Other/Current and Pending Support

Updated March 2021: NIH Other Support webpage Published March 12, 2021: NOT-OD-21-073 “Upcoming Changes to the Biographical Sketch and Other Support Format Page for Due Dates on or after May 25, 2021,” updated FAQs, and NOT-OD-21-110 “Implementation of Changes …” On July 10, 2019, the NIH Office of the Director issued Notice Number: NOT-OD-19-114 “Reminders of NIH Polices on Others Support and on Policies related to Financial Conflicts of Interest and Foreign Components”. This Notice changed our understanding of some of the guidance NIH has provided in the past. This Notice is accompanied by FAQs. Published July 10, 2019: NIH website on Protecting U.S. Biomedical Intellectual Innovation, https://grants.nih.gov/policy/protecting-innovation.htm, provides additional information and examples.  The website details what should be disclosed to NIH about Senior/Key Personnel on applications and awards and the responsibilities of applicants and recipient institutions.

From the NIH Grants Policy Statement, Revised October 2019:

Other Support: Includes all resources made available to researcher or senior key personnel 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. Other support does not include training awards, prizes, gifts or start-up support from the US based institution.

NIH has indicated that they review Other Support information to ensure that:

• All resources, domestic or foreign, directly supporting the individual’s research endeavors have been reported
• Sufficient levels of effort are committed to the project
• There is no scientific, budgetary, or commitment overlap
• Only funds necessary to the approved project are included in the award
• Any foreign resources that meet the definition of a foreign component have received appropriate prior approval.

NIH Other Support Guidance:

Information on other active and pending support will be requested as part of the Just-in-Time procedures for all individuals identified in the application as the PI or senior/key personnel. More detailed information is available on the NIH Other Support webpage.

• 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 resource and/or financial support from all foreign and domestic entities, including but not limited to, financial support for laboratory personnel, and provision of high-value materials that are not freely available (e.g., biologics, chemical, model systems, technology, etc.).
• Other support does not include training awards, prizes, or gifts.
• Other support is requested for all individuals designated in an application as senior/key personnel-those devoting measurable effort to a project. Information on Other Support is not specifically requested for Program Directors, training faculty, and other individuals involved in the oversight of training grants since applicable information is collected in other sections of a training grant application. It is also not requested for individuals categorized as Other Significant Contributors.

Information from Recent Discussions with NIH:

In addition to the excerpt from the GPS shown above, recent conversations with NIH suggest the University should use its best judgement about reporting activities in Other Support. The following information reflects our current understanding of the intent of the Notice:

• Participation in a foreign talent program needs to be disclosed.
• Start-up funds provided by Purdue are not subject to disclosure in Other Support.
• Consulting activities, which were part of the July 6, 2019 version of the FAQs, have been subsequently excluded from reporting requirements in Other