NSF 05-131 July 2005
Table of Contents

PDF Version
Dear Colleague Letter
Foreword
Significant Changes
Listing of Acronyms

1. Introduction
   • 100 - The National Science Foundation
   • 110 - NSF Organization
     • 111 - National Science Board
     • 112 - Program Division/Office
     • 113 - Division of Grants and Agreements
     • 114 - Division of Institution and Award Support
     • 115 - Division of Contracts and Complex Agreements
     • 116 - Division of Financial Management
     • 117 - Office of the General Counsel
     • 118 - Office of Equal Opportunity Programs
     • 119 - Office of Inspector General
   • 120 - The NSF Grant Policy Manual
     • 121 - Purpose and Applicability
     • 122 - General Organization and Citation
     • 123 - Changes
   • 130 - Proposal Submission and Merit Review
   • Exhibit I-1 -- Statutes, Executive Orders and Other Directives

• Chapter II - NSF Awards
  • 200 Background
  • 210 Definitions
  • 220 NSF-Grantee Relationships
    • 221 Basic Requirements
    • 222 Acceptance of Assistance Agreements
  • 230 Grant Instrument
  • 240 NSF Grant Conditions
  • 250 NSF Grant Periods
    • 251 Definitions
    • 252 Significance of Grant Period
    • 253 Changes in Grant Periods
      • 253.1 Expiration Date
      • 253.2 No-Cost Extension
      • 253.3 Two-Year Extensions for Special Creativity
  • 260 Additional Funding Support
    • 261 Types of Additional Funding Support
    • 262 Renewed Support (Standard Grants)
    • 263 Continued Support (Continuing Grants)
    • 264 Supplemental Support

• Chapter III - Grant Administration
  • 300 Monitoring Project Performance
    • 301 Grantee Responsibilities
    • 302 Grantee Notifications to NSF and Requests for NSF Approval
  • 310 Changes In Project Direction or Management
    • 311 Changes in Objectives, Scope or Methodology
      • 311.1 Changes in Objectives or Scope
      • 311.2 Changes in Methodology
      • 311.3 Significant Changes, Delays or Events of Unusual Interest
    • 312 Changes in PI/PD or Person-Months Devoted to the Project
      • 312.1 Background
      • 312.2 Basic Requirements
      • 312.3 Short-Term Absence of PI/PD
      • 312.4 Long-Term Absence of PI/PD
      • 312.5 Change in Person-Months Devoted to the Project
      • 312.6 Withdrawal of PI/PD
      • 312.7 Substitute PI/PD
      • 312.8 Disposition of a Grant When a PI/PD Transfers from One Organization to Another Organization
    • 313 Contracting or Transferring the Project Effort (Subawards)
  • 320 Changes In The Grant Budget
• 321 OMB Directives
• 322 Grant Changes and Approvals
• 330 Cost Sharing And Matching
• 331 Basis for NSF Requirements
• 331.1 Statutory Requirement
• 331.2 OMB Directive
• 332 Significance of Cost Sharing Promises in Proposals
• 333 NSF Cost Sharing Requirements
• 333.1 Unsolicited Research Projects
• 333.2 Solicited Research Projects
• 333.3 Cost Sharing Amount
• 333.4 Cost Sharing Method
• 333.5 Method of Providing Contributions
• 333.6 Cost Sharing Records and Reports
• 334 NSF Matching Requirement
• 340 Technical Reporting Requirements
• 341 Annual Project Reports
• 342 Final Project Report
• 343 Final Technical Information Items
• 344 Compliance with Technical Reporting Requirements
• 345 Grant Closeout
• 350 Records Retention and Audit
• Exhibit III-1 -- Grantee Notifications To and Requests For Approval From The National Science Foundation

