NSF Update: 17-1 Proposal & Award Policies & Procedures Guide (PAPPG) Daniel Lewis Sponsored Programs Administrator dlewis15@utk.edu 865-974-8873 Raymond Norris Sponsored Programs Administrator rnorris6@utk.edu 974-1870
General Information NSF 17-1 takes effect January 30, 2017 and replaces NSF 16-1. All proposals with deadlines on or after that date will fall under NSF 17-1 guidance. PAPPG will no longer refer to the Grant Proposal Guide (GPG) and Award & Administration Guide (AAG). Instead NSF will refer to Part I (proposal preparation and submission) and Part II (award administration and monitoring). The complete PAPPG NSF 17-1 is online on the NSF Website. FAQ s related to the PAPPG can also be found online. 2
PAPPG Changes: Part I 3
Significant Changes 4
Letters of Intent Chapter I.D.1 What: Proposers that plan to submit a collaborative proposal from multiple organizations should submit a single LOI for the entire project. 5
Format of the Proposal Chapter II.B What: Two new types of proposals: 1) Research Advanced by Interdisciplinary Science and Engineering (RAISE, Chapter II.E.3); and 2) Grant Opportunities for Academic Liaison with Industry (GOALI, Chapter II.E.4) 6
Format of the Proposal (cont d) Standard Format GPG Guidelines: Font: Spacing: Margins: -Arial, Courier New, or Palatino Linotype (size 10 points or larger) -Times New Roman (size 11 points or larger) -Computer Modern family of fonts (size 11 points or larger) No more than six lines of text within one vertical inch. One inch margins in all directions 7
Types of Proposals - RAISE Chapter II.E.3 What: RAISE supports interdisciplinary projects whose: Scientific advances lie in great part outside the scope of a single program or discipline, such that substantial funding support from more than one program or discipline is necessary. Lines of Research promise transformational advances. Prospective discoveries reside at the interfaces of disciplinary boundaries that may not be recognized through traditional review or co-review. RAISE submissions require prior approval from at least two NSF program officers in intellectually distinct programs. 8
Types of Proposals - GOALI Chapter II.E.4 What: GOALI supports collaboration between academic research institutions and industry. Must be submitted to an active NSF funding opportunity. Proposer must contact the program officer prior to submission. 9
Collaborators & Other Affiliations Information Chapter II.C.1.e What: List each section in alphabetical order. Proposers no longer need to list postgraduate scholar sponsors (this designation does not disqualify the individual as a reviewer, so it was removed). Reminder: This information should be in a document separate from the biosketch, and the info should be removed from the bio. 10
Cover Sheet Chapter II.C.2.a What: Language clarified to more closely follow Fastlane preparation. Reminder: Primary Place of Performance should match the Awardee Organization for UTK. 11
Results from prior NSF Support Chapter II.C.2.d(iii) What: Clarification that this information is used to assist reviewers in assessing the quality of prior work conducted with current/prior NSF support. If the project was awarded but no results exist yet, describe the major goals and broader impacts of the project. Reminder: If a PI or Co-PI does not have prior NSF support, briefly specify this as well. 12
Other Direct Costs Chapter II.C.2.g(vi) What: Incentive payments (e.g. to human subjects) should be included on line G6 (Other) of the proposal budget. Reminder: these are not participant support costs, and generate F&A as normal. 13
Fees* Chapter II.C.2.g(x) What: Line K of the proposal budgetonly available for use on SBIR/STTR programs. Note: UTK never has fees on the NSF budget. 14
Proposals Involving Human Subjects Chapter II.D.5 What: Updated to reflect implementation of 45 CFR 690.118 (for projects that lack definite plans regarding use of human subjects.) Proposers must still mark that the project involves human subjects. A determination notice must be provided at the time of proposal that establishes a limited time period under which the PI may conduct preliminary or conceptual work that does not involve human subjects. 15
Travel Proposal Chapter II.E.9 What: Updated to reflect that this type of proposal may be used for both domestic and international travel requests. 16
Clarifications 17
