oppPD-98-1680-instructions..pdf

Effective January 30, 2017

Grants.gov Application Guide A Guide for Preparation & Submission of

NSF Applications via Grants.gov

THE NATIONAL SCIENCE FOUNDATION

NATIONAL SCIENCE FOUNDATION

Grants.gov Application Guide A Guide for Preparation and Submission of NSF Applications via Grants.gov January 30, 2017

SUMMARY OF SIGNIFICANT CHANGES AND CLARIFICATIONS

Effective for applications submitted, or due, on or after January 30, 2017 Overall Document, The Grants.gov Application Guide has been updated to align with changes to NSF’s Proposal & Award Policies & Procedures Guide (PAPPG) (NSF 17-1). All References to the Grant Proposal Guide (GPG) and Award & Administration Guide (AAG) have been removed. The document now references the Proposal & Award Policies & Procedures Guide (PAPPG).

Editorial changes. Editorial changes have been made to either clarify or enhance the intended meaning of a sentence or section or ensure consistency with data contained in NSF systems or other NSF policy documents.

A Guide for Preparation and Submission of NSF Applications via Grants.gov January 30, 2017

Table of Contents

I. INTRODUCTION

1. BACKGROUND

2. PURPOSE AND SCOPE

3. INTENDED AUDIENCE

4. SYMBOLS

5. REFERENCED DOCUMENTS

5.1 NSF Proposal & Award Policies & Procedures Guide (PAPPG)

5.2 Grants.gov Applicant User Guide

II. GENERAL INSTRUCTIONS FOR SUBMISSION VIA GRANTS.GOV

1. REGISTRATION PROCESS

2. SOFTWARE REQUIREMENTS

2.1 Adobe Reader

III. NSF-SPECIFIC INSTRUCTIONS FOR SUBMISSION VIA GRANTS.GOV

1. NSF’S IMPLEMENTATION OF GRANTS.GOV

2. COMPONENTS OF AN NSF APPLICATION

3. CONFORMANCE WITH APPLICATION PREPARATION REQUIREMENTS

3.1 Portable Document Format (PDF)

3.2 Creating PDF Files

4. SUBMISSION OF SAME APPLICATION TO MULTIPLE AGENCIES

5. SUBMISSION FOR REVIEW BY MULTIPLE PROGRAMS WITHIN NSF

6. NEXT STEPS – POST SUBMISSION TO GRANTS.GOV

6.1 Grants.gov Contact Center

6.2 NSF IT Help Central

6.3 Research.gov and the NSF FastLane System

6.4 Warning Messages

IV. GRANT APPLICATION PACKAGE INSTRUCTIONS

1. GRANT APPLICATION PACKAGE

1.1 Verify Grant Information

1.2 Enter a Name for the Application

1.3 Open and Complete Mandatory Documents

1.4 Open and Complete Optional Documents

1.5 Navigating the Forms

1.6 Attachments

1.7 Displaying Help Tips

1.8 Saving the Application

1.9 Check Package for Errors

1.10 Submitting the Application

V. RESEARCH AND RELATED (R&R) FORMS AND INSTRUCTIONS

1. OVERVIEW

2. SF 424 (R&R) (COVER SHEET)

2.1 Enter a Type of Submission (Field 1 on the Form)

2.2 Enter Date Submitted and Applicant Identifier (Field 2 on the Form)

2.3 Enter Date Received by State (Field 3 on the Form)

2.4.a Federal Identifier (Field 4.a on the Form) 2.4.b Agency Routing Number (Field 4.b on the Form) 2.4.c Previous Grants.gov Tracking ID (Field 4.c on the Form)

2.5 Enter Applicant Information (Field 5 on the Form)

2.6 Enter Employer Identification (EIN) or (TIN) (Field 6 on the Form)

2.7 Enter Type of Applicant (Field 7 on the Form)

A Guide for Preparation and Submission of NSF Applications via Grants.gov January 30, 2017

2.8 Select Type of Application (Field 8 on the Form)

2.9 Enter Name of Federal Agency (Field 9 on the Form)

2.10 Enter Catalog of Federal Domestic Assistance Number (Field 10 on the

Form)

2.11 Enter Descriptive Title of Applicant's Project (Field 11 on the Form)

2.12 Enter Proposed Project (Field 12 on the Form)

2.13 Enter Congressional District of Applicant (Field 13 on the Form)

2.14 Enter Project Director/Principal Investigator Contact Information

(Field 14 on the Form)

2.15 Enter Estimated Project Funding (Field 15 on the Form)

2.16 Is Application Subject to Review by State Executive Order 12372 Process?

(Field 16 on the Form)

2.17 Complete Certification (Field 17 on the Form)

2.18 SFLLL (Disclosure of Lobbying Activities) or Other Explanatory

Documentation (Field 18 on the Form)

2.19 Enter Authorized Representative (Field 19 on the Form)

2.20 Enter Pre-Application (Field 20 on the Form)

2.21 Cover Letter Attachment (Field 21 on the Form)

3. PROJECT/PERFORMANCE SITE LOCATIONS

3.1 Enter Project/Performance Site Primary Location

4. R&R OTHER PROJECT INFORMATION

4.1 Are Human Subjects Involved? (Field 1 on the Form)

4.2 Are Vertebrate Animals Used? (Field 2 on the Form)

4.3 Is Proprietary/Privileged Information Included in the Application?

(Field 3 on the Form)

4.4 Does this Project Have an Actual or Potential Impact – Positive or

Negative – on the Environment? (Field 4 on the Form)

4.5 Is the Research Performance Site Designated, or Eligible to be Designated, as a Historic Place? (Field 5 on the Form)

4.6 Does this Project Involve Activities Outside the US or Partnership with

International Collaborators? (Field 6 on the Form)

