NSF
02-151 July 2002
Chapter
I - Basic Information
This chapter provides basic information about the National Science Foundation,
its organization, grant policies and this Manual. It consists of the following topics:
100 THE NATIONAL SCIENCE FOUNDATION
110 NSF ORGANIZATION
120 THE NSF GRANT POLICY MANUAL
130 PROPOSAL SUBMISSION AND MERIT REVIEW
100 THE NATIONAL SCIENCE FOUNDATION
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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."
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The Foundation carries out its statutory responsibilities
for the support of research, education and related activities, through
a number of programs. The NSF Guide to Programs and
other announcements and solicitations contain information about NSF programs,
their objectives and timing for the submission of proposals. (See NSF Grant Proposal Guide for
information on proposal preparation guidelines.)
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NSF has no 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).
110 NSF ORGANIZATION
The NSF organizations/offices described below are normally of
most direct interest to grantees. Consult the NSF website at
http://www.nsf.gov/home/nsforg/orglist.htm for the most
current listing of NSF offices/directorates.
111 National Science Board
The National Science Board establishes the policies of the National
Science Foundation within the framework of applicable national policies set
forth by the President and the Congress. The Board is composed of 24 members,
representing a cross section of American leadership in science and engineering
research and education; appointed by the President to six-year terms, with
one third appointed every two years; and selected solely on the basis of established
records of distinguished service. The NSF Director is a member ex officio of
the Board. In addition to establishing the policies of the Foundation, the
Board along with the Director, recommends and encourages the pursuit of national
policies for the promotion of research and education in science and engineering.
112 Program Division/Office
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 Pro-gram Officer identified in the award letter.
113 Division of Grants & Agreements
The Division of Grants and Agreements (DGA) is responsible for
the business, financial and administrative review of all recommended grants,
cooperative agreements and other assistance awards and assuring that they are
consistent with applicable policies, regulations, directives and fund certifications.
DGA, through the Policy Office, is responsible for NSF pre- and post-award
policy development, coordination and issuance and for development of, and providing
guidance on, policies and procedures for NSF's electronic proposal and award
systems. NSF Grants Officers are the only NSF officials with delegated authority
to issue grants, cooperative agreements, and other assistance awards and to
obligate NSF funds for expenditures under such arrangements. DGA is also responsible
for issuing all amendments and certain approvals under these awards, for monitoring
awardees' compliance with terms and conditions, and for the administration
and closeout of these awards.
DGA Grants Officers provide pre- and post-award technical assistance
on the aforementioned policies, regulations, and directives, both to NSF program
officials and awardees. Such assistance is provided through a variety of venues,
including on-site visits to awardee institutions, outreach forums and by serving
on Project Advisory Teams.
114 Division of Contracts
and Oversight
The Division of Contracts and Oversight (C&O) is responsible for providing acquisition support, cost analysis and audit resolution for the Foundation. The Contracts Branch is responsible for the planning, solicitation, negotiation, award and administration of NSF contracts including estab-lishment of government approved administrative systems for large contracts. The Oversight Branch performs pre-award cost analyses including financial system reviews, resolves audit find-ings pertaining to the allowability, allocability and appropriateness of costs claimed under all NSF awards (including grants, cooperative agreements and contracts), and negotiates indirect cost rates for NSF cognizant organizations.
The Division is also responsible for participating in outreach activities pertaining to policy, cost, and financial issues, for a wide variety of professional organizations.
115 Division of Financial Management
The Institutional Ledger Section (ILS) of the Division of Financial Management (DFM) is available to assist the grantee financial and business official in matters of payment and financial reporting discussed in Chapter IV of this Manual.
116 Office of the General Counsel
The Office of the General Counsel (OGC) is the legal advisor and
advocate for the Foundation, providing legal advice and assistance on all aspects
of the Foundation's programs, policies, and opera-tions, as well as areas affecting
science and technology more broadly. Advice is provided in a wide variety of
areas, such as: contracts and grants; intellectual property; conflicts of interest;
em-ployee and labor relations; privacy (including Freedom of Information Act
(FOIA), the Privacy Act and the Sunshine Act); civil rights; health, safety
and environment; public regulation of research; Federal fiscal and administrative
law and procedure; international law and agreements; and national security
restrictions of scientific research (including export controls).
117 Office of Equal Opportunity
Programs
The Office of Equal Opportunity Programs (OEOP) is responsible for responding to all civil rights matters pertaining to NSF programs or activities receiving Federal financial assistance. (See GPM 700 for additional information.)
118 Office of Inspector
General
The Office of Inspector General (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 and organizations that receive NSF funding. OIG also evaluates allegations
of research misconduct, such as plagiarism or the falsification or fabrication
of data, involving researchers who request or receive NSF funding (see GPM
931, "NSF Policies and Responsibilities"). The OIG staff includes scientists,
attorneys, certified public accountants, investi-gators, 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 and its awardee organizations are conducted efficiently and effectively.
OIG investigations focus on program integrity and possible financial or nonfinancial
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 OIG (1-800-428-2189) to report any instances of possible misconduct,
fraud, waste, or abuse.
120 THE NSF GRANT POLICY MANUAL
121 Purpose and Applicability
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Purpose. This NSF Grant Policy Manual (GPM) sets forth NSF
policies regarding the award and administration of grants and implements
Office of Management and Budget (OMB) Circular A-110, Uniform Administrative
Requirements for Grants and Agreements with Institutions of Higher Education,
Hospitals, and Other Non-Profit Organizations, and 45 CFR §602 (the Common
Rule implementing OMB Circular A-102), Uniform Administrative Requirements
for Grants and Cooperative Agreements to State and Local Governments.1
This Manual also implements other OMB Circulars, Public Laws, Executive Orders (E.O.)
and other directives2 listed
in Exhibit I-1 insofar as they apply to grants, and is issued pursuant
to the authority of Section 11(a) of the NSF Act (42 USC §1870).
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Applicability.
This Manual is applicable to NSF grants and cooperative agreements, unless
noted otherwise in the award instrument. This Manual does not apply to
NSF contracts.
122 General Organization and Citation
The GPM is organized into chapters that correspond, in general, to the process from
issuance and administration of a grant through closeout. Other requirements or considerations
that either are not universally applicable or which do not necessarily follow the award cycle
are contained in Chapters VII-IX. Chapters are subdivided into sections that cover single
subjects within the scope of the chapter. Specific sections may be cited by the section
number, e.g., GPM 122, "General Organization and Citation."
123 Changes
The GPM is periodically revised to update existing information, reflect changes in NSF
policies and procedures, and incorporate additions or changes in applicable Federal statutes
or regulations. The NSF website will always display the most current version of the GPM.
Notification of periodic updates or revisions to the GPM will be sent electronically to users
via the Custom News Service. Questions or comments concerning GPM chapters and subchapters
should be directed to the Policy Office, which can be reached by e-mail at
policy@nsf.gov.
130 PROPOSAL SUBMISSION AND MERIT REVIEW
General guidance for the preparation, (content, format, budget, etc.), submission, review
and processing of proposals is contained in the Grant Proposal Guide (GPG). Some NSF programs
issue or utilize more specific program solicitations that may modify the guidance contained in
the GPG. The latest version of the GPG is available electronically on NSF's website
at http://www.nsf.gov/pubsys/ods/getpub.cfm?gpg.
For
purposes of this Manual, references to OMB Circular A-110 also include comparable
portions of 45 CFR §602, where appropriate. Back to Text
Consult Exhibit I-1 for information on obtaining these types of documents. Back to Text
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