comments provide agency feedback and comments on the SF 424 (R&R) on the SF 424 (R&R)

Which agencies participate in Which agencies participate in the R&R subcommittee?the R&R subcommittee?

NSF (Chair)NSF (Chair) NIHNIH DOEDOE USDA/CSREESUSDA/CSREES ONRONR AFOSRAFOSR NASANASA EPAEPA

NOAANOAA DOT/FAADOT/FAA Grants.govGrants.gov DoEDDoED HRSAHRSA DoDDoD OMBOMB

What is the R&R role in Forms What is the R&R role in Forms Development? Development?

Agency specific forms – each agency must Agency specific forms – each agency must bring forward to the R&R any new agency bring forward to the R&R any new agency specific forms prior to sending the specific forms prior to sending the Grants.gov for developmentGrants.gov for development Goal is to create a streamlined process Goal is to create a streamlined process

for agency use of previously approved for agency use of previously approved forms by another agencyforms by another agency

What is the R&R role in Forms What is the R&R role in Forms Development? (Cont’d)Development? (Cont’d)

The R&R must approve any new forms for The R&R must approve any new forms for cross-agency use prior to their being cross-agency use prior to their being added to the SF 424 forms familyadded to the SF 424 forms family

Examples:Examples: Survey on Ensuring Equal Opportunity Survey on Ensuring Equal Opportunity

for Applicantsfor Applicants (for Faith-based (for Faith-based programs)programs)

SF 424 B – Assurances for non-SF 424 B – Assurances for non-construction programsconstruction programs

On the To-Do ListOn the To-Do List

Develop a listing of types of programs that Develop a listing of types of programs that are not supported by Grants.gov:are not supported by Grants.gov: CollaborativesCollaboratives Fellowships (specifically no support for Fellowships (specifically no support for

Reference Letters)Reference Letters) Multi-project proposalsMulti-project proposals Multi-component solicitationsMulti-component solicitations Preliminary proposals that need parsed Preliminary proposals that need parsed

sectionssections

On the To-Do List (Cont’d)On the To-Do List (Cont’d) Collaborative proposal development component Collaborative proposal development component

of Grants.govof Grants.gov Requirements team has been formed and is Requirements team has been formed and is

just about finished with requirements just about finished with requirements development processdevelopment process

Application File Update for Grants.govApplication File Update for Grants.gov Improved Versioning Control of forms in Improved Versioning Control of forms in

Grants.govGrants.gov Streamlining of process for use of cross-agency Streamlining of process for use of cross-agency

formsforms