The National Science Foundation will now start requiring the use of Research.gov for the preparation and submission of proposals in response to many (but not yet all) program descriptions.

Follow the steps in the notification on Research.gov to determine if your proposal for a specific program description must be prepared and submitted in Research.gov.

Note that FastLane is targeted to be removed as a submission option from all funding opportunities when the Proposal and Award Policies and Procedures Guide (PAPPG) goes into effect in January 2023. Grants.gov will remain a submission option for most NSF proposals.

Beginning on March 19, 2022, SAMS Domestic will implement the newest version of the SF-424 forms on all applications. The SF-424 will be updated from V3.0 to V4.0, which will require applicants to enter their SAM.gov UEI instead of the DUNS. 

When submitting federal applications after this date, make sure to check agency form requirements as appropriate.

To learn more about the UEI transition, see DUNS to Unique Entity ID (SAM) Transition on SAM.gov.

The National Science Foundation Policy Office hosted a webinar covering Current and Pending Support in January 2022.

The webinar recording is now available in the NSF Policy Office Outreach Resource Center.

National Institutes of Health requirements for the Research Performance Progress Report (RPPR) have changed as of January 25, 2022.

Other Support

In the past, when submitting an RPPR, Other Support only had to be uploaded for senior/key personnel whose support had changed. However, after January 25, 2022, each of the senior key personnel on the project will need to submit an Other Support Form in the NIH recommended format.

If there have been no significant changes in the individual's Other Support from what was reported to NIH previously, this should be clearly stated on the Other Support Form. If someone has something new to report, they should report this new support.

As of January 25, 2022, PDs/PIs and other senior key personnel will be required to electronically sign their respective Other Support form as a PDF prior to submission verifying that the information is true and accurate.

Other Support submissions at Just-in-Time and in the RPPR must be submitted as a flattened PDF (eRA Commons instructions), after all signatures are obtained. (A typed name is not an electronic signature and is not considered acceptable.)

Biographical Sketches

The biosketch format page also has been updated for application due dates and RPPR submissions on/after January 25, 2022.  PIs should use this new format when submitting an RPPR.  See Biosketch Format Pages, Instructions and Samples for details on the required biosketch format. Note:  The following changes have been made:

• Section B ‘Positions and Honors’ has been renamed ‘Positions, Scientific Appointments, and Honors’.
• For the non-Fellowship Biosketch, Section D. has been removed.
• For the Fellowship Biosketch, Section D has been updated to remove ‘Research Support.’
• As applicable, all applicants may include details on ongoing and completed research projects from the past three years that they want to draw attention to within the personal statement, Section A.

The State of California has issued a revised 700-U Statement of Economic Interests for Principal Investigators for immediate use. The revised form, dated 2021/2022, is available in the DocuSign integration with Phoebe and on the Conflict of Interest Committee website and is the only version that will now be accepted.

The form and requirements are the same as the previous version. Note that the limit for gifts of travel is $520 for calendar years 2021 and 2022. Please contact coi-team@berkeley.edu with any questions.

State of California law requires disclosure of financial interest in the sponsor of a research project; the donor of a research gift; and, under certain circumstances, the provider of materials under a Material Transfer Agreement (MTA) when that sponsor, donor, or provider is a non-governmental source. See State of California Financial Disclosure for more information.

The National Institutes of Health has issued New NIH “FORMS-G” Grant Application Forms and Instructions Coming for Due Dates on or after January 25, 2022 (NOT-OD-22-169).

For a transition period, both FORMS-F and FORMS-G application packages will be active simultaneously. Applicants must choose the appropriate application package for their due date when presented with both FORMS-F and FORMS-G application packages on the same FOA.

See the tables in New NIH “FORMS-G” Grant Application Forms and Instructions Coming for Due Dates on or after January 25, 2022 (NOT-OD-22-169) and in Reminder: FORMS-G Grant Application Forms & Instructions Must be Used for Due Dates On or After January 25, 2022 - New Grant Application Instructions Now Available (NOT-OD-22-018) for additional guidance.

Note: All FORMS-F application forms packages will be updated with a close date of January 24, 2022.

Application due dates remain unchanged. Applicants must refer to the FOA for key date information.

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September 3, 2021 Research Advocate: NIH Guidance: Forms-G Required on or After January 25, 2022

The National Institutes of Health recently issued two messages:

1. Announcement of Childcare Costs for Ruth L. Kirschstein National Research Service Award Institutional Research Training Awards

NIH will now begin providing childcare cost support to full-time predoctoral and postdoctoral trainees appointed on NRSA institutional research training awards. This is anticipated for awards made beginning in the first quarter of Fiscal Year 2022. The NRSA childcare costs apply to each full-time predoctoral or postdoctoral NIH-NRSA-supported institutional research training award appointment. Each trainee is eligible to receive $2,500 per budget period for childcare costs provided by a licensed childcare provider.

2. Replace eRA Commons Password with Passphrase, Starting Sometime in November

While eRA has been transitioning users of eRA Commons, Commons Mobile, ASSIST and IAR to two-factor authentication using either Login.gov or an InCommon Federated Account that supports NIH’s two-factor authentication standards, users will still need to maintain their eRA Commons username and password for the time being.

