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Reminder

Compliance protocols MUST be approved and linked in SeRA to a SPO project record prior to award acceptance. 

See ORA's Award Acceptance Resources for additional information.

National Science Foundation (NSF)

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The NSF requires disclosure information from PIs and all project senior/key personnel within proposals, shortly before awards are issued, and during annual progress reporting.  Disclosure information is provided within Biographical sketches, Current and Pending (Other) Support, and Facilities and Other Resources documents.  Effective 10/23/23, the use of SciENcv is MANDATORY for preparation of NSF Biographical Sketches and Current and Pending (Other) Support  

Senior personnel are required to certify that the information within their NSF Biosketch and Current and Pending Support is current, accurate, and complete.  The certification language is included within SciENcv.  SciENcv records an individual’s certification when they download either their biosketch or current and pending support from SciENcv.  The certification of NSF Biosketches and/or Current and Pending Support MAY NOT be delegated to administrators.

The National Science and Technology Council (NSTC) Research Security Subcommittee recently developed consistent disclosure requirements and definitions for use by senior personnel, as well as common disclosure forms for the Biographical Sketch and Current and Pending (Other) Support sections of an application for Federal research and development (R&D) grants or cooperative agreements.  

Pre-Award and Post-award Disclosures Relating to the Biosketch and Current and Pending Support Table - Updated May 2024

NSF FAQs on Current and Pending Support (Updated February, 2023)

NSF Disclosure FAQs - Stanford Guidance

Slides from OSR NSF Disclosures Webinar June 1, 2021

Recording of OSR NSF Disclosures Webinar June 1, 2021

ORA Current and Pending Support webpage

ORA SciENcv webpage

Biosketch Resources

Report all academic, professional, or institutional affiliations, positions and appointments regardless of whether they are:

  • Domestic or foreign
  • Paid or unpaid
  • Full-time, part-time, or voluntary (including adjunct, visiting or honorary)
  • Provided through Stanford OR provided directly to the individual
  • *Note:
    • NSF has clarified for professional appointments, senior/key personnel must only identify all domestic and foreign professional appointments and positions outside of the primary organization, i.e., outside of Stanford for Stanford investigators, for a period of up to three years from the date the proposer submits the proposal to NSF for funding consideration. 
    • If an investigator is on an advisory board or advisory committee outside of the proposing organization i.e. Stanford, it must be included in the appointment section of the biosketch.
    • Typically, journal reviewers are provided as appointments.  However, they could be used as a synergistic activity.
    • Many faculty use the fact that they have served on a review committee as a synergistic activity.

NSF Biographical Sketch website

ORA Biosketches website

SciENcv Guidance on Creating a NSF Biosketch

Using SciENcv Frequently Asked Questions

NSF Implementation of the Common Form for Biographical Sketch -  Effective for proposals submitted or due on or after May 20, 2024 

The common disclosure form for the Biographical Sketch is NOW available in SciENcv.  The common Biosketch form has no page limitations and incorporates the following:

  • Each senior/key person is required to complete the following certifications regarding the information provided in their Biographical Sketch when they download the form from SciENcv:
    • I certify that the information provided is current, accurate, and complete. This includes but is not limited to information related to domestic and foreign appointments and positions.
    • I also certify that, at the time of submission, I am not a party in a malign foreign talent recruitment program.
    • Misrepresentations and/or omissions may be subject to prosecution and liability pursuant to, but not limited to, 18 U.S.C. §§ 287, 1001, 1031 and 31 U.S.C. §§ 3729-3733 and 3802.
  • Common form definitions including, but not limited to what are academic, professional, or institutional positions and appointments as well as what constitutes a malign foreign talent recruitment program.
  • The Synergistic Activities section has been removed from the biographical sketch and must now be submitted as a separate senior/key personnel document.

The NSF and the NIH/National Library of Medicine hosted a webinar to discuss the revisions to these forms, as well as provide a demonstration of the revised functionality to create and download these required proposal documents in SciENcv on April 24, 2024. The webinar recording is available at the NSF’s Policy Office Outreach website.

Current & Pending Support Resources

In accordance with the policies, FAQs, and resource tables on the NSF Current and Pending Support Website:

  • Current and pending support includes all resources made available to an individual in support of and/or related to all of his/her research efforts, regardless of whether or not they have monetary value. Current and pending support also includes in-kind contributions (such as office/laboratory space, equipment, supplies, employees, students). All in-kind contributions available to a researcher in support of their research endeavors must be reported even if they are not intended for use on the project being proposed. If the time commitment or dollar value is not readily ascertainable, reasonable estimates should be provided.
  • Current and pending support information must be provided for the project being proposed, for ongoing projects, and for any proposals currently under consideration from whatever source, irrespective of whether such support is provided through the Stanford or is provided directly to the individual. Examples of sources include Federal, State, local, foreign, public or private foundations, non-profit organizations, industrial or other commercial organizations or internal funds allocated toward specific projects.
  • The total award amount for the entire award period covered (including indirect costs) must be provided, as well as the number of person-months (or partial person-months) per year to be devoted to the project by the individual regardless of whether or not the effort devoted is charged to the source. If the time commitment or dollar value is not readily ascertainable, reasonable estimates should be provided*.
    • *SciENcv requires at least 0.01 person months to be entered for any person month entry.  Moreover, keeping in mind one of the primary purposes of a Current and Pending document/disclosure is for sponsors to assess the capacity of investigators to take on new projects, the Person-Month(s) or (Partial Person-Months) per year listed for a project should always be a reasonable approximation of how much time the individual is planning to spend to complete the scope of work on the given project, even if project does not require a measurable effort commitment, as is commonly the case for University Research Awards (URAs) and seed grants.   

NSF Implementation of the Common Form for Current and Pending (Other) Support Information -  Effective for proposals submitted or due on or after May 20, 2024 

The common disclosure form for Current and Pending (Other) Support is NOW available in SciENcv and incorporates the following:

  • Each senior/key person is required to complete the following certifications regarding the information provided in their Current and Pending (Other) Support when they download the form from SciENcv:
    • I certify that the information provided is current, accurate, and complete. This includes, but is not limited to, information related to current, pending, and other support (both foreign and domestic) as defined in 42 U.S.C. § 6605.
    • I also certify that, at the time of submission, I am not a party in a malign foreign talent recruitment program.
    • Misrepresentations and/or omissions may be subject to prosecution and liability pursuant to, but not limited to, 18 U.S.C. §§ 287, 1001, 1031 and 31 U.S.C. §§ 3729-3733 and 3802.
  • Consulting activities must be disclosed under the proposals and active projects section of the common form when any of the following scenarios apply:
    • The consulting activity will require the senior/key person to perform research as part of the consulting activity;
    • The consulting activity does not involve performing research, but is related to the senior/key person’s research portfolio and may have the ability to impact funding, alter time or effort commitments, or otherwise impact scientific integrity; or
    • The consulting entity has provided a contract that requires the senior/key person to conceal or withhold confidential financial or other ties between the senior/key person and the entity, irrespective of the duration of the engagement.
  • In-kind resources that must be disclosed are limited to those with an estimated dollar value of $5000 or more and that require a commitment of the individual's time. An in-kind contribution is a non-cash contribution provided by an external entity that directly supports the individuals' research and development efforts. An in-kind contribution may include but is not limited to: real property; laboratory space; equipment; data or data sets; supplies; other expendable property; goods and services; employee or student resources. In-kind contributions with an estimated value of less than $5000 need not be reported.
  • Common form definitions including, but not limited to what constitutes a malign foreign talent recruitment program.

The NSF and the NIH/National Library of Medicine hosted a webinar to discuss the revisions to these forms, as well as provide a demonstration of the revised functionality to create and download these required proposal documents in SciENcv on April 24, 2024. The webinar recording is available at the NSF’s Policy Office Outreach website.

In-Kind Resources

Include in-kind resources available to a researcher in support of their research endeavors even if they are not intended for use on the project being proposed.

The NSF provides guidance regarding WHERE to report the in-kind contributions based on the following criteria:

  • Include in the C&PS if the in-kind contribution is not intended for use on the project/proposal being proposed to NSF but has an associated time commitment and an estimated dollar value of $5,000 or more. Examples include:
    • Research-related travel costs paid by an external party
    • Honoraria or other payments for research-related activities paid by an external party
    • External funding to support individuals working on an investigator’s research endeavors including staff, students, fellows, and visiting scholars
    • Awards made directly to project personnel
  • Include in the Facilities, Equipment and Other Resources section “if there will be an in-kind contribution intended for use on the proposal being submitted to NSF”. Examples include:
    • Data sets
    • Biological or chemical materials
    • Office/laboratory space, equipment or supplies

Note: In SciENcv the In-Kind Contribution summary of contributions cannot exceed 300 characters.

“Gifts”

(Updated 10/26/2021)

NSF defines a gift to be something that is given without the expectation of anything in return.  An item or service given with the expectation of an associated time commitment is not a gift, and is instead an in-kind contribution and must be reported as such.

While Stanford University policy on gifts aligns closely with this definition, there may be gifts that could come into question. As a result, we ask Investigators to use the guide document linked below to carefully consider and identify any gift that meets the criteria for disclosure for NSF Current & Pending Support. The guidance is also applicable for NIH Other Support.