Project Summary Chapter II.C.2.b. What: A Project Summary may only be uploaded as a Supplementary Document (PDF) when it contains the use of NSF defined special characters. If uploaded as a Supplementary Document, the three appropriate section headings must still be present: Overview, Broader Impacts, & Intellectual Merit 18
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When to Submit Proposals Chapter I.F What: In the event of a natural or anthropogenic disaster that hinders submission, proposers must request authorization from the program officer prior to the deadline date and then check the Special Exception to the Deadline Date Policy box on the cover sheet. 20
Biographical Sketch(es) Chapter II.C.2.f(i) What: Biosketches must be uploaded as a single PDF file for each senior personnel. Reminder: The professional preparation section of the biosketch must include the city/state of the institution. 21
Senior Personnel Salaries & Wages Policy Chapter II.C.2.g(i)(a) What: Language added to clarify that effort must be documented according to Uniform Guidance. Reminder: Special justification is required when >2 months of salary is requested in a year. 22
Equipment Chapter II.C.2.g(iii) What: Now refers to 2 CFR 200.313 for further information on allowable equipment. Reminder: Equipment is any item >$5000 This category does not collect F&A. 23
Domestic Travel Chapter II.C.2.g(iv)(b) What: Travel, meal and hotel expenses of grantee employees who are not on travel status are unallowable. Reminder: NSF requires travel to be specified, itemized and justified by destination and cost. 24
Indirect Costs Chapter II.C.2.g(viii) What: Updated to clarify that the use of an indirect cost rate lower than the organization s approved negotiated rate is considered a violation of NSF s cost sharing policy. (i.e. we must request full applicable F&A rates on every proposal) 25
Voluntary Committed and Uncommitted Cost Sharing Chapter II.C.2.g(xii) What: To be considered voluntary committed cost sharing, the amount must appear in the NSF proposal budget. Voluntary committed cost sharing is prohibited by NSF, unless required by a specific program or solicitation. Voluntary uncommitted cost sharing should not appear in the proposal budget or justification. 26
Entertainment Chapter II.C.2.g(xiii)(a) What: Costs of entertainment, amusement, diversion and social activities, and any costs directly associated with such activities are unallowable. 27
Special Information and Supplementary Documentation Chapter II.C.2.j What: The Mentoring Plan and Data Management plan should be uploaded under the Postdoc Mentoring and Data Management Plan sections in Fastlane (not Other Supplementary Docs ). 28
Special Information and Supplementary Docs (cont.) Chapter II.C.2.j What: Letter of Support should only be submitted when specifically required by a solicitation. Letters of Collaboration differ from Letters of Support; NSF has a recommended format for collaboration letters. 29
Special Information and Supplementary Docs (cont.) If the proposal submitted by Dr. [insert the full name of the Principal Investigator] entitled [insert the proposal title] is selected for funding by NSF, it is my intent to collaborate and/or commit resources as detailed in the Project Description or the Facilities Equipment and Other Resources section of the proposal. 30
Special Information and Supplementary Docs (cont.) Chapter II.C.2.j What: Antarctic proposals require Logistical Requirements and Field Plan documentation to be submitted with the proposal. 31
Proposals Involving Vertebrate Animals Chapter II.D.4 What: Any project proposing the use of vertebrate animals for research education must comply with the provision in PHS Assurance for Institutional Commitment (Section II) that requires the submitting organization to establish and maintain a program for activities involving animals in accordance with the Guide for the Care and Use of Laboratory Animals (Guide). 32
Projects Requiring High-Performance Computing Resources, Large Amounts of Data Storage, or Advanced Visualization Resources Chapter II.D.7 What: Additional and updated language regarding access to available computing resources. 33
Research Infrastructure Proposal Chapter II.E.11 What: Reference added to the Large Facilities Manual (LFM), which contains NSF policy on the planning and management of large facility projects. 34
Definitions of Categories of Personnel Exhibit II-7 What: Senior Personnel include: (co) Principal Investigator(s) Faculty Associate Faculty member or equivalent. Reminder: Biosketches, Current/Pending, and Collaborators & Other Affiliations documents are required for all senior personnel. 35