4.7 Attach Project Summary/Abstract (Field 7 on the Form)

4.8 Attach Project Narrative (Field 8 on the Form)

4.9 Attach Bibliography & References Cited (Field 9 on the Form)

4.10 Attach Documentation for Facilities & Other Resources (Field 10 on the

Form

4.11 Attach Equipment Documentation (Field 11 on the Form)

4.12 Add Other Attachments (Field 12 on the Form)

5. R&R PERSONAL DATA

5.1 Enter Project Director/ Principal Investigator

5.2 Enter Co-Project Director/co-Principal Investigator Information

6. R&R FUNDS REQUESTED BUDGET

6.1 Enter Budget Information

6.2 Enter Senior/Key Person (Field A on the Form)

6.3 Enter Other Personnel (Field B on the Form)

6.4 Enter Equipment Description (Field C on the Form)

6.5 Enter Travel (Field D on the Form)

6.6 Enter Participant/Trainee Support Costs (Field E on the Form)

6.7 Total Participant/Trainee Support Costs – Total Funds requested for all trainee costs

6.8 Enter Other Direct Costs (Field F on the Form)

A Guide for Preparation and Submission of NSF Applications via Grants.gov January 30, 2017

6.9 Verify Total Direct Costs (Field G on the Form)

6.10 Enter Indirect Costs (Field H on the Form)

6.11 Verify Total Indirect Costs

6.12 Verify Total Direct and Indirect Costs (Field I on the Form)

6.13 Enter Fee (Field J on the Form)

6.14 Enter Budget Justification (Field K on the Form)

7. R&R SUBAWARD BUDGET ATTACHMENT(S) FORM

VI. NSF-SPECIFIC FORMS AND INSTRUCTIONS

1. NSF COVER PAGE

1.1 Verify Funding Opportunity Number (Field 1 on the Form)

1.2 Enter NSF Unit Consideration (Field 2 on the Form)

1.3 Enter Principal Investigator (PI) Information (Field 3 on the Form)

1.4 Enter Other Information (Field 4 on the Form)

1.5 Attach Additional Single-Copy Documents (Field 5 on the Form)

1.6 Data Management Plan (Field 6 on the Form)

1.7 Mentoring Plan (Field 7 on the Form)

1.8 Funding Mechanism (select one) (Field 8 on the Form)

2. NSF R&R SENIOR/KEY PERSON PROFILE (EXPANDED)

2.1 Enter Profile – Project Director/Principal Investigator (PD/PI)

2.2 Attach Biographical Sketch – PD/PI

2.3 Attach Current and Pending Support – PD/PI

2.4 Attach Collaborators & Other Affiliations – PD/PI

2.5 Enter Profile – Senior/Key Person(s)

2.6 Attach Biographical Sketch – Senior/Key Person(s)

2.7 Attach Current and Pending Support - Senior/Key Person(s)

2.8 Attach Collaborators & Other Affiliations - Senior Key Person(s)

2.9 Enter Additional Senior/Key Person Profile(s)

3. NSF DEVIATION AUTHORIZATION

3.1 Enter Deviation Authorization (If Applicable)

4. NSF SUGGESTED REVIEWERS OR REVIEWERS NOT TO INCLUDE

4.1 Enter Suggested Reviewers

4.2 Enter Reviewers Not to Include

5. NSF FASTLANE SYSTEM REGISTRATION

5.1 Enter Organization Information

5.2 Enter President’s Name

5.3 Enter FastLane Contact

5.4 Enter Individual Information

6. DIRECTORATE SPECIFIC FORMS

6.1 Biological Sciences (BIO) Classification Form

6.2 Division of Undergraduate Education (DUE) Project Data Form

VII. NSF APPLICATION CHECKLIST

VIII. ADMINISTRATION OF AWARDS

A Guide for Preparation and Submission of NSF Applications via Grants.gov January 30, 2017

I. INTRODUCTION

1. BACKGROUND

The National Science Foundation (NSF) funds research and education in science and engineering through grants and cooperative agreements. The Foundation accounts for approximately 20 percent of federal support to academic institutions for basic research. Grants.gov allows organizations to electronically find and apply for competitive grant opportunities from all Federal grant-making agencies, including NSF. Grants.gov encompasses over 1,000 different programs offered by the 26 Federal grant-making agencies

2. PURPOSE AND SCOPE

This document was developed to assist applicants in the preparation and submission of applications to NSF. It is intended as the primary document for use in preparation of applications via Grants.gov. Where appropriate, relevant sections of the NSF Proposal & Award Policies & Procedures Guide (PAPPG) and Grants.gov Applicant User Guide have been incorporated by reference.

For the purpose of this document, the term “application” (used by Grants.gov) will replace the term “proposal” (used by NSF). However, the terms are synonymous.

3. INTENDED AUDIENCE

NSF welcomes applications on behalf of all qualified scientists, engineers, and educators. The Foundation strongly encourages women, minorities, and persons with disabilities to participate fully in its programs. In accordance with Federal statutes, regulations, and NSF policies, no person on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination, under any program or activity receiving financial assistance from NSF, although some programs may have special requirements that limit eligibility.

Scientists, engineers, and educators usually initiate applications that are officially submitted by their employing organization. Before formal submission, the application may be discussed with appropriate NSF program staff.

Graduate students are not encouraged to submit research applications but should arrange to serve as research assistants to faculty members. Some NSF divisions accept applications for Doctoral Dissertation Research Grants when submitted by a faculty member on behalf of the graduate student. A full listing of eligible applicants is contained in the NSF Proposal & Award Policies & Procedures Guide (PAPPG Chapter I.E).