So eRA account credential maintenance will continue, at least for now, but not to worry, gone are the days of having to continually change your password every 120 days. NIH is moving from passwords to passphrases — a set of random words or a sentence at least 15 characters long — effective sometime in November (date to be confirmed). Passphrases will only need to be updated annually.

This change is part of a new NIH password policy designed to make passwords easy for users to remember but hard for others to guess. The new policy aims to improve user experience and enhance cybersecurity.

Once this new change is in effect, Commons users will be prompted to change their password to a passphrase when trying user credentials with an expired or forgotten password. Users are advised to avoid words that can be easily guessed, such as family names.

The National Institutes of Health published the following guidance in Goodbye FORMS-F, Hello FORMS-G on the Extramural Nexus blog.

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Applicants applying to NIH funding opportunities with due dates on or after January 25, 2022 must use updated application forms and instructions identified with a Competition ID of “FORMS-G.”

Key changes in the FORMS-G update include:

• Transition from DUNS to a unique entity identifier (UEI) issued by SAM.gov as the official identifier for doing business with the federal government (NOT-OD-21-170.) See Goodbye DUNS, Hello UEI.
• Updated biosketch and other support format pages (NOT-OD-21-110.)
• Updated country and state dropdown lists across all forms.
• Increased character limit to 100 characters for “Department” and “Division” fields.
• Expanded requirement for a Commons ID to all senior/key personnel (NOT-OD-21-109.)
• Increased number of “Other” direct cost budget lines from 3 to 10.
• Added “Childcare Costs” section to Fellowship Supplemental Form (NOT-OD-21-074.)
• Added question regarding Technical and Business Assistance (TABA) to the SBIR/STTR Information form (NOT-OD-21-082.)

Application guides for FORMS-G application packages will be posted to the How to Apply – Application Guide page no later than October 25, 2021.

Related resources

• New NIH “FORMS-G” Grant Application Forms and Instructions Coming for Due Dates on or after January 25, 2022 (NOT-OD-21-169)
• High-level Summary of Form Changes in FORMS-G Application Packages

The Council on Governmental Relations (COGR) has engaged with the leadership of the National Institutes of Health (NIH) regarding questions that COGR member institutions have raised concerning NIH’s Biosketches and Other Support FAQs.

In response, NIH has updated these FAQs to make the following clarifications:

1. Faculty consulting activities must be reported as Other Support only when the consulting activity involves research and “fall[s] outside of an individual’s appointment” with their home institution.
2. When consulting activities constitute Other Support, they should be reported as estimates of the amount paid, as opposed to an estimate of time and effort.
3. Consulting activities do not count towards the 12 calendar months of effort.
4. NIH will not require the disclosure of completed support (including completed in-kind support) as Other Support, only current and pending support. (FAQs I.B.3 & I.C.5).
5. Institutions need only go back three years in reporting as Other Support materials that were received from external collaborators. (FAQ I.C.7). NIH has provided separate guidance on when data and resources should be acknowledged in grants. [See, FAQs – Communicating and Acknowledging Federal Funding.]
6. Information may not be redacted from contracts, agreements, or other supporting documents that are submitted to NIH. (FAQ I.D.8). [Note that this FAQ differs from some prior NIH verbal statements on this topic.]
7. If a researcher has a foreign appointment, affiliation, and/or employment with a foreign institution, they must provide supporting documentation of that relationship, even if they do not have a formal agreement in place. (FAQ I.D.9).

The National Institutes of Health has issued Clarification and Guidance for Applicants Preparing Applications for the Fall 2021 Due Dates During the COVID-19 Pandemic (NOT-OD-21-180).

The notice states:

The NIH remains firmly committed to supporting the biomedical research enterprise as the nation implements the President’s Guidelines for Re-Opening America Again. The purpose of this Notice is to clarify the guidance provided earlier (NOT-OD-21-026), for applicants preparing applications for the May 2022 Council round, beginning with the September 25, 2021 due date for Fall 2021 initial peer review meetings.

Reviewers will continue to receive instructions to assume that constraints arising from the COVID-19 pandemic (e.g., lab occupancy restrictions, declines in patient accrual, etc.) will be resolved during the project period and thus should not affect their scores.

Therefore, NIH grant applications should NOT include contingency or recovery plans for problems resulting from the COVID-19 pandemic. However, applicants may address effects due to the pandemic on productivity or other scoreable issues in their Personal Statement in the NIH Biosketch. Reviewers will be instructed to take these pandemic-related circumstances into account when assessing applicants’ productivity and other score-driving factors.

As with previous instructions, if needed, NIH staff will request and assess plans to resolve specific problems arising from the COVID-19 pandemic prior to funding.

The National Institutes of Health is changing the formats and clarifying the requirements for submitting Biographical Sketches and Other Support. Some of these changes may affect Project Directors and Principal Investigators (PDs/PIs) now and others will impact PDs/PIs as of January 25, 2022.

As of Now:

Supplementary Documentation

It is now possible for NIH to request that PDs/PIs provide supplementary documentation for all foreign activities and resources reported by Senior/Key Personnel under “Other Support” in Just-in-Time (JIT) Reports, and Research Performance Progress Reports (RPPRs). Note: After January 25, 2022 this information will be required by NIH.