Definitions of Categories of Exhibit II-7 Personnel (cont.) What: Other Personnel include: Postdoctoral positions Other personnel (professional not considered a PI, faculty associate, postdoc scholar, or student). Graduate students Undergraduate students Other admin/clerical/technical positions (FI0206) Reminder: Biosketches for these categories should only be included when the individuals have exceptional qualifications that merit consideration in evaluation of the proposal. 36
Process to Appeal NSF s Decision to Decline a Proposal for Financial or Administrative Reasons, Procedures Chapter III.F.2(c)(3) What: Proposers may submit documentation to support statements of appeal- even documentation that may not have been presented as part of the original review process- as long as it is not new information that would not have been available at the time the decision to decline was made.. 37
Questions? 38
PAPPG Changes: Part II
NSF-Approved Extension VI.D.3.c(ii) What: Clarifies that a request for an NSF-approved extension should be submitted at least 45 days prior to the end date of the grant and must be signed and submitted in Research.gov by the AOR. Information has also been added to make the grantee aware of the limited time period of availability of funds if appropriations are canceled. Language added: Most NSF appropriated funds have a limited period of availability for expenditure before the appropriation cancels. No-cost extensions do not extend the period of availability for canceling funds. 40
Addition of co-pi/co-pd Chapter VII.B.2.c What: Added to provide instructions to grantees desiring to add a new co-pi/co-pd. Information required to be entered in FastLane: Bio-sketch Schedule of Current and Pending Support Justification for the addition If approved NSF will issue an amendment to the grant. 41
Award Financial Reporting Requirements and Final Disbursement Chapter VIII.E.6 What: Adds subpart 6 to make grantees aware of how NSF awards with canceled appropriations will be treated. If appropriations on open awards are canceled NSF will notify grantees. Grantees will still have the full 120-day closeout period to submit final project reports 42
Travel and Temporary Dependent Chapter X.C.5 Care Costs What: Information added regarding allowable travel expenses to specify that costs of employees on travel status are limited to those specifically authorized by CFR 200.474. Temporary dependent care costs above and beyond regular dependent care that directly results from travel to conferences are allowable costs provided that the costs are: a. a direct result of the individual's travel for the NSF conference award; b. consistent with the grantee's documented travel policy for all employee travel; and c. only temporary during the travel period. 43
Human Subjects Chapter XI.B.1 What: Updated to reflect the Foundation s implementation of 45 CFR 690.118 which relates to applications and proposals lacking definite plans for involvement of human subjects. NSF has created a notification template for your use. NSF can accept a preliminary approval from an IRB that establishes a limited approval period, requires the PI to submit an amendment or new IRB application prior to the expiration date, and stipulates that no work with human subjects, including recruitment, may be conducted until full IRB approval is obtained. (Complete instructions on preparation and submission of proposals that involve use of human subjects are available in Chapter II.D.5.) 44
Clarifications X.B.2 What: Administrative and Clerical Salaries & Wages Language added to clarify that an AOR should initiate the request for NSF approval to direct charge salaries of administrative or clerical staff after an award has been made. Direct charging of these are allowable only if all the these conditions are met: (1) Administrative or clerical services are integral to a project or activity; (2) Individuals involved can be specifically identified with the project or activity; (3) Such costs are explicitly included in the approved budget or have the prior written approval of the cognizant NSF Grants Officer; and (4) The costs are not also recovered as indirect costs. If approved by NSF, an e-mail notification will be automatically sent notifying the organization of NSF s decision. 45
Questions?? 46
Contacts Proposals Daniel Lewis Sponsored Programs Administrator dlewis15@utk.edu 974-8873 Contracts Raymond Norris Sponsored Programs Administrator rnorris6@utk.edu 974-1870 OSP Front Desk 974-3466 osp@utk.edu 47