4. SYMBOLS

The following symbols are used throughout this document to highlight information that is of particular interest or importance:

This symbol indicates NSF specific instructions.

This symbol represents a link to an important reference material.

*This symbol represents a required field

5. REFERENCED DOCUMENTS

5.1 NSF Proposal & Award Policies & Procedures Guide (PAPPG)

The PAPPG provides guidance for the preparation of applications for submission to NSF via use of the https://www.nsf.gov/pubs/policydocs/pappg17_1/pappg_1.jsp#IE

A Guide for Preparation and Submission of NSF Applications via Grants.gov

FastLane System. The PAPPG includes detailed application preparation instructions and information about NSF’s application processing and review process. It also includes information about withdrawals, returns, and declinations. Where appropriate, sections of the PAPPG have been incorporated by reference into this application guide.

NSF Proposal & Award Policies & Procedures Guide:

http://www.nsf.gov/publications/pub_summ.jsp?ods_key=papp

5.2 Grants.gov Applicant User Guide

The Grants.gov Applicant User Guide is a comprehensive reference to information about Grants.gov.

Applicants can download the User Guide as a PDF document.

Grants.gov Applicant User Guide:

http://www.grants.gov/documents/19/18243/GrantsgovApplicantUserGuide.pdf http://www.nsf.gov/publications/pub_summ.jsp?ods_key=papp

II. GENERAL INSTRUCTIONS FOR SUBMISSION VIA GRANTS.GOV

1. REGISTRATION PROCESS

Before using Grants.gov for the first time, each organization must register to create an institutional profile.

Once registered, the applicant’s organization can then apply for most government grants on the Grants.gov website, including NSF grants.

Grants.gov Registration: http://www.grants.gov/web/grants/applicants.html

2. SOFTWARE REQUIREMENTS1

2.1 Adobe Reader

In order to open, complete, and submit an application package, applicants must download and install the latest version of Adobe Reader from the Grants.gov website. NSF strongly recommends that applicants download Adobe Reader directly from the Grants.gov website to ensure the use of the latest compatible version of Adobe Reader.

For minimum system requirements, download instructions, and help tips for using Adobe, please see Grants.gov Download Software: http://www.grants.gov/web/grants/applicants.html

1 If the applicant has problems setting up software on their machine, the applicant may not have security permissions to install new programs on their system. If that is the case, they should contact the organization’s system administrator.

http://www.grants.gov/web/grants/applicants.html http://www.grants.gov/web/grants/applicants.html

III. NSF-SPECIFIC INSTRUCTIONS FOR SUBMISSION VIA GRANTS.GOV

1. NSF’S IMPLEMENTATION OF GRANTS.GOV

Unless otherwise specified in an NSF solicitation, applications to NSF may be submitted via use of Grants.gov or the NSF FastLane System. Please note that simultaneously submitted collaborative applications must be submitted via FastLane as Grants.gov does not currently support this functionality.

Upon posting to Grants.gov, the application package will contain the appropriate Research and Related forms, NSF specific forms, and the NSF Grants.gov Application Guide.

2. COMPONENTS OF AN NSF APPLICATION

The documents listed in Table 1 are components of an NSF application. The documents identified as required must be submitted to NSF as part of the application. Detailed instructions for submitting both required and optional documents can be found on the page indicated in the last column of the table.

Table 1: Components of an NSF Application Document Required Optional Instructions

SF 424 (R&R) Cover Sheet Page 18

Project/Performance Site Location(s) Page 25

R&R Other Project Information Page 26

R&R Senior/Key Person Profile (Expanded)

R&R Personal Data Page 31

R&R Funds Requested Budget Page 33

R&R Subaward Budget Attachment(s) Page 39

NSF Cover Page Page 41

NSF Deviation Authorization Page 47

NSF Suggested Reviewers Page 48

NSF FastLane System Registration Page 48

3. CONFORMANCE WITH APPLICATION PREPARATION REQUIREMENTS

It is imperative that all applications conform to these application preparation and submission instructions.

All attachments to an application also must comply with NSF font, spacing, and margin requirements (See PAPPG Chapter II.B.2). Conformance with all preparation and submission instructions is required and will be strictly enforced unless a deviation has been approved in advance of application submission. Please note that NSF solicitations may establish additional requirements. Applications that do not comply with this requirement will not be inserted into NSF’s FastLane system and therefore cannot be reviewed. See PAPPG Chapter II.A for additional information.

3.1 Portable Document Format (PDF)

NSF requires that applicants submit all attachments to applications to Grants.gov in Portable Document Format (PDF). Using PDF format allows applicants to preserve the formatting of their documents. In order to save a document as a PDF, the applicant will need to use PDF generator software. Applications with attachments in non-PDF format will not be inserted into FastLane and will require resubmission via Grants.gov by the applicant.

https://www.nsf.gov/pubs/policydocs/pappg17_1/pappg_2.jsp#IIB2 https://www.nsf.gov/pubs/policydocs/pappg17_1/pappg_2.jsp#IIA https://www.nsf.gov/pubs/policydocs/pappg17_1/pappg_2.jsp#IIA

3.2 Creating PDF Files

NSF has published the following webpage that provides guidance on creating PDF files acceptable for submission to FastLane. This same guidance must be followed for all attachments submitted with the NSF application through Grants.gov.

Creating PDF Files: https://www.fastlane.nsf.gov/documents/pdf_create/pdfcreate_05a.jsp

Adobe Reader cannot produce PDF files. The applicant must use the Adobe Distiller component of Adobe Acrobat.

NOTE: DO NOT USE PDF Writer! To avoid problems with converting documents to PDF, download the FastLane Job Options file as described below.

