This document has been archived and replaced by NSF-94-2
CHAPTER VII
GRANT ADMINISTRATION HIGHLIGHTS
The administration of grants is governed by the actual conditions of the grant. (See Section VI.A. for additional information regarding the contents of an NSF grant.) The following information highlights frequently asked grant administration questions.
For additional information about the award and administration of NSF grants, proposers and grantees may refer to the NSF Grant Policy Manual (NSF 95-26).
The grantee organization has primary responsibility for general supervision of all grant activities and for notifying NSF of significant problems relating to misconduct in science and engineering or administrative matters. The PI is responsible for the conduct of the research or educational work, the publication of results, and is expected to provide technical leadership to the project whether or not any salary is provided from grant funds.
NSF encourages PIs to communicate the progress of projects supported
by NSF to program officers.
A. GENERAL REQUIREMENTS
Grants for financial assistance are subject to certain statutory
and other general requirements, such as compliance with the Civil
Rights Act of 1964, title IX of the Education Amendments of 1972,
and other laws and regulations prohibiting discrimination; prohibition
of misconduct in science and engineering; Drug-Free Workplace
requirements; restrictions on lobbying; patent and copyright requirements;
cost-sharing; and the use of U.S.-flag carriers for international
travel. These are identified in the GPM and are summarized in
NSF Grant Conditions.
B. PRIOR APPROVAL REQUIREMENTS
Prior written authorization from NSF is required for the following:
(1) transfer of the project effort; (2) change in objectives
or scope; (3) change in PI; (4) a substantial change in PI effort;
(5) rearrangements or alterations (construction activities) costing
$10,000 or more; or (6) reallocation of funds budgeted for participant
support. Changes in participant support costs require Program
Officer approval; all the other changes listed above require Grants
Officer approval. (See also GPM
Exhibit III-I which highlights
grantee notifications to and requests for approval from NSF.)
C. TRANSFER OF PI
If a PI plans to leave an organization during the course of a
grant, the organization has the prerogative to nominate a replacement
PI or request that the grant be terminated. Replacement PIs are
subject to NSF approval. In those cases where a particular PI's
participation is integral to a given project and the PI's original
and new organizations agree, NSF will arrange a transfer of the
grant and the assignment of remaining unobligated funds to the
PI's new organization.(See GPM
Section 312 and GPM
Exhibit III-2
for
NSF Form 1263 "NSF Grant Transfer Request".)
D. EQUIPMENT
Title to equipment purchased or fabricated by an academic institution
or other non-profit organization with NSF grant funds normally
vests in the grantee organization. Title to equipment acquired
through an NSF grant by a small business or other commercial organization
will normally vest in the Government. When title to specialized
equipment purchased with grant funds vests in the grantee organization
and the PI moves to another non-profit organization, NSF encourages
transfer of the equipment to the new organization provided it
is not required at the organization holding title, the cost of
the transfer (shipping charges, freight, etc.) is not excessive
and the PI continues the project at the new location.
E. EXCESS GOVERNMENT PROPERTY
As a means of providing additional support and conserving supply
and equipment funds, NSF may sponsor the transfer of a limited
quantity of excess Government-owned scientific equipment to an
NSF grantee. To learn more about the NSF Grantee Excess Property
Program, grantees should refer to GPM
Section 546 or write to:
National Science Foundation
Property Section, DAS, Room 295
4201 Wilson Boulevard
Arlington, VA 22230
Before transfer of excess Government equipment can be authorized,
justification must be provided to NSF by the grantee that the
equipment will further the objectives of an active NSF grant.
The NSF grant numbers should be cited.
F. SUSPENSION OR TERMINATION OF GRANTS
NSF grants may be suspended or terminated in accordance
with the procedures contained in the Grant Conditions. Grants
may also be terminated by mutual agreement. Termination by mutual
agreement shall not affect any commitment of grant funds that,
in the judgment of NSF and the grantee, had become firm before
the effective date of the termination.
G. GRANT REPORTS
1. Annual Progress Reports
For all multi-year grants, the PI is required to submit the
NSF
Form 1328 to the cognizant NSF Program Officer, with a copy to
the Authorized Organizational Representative. The report should
briefly summarize activity during the past year, identify any
significant research developments, describe any problems encountered
and provide current information about other research support of
senior personnel, if changed from the information previously submitted.
