THE NATIONAL SCIENCE FOUNDATION
PROPOSAL AWARD
POLICIES
AND
AND
PROCEDURES GUIDE
OCTOBER 2009
EFFECTIVE JANUARY 4, 2010
NSF 10-1
OMB Control Number: 3145-0058
National Science Foundation (NSF)
Proposal & Award Policies & Procedures Guide
Introduction:
A. About the National Science Foundation
B. Foreword
C. Acronym List
D. Definitions & NSF-Grantee Relationships
E. NSF Organizations
Exhibit 1: NSF Organizational Chart
Part I: Proposal Preparation & Submission Guidelines
Grant Proposal Guide (GPG) – printable version
Part II: Award & Administration Guidelines
Award & Administration Guide (AAG) – printable version
Introduction:
A. About the National Science Foundation
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."
From those first days, NSF has had a unique place in the Federal Government: it is responsible for the overall
health of science and engineering across all disciplines. In contrast, other Federal agencies support research
focused on specific missions such as health or defense. The Foundation also is committed to ensuring the nation’s
supply of scientists, engineers, and science and engineering educators.
NSF funds research and education in most fields of science and engineering. It does this through grants and
cooperative agreements to more than 2,000 colleges, universities, K-12 school systems, businesses, informal
science organizations and other research organizations throughout the U.S. The Foundation accounts for about
one-fourth of Federal support to academic institutions for basic research.
The Foundation considers proposals1 submitted by organizations on behalf of individuals or groups for support in
most fields of research. Interdisciplinary proposals also are eligible for consideration.
NSF does not normally support technical assistance, pilot plant efforts, research requiring security classification,
the development of products for commercial marketing, or market research for a particular project or invention.
Research with disease-related goals, including work on the etiology, diagnosis or treatment of physical or mental
disease, abnormality, or malfunction in human beings or animals, is normally not supported. Animal models of
such conditions or the development or testing of drugs or other procedures for their treatment also are not eligible
for support. However, research in bioengineering, with diagnosis- or treatment-related goals, that applies
engineering principles to problems in biology and medicine while advancing engineering knowledge is eligible for
support. Bioengineering research to aid persons with disabilities also is eligible.
NSF does not have any programs involving the construction of public works in metropolitan areas, no development
Underrecovery of Indirect Costs ................................................................................................ V.D.2
Unliquidated Obligations ........................................................................................................ III.B.10
Unobligated Balance ................................................................................................... III.B.11, III.D.1
Unused Award Funds ............................................................................................................... III.D.1
U.S.-Flag Air Carriers ............................................................................................................. VI.G.1b
V
Vendor Express, ACH .......................................................................................... III.C.6, Exhibit III-1
Vertebrate Animals ................................................................................................................... VI.B.3
Visas ......................................................................................................................................... VI.G.4
W
Wages ....................................................................................................................................... V.B.1
Withdrawal of Principal Investigator/Project Director ............................................................... II.B.2f
Withholding Payments ............................................................................................................ III.C.2c
Women-Owned Banks ............................................................................................................. III.C.7
Working Capital Advance ......................................................................................................... III.C.5
Award & Administration Guide NSF 10-01
Privacy Act and Public Burden Statements
The information requested on proposal forms and project reports is solicited under the authority of the National
Science Foundation Act of 1950, as amended. The information on proposal forms will be used in connection
with the selection of qualified proposals; and project reports submitted by awardees will be used for program
evaluation and reporting within the Executive Branch and to Congress. The information requested may be
disclosed to qualified reviewers and staff assistants as part of the proposal review process; to proposer
institutions/grantees to provide or obtain data regarding the proposal review process, award decisions, or the
administration of awards; to government contractors, experts, volunteers and researchers and educators as
necessary to complete assigned work; to other government agencies or other entities needing information
regarding Proposers or nominees as part of a joint application review process, or in order to coordinate
programs or policy; and to another Federal agency, court, or party in a court or Federal administrative
proceeding if the government is a party. Information about Principal Investigators may be added to the Reviewer
file and used to select potential candidates to serve as peer reviewers or advisory committee members. See
Systems of Records, NSF-50, "Principal Investigator/Proposal File and Associated Records," 69 Federal
Register 26410 (May 12, 2004), and NSF-51, "Reviewer/Proposal File and Associated Records," 69 Federal
Register 26410 (May 12, 2004). Submission of the information is voluntary. Failure to provide full and complete
information, however, may reduce the possibility of receiving an award.
An agency may not conduct or sponsor, and a person is not required to respond to, an information collection
unless it displays a valid OMB control number. The OMB control number for this collection is 3145-0058. Public
reporting burden for this collection of information is estimated to average 120 hours per response, including the
time for reviewing instructions. Send comments regarding the burden estimate and any other aspect of this
collection of information, including suggestions for reducing this burden, to:
Suzanne H. Plimpton
Reports Clearance Officer
Division of Administrative Services
National Science Foundation
Arlington, VA 22230