3.2.1 Instructions for Non-Adobe Acrobat Users

Users without Adobe Acrobat may use the PDF Conversion Utility found within FastLane to convert non-PDF documents to PDF format. The utility can be accessed by registered FastLane users through either the Proposal Preparation or the Research Administration modules.

To access the FastLane PDF Conversion Utility through Proposal Preparation, navigate to the NSF FastLane homepage: https://www.fastlane.nsf.gov/fastlane.jsp and select the “Proposals, Awards and Status” module. To access the FastLane PDF Conversion Utility through Research Administration, click on the link https://www.fastlane.nsf.gov/researchadmin/. Next:

1. Log in using your appropriate FastLane log-in information.

2. On the Quick Links menu at the left of the screen, select Convert Files to PDF.

3. Enter the document location in the space provided, or click the Browse button to select the document to be converted to PDF format.

4. Select the Convert to PDF button. The PDF conversion process may take a few minutes depending on your file size. Upon completion of PDF conversion, the screen will indicate that your file has been successfully converted.

5. Select View PDF. The converted document appears in PDF format in Adobe Reader within your web browser.

6. Select the diskette icon to name and save your new PDF file locally to your computer’s hard drive.

3.2.2 Warnings and Rules

Failure to comply with the following warnings or to adhere to NSF rules for PDF files may result in your application not being inserted into NSF’s FastLane and the application missing the opportunity’s deadline date.

Warnings

• DO NOT Use Adobe Acrobat PDFWriter

• DO NOT Use Blocked PDF Producers

• DO NOT Use Adobe Acrobat Encryption or Security Setting http://www.fastlane.nsf.gov/documents/pdf_create/pdfcreate_05a.jsp http://www.fastlane.nsf.gov/documents/pdf_create/pdfcreate_05a.jsp http://www.fastlane.nsf.gov/documents/pdf_create/pdfcreate_05a.jsp http://www.fastlane.nsf.gov/fastlane.jsp http://www.fastlane.nsf.gov/fastlane.jsp http://www.fastlane.nsf.gov/researchadmin/ http://www.fastlane.nsf.gov/researchadmin/ http://www.fastlane.nsf.gov/researchadmin/ http://www.fastlane.nsf.gov/researchadmin/ https://www.fastlane.nsf.gov/NSFHelp/flashhelp/fastlane/FastLane_Help/blocked_pdf_producers.htm

Rules

• Always Check Results

• Always Embed All Fonts

• Always Use Type 1 or True Type Fonts

• Note the Special Rules for TeX or LaTeX

DO NOT Use Adobe Acrobat PDFWriter

PDFWriter does not produce acceptable PDF files, except under very limited circumstances. This can lead to NSF Program Officers and reviewers seeing garbled and/or incomplete versions of a file. NSF recommends uploading one of the supported formats as identified in the Acceptable File Formats section on FastLane https://www.fastlane.nsf.gov/documents/pdf_create/pdfcreate_04.jsp?page=0 To create and upload a PDF file, use Adobe Distiller (in the same package as PDFWriter) or Ghostscript version 6.5 or higher.

4. SUBMISSION OF SAME APPLICATION TO MULTIPLE AGENCIES

With the exception of the Biological Sciences Directorate policy specified below, concurrent submission of an application to other organizations for simultaneous consideration will not prejudice its review.

NSF Biological Sciences Directorate Policy Research applications to the Biological Sciences Directorate (not applications for conferences) cannot be duplicates of applications to any other Federal agency for simultaneous consideration. The only exceptions to this rule are: (1) when the Program Officers at the relevant Federal agencies have previously agreed to joint review and possible joint funding of the application; or (2) applications for Principal Investigators (PIs) who are beginning investigators (individuals who have not been a PI) or co-Principal Investigator (co-PI) on a Federally funded award with the exception of doctoral dissertation, postdoctoral fellowship, or research planning grants. For applicants who qualify under this latter exception, the box for "Beginning Investigator" must be checked on the NSF Grant Application Cover Page.

5. SUBMISSION FOR REVIEW BY MULTIPLE PROGRAMS WITHIN NSF

The same work/application cannot be funded twice. The submission of duplicate or substantially similar applications concurrently for review by more than one program without prior NSF approval may result in the return of the redundant applications. (See PAPPG Chapter IV.B for further information.)

6. NEXT STEPS – POST SUBMISSION TO GRANTS.GOV

Until an application has been received and validated by NSF, the Authorized Representative (AR) may check the status of an application on Grants.gov. Grants.gov requires a user login and password.

Check Application Status: http://www.grants.gov/web/grants/applicants/track-my-application.html http://www.fastlane.nsf.gov/documents/pdf_create/pdfcreate_04.jsp?page=0 http://www.fastlane.nsf.gov/documents/pdf_create/pdfcreate_04.jsp?page=0 http://www.fastlane.nsf.gov/documents/pdf_create/pdfcreate_04.jsp?page=0 https://www.nsf.gov/pubs/policydocs/pappg17_1/pappg_4.jsp#IVB http://www.grants.gov/web/grants/applicants/track-my-application.html

6.1 Grants.gov Contact Center

If the AR has not received a confirmation message from Grants.gov within 48 hours of submission of the application, please contact:

Telephone: 1-800-518-4726 Email: support@grants.gov

6.2 NSF IT Help Central

If the AR2 has not received a confirmation message from NSF within 60 hours of submission of the application, please contact:

Telephone: 1-800-673-6188 Email: fastlane@nsf.gov

6.3 Research.gov and the NSF FastLane System

Research.gov (http://www.research.gov/) is NSF’s modernization of FastLane.

FastLane is the NSF online website through which NSF interacts with researchers and potential researchers, reviewers, and research administrators and their organizations.

FastLane: https://www.fastlane.nsf.gov

For applications submitted through Grants.gov the applicant should use:

• Research.gov to check the status of an application after it has been received and validated by NSF.