• Chapter IV - Financial Requirements and Payments
• 400 Background
• 410 Standards For Financial Management
• 420 Definitions
• 430 Payment Requirements
• 431 Requesting Payments
• 432 Payment Policies
• 433 Request for Advance
• 434 Special Payment Grantees
• 435 Working Capital Advance
• 436 Grantee EFT Update
• 437 Use of Women-Owned and Minority-Owned Banks
• 440 Cash Refunds And Credits To NSF
• 441 Final Unobligated Balance
• 442 Erroneous Payments
• 443 Interest Earned on Advance Payments
• 444 Program Income
• 445 Other Cost Credits
• 450 Grant Financial Reporting Requirements
• 451 Quarterly Disbursement Reporting - Federal Cash Transactions Report (FCTR)
• 452 Final Disbursement Reporting
• Exhibit IV-1 -- Request for Advance or Reimbursement Form (SF 270)

• Chapter V - Grantee Standards
• 500 Background
• 501 Prospective Grantee Organization and Management Data
• 510 Conflict of Interest Policies
• 520 Financial Management Systems Standards
• 530 Procurement Standards
• 540 Property Management Standards
• 541 Background
• 542 Title to Equipment
• 542.1 Title to Equipment - Non-Profit Organizations
• 542.2 Title to Equipment - Commercial Organizations
• 543 Conditions for Acquisition and Use of Equipment
• 544 Principles Relating to Use of NSF-Supported Research Instrumentation and Facilities
• 545 Property Management Standards When Title Retained by NSF
• 546 Excess Government Personal Property
• 546.1 Policy
• 546.2 Eligibility
• 546.3 Procedures
• 546.4 Visiting Holding Agency Facilities
• 546.5 Dollar Limitation
• 546.6 Restrictions
• 546.7 Costs
• 546.8 Title
• 546.9 Accountability and Recordkeeping

• Chapter VI - Allowability of Costs
• 600 Basic Considerations
• 601 Federal Cost Principles
• 601.1 Applicability to Grantees
• 601.2 Applicability to Subrecipients
• 601.3 Conflicting Guidelines
• 602 Other Considerations
• 602.1 Maximum Obligation
• 602.2 Pre-Award Costs
• 602.3 Post-Expiration Costs
• 603 Prior Approval
• 603.1 OMB Directive
• 603.2 NSF Prior Approval Policy
• 610 Direct Costs
• 611 Salaries, Wages and Fringe Benefits
• 611.1 Salaries and Wages
• 611.2 Fringe Benefits
• 612 Equipment
• 612.1 Related Equipment Guidelines
• 612.2 Definitions
• 612.3 Special Purpose Equipment
• 612.4 General Purpose Equipment
• 613 Materials and Supplies
• 614 Travel Costs
• 615 Computer Costs
• 616 Consultant Services
• 616.1 Outside Consultants
• 616.2 Intra-University Consulting
• 616.3 Federal Employees
• 617 Publication, Documentation and Dissemination
• 618 Participant Support Costs
• 618.1 General
• 618.2 Stipends or Subsistence Allowances
• 618.3 Travel Allowances
• 620 Other Direct Costs
• 621 Rearrangements and Alterations
• 622 News Release Costs
• 623 Rental or Lease of Facilities or Special Purpose Equipment
• 624 Relocation Costs
• 625 Meetings and Conferences
• 630 Indirect Costs
• 631 Background
• 632 Indirect Costs in Proposals for NSF Support
• 633 NSF Policy
• 633.1 Basic Policy
• 633.2 Exceptions to Basic Policy
• 634 Underrecovery of Indirect Costs
• 635 Rebudgeting of Indirect Cost Funds Provided Under NSF Grants
• 636 NSF Cognizant Organizations
• 640 Fee Payments Under NSF Grants