The report should also include any other significant information
pertinent to the type of project supported by NSF or as specified
by the terms and conditions of the grant. Unless otherwise specified
in the grant, progress reports shall be submitted according the
following schedule: (1) for continuing grants, the required progress
report shall be submitted to the cognizant NSF Program Officer
at least 90 days prior to the end of the current budget period;
and (2) for standard grants with an award duration of two years
or more, the first report shall be submitted no later than 90
days after the anniversary of the effective date of the grant,
with succeeding reports annually thereafter, except after the
final year. The NSF Form 1328 must be signed by the PI. (See
Appendix D.)
2. Final Reports
Within 90 days after the expiration of a grant, the PI is required
to submit a NSF Form 98A, Final Project Report, to the
NSF Program Officer, with a copy to the Authorized Organizational
Representative. (See
Appendix E
for a copy of the NSF Form 98A.)
NSF will send a Form 98A, along with a postage-paid, self-addressed
envelope, to each PI approximately 30 days prior to the expiration
date of a grant. The NSF Form 98A must be signed by the PI.
The NSF Form 98A should contain the technical information needed
by NSF for program management and informing the public about the
results of the activities it supports. The report also requests
information on the gender, race, ethnicity, citizenship and disability
status of individuals supported under the grant. Failure to provide
final technical reports
(NSF Form 98A)
will delay NSF review and
processing of pending proposals for that PI. It is suggested
that PIs examine the form in advance to assure availability of
required data.
Final expenditure information is provided by most grantees through
the quarterly Federal Cash Transactions Report, SF 272,
normally submitted (including a signed certification) by the grantee's
financial officer.
H. SHARING OF FINDINGS, DATA AND OTHER RESEARCH PRODUCTS
NSF advocates and encourages open scientific communication.
NSF expects significant findings from supported research and educational
activities to be promptly submitted for publication with authorship
that accurately reflects the contributions of those involved.
It expects PIs to share with other researchers, at no more than
incremental cost and within a reasonable time, the data, samples,
physical collections and other supporting materials created or
gathered in the course of the work. It also encourages grantees
to share software and inventions, once appropriate protection
for them has been secured and otherwise act to make the innovations
they embody widely useful and usable.
NSF program management will implement these policies, in ways
appropriate to field and circumstances, through the proposal review
process; through award negotiations and conditions; and through
appropriate support and incentives for data cleanup, documentation,
dissemination, storage and the like. Adjustments and, where essential,
exceptions may be allowed to safeguard the rights of individuals
and subjects, the validity of results and the integrity of collections
or to accommodate legitimate interests of investigators.
I. ACKNOWLEDGMENT OF SUPPORT AND DISCLAIMER
An acknowledgment of NSF support and a disclaimer must appear
in publications of any material, whether copyrighted or not, based
on or developed under NSF-supported projects:
This material is based upon work supported by the National Science
Foundation under Grant No. (grantee should enter NSF grant number).
Except for articles or papers published in scientific, technical
or professional journals, the following disclaimer should be included:
Any opinions, findings, and conclusions or recommendations expressed
in this material are those of the author(s) and do not necessarily
reflect the views of the National Science Foundation.
J. RELEASE OF GRANTEE PROPOSAL INFORMATION
A proposal that results in an NSF grant becomes part of the record
of the transaction and will be available to the public, except
for information or material that NSF and the grantee mutually
agree to be of a privileged nature. Appropriate labeling in the
proposal aids identification of what may be specifically prohibited
from disclosure by statute.
(See Section II.D.7.a.(iii).) Such
information or material will be held in confidence to the extent
permitted by law, including the Freedom of Information Act. Without
assuming any liability for inadvertent disclosure, NSF will seek
to limit dissemination of such information to its employees and,
when necessary for evaluation of the proposal, to outside reviewers.
A proposal that does not result in an NSF grant will be retained
by NSF but will be released to the public only with the consent
of the proposer or to the extent required by law. Portions of
proposals resulting in grants that contain descriptions of inventions
in which either the Government or the grantee owns or may own
a right, title or interest (including a non-exclusive license)
will not normally be made available to the public until after
a reasonable time has been allowed for filing a patent application.
It is NSF policy to notify the grantee of receipt of requests
for copies of funded proposals so that the grantee may advise
NSF of such inventions described in the proposal.
K. LEGAL RIGHTS TO INTELLECTUAL PROPERTY
NSF normally allows grantees to retain principal legal rights
to intellectual property developed under its grants. This policy
provides incentive for development and dissemination of inventions,
software and publications that can enhance their usefulness, accessibility
and upkeep. It does not, however, reduce the responsibility of
researchers and organizations to make results, data and collections
available to the research community.