See Section 6.3.1, “Check the Status of an Application in Research.gov,” below for more information;

• FastLane to add or correct information in the application after submission via Grants.gov and a notification is received from NSF that the application has been inserted into FastLane. See Section 6.3.2, “Proposal File Update – Post Submission,” and Section 6.4, “Warning Messages,” for details.

6.3.1 Check the Status of an Application in Research.gov

After applicants receive an email notification from NSF, Research.gov should be used to check the status of an application.

Research.gov Grant Application Status: To view the status of an application, log in to Research.gov (http://www.research.gov/) with the same account information used to access FastLane (last name, NSF ID, and password).

6.3.2 Proposal File Update – Post Submission

Applications submitted through Grants.gov are considered official submissions to the Federal government.

Applicants that wish to change or correct a previously submitted application must use the Proposal File Update3 module available in the NSF FastLane System as specified below. The FastLane Proposal File Update Module allows the organization to request the replacement of files or revision of other Proposal Attributes, associated with a previously submitted proposal. (Note: The FastLane Proposal File Update module must not be used for submission of revised budgets. All budgetary revisions must be submitted through use of the FastLane Revised Proposal Budget Module. See Section 6.3.3, “Revisions to the Budget” below for further information.)

2 The identified PI also will receive a confirmation message from NSF.

3 The module in FastLane that is used to update files is the Proposal File Update module. The term proposal has the same meaning application.

mailto:support@grants.gov mailto:fastlane@nsf.gov http://www.research.gov/ http://www.fastlane.nsf.gov/ http://www.research.gov/

A request for a proposal file update must be signed and submitted by the AR. An update request must contain a justification that addresses:

1. why the changes or file replacements are being requested; and

2. any differences between the original and proposed replacement files.

FastLane Proposal File Update: https://www.fastlane.nsf.gov/jsp/homepage/proposals.jsp

A request for a proposal file update automatically will be accepted if submitted prior to:

• the deadline date specified in a program solicitation;

• initiation of external peer review in cases when a target date is utilized; and

• initiation of external peer review in the case of an unsolicited application.

A request for a proposal file update after the timeframes specified above will require acceptance by the cognizant NSF Program Officer. Such requests shall be submitted only to correct a technical problem with the application (e.g., formatting or print problems). Changes in the content of the application should not be requested after the timeframes specified above. When a request is accepted, the proposed files or revisions to application attributes will immediately replace the existing files and become part of the official application.

PIs can access the Proposal File Update Module via the "Proposal Functions" section of FastLane. Authorized individuals in the organization's Sponsored Projects Office (or equivalent) can initiate or review requests for proposal file updates using the "Submit Proposals/Supplements/File Updates/Withdrawals" Module via the FastLane "Research Administration Functions."

NSF will consider only one request for a proposal file update per application at a time. It is anticipated that it will be a rare occurrence for more than one file update request to be submitted for an application. See PAPPG Chapter III.C.

6.3.3 Revisions to the Budget

Negotiating budgets generally involves discussing a lower or higher amount of total support for the proposed project. The cognizant NSF Program Officer may suggest reducing or eliminating costs for specific budget items that are clearly unnecessary or unreasonable for the activities to be undertaken, especially when the review process supports such changes; however, this would generally not include faculty salaries, salary rates, fringe benefits, or tuition. Note: indirect cost rates are not subject to negotiation. The NSF Program Officer may discuss with PIs the “bottom line” award amount, i.e., the total NSF funding that will be recommended for a project. NSF Program Officers may not renegotiate cost sharing or other organizational commitments.

When such discussions result in a budget reduction of 10% or more from the amount originally proposed, a corresponding reduction should be made in the scope of the project. Applicants must use the FastLane Revised Proposal Budget Module to submit this information. A revised proposal budget also must include a Budget Impact Statement that describes the impact of the budget reduction on the scope of the project.

Revised proposal budgets must be signed and submitted by the AR. See PAPPG Chapter III.D.

6.4 Warning Messages

If an applicant receives a Warning Message email stating information needs to be added or corrected in the application, the applicant should carefully review each warning and make the necessary correction(s) as needed in the Proposal File Update module. See Section 6.3.2, “Proposal File Update – Post Submission,” and 6.3.3, “Revisions to the Budget,” above for more information about file updates.

NSF strongly recommends that the warnings be resolved as described in the warning message. NSF will http://www.fastlane.nsf.gov/jsp/homepage/proposals.jsp https://www.nsf.gov/pubs/policydocs/pappg17_1/pappg_3.jsp#IIIC https://www.nsf.gov/pubs/policydocs/pappg17_1/pappg_3.jsp#IIIC https://www.nsf.gov/pubs/policydocs/pappg17_1/pappg_3.jsp#IIID return without review applications that do not meet NSF application preparation requirements.

IV. GRANT APPLICATION PACKAGE INSTRUCTIONS

1. GRANT APPLICATION PACKAGE

1.1 Verify Grant Information

Verify that the information shown corresponds to the grant for which the applicant wishes to apply. Grants.gov will auto-populate the following information:

• Opportunity Title

• Offering Agency

• Catalog of Federal Domestic Assistance (CFDA) Number

• CFDA Description

• Opportunity Number

• Competition ID

• Opportunity Open Date

• Opportunity Close Date

• Agency Contact

1.2 Enter a Name for the Application

Check the box indicating that the applicant will be submitting applications on his/her own behalf (if applicable).

The check box will only be shown on funding opportunities that are open to individuals.

Enter a name for the application in the *Application Filing Name field (this is a required field). This name is for use solely by the applicant for you to track through the Grants.gov submission process. It is not used by the receiving agency.