Supplementary documentation includes copies of contracts, grants or any other agreement specific to Senior/Key Personnel foreign appointments and/or employment with a foreign institution. If the contracts, grants or other agreements are not in English, recipients must provide translated copies. Note: NIH funds cannot be used to translate these documents, but Google translations are acceptable.

Although not a new requirement, PDs/PIs that discover that any Senior/Key Personnel listed in the proposal have failed to disclose this requested or required information at the JIT and/or RPPR stages should notify SPO as soon as possible. SPO will need to submit updated supplementary documentation for Other Support to the Grants Management Specialist named in the Notice of Award as soon as it becomes known.

Other Support

PDs/PIs are reminded that “Other Support” includes all resources made available to a researcher in support of and/or related to all of their research endeavors, regardless of whether or not they have monetary value and regardless of whether they are based at the institution the researcher identifies for the current grant. This includes:

1. Consulting agreements, when the PD/PI or other senior/key personnel will be conducting research as part of the consulting activities. Note: The definition of what is meant by “research” is important in this context. NIH has indicated that it uses the Common Rule’s definition of “research” [45 CFR 46.102(l)] as a benchmark for determining whether a researcher’s activities constitute research and commented that co-authorship on a publication stemming from activities may be an indicator that the activities constituted research.
2. In-kind contributions, e.g., office/laboratory space, equipment, supplies, or employees or students supported by an outside source. If the time commitment or dollar value of the in-kind contribution is not readily ascertainable, the recipient must provide reasonable estimates. Note: There is no de minimis dollar or time commitment thresholds that would serve as a trigger for reporting in-kind contributions.

PDs/PIs also are reminded that NIH does NOT require that the following be reported as “Other Support”:

1. Resources and/or financial support for non-research endeavors
2. Non-research consulting activities
3. Training awards, prizes
4. Gifts, but only if the gift is clearly given with no expectation of anything in return
5. Institutional resources, such as core facilities or shared equipment that are made broadly available

Foreign Components

NIH has not changed the definition of a “foreign component.” A foreign component is the performance of a significant scientific element of the NIH-supported project outside of the United States. This includes:

1. Performance of work by a researcher or recipient in a foreign location, whether or not NIH grant funds are expended and/or
2. Performance of work by a researcher in a foreign location employed or paid for by a foreign organization, whether or not NIH grant funds are expended.

Other indications of a foreign component are:

1. Collaborations with investigators at a foreign site anticipated to result in co-authorship
2. Use of facilities or instrumentation at a foreign site
3. Receipt of financial support or resources from a foreign entity

Note: Foreign travel for consultation is not considered a foreign component.

If a foreign component is to be involved, the PI must attach a justification to the proposal describing why the facilities or other aspects of the proposed project are more appropriate than a domestic setting.

If the PI adds a foreign component after NIH makes the award, NIH prior approval will be required. See: NIHGPS, Section 8.1.2, Prior Approval Requirements. As stated above, a foreign component involves a “significant” aspect of the project. NIH does not specifically define what is meant by “significant.” However, when in doubt, always disclose!

For more information, consult:

1. NIH Grants Policy Statement: 16 Grants to Foreign Organizations, International Organizations, and Domestic Grants with Foreign Components) and
2. FAQs on Other Support and Foreign Components

As of January 25, 2022:

There will be changes to the Biographical Sketch and Other Support Format Pages and requirements. NIH encourages PDs/PIs to voluntarily use and become familiar with the new formats now. Failure to follow the appropriate format on or after January 25, 2022 may cause NIH to withdraw applications from or delay consideration of funding.

Changes to Biographical Sketches

1. Personal Statement: Applicants will be allowed to include ongoing and completed research projects from the past three years to draw attention to (previously known as research support).
2. Positions, Scientific Appointments , and Honor should be listed in reverse chronological order all positions and scientific appointments both domestic and foreign, including affiliations with foreign entities or governments. This includes titled academic, professional, or institutional appointments whether or not remuneration is received, and whether full-time, part-time, or voluntary (including adjunct, visiting, or honorary).
3. Scholastic Performance: “Research Support” will be removed. Section D will be solely present on the fellowship version of the Biosketch and will no longer includes research support, only Scholastic Performance.

Changes to Other Support

1. Each PD/PI or senior/key personnel will need to electronically sign their respective Other Support form as a PDF prior to submission verifying that the information is true and accurate.
2. As described above, the PD/PI will need to provide supplementary documentation in English (i.e., copies of contracts, grants or any other agreement specific to Senior/Key Personnel foreign appointments and/or employment with a foreign institution) for all foreign activities and resources reported by Senior/Key Personnel under “Other Support” in Just-in-Time (JIT) Reports, and Research Performance Progress Reports (RPPRs).
3. The format page will be re-organized to separate funded projects from in-kind contributions.

See: Upcoming Changes to the Biographical Sketch and Other Support for more information.

A message from Jean Feldman, Head of the National Science Foundation Policy Office:

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Dear Colleagues:

We are pleased to announce that a revised version of the NSF Proposal & Award Policies & Procedures Guide (PAPPG) (NSF 22-1) has been issued.

