CHAPTER I
Chapter I Contents
100 The National Science Foundation I-1
111 National Science Board I-1
112 Program Division/Office I-1
113 Division of Grants and Agreements I-1
114 Division of Contracts, Policy and Oversight I-1
115 Division of Financial Management I-2
116 Office of the General Counsel I-2
117 Office of Equal Opportunity Programs I-2
118 Office of Inspector General I-2
120 The NSF Grant Policy Manual I-2
121 Purpose and Applicability I-2
122 General Organization and Citation I-2
123 Changes I-2
130 Proposal Submission and Merit Review I-2
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
a. The National Science Foundation (NSF) is an independent agency of the Federal government established in 1950 to promote and advance scientific and engineering progress in the United States. NSF funds research and education in most fields of science and engineering, but does not itself conduct research or carry out education projects.
b. 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 brochures and announcements contain information about NSF programs, their objectives and timing for the submission of proposals. (See GPM 130, "Proposal Submission and Merit Review," for information on proposal preparation guidelines.)
c. 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).
a. The current NSF organization chart is shown as Exhibit I-1.
b. The NSF organizations/offices described below are normally of most direct interest to grantees.
The National Science Board is the governing body of the National Science Foundation. 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 governance of the Foundation, the Board serves the President and the Congress as an independent advisory body on policies affecting the health of U.S. science and engineering and education in science and engineering.
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 or educational aspects of a grant will be monitored by the NSF Program Officer named in the grant.
113 Division of Grants and 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. The NSF Grants Officer, an official in DGA, is the only NSF official 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 and for the administration and closeout of these awards.
114 Division of Contracts, Policy and Oversight
The Division of Contracts, Policy and Oversight (CPO) is responsible for solicitation, negotiation, award and administration of NSF contracts; for NSF proposal and award policy development, coordination and issuance; and for overseeing NSF procurement systems, processes and guidance. In addition, it performs cost analysis and resolves audit findings pertaining to the allowability, allocability and appropriateness of costs claimed under all NSF awards (including grants and cooperative agreements).
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 responsible for NSF patent and other legal matters. It provides legal advice to NSF offices and handles invention disclosures and other patent-related matters (see GPM 730, "Intellectual Property").
117 Office of Equal Opportunity Programs
The Office of Equal Opportunity (OEO) Programs is responsible for all NSF civil rights matters. It provides direction and monitors all complaints related to race, color, religion, sex, age, national origin or disability.
118 Office of Inspector General
The Office of Inspector General (OIG) is responsible for conducting audits, inspections and investigations involving NSF operations. This includes the investigation of financial or nonfinancial wrongdoing in connection with NSF proposals and grants. In particular, OIG receives and investigates allegations of misconduct in science and engineering.
120 THE NSF GRANT POLICY MANUAL
a. 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-2 insofar as they apply to grants, and is issued pursuant to the authority of Section 11(a) of the NSF Act (42 USC §1870).
b. Applicability. This Manual is applicable to: 1)grants; and 2) 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 which correspond, in general, to the process from issuance and administration of a grant through closeout. Other requirements or considerations which 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 which 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."
Changes to this Manual will be made through use of Updates issued by the Policy Office, CPO. Each Update will describe the new material transmitted, the old material superseded (if any) and the purpose of the change. These Updates will transmit the new or revised material in loose-leaf form. Updates will also be provided electronically via the Grants Bulletin Board (GBB). Approximately every two years, the GPM will be reissued in its entirety incorporating all previously issued Update material. The current version of the GPM is also available on NSF's Science and Technology Information System (STIS).
130 PROPOSAL SUBMISSION AND MERIT REVIEW
General guidance for the preparation, (content, format, budget, etc.), submission, review and processing of unsolicited proposals is contained in the Grant Proposal Guide (GPG). The GPG also contains a Proposal Forms Kit (Section IX) which includes all the forms/formats necessary for proposal submission. The Proposal Forms Kit is also available as a separate publication. Some NSF programs issue or utilize more specific program announcements/solicitations which may modify the guidance contained in the GPG. The latest version of the GPG is available electronically on NSF's STIS. Copies of the GPG, Proposal Forms Kit or any other NSF publication referenced in the GPM may also be obtained from:
National Science Foundation
Forms and Publications Unit
4201 Wilson Boulevard -- Room P15
Arlington, VA 22230
Telephone: (703) 306-1130
Internet: pubs@nsf.gov
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1For purposes of this Manual, references to OMB Circular A-110 also include comparable portions of 45 CFR §602, where appropriate.
2 Consult Exhibit I-2 for information on obtaining these types of documents.