1.3 Open and Complete Mandatory Documents

Open and complete all of the documents listed in the “Mandatory Documents” section. Complete the SF 424 (R&R) first. Data entered on the SF 424 (R&R) is populated into other mandatory and optional forms where possible.

Mandatory Documents include:

• SF424 (R&R)

• Project/Performance Site Location(s)

• R&R Other Project Information

• R&R Personal Data

• R&R Budget

• NSF Cover Page

• NSF R&R Senior/Key Person Profile (Expanded)

Copies of all forms are available for reference on the Grants.gov website:

http://www.grants.gov/web/grants/forms/r-r-family.html#sortby=1.

1.4 Open and Complete Optional Documents

To open Optional documents click on the checkbox next to the optional form you wish to add. Once the checkbox is checked, click on the link for the form to fill it out.

http://www.grants.gov/web/grants/forms/r-r-family.html#sortby=1

Optional Documents include:

• R&R Subaward Budget Attachment(s) Form

• NSF Deviation Authorization

• NSF Suggested Reviewers

• NSF FastLane System Registration

Copies of all forms are available for reference on the Grants.gov website:

1.5 Navigating the Forms

The applicant must complete the mandatory fields on each page of the form/document. Mandatory fields in Adobe Reader are highlighted in yellow with a red border.

To navigate to the next page of a form/document, locate the right arrow in the Adobe toolbar at the top of Adobe Reader and click on the arrow.

Once the arrow has been clicked, the applicant will be taken to the next page of the form/document where he/she may complete the rest of the form. The applicant may use this arrow to be taken to each subsequent form in the application.

To go back to the previous page or previous form/document, simply click the left arrow on the Adobe toolbar.

Additionally, Adobe Reader allows scrolling from one form to the next by using the up and down arrows on the far right of Adobe Reader.

Once all the relevant fields have been completed, the applicant can return to the Grant Application Package screen and the list of Mandatory and Optional Documents by going to the first page in the application package or by clicking on the “Close Form” button when available. When a form/document is closed the completed data is captured in the application package but the form/document is not automatically saved. The application package must be saved from the Grant Application Package screen. More information on saving the application package is available in Section 1.8, “Saving the Application.”

1.6 Attachments

Many of the forms/documents in the application package require the applicant to attach files. As stated in Chapter III, Section 3.1 above, “Portable Document Format (PDF),” NSF requires that all attachments must be submitted in PDF format.

To attach a PDF file to the forms/documents in the application package, only use the attachment buttons found on the form. Do not use the Adobe attachment function through the Adobe menu or Adobe icon.

For more information on adding attachments to the application package using Adobe forms, please see the Grants.gov Applicant User Guide:

http://www.grants.gov/documents/19/18243/GrantsgovApplicantUserGuide.pdf

The R&R Subaward Budget Attachment(s) Form allows the applicant to attach additional Adobe forms. Chapter V, Section 8 of this Guide provides detailed instructions for the navigation of this form.

1.7 Displaying Help Tips

To display a Help Tip in Adobe Reader, hover or place the cursor over the field in question. Fields that are pre-populated by Grants.gov are display-only fields and no Help Tip is available. Help Tips are not available for buttons that are grayed out.

1.8 Saving the Application

The “Save” button only appears on the Grant Application Package screen. It is recommended that after the applicant completes each form/document that he/she go to the first page of the application package, or click on the “Close Form” button when available, then save the application package by clicking on the “Save” button at the top of the Grant Application Package Screen. It is important to note that the application package will be saved to the last active directory on the applicant’s computer. Therefore, the applicant should save the application package to his/her hard drive where it can easily be located. The applicant may save the application package at any time and should save the application package with the same file name each time.

1.9 Check Package for Errors

To initiate the Grants.gov edit check process, simply click on the “Check Package for Errors” button on the first page of the application package.

If all fields pass validation checks, a message box is shown saying “Validation Passed.” If the application fails a validation check, the applicant must fix the error(s) and check the package for errors again. All errors are displayed one at a time.

Applicants are advised that no checks against NSF-specific business rules will take place at this time.

1.10 Submitting the Application

The AR must open the application in Adobe Viewer then press the “Save & Submit” button. Applications can be completed in their entirety offline; however, to submit an application you must be connected to the internet.

To submit the application:

1. Browse to the physical location where the application file is located on your hard disk.

2. Double-click the application.

3. The application will open in Adobe Reader. This may take a few moments. Please be patient.

4. Once the application is completely open, if the “Save & Submit” button is not active then click the “Save” button. If the application has passed the “Check Package for Errors” validation check, the application will be saved and the “Save & Submit” button will become active.

5. Click “Save & Submit.” A window will display requiring the application to be saved one more time. Save the application.

6. A pop-up window is displayed with User Name and Password prompt.

7. Enter your AR User Name and Password.

8. Click Login.

A pop-up window is displayed that says “This document is trying to connect to the site.

If you trust the site click ‘Allow’, otherwise click ‘Block’.”

9. Click on ‘Allow’ and select the checkbox next to ‘Remember my Action…’ This is a security warning from the Adobe Reader. Please note the URL shown in the window may be slightly different than what is listed here.

10. A pop-up window is displayed that asks “Do you wish to sign and submit this Application?”

11. Click the “Sign and Submit Application” button

12. A Security Warning pop-up window is displayed that says “This document has accessed more than one site and might be trying to share data among different locations. This could be a privacy concern. Are you sure you want to continue?” Check the “Don’t show this message again until this document is reopened” checkbox and click “Yes.”

13. Upon successful submission of the application, a Confirmation document is displayed with the Grants.gov

Tracking Number displayed on the second page. It is recommended that this document be saved and printed for your records.

Only the AR has the authority and user rights to Sign and Submit an application to Grants.gov.