The new PAPPG will be effective for proposals submitted or due on or after October 4, 2021. Significant changes include:

• A new section covering requests for reasonable and accessibility accommodations regarding the proposal process or requests for accessibility accommodations to access NSF’s electronic systems, websites and other digital content;
• A table entitled, NSF Pre-award and Post-award Disclosures Relating to the Biographical Sketch and Current and Pending Support. This table identifies where pre- and post-award current and pending support disclosure information must be provided. Proposers and awardees may begin using this table immediately;
• Increasing the page limit for the biographical sketch from two to three pages;
• Updates to the current and pending support section of NSF proposals to require that information on objectives and overlap with other projects is provided to help NSF and reviewers assess overlap/duplication;
• Adding planning proposals and Career-Life Balance supplemental funding requests as new proposal types;
• Updates to travel proposals will require that AORs certify that prior to the proposer’s participation in the meeting for which NSF travel support is being requested, the proposer will assure that the meeting organizer has a written policy or code-of-conduct addressing harassment.

You are encouraged to review the by-chapter summary of changes provided in the Introduction section of the PAPPG.

NSF plans to conduct a webinar covering these changes. Visit the NSF policy outreach website to sign up for notifications about this and other outreach events.

While this version of the PAPPG becomes effective on October 4, 2021, in the interim, the guidelines contained in the current PAPPG (NSF 20-1) continue to apply.

If you have any questions regarding these changes, please contact the DIAS/Policy Office at policy@nsf.gov.

Regards,

Jean Feldman
Head, Policy Office
Division of Institution and Award Support
Office of Budget, Finance & Award Management

The National Science Foundation implementation of Office of Management and Budget (OMB) Memorandum, M-21-20, “Promoting Public Trust in the Federal Government through Effective Implementation of the American Rescue Plan Act and Stewardship of the Taxpayer Resources, Appendix 3 - Disaster Relief Flexibilities to Reduce Burden for Financial Assistance” dated March 19, 2021 is now available on the NSF Coronavirus Information page.

The exceptions identified by NSF apply to NSF recipients with COVID-19 related federal financial assistance awards. Flexibilities related to NSF’s implementation of OMB Memorandum M-21-20 include:

• Delay of the completion and submission of the Single Audit reporting package
• Extensions of deadlines for certain funding opportunities
• Extension of the biennial physical inventory

For a complete listing see: NSF Implementation of OMB Memorandum M-21-20.

The National Institutes of Health has issued new instructions and requirements for the Biographical Sketch (Biosketch) and Other Support for applications and Research Performance Progress Reports (RPPR) submitted for due dates on or after May 25, 2021. See Upcoming Changes to the Biographical Sketch and Other Support Format Page for Due Dates on or after May 25, 2021 (NOT-OD-21-073).

NIH Principal Investigators (PIs) should be aware that additional time and effort may be needed to comply with the following new requirements for reporting “Other Support:”

• If foreign activities and resources are reported under “Other Support,” copies of contracts, grants or any other agreement specific to senior/key personnel foreign appointments and/or employment with a foreign institution as supporting documentation must be provided to NIH.
• If these documents are not in English, translated copies must be provided.
• This supporting documentation must be provided as part of the Other Support PDF following the Other Support Format page.
• All principal investigators and other senior/key personnel must electronically sign the Other Support form, prior to its submission to NIH, certifying that the Other Support information is accurate and complete.
• Other Support submissions must be submitted as a “flattened” PDF, after all signatures are obtained. The original electronic signatures must be available upon NIH request.

Unfunded applications submitted prior to May 25, 2021 are not subject to these requirements. The new requirements only apply to RPPRs and to applications submitted on or after May 25, 2021 (including applications submitted early for those due dates).

PIs or other Senior/Key personnel on an active NIH grant who fail to disclose Other Support information outside of Just-in-Time or the RPPR, as applicable, should notify SPO. SPO must provide the updated “Other Support” to the Grants Management Specialist named in the Notice of Award as soon as it becomes known.

See the NIH FAQs on Other Support and Foreign Components for additional information

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March 12, 2021 Research Advocate: NIH: Changes to the Biographical Sketch and Other Support Format Page

The National Institutes of Health has taken steps to align the Biographical Sketch (Biosketch), Other Support format page and Application Form Instructions with the guidance issued by the Office of Science and Technology Policy Joint Committee on the Research Environment.

As a result, NIH has updated its application forms and instructions to support the need for applicants and recipients to provide full transparency and disclosure of all research activities, foreign and domestic.

The updated forms and instructions will be required for use for applications and Research Performance Progress Reports (RPPR) submitted for due dates on or after May 25, 2021.

In addition to the changes to the the Biographical Sketch (Biosketch), Other Support format page and Application Form, note the following new requirements related to Other Support, effective May 25, 2021.

• NIH will require supporting documentation, which includes copies of contracts, grants or any other agreement specific to senior/key personnel foreign appointments and/or employment with a foreign institution for all foreign activities and resources that are reported in Other Support. If the contracts, grants or other agreements are not in English, recipients must provide translated copies.
  
  
• If a recipient organization discovers that a PI or other Senior/Key personnel on an active NIH grant has failed to disclose Other Support information outside of Just-in-Time or the RPPR, as applicable, the recipient must submit updated Other Support to the Grants Management Specialist named in the Notice of Award as soon as it becomes known.

