NSF 17-1: Proposal & Award Policies & Procedure Guide (PAPPG)

1. Highlights of NSF 17-1:Proposal & Award Policies & Procedure Guide (PAPPG)Effective Date: January 30, 2017 Jennifer Lech - FAS RAS Karen Rizman - OSP

2. Key Points To Know • The new PAPPG is effective for proposals submitted or due or awards made on or after 1/30/2017 • If you submit before 1/30 for a deadline that falls on or after 1/30, the new guidelines will apply • 1/30 falls on a Monday so 1/28 (Saturday) and 1/29 (Sunday) deadlines will move to 1/30 and the new guidelines will apply • Use of relevant PAPPG for multi-step proposal (preliminary full) is determined by the deadline date for each step • If the preliminary proposal is due before 1/30 but the full proposal isn’t due until after 1/30, use the 16-1 PAPPG for the preliminary and the 17-1 PAPPG for the full • Good news! Not as many major changes and clarifications as compared to the past few years

3. Significant Changes & Clarifications (PAPPG Part I) • Proposal & Award Policies & Procedures Guide (PAPPG) is now one document instead of two • Prior to 17-1, PAPPG was split into two parts: • Grant Proposal Guide (GPG) • Award & Administration Guide (AAG) • Two new proposal types have been introduced • RAISE (Research Advanced by Interdisciplinary Science and Engineering) • Used to support bold, interdisciplinary projects outside the scope of a single program or discipline • Approval from at least two Program Officers is required prior to submission • GOALI (Grant Opportunities for Academic Liaison with Industry) • Used to stimulate interdisciplinary collaboration between academic research institutions and industry • Interested PIs must contact the cognizant Program Officer prior to submission

4. Significant Changes & Clarifications for Proposals (PAPPG Part I) • Proposal submissions during Natural or Anthropogenic Disasters • Approval to submit late may be granted by Program Officer; should be sought in advance, when possible • Check “Special Exception to the Deadline Date Policy” box on Fastlane Cover Sheet • Statement explaining nature of event impacting timely submission should be uploaded as Single Copy Document • If approval is granted via email, upload it as Single Copy Doc • Friendly reminder…if NSF closes due to inclement weather, all deadlines will be automatically extended to next business day • Letters of Intent for Collaborative Proposals • Since collaborative proposals are considered one unified project, only 1 LOI is needed and it may be submitted by any institution

5. Significant Changes & Clarifications for Proposals (PAPPG Part I) • Collaborators & Other Affiliations • Removal of requirement to list Postgraduate Scholar Sponsors • List of persons for whom Senior Person served as PhD Advisor (previously referred to as Thesis Advisor) still required • Clarifies that for separately-submitted collaborative proposals, each institution uploads the attachments for its own personnel • Results from Prior NSF Support • Language is clarified to note that the purpose of this section is to assist reviewers in assessing prior work • Guidance on how to report results on recently-awarded projects • If no new results (e.g. no publications or products) exist yet, describe the major goals and broader impacts of the project

6. Significant Changes & Clarifications for Proposals (PAPPG Part I) • Biographical Sketches • Fastlane no longer accepts Biographical Sketch inserted as text; must be uploaded as a separate PDF for each person • Human Subjects incentive payments • Newlanguage specifying costs should be budgeted on Line G6 - Other • Domestic Travel • Clarified language noting travel, meal, and hotel expenses for employees not on travel status, as authorized by UG (2 CFR 200.474), are unallowable • Travel Proposals • Updated from “International Travel Proposals” to reflect that this proposal type can be used for either domestic or foreign travel proposals • Guidelines now specify the documents required for submission

7. Significant Changes & Clarifications for Proposals (PAPPG Part I) • Environmental Impact Checklist (new) • If project will have impact on environment, proposers may be asked to provide additional information post-submission • Proposals involving Vertebrate Animal research • Any departures from Guide for Care and Use of Laboratory Animals must be approved by the IACUC and based on scientific, veterinary, medical must, or animal welfare issues • New award notice clause added stating that grantees have a responsibility to ensure work has been approved by the IACUC and that the approval remains valid at all times

8. Significant Changes & Clarifications for Proposals (PAPPG Part I) • Proposals involving Human Subjects research • If plans are definite, copy of IRB approval or declaration that research is exempt from review must be submitted prior to issuance of award • If plans are indefinite, NSF can accept an IRB determination notice establishing limited time period under which PI may conduct preliminary work not involving human subjects • Prior to expiration of limited time period, AOR is required to provide Program Officer with either 1) verification that plans are still indefinite or 2) copy of IRB approval • New award notice clause added stating that grantees have a responsibility to ensure work has been approved by the IRB and that the approval remains valid at all times

9. Significant Changes & Clarifications for Awards (PAPPG Part II) • Addition or Substitution of PI/PD or Co-PI/Co-PD • Prior approval requests must be submitted via Fastlaneand contain individual’s name & contact info, Biosketch, Current & Pending, and a justification for their addition or substitution • Addition of Admin Salaries • Language has been clarified to note that prior approval requests must be submitted via Fastlane • Pre-Award Costs for Renewal Awards • Footnote added to remind grantees that costs incurred under the old grant cannot be transferred to the new grant

10. Significant Changes & Clarifications for Awards (PAPPG Part II) • NSF-Approved No Cost Extensions • Requests for additional time beyond initial grantee-exercised extension must be submitted by an AOR in Fastlane at least 45 days prior to award end date (this is not new) • All late requests must include strong justification for why they weren’t submitted earlier (this language is new) • Language added to make grantees aware of the limited time period of availability of funds due to cancelation of appropriations • Funds expire by 9/30 of 5th fiscal year after expiration of the appropriation’s available period for incurring new obligations From the 17-1 PAPPG FAQs • Addition of Postdocs to existing projects • If original proposal didn’t include a Postdoc Mentoring Plan, PI must send a one-page plan to his or her Program Officer

11. Helpful Links • Full Text of the 17-1 PAPPG: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=nsf17001 • 17-1 Significant Changes: https://www.nsf.gov/pubs/policydocs/pappg17_1/sigchanges.jsp • FAQs on Proposal Preparation and Award Administration (eff. 1/30/17): https://www.nsf.gov/pubs/policydocs/pappg17_1/sigchanges.jsp • Sign-up page for NSF’s 17-1 PAPPG webinar on Thursday, January 19: https://www.eiseverywhere.com/ereg/newreg.php?eventid=208602&

12. THANK YOU!

13. Acknowledgments Content in these slides has been adapted from the following NSF presentations: Proposal & Award Policies & Procedures Guide (PAPPG) Update Webinar held on November 7, 2016 https://nsf.gov/bfa/dias/policy/outreach/nsfupdate_fall16.pdf (slides) Fall 2016 National Science Foundation (NSF) Grants Conference Webcast held on November 15-16, 2016 https://www.nsfgrantsconferences.com/ehome/nsf/fallpresentations/ (slides) http://webcast.nsfgrantsconferences.com/archives.html (videos)