Stanford NIH & NSF Gifts Disclosure Guidance (updated 10/25/2021)

Gifts Disclosure Webinar Recording (updated 10/26/2021)

Additionally, if the item or service is given with the expectation of an associated time commitment or if the donor receives a benefit, it does not meet NSF’s definition of a “gift” and should be reported as an in-kind contribution. Examples include, but are not limited to, funds received in support of an Industrial Affiliates Program (IAP) with the expectation of an associated time commitment from the investigator and/or if member companies are offered benefits, and/or gifts where the donor will receive a benefit (e.g. access to research results, students or facilities)

Recommended approach for reviewing an investigator’s individual Faculty Financial Tool Inquiry (FFIT) screen to identify NSF disclosable current and in-kind support

Oracle Award # Begins With... Disclose/Do NOT Disclose/It Depends Notes
A = Stanford Operating and/or General Funds Do NOT disclose Generally, “A” funds are not on individual faculty FFIT screens, and rather are held and managed at the unit/dept/school level.

B-F = Designated Funds

Do NOT disclose* *EXCEPTION: Disclose designated funds that record the receipt of Industrial Affiliates Program funding that is earmarked for a specific investigator and/or investigator’s research.

G-J = Gift Funds

 

 

 

 

 

 

 

 

 

 

 

It Depends

Click on the "i" icon to the right of each gift award to review the Award Information for each listed gift award.

Disclose as in-kind resources all gifts that meet the criteria listed in the Stanford NIH & NSF Gifts Disclosure Guidance

For gifts that do meet the criteria for disclosure:

  • Use the current gift award balance shown in FFIT as the $ amount of the in-kind resource. 
  • Gift awards that have a $0 balance do NOT need to be disclosed. 
  • For gifts that are pooled i.e. funded from multiple donors, the source of support can be listed as "multiple donors".

Disclose any current Seed Grants that are awarded in gift funds as Current projects.  Gift PTAs listed under "Allocations from Others" are very often seed grants.  Running the OBI Fund Authorization Report and speaking with your faculty can confirm and provide any additional needed information.

Do NOT disclose gift awards that are part of a faculty's start-up package

K-N = Endowment Do NOT disclose  
O - Not in use NA  
P-W = Sponsored Accounts Disclose ALL current listed projects, including University Research Awards  
Y-Z = Plant/Student Loans Do NOT disclose  
Reference: Stanford Award Ranges    

 


Post Proposal but Pre Award Update Requirements

If Stanford discovers that a PI or co-PI on an active NSF grant failed to disclose current support or in-kind contribution information as part of the proposal submission process , Stanford must submit a Post-Award Disclosure of project Support Information and/or Post-Award Disclosure of In-Kind Contribution Information within 30 calendar days of the identification of the undisclosed current support or in-kind contribution through use of the “Post-award Disclosure of Current Support and In-Kind Contribution Information” category in the Notification and Request Module in Research.gov.  

Research.gov Notification: Post-award Disclosure of Current Support and In-Kind Contribution Information

Effective January 30, 2023, the cognizant NSF program officer will request that an updated version of Current and Pending (Other) Support be submitted via Research.gov prior to making a funding recommendation.  See How PIs/co-PIs Initiate and Prepare an Updated Current and Pending (Other) Support Document for complete instructions.  Please note:

  • Only the proposal’s Principal Investigator (PI) and co-PI(s) can initiate updated Current and Pending (Other) documents for the submitted proposal.
  • Individuals with the Sponsored Projects Offices (SPOs) role on their NSF accounts can access these requests and assist with preparation if SPO/AOR access with editing is shared by the PI/co-PI.
  • If a program officer has initiated a Current and Pending (Other) Support update request, a budget revision cannot be started by the PI/co-PI. The Current and Pending (Other) Support update must be completed first and then a budget revision can be initiated by the PO/co-PI.  
  • If the PI/co-PI has already started a budget revision when the Current and Pending (Other) Support update is initiated by the program officer, the in-progress budget revision must be deleted so that the Current and Pending (Other) Support update can be completed and submitted.
  • If a budget revision has already been submitted, a Current and Pending (Other) Support update cannot be submitted on the same day to allow time for processing.
  • The Authorized Organizational Representative (AOR) = either OSR CGOs or RMG RPMs submits the updated Current and Pending (Other) document for each individual named as senior personnel on the the submitted proposal.
  • Once an Updated Current and Pending Support [or Budget Revision request] is ready to submit in Research.gov, prepare and route a corresponding Central Office Request (COR): Other Preaward for the given SPO. Once OSR receives the COR in SERA it will be assigned to a CGO for review.  Your CGO as an AOR will be the one to ultimately submit the update/request to the NSF through Research.gov. 

Annual Project Reporting Requirements

The Annual Project Report is used by award recipients to prepare and submit annual and final project reports to NSF. Further details about the annual report can be found on the Research.gov About Project Reports website.

On October 5, 2020, NSF added 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 prepared in SciENcv to notify NSF that active other support has changed since the award was made or since the most recent annual report.


Need further assistance? Have questions and/or feedback? Please submit questions and/or feedback and a member of the ORA-RMG Disclosures Team will respond to you shortly.