See Upcoming Changes to the Biographical Sketch and Other Support Format Page for Due Dates on or after May 25, 2021 (NOT-OD-21-073) for more information.

The National Science Foundation has added some clarifications to its Frequently Asked Questions on Current and Pending Support.

Some highlights:

In-kind contributions that are not intended for use on the project/proposal being proposed to NSF and have no associated time commitment, do not need to be reported.

However, an item or service given with the expectation of an associated time commitment must be reported to NSF in the following manner.

• If the in-kind contribution is not intended for use on the project/proposal being proposed to NSF but has an associated time commitment, the information must be included as part of the current and pending support section of the proposal.  
• If the in-kind contribution is intended for use on the project/proposal being proposed to NSF, the information must be included as part of the Facilities, Equipment and Other Resources section of the proposal and need not be replicated in the individual’s current and pending support submission.

Senior personnel are required to provide the number of person-months (or partial person-months) per year to be devoted to the project by the individual even if this time is not budgeted in the proposal budget. NSF is not asking for information on how much time is budgeted for a particular individual(s), but rather how much time the individual(s) is/are planning to spend to complete the scope of work on the proposed project and/or award.

If a principal investigator or co-PI is not requesting salary support, they should be removed from the budget and their name and the estimated amount of time to be devoted to the project should be identified in the Facilities, Equipment and Other Resources section of the proposal.

If Senior Personnel will be conducting research as part of a consulting agreement, then the consulting arrangement should be specified in the individual’s current and pending support submission.

Although not required until September 15, 2021, the National Institutes of Health is encouraging users of eRA Commons, ASSIST, Internet Assisted Review (IAR), and Commons Mobile to begin their switchover to the new two-factor authentication (2FA) login method (via login.gov) to access eRA modules.

Using login.gov 2FA will be required as of the deadline of September 15, 2021 for all users. The authentication will help ensure the security of personal and confidential information in these systems.

For instructions, frequently asked questions, and other resources, see NIH Extramural News Reminder: Switch Early to the New Secure Two-Factor Authentication Required to Access eRA Modules.

NIH conference grant applicants (R13/U13) must now include plans to enhance diversity during the selection of organizing committees, speakers, other invited participants, such as session chairs and panel discussants, and attendees. Underrepresented groups include individuals from nationally underrepresented racial and ethnic groups, individuals with disabilities, individuals from disadvantaged backgrounds, and women. See Notice of NIH’s Interest in Diversity (NOT-OD-20-031) for additional details.

A recent NIH Guide notice, Notice of Changes in the Review Criteria for Applications Submitted for NIH Support for Scientific Conferences (R13 and U13) (NOT-OD-21-055), announced that reviewers of scientific conferences (R13 and U13) will be asked to evaluate a diversity plan and factor it into the overall impact score. The diversity plan will be evaluated as an additional review criterion and will not receive a separate criterion score. The new parent conference grant funding opportunity announcement, NIH Support for Conferences and Scientific Meetings (R13) (PA-21-151), published February 10, reflects the new review criteria.

Principal investigators should carefully follow these instructions, Updated Guidelines for Enhancing Diversity and Creating Safe Environments in Conferences Supported by NIH Grants and Cooperative Agreements (NOT-OD-21-053), for developing the diversity plan.

Conference grant awardees also will be required to report on the effectiveness of plans to enhance diversity of underrepresented groups in annual Research Performance Progress Reports (RPPR) and the Final-RPPR.

The National Institutes of Health has released an announcement regarding the new salary cap: Guidance on Salary Limitation for Grants and Cooperative Agreements FY 2021 (NOT-OD-21-057).

Effective January 3, 2021, the salary limitation for Executive Level II is $199,300.

For issued awards that were restricted to Executive Level II (see Salary Cap Summary (FY 1990 - Present)), including competing awards already issued in FY2021, if adequate funds are available in active awards, and if the salary cap increase is consistent with the institutional base salary, recipients may rebudget funds to accommodate the current Executive Level II salary level.

Also of note:

• Updated NRSA stipends: Ruth L. Kirschstein National Research Service Award (NRSA) Stipends, Tuition/Fees and Other Budgetary Levels Effective for Fiscal Year 2021 (NOT-OD-21-049)
• Agency for Healthcare Research and Quality announcement regarding the new salary cap: Salary Limitation on AHRQ FY2021 Grants, Cooperative Agreements, and Contracts (NOT-HS-21-007)

The State of California has issued a revised 700-U Statement of Economic Interests for Principal Investigators for immediate use. The revised form, dated 2020/2021, is available on the Conflict of Interest Committee website and is the only version that will now be accepted. The form and requirements are the same as the previous 2020 version, except for an increase in the limit for gifts of travel. Gifts of travel may be subject to a $500 gift limit in 2020. This gift limit has increased to $520 for calendar years 2021 and 2022. Please contact coi-team@berkeley.edu with any questions.

State of California law requires disclosure of financial interest in the sponsor of a research project; the donor of a research gift; and, under certain circumstances, the provider of materials under a Material Transfer Agreement (MTA) when that sponsor, donor, or provider is a non-governmental source. See State of California Financial Disclosure for more information.