Additional submission FAQs may be found on the Grants.gov website.

Grants.gov submission FAQs: http://www.grants.gov/web/grants/applicants/applicant-faqs.html http://www.grants.gov/web/grants/applicants/applicant-faqs.html

V. RESEARCH AND RELATED (R&R) FORMS AND INSTRUCTIONS

1. OVERVIEW

This section contains both the SF 424 (R&R) instructions, as well as any applicable NSF-specific instructions.

The NSF-specific instructions are identified by the NSF logo. It is important that all applications conform to these SF 424 (R&R) General Instructions, and where specified, with the NSF-specific instructions. Conformance is required and will be strictly enforced unless a deviation has been approved in advance of submission.

Applicants are advised that NSF may return without review applications that are not consistent with these instructions.

The NSF applicant is required to complete and submit the following SF 424 (R&R) forms as part of the application package:

• SF424 (R&R) (Cover Sheet);

• Project/Performance Site Location(s);

• Research & Related Other Project Information;

• Research & Related Personal Data;

• Research & Related Budget

The following SF 424 (R&R) form is optional and only should be submitted when appropriate:

• R&R Subaward Budget Attachment(s) Form

Detailed instructions for the completion of each of these forms are explained in the following sections.

2. SF 424 (R&R) (COVER SHEET)

A copy of the SF 424 (R&R) (Cover Sheet) is available for reference on the Grants.gov website:

http://www.grants.gov/web/grants/forms/r-r-family.html#sortby=1.

2.1 Enter a Type of Submission (Field 1 on the Form)

Check one of the Type of Submission boxes.

For purposes of NSF, the term preliminary proposal is synonymous with pre-application. Preliminary proposals, when required, must be submitted via use of the NSF FastLane System. In addition, the box for "changed/corrected application” should not be used.

Applicants that wish to change or correct a previously submitted application (that has already been accepted into FastLane) should use the Proposal File Update module available in NSF FastLane at https://www.fastlane.nsf.gov/. See Chapter III, Section 6.3.2, “Proposal File Update – Post Submission.”

Resubmissions, continuations, or revisions also should not be used in Field 8 on the form. See Section 2.8, “Select Type of Application (Field 8 on the Form).”

2.2 Enter Date Submitted (Field 2 on the Form)

Enter the date the application is submitted to the Federal agency.

For proposers impacted by a natural or anthropogenic disaster, please contact the cognizant NSF http://www.fastlane.nsf.gov/

Program Officer in the Division/ Office to which the application will be submitted to request authorization to submit a proposal after the deadline date. Proposers should then follow the written or verbal guidance provided by the cognizant NSF Program Officer. A statement identifying the nature of the event that impacted the ability to submit the proposal on time should be uploaded under “Additional Single-Copy Documents,” Field 5 on the NSF Cover Page form. See also PAPPG Chapter I.F for additional information.

2.3 Enter Date Received by State (Field 3 on the Form)

Leave this blank.

2.4.a Federal Identifier (Field 4.a on the Form)

If a new, full application is being submitted that is related to a previously submitted pre-application, enter the NSF assigned pre-application number in the Federal Identifier field. If this is a renewal application, requesting additional funding for a period subsequent to that provided by a current award, enter the assigned award number of the previously funded application in the Federal Identifier field. If this application is a resubmission of an application that has been previously submitted, but was not funded, and is being resubmitted for new consideration, leave blank. NSF treats these submissions as new applications.

2.4.b Agency Routing Number (Field 4.b on the Form)

NSF does not use this field for routing. This field should be left blank.

2.4.c Previous Grants.gov Tracking ID (Field 4.c on the Form)

NSF does not use this field. This field should be left blank.

2.5 Enter Applicant Information (Field 5 on the Form)

Enter the DUNS or DUNS+4 number of the applicant organization. This field is required.

The legal name of the applicant "organization" should be entered under "Legal Name," unless the applicant is an individual.

In addition, applicants that are individuals cannot enter information into the Organizational DUNS field.

Field Name Input

*Legal Name Enter legal name of applicant, which will undertake the assistance activity, enter the complete address of the applicant (including county/parish and country), and name, telephone number, e-mail, and fax of the person to contact on matters related to this application. This field is required.

Department Enter the name of primary organizational department, service, laboratory, or equivalent level within the organization which will undertake the assistance activity.

Division Enter the name of primary organizational division, office, or major subdivision which will undertake the assistance activity.

*Street 1 Enter first line of the street address for the applicant in “Street1” field. This field is required.

Street 2 Enter second line of the street address for the applicant in “Street2” field. This field is optional.

https://www.nsf.gov/pubs/policydocs/pappg17_1/pappg_1.jsp#IF2

*City Enter the city for address of applicant. This field is required.

County/Parish Enter the county/parish for address of applicant.

*State Enter the State where the applicant is located. This field is required if the applicant is located in the United States.

Province Enter the Province.

*Zip Code Enter the Postal Code (e.g., ZIP code) of applicant. This field is required if the applicant is located in the United States. This field is required if a State is selected; optional for Province.

*Country Select the country for the applicant address. This field is required.

Person to be contacted on matters involving this application:

Prefix Enter the prefix (e.g., Mr., Mrs., Rev.) for the person to contact on matters related to this application.

*First Name Enter first (given) name of the person to contact on matters related to this application. This field is required.

Middle Name Enter the middle name of the person to contact on matters related to this application.

*Last Name Enter the last (family) name of the person to contact on matters related to this application. This field is required.

Suffix Enter the suffix (e.g., Jr, Sr, PhD) for the name of the person to contact on matters related to this application.

Position/Title Enter the title of the person to contact on matters related to this application.