• Chapter VII - Other Grant Requirements
• 700 Non-Discrimination Statutes
• 701 General
• 702 Civil Rights Act of 1964
• 702.1 Background
• 702.2 NSF Regulations
• 702.3 Assurance of Compliance
• 702.4 Civil Rights Assurance - Subrecipients
• 702.5 Grant Provisions
• 703 Rehabilitation Act
• 703.1 Background
• 703.2 NSF Regulations
• 703.3 Assurance of Compliance
• 703.4 Section 504 Assurance - Subrecipients
• 703.5 Grant Conditions
• 704 Title IX - Sex Discrimination
• 704.1 Background
• 704.2 NSF Regulations
• 704.3 Grant Conditions
• 705 Age Discrimination Act
• 705.1 Background
• 705.2 NSF Regulations
• 705.3 Grant Conditions
• 706 Equal Employment Opportunity Under E.O. 11246
• 706.1 Background
• 706.2 Grant Conditions
• 710 Protection of Living Organisms
• 711 Human Subjects
• 711.1 Background
• 711.2 NSF Regulation
• 711.3 Certification of Compliance
• 712 Research Involving Recombinant DNA Molecules
• 712.1 Applicability
• 712.2 Policy
• 712.3 Research Requiring Prior Approval of the Director, NIH
• 712.4 Recombinant DNA Research Outside the U.S.
• 713 Animal Welfare Requirements
• 714 Marine Mammal Protection Act
• 715 Government Permits and Activities Abroad
• 720 Construction, Rearrangements and Alterations
• 721 Davis-Bacon Act
• 722 Bonding and Insurance
• 723 Flood Insurance
• 724 Seismic Safety of Buildings
• 730 Intellectual Property
• 731 Patents and Inventions
• 731.1 Background
• 731.2 National Science Foundation Patent Policy
• 731.3 Standard Patent Rights Clause
• 731.4 Electronic Invention Handling
• 732 Copyright
• 732.1 Rights to Copyrightable Material
• 732.2 Standard Copyrightable Material Clause
• 733 Special Patent and Copyright Situations
• 733.1 Special Grant Provisions
• 733.2 Grants Not Primarily for Research
• 733.3 Grants Affected by International Agreements
• 734 Dissemination and Sharing of Research Results
• 735 Tangible Property
• 735.1 Background
• 735.2 Legal Rights to Tangible Property
• 740 Publication/Distribution of Grant Materials
• 741 NSF Policy
• 742 Costs
• 743 Responsibilities
• 744 Grantee Obligations
• 750 Program Income
• 751 Background
• 752 Definition
• 753 NSF Policy
• 760 International Considerations
• 761 Travel to Foreign Countries
• 761.1 Policy
• 761.2 Use of U.S.-Flag Air Carriers
• 761.3 Use of Foreign-Flag Air Carriers
• 762 Charter Flights
• 763 Projects in a Foreign Country
• 764 Passports and Visas
• 765 International Travel Grants
• Exhibit VII-1 -- Assurance of Compliance

• Chapter VIII - Other Proposal and Award Considerations
• 800 Intergovernmental Review of Federal Programs
• 810 Handling of Information
• 811 Questionnaires: Data Collection Under NSF Grants
• 811.1 Paperwork Control
• 811.2 NSF Policy
• 812 Release of Information by NSF
• 812.1 Press Releases
• 812.2 Open Government Legislation
• 812.3 Release of Project Reports
• 820 Tax Status
• 830 Environmental Impact
• 840 Protection of Properties In The National Register of Historic Places
• 850 National Security
• 860 Miscellaneous
• 861 Liabilities and Losses
• 862 Pre-College Students and Experimental Curriculum Development Projects
• 863 Use of Metric Measurements

• Chapter IX - Reconsideration/Suspension and Termination/Disputes/Research Misconduct
• 900 Reconsideration of Proposals Declined or Returned by the Foundation
• 901 General
• 902 Policy
• 903 Explanations by the NSF Program Officer or Division Director
• 904 Reconsideration by the Assistant Director
• 905 Further Reconsideration by the Deputy Director
• 910 Suspension and Termination Procedures
• 911 Definitions
• 912 Suspension and Termination
• 912.1 NSF Policy
• 912.2 Procedures for Suspension or Termination by NSF
• 913 Termination by Mutual Agreement
• 913.1 NSF Policy
• 913.2 Procedures
• 914 NSF Suspension or Termination Review Procedure
• 920 Informal Resolution Of Grant Administration Disputes
• 921 Background
• 922 Scope of Post-Award Disputes Covered
• 923 Procedures
• 930 Research Misconduct
• 931 NSF Policies and Responsibilities
• 932 Role of Grantees
• 933 Reporting Possible Misconduct

• Subject Index