The Research Terms and Conditions (RTCs) have been revised by the participating agencies for consistency with the revised 2 CFR 200.

Please see the message below or consult the following for additional information:

• Research Terms and Conditions
• SPO: OMB Uniform Guidance

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Dear Colleagues:

The Office of Management and Budget (OMB) mandated awarding agencies adopt recent revisions to 2 CFR §200; Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance) effective November 12, 2020. The purpose of this message is to make you aware that the Research Terms and Conditions (RTCs) have been revised by the participating agencies for consistency with the revised 2 CFR §200. NSF serves as the steward of these terms and conditions, and maintains the RTC website on behalf of all of the participating agencies.

At this time, the agencies participating in this activity include the: U.S. Department of Commerce/National Oceanic and Atmospheric Administration & National Institute of Standards and Technology; U.S. Department of Energy; National Aeronautics and Space Administration; National Science Foundation; U.S. Department of Health and Human Services/National Institutes of Health & Food and Drug Administration; U.S. Department of Agriculture/National Institute of Food and Agriculture; and the U.S. Department of Homeland Security.

Agency implementation statements provide specific details on how participating agencies are implementing the revised RTCs.

In accordance with this requirement, the updated RTCs, which implement the changes to 2 CFR §200, will be fully effective beginning November 12, 2020. This includes the following documents:

• RTC Overlay to 2 CFR §200;
• RTC Appendix A: Prior Approval Matrix;
• RTC Appendix B: Subaward Requirements;
• RTC Appendix C: National Policy Requirements; and
• Agency Specific Requirements for the participating agencies.

While the Uniform Guidance outlines provisions that are specific to research, these Research Terms and Conditions:

• Incorporate the entire Uniform Guidance by reference, clarifying or supplementing select provisions where appropriate and consistent with government-wide research policy;
• Apply to an award when included as part of the award or when incorporated in the award by reference. Use of the RTCs is envisioned as a streamlined approach that supports the implementation of the Uniform Guidance by providing clarification, supplementary guidance, and, where appropriate, selected options, while meeting the spirit and intent of a uniform implementation;
• Include flexibility for additional individual agency clarification through the incorporation of agency-specific requirements.
  

Please note that the previous version of the RTCs incorporated the full set of OMB Frequently Asked Questions (FAQs) by reference. This set of FAQs has not yet been updated to align with 2 CFR §200, and, as such has been deleted from the RTC Overlay.

Award specific questions should be directed to the applicable participating agency.

Best,

Jean Feldman (Head, Policy Office, NSF) and Michelle Bulls (Director, Office of Policy for Extramural Research Administration, NIH)
co-Chairs, Research Terms and Conditions Working Group 

The National Institutes of Health has issued the Final NIH Policy for Data Management and Sharing (NOT-OD-21-013). The new policy goes into effect on January 25, 2023 and will replace the 2003 NIH Data Sharing Policy.. The policy requires NIH funded researchers to prospectively submit a plan outlining how scientific data will be managed and shared.

In addition, NIH has issued supplemental notices:

• Supplemental Information to the NIH Policy for Data Management and Sharing: Elements of an NIH Data Management and Sharing Plan (NOT-OD-21-014)
• Supplemental Information to the NIH Policy for Data Management and Sharing: Allowable Costs for Data Management and Sharing (NOT-OD-21-015)
• Supplemental Information to the NIH Policy for Data Management and Sharing: Selecting a Repository for Data Resulting from NIH-Supported Research (NOT-OD-21-016)

For more information, see the NIH Director’s Statement on Final NIH Policy for Data Management and Sharing by Dr. Francis Collins as well as Under the Poliscope: NIH Releases New Policy for Data Management and Sharing by Dr. Carrie D. Wolinetz.

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November 19, 2019 Research Advocate: NIH Proposed Policy on Data Management and Sharing

Jean Feldman, Head of the National Science Foundation Policy Office, has issued a message regarding upcoming changes to the NSF RPPR implementation, which go into effect on October 5, 2020.

Note that the following questions will now appear:

• Has there been a change in the active other support of the PI/PD(s) since the last reporting period? (Edit Participants screen); 
• What was the impact on teaching and educational experiences? (Impact tab); 
• What percentage of the award’s budget was spent in a foreign country? (Impact tab); and 
• Has there been a change in primary performance site location from that originally proposed? (Changes/Problems tab).

Additional details about the RPPR can be found on Research.gov About Project Reports.

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Dear Colleagues:

Effective October 5, 2020, the National Science Foundation (NSF) will enhance the Project Reporting System in Research.gov to implement the revised Research Performance Progress Report (RPPR). The RPPR is a uniform format for reporting performance progress on Federally funded research projects and research-related activities. NSF awardees use the RPPR to prepare and submit annual and final project reports to NSF. Further details about the RPPR can be found on the Research.gov About Project Reports website.

New Question for Project Reports with Active Other Support Changes

• On October 5, 2020, NSF will add the following new question to the Edit Participants screen: Has there been a change in the active other support of the PI/PD(s) since the last reporting period? If Principal Investigators (PIs)/Project Directors (PDs) and co-PIs/co-PDs select “Yes,” they will be required to upload their most up-to-date Current and Pending Support document in an NSF-approved format to notify NSF that active other support has changed since the award was made or since the most recent annual report.
• Current and Pending Support documents not in an NSF-approved format will trigger a compliance error preventing document upload and submission of the annual or final project report.
• The NSF-approved formats for Current and Pending Support are SciENcv: Science Experts Network Curriculum Vitae and an NSF fillable PDF.
• The NSF Current and Pending Support website includes additional information as well as links to system-related Frequently Asked Questions (FAQs) for both NSF-approved formats. A set of policy-related FAQs related to current and pending support is also available.
• The complete lists of FastLane and Research.gov automated proposal compliance checks effective October 5, 2020, are available on the Automated Compliance Checking of NSF Proposals website.

Additional New Questions from the Revised RPPR

Beginning October 5, 2020, NSF will also add the following three questions to the “Impact” and “Changes/Problems” tabs:

• What was the impact on teaching and educational experiences? (Impact tab);
• What percentage of the award’s budget was spent in a foreign country? (Impact tab); and
• Has there been a change in primary performance site location from that originally proposed? (Changes/Problems tab).

NSF-specific Updates

• NSF-specific help text updates have been added throughout, and NSF-specific instructions have been clarified or enhanced.
• To reduce administrative burden, NSF has consolidated data entry fields where possible.

Current and Pending Support Format Training Resources

To learn more about the NSF-approved formats for Current and Pending Support, please view the NSF PAPPG (NSF 20-1) webinar and NSF-Approved Formats for the Biographical Sketch & Current and Pending Support Sections of NSF Proposals webinar.

SciENcv has created the following materials to guide the community through the preparation of the NSF Current and Pending Support document in SciENcv:

• NSF Current and Pending Support Video Tutorial
• NSF-specific Bookshelf Resource (includes screenshots and step-by-step instructions)

Questions? Policy-related questions should be directed to policy@nsf.gov. If you have IT system-related or technical questions regarding the NSF-approved formats or the Research.gov Project Reporting System, please contact the NSF Help Desk at 1-800-381-1532 (7:00 AM - 9:00 PM ET; Monday - Friday except federal holidays) or via rgov@nsf.gov.

Regards,

Jean Feldman
Head, Policy Office
Division of Institution and Award Support
Office of Budget, Finance & Award Management
National Science Foundation
email: policy@nsf.gov

Jean Feldman, Head of the National Science Foundation Policy Office, has issued a message regarding enforcement of new NSF-approved formats for the Biographical Sketch and Current and Pending Support, effective October 5, 2020.

Note that the new NSF-approved formats are: SciENcv: Science Experts Network Curriculum Vitae and an NSF fillable PDF.

The Biographical Sketch and Current and Pending requirements apply to proposal submissions, as well as other actions such as Change PI requests and RPPRs (where active other support has changed since the award was made, or since the most recent annual report).

Additional information and FAQs appear below, along with video tutorials for SciENcv.

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Dear Colleagues:

Effective October 5, 2020, the National Science Foundation (NSF) will begin enforcing the Proposal & Award Policies & Procedures Guide (PAPPG) (NSF 20-1) requirement to use NSF-approved formats for the preparation of the Biographical Sketch and Current and Pending Support proposal documents. The NSF-approved formats are SciENcv: Science Experts Network Curriculum Vitae and an NSF fillable PDF.

All other PAPPG (NSF 20-1) changes were effective on June 1, 2020. Please refer to the complete list of PAPPG (NSF 20-1) significant changes and clarifications which include the IT system changes and other policy-related changes. A set of Frequently Asked Questions (FAQs) on proposal preparation and award administration related to NSF PAPPG (NSF 20-1) is also available and includes Biographical Sketch and Current and Pending Support information.

Biographical Sketch and Current and Pending Support Websites

• The NSF Biographical Sketch and Current and Pending Support websites include links to the NSF-fillable PDF formats, updated FAQs, and instructions.
• For the fillable PDF formats, NSF recommends users download and save the blank PDF document prior to adding content. Populating content directly into a web browser (e.g., Chrome or Safari) may result in formatting inconsistencies. The completed and saved PDF can then be uploaded via FastLane, Research.gov, or Grants.gov.
• Beginning on October 5, 2020, links to the Biographical Sketch and Current and Pending Support websites will also be located in FastLane (on the Biographical Sketch and Current and Pending Support Personnel pages), in Research.gov (on the Biographical Sketch and Current and Pending Support Upload pages), and in Grants.gov (on the NSF Senior Key Person Profile form version 2.0).

Change of Principal Investigator (PI) and Add/Change Co-PI Requests

• Effective October 5, 2020, Biographical Sketch and Current and Pending Support documentation must also be in an NSF-approved format when uploaded with a Change of PI and an Add/Change co-PI request in FastLane.

Research Performance Progress Report (RPPR) Submissions with Active Other Support Changes

• Effective October 5, 2020, PIs and co-PIs must include an NSF-approved format for Current and Pending Support when notifying NSF that active other support has changed since the award was made, or since the most recent annual report.
• This new requirement serves as NSF’s implementation of the revised RPPR, a uniform format for reporting performance progress on Federally-funded research projects and research-related activities.
• Further details about the RPPR can be found on the Research.gov About Project Reports website.

Automated Compliance Checks for NSF-approved Formats

• Biographical Sketch and Current and Pending Support documents not in an NSF-approved format will trigger a compliance error and ultimately will prevent proposal submission or completion of the post-award action. This compliance check applies to proposals, Change of PI requests, Add/Change co-PI requests, and relevant RPPR submissions.
• The complete lists of FastLane and Research.gov automated proposal compliance checks effective October 5, 2020, are available on the Automated Compliance Checking of NSF Proposals website.
• Note that automated compliance checks also apply when a proposal file update (PFU) is performed on a proposal. Proposers should be aware that if a proposal was previously submitted successfully, a PFU performed on the proposal will be prevented from submission if the proposal does not comply with the compliance checks in effect at the time.

NSF-approved Format Updates

Based on feedback from the research community, NSF has enhanced both approved formats, and users are encouraged to use the latest versions. Please see the system-related FAQs on using SciENcv and the system-related FAQs on using the NSF fillable PDF for a list of the improvements to each format. In particular, note the permitted use of “et al.” for publication citations in the Biographical Sketch when listing multiple authors. Senior personnel who wish to include publications in the products section of the Biographical Sketch that include multiple authors may, at their discretion, choose to list one or more of the authors and then "et al." in lieu of including the complete listing of authors' names.

SciENcv Enhancements

The SciENcv module for creating NSF Biographical Sketch and Current and Pending Support documents will be updated prior to October 5, 2020; however, all SciENcv-generated Biographical Sketch and Current and Pending Support PDF documents created on or after April 1, 2020 remain compliant in NSF systems.

Prior to the October 5th requirement to use the NSF-approved format, SciENcv will make a number of enhancements that include:

• ability for users to reorder products and appointments in the Biographical Sketch
• ability for users to edit long author citations imported from ORCID on the Biographical Sketch and add “et al.”
• addition of a Current and Pending Support tool tip to provide clarification and guidance on how users should document support under a fiscal year calendar

Please see the system-related FAQs on using SciENcv for details.

As a reminder, the SciENcv tool integrates with ORCID, enabling users to populate the Biographical Sketch by importing data directly from ORCID records rather than having to manually enter all the required information. This helps reduce administrative burden associated with the Biographical Sketch preparation process. Additionally, SciENcv allows users to grant access to delegates to assist with maintaining and updating data. SciENcv also offers users a dynamic and more customized PDF. For example, users with fewer Current and Pending Support entries may elect to use SciENcv to generate their Current and Pending Support PDF document since SciENcv will produce a PDF without any blank pages. Conversely, the Current and Pending Support fillable PDF will always be 15 pages regardless of how much data is included.

Latest NSF Fillable PDF Version

• Revised NSF fillable PDF formats were released on May 1, 2020; however, the previous versions remain compliant in NSF systems.
• The May 1, 2020 version is indicated by "Revised 05/01/2020" printed on the first page of each form.

Additional Training Resources

To learn more about the NSF-approved formats for Biographical Sketch and Current and Pending Support, please view the NSF PAPPG (NSF 20-1) webinar and NSF-Approved Formats for the Biographical Sketch & Current and Pending Support Sections of NSF Proposals webinar.

SciENcv has created the following materials to guide NSF users through the preparation of the NSF documents available in SciENcv:

• NSF Biographical Sketch Video Tutorial
• NSF Current and Pending Support Video Tutorial
• NSF-specific Bookshelf Resource (includes screenshots and step-by-step instructions)

Other Updates for Proposers

A revised NSF Grants.gov Application Guide will be published on September 16th and effective October 5, 2020. The Guide will be updated to remove references and instructions for the Research & Related Personal Data Form. NSF will no longer require this form, and this form will no longer be included in NSF's packages effective October 5, 2020.

Questions? Policy-related questions should be directed to policy@nsf.gov. If you have IT system-related or technical questions regarding the SciENcv or NSF fillable PDF formats, please contact the NSF Help Desk at 1-800-673-6188 (7:00 AM - 9:00 PM ET; Monday - Friday except federal holidays) or via fastlane@nsf.gov.

Regards,

Jean

Jean Feldman
Head, Policy Office
Division of Institution and Award Support
Office of Budget, Finance & Award Management
email: policy@nsf.gov

Beginning Saturday, July 25, 2020, the use of ASSIST for the submission of administrative supplements will be expanded. Paper submissions and the previous “streamlined” process within eRA Commons that permitted administrative supplement requests to be submitted directly to the awarding agency without having to go through Grants.gov, will no longer be accepted.

As of this date, there will be three methods for initiating an administrative supplement through eRA systems:

• Initiate in ASSIST, enter the Funding Opportunity Announcement (FOA) for an administrative supplement and enter information manually;
• Initiate in ASSIST and after entering the Federal ID number of the parent grant award, some of the information from the parent award is prepopulated;
• Initiate through eRA Commons and after identifying a specific grant for administrative supplement, be directed by the system to ASSIST where some information from the parent award is prepopulated.

For more information, see NIH eRA Information: Use of ASSIST Expanded for Submission of Administrative Supplements.

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July 1, 2020 Research Advocate: Update to NIH Administrative Supplement Policies