*Street 1 Enter first line of the street address for the person to contact on matters related to this application in “Street1” field. This field is required.

Street 2 Enter second line of the street address for the person to contact on matters related to this application in “Street2” field. This field is optional.

*City Enter the city for address of the person to contact on matters related to this application. This field is required.

County/Parish Enter the county/parish for address of the person to contact on matters related to this application.

*State Enter the State where the person to contact on matters of this application is located. This field is required if the applicant is located in the United States.

Province Enter the Province.

*Country Select the country for the person to contact on matters related to this application address. This field is required.

*ZIP / Postal Code Enter the Postal Code (e.g., ZIP code) of the person to contact on matters related to this application.

This field is required if the applicant is located in the United States. This field is required if a State is selected; optional for Province.

*Phone Number Enter the daytime phone number for the person to contact on matters related to this application. This field is required.

Fax Number Enter the fax number for the person to contact on matters related to this application.

*Email Enter the e-mail address for the person to contact on matters related to this application.

2.6 Enter Employer Identification (EIN) or (TIN) (Field 6 on the Form) Employer Identification (EIN) or (TIN) - Enter either TIN or EIN as assigned by the US Internal Revenue Service. If your organization is not in the US, type 44-4444444. This is required information.

2.7 Enter Type of Applicant (Field 7 on the Form)

Type of Applicant - Select the appropriate applicant type code. This field is required. If "Other" is selected, specify the Type of Applicant.

If Small Business is selected as Type of Applicant, then note if the organization is Women-owned and/or Socially and Economically Disadvantaged.

• Women Owned - Check if the applicant is a women-owned small business - a small business that is at least 51% owned by a woman or women, who also control and operate it.

• Socially and Economically Disadvantaged - Check if the applicant is a socially and economically disadvantaged small business, as determined by the US Small Business Administration pursuant to section 8(a) of the Small Business Act U.S.C. 637(a).

2.8 Select Type of Application (Field 8 on the Form)

Select the type from the following list. Check only one.

• New - An application that is being submitted to an agency for the first time.

• Renewal - An application requesting additional funding for a period subsequent to that provided by a current award. A renewal application competes with all other applications and must be developed as fully as though the applicant is applying for the first time.

For purposes of NSF, the boxes for “Resubmission,” "Continuation," and "Revision" are not utilized and must not be checked. If a renewal application is being submitted, enter the assigned award number of the previously funded application in the Federal Identifier field (Field 4 on the Form.)

NSF will not be using the SF 424 (R&R) to: Increase Award, Decrease Award, Increase Duration or Decrease Duration, or perform other post award transactions, and therefore, the boxes related to types of revision should not be checked. Requests for supplemental funding should be submitted electronically via the Supplemental Funding Request module in the NSF FastLane system at https://www.fastlane.nsf.gov.

* Is this application being submitted to other agencies? – Enter yes or no. If yes, enter the name(s) of other Agencies. This is required information.

2.9 Enter Name of Federal Agency (Field 9 on the Form)

* Name of Federal Agency - This is the name of the Federal agency from which assistance is being requested with this application. This information is pre-populated by Grants.gov.

2.10 Enter Catalog of Federal Domestic Assistance Number (Field 10 on the Form) This is the Catalog of Federal Domestic Assistance Number of the program under which assistance is being requested.

Number – Enter the number.

Title – Enter the title.

2.11 Enter Descriptive Title of Applicant's Project (Field 11 on the Form)

* Descriptive Title of Applicant's Project - Enter a brief descriptive title of the project. This is required information.

The title of the project must be brief, scientifically or technically valid, intelligible to a scientifically or technically literate reader, and suitable for use in the public press. NSF may edit the title of a project prior to making an award.

2.12 Enter Proposed Project (Field 12 on the Form)

* Start Date – Enter the proposed start date of the project. This field is required.

* Ending Date – Enter the proposed end date of the project. This field is required.

The proposed duration for which support is requested must be consistent with the nature and complexity of the proposed activity. Grants are normally awarded for up to three years but may be awarded for periods of up to five years. The Foundation encourages organizations to request awards for durations of three to five years when such durations are necessary for completion of the proposed work and when such durations are technically and managerially advantageous. Specification of a desired starting date for the project is important and helpful to NSF staff; however, requests for specific effective dates may not be met. Except in special situations, requested effective dates must allow at least six months for NSF review, processing, and decision. Should unusual situations (e.g., a long lead time for procurement) create problems regarding the proposed effective date, the PI should consult his/her organization’s sponsored projects office.

2.13 Enter Congressional District of Applicant (Field 13 on the Form)

* Applicant Congressional District - Enter the Congressional District in the format: 2 character State Abbreviation - 3 character District Number. Examples: CA-005 for California's 5th district, CA-012 for California's 12th district. If outside the US, enter 00-000. To locate your congressional district, visit the Grants.gov website.

This field is required.

2.14 Enter Project Director/Principal Investigator Contact Information (Field 14 on the Form)

Prefix Enter the prefix (e.g., Mr., Mrs., Rev.) for the name of the Project Director.

*First Name Enter first name of the PD/PI. This field is required.

Middle Name Enter the middle name of the Project Director.

*Last Name Enter the last (family) name of the Project Director. This field is required.

Suffix Enter the suffix (e.g., Jr, Sr, PhD) for the name of the PD/PI.

Position/Title Enter the title of the Project Director.

*Organization Name Enter the name of organization for the PD/PI. This field is required.

Department Enter the name of primary organizational department, service, laboratory, or equivalent level within the organization of the PD/PI.

Division Enter the name of primary organizational division, office, or major subdivision of the PD/PI.

*Street 1 Enter first line of the street address for the PD/PI in the “Street1” field. This field is required.

Street 2 Enter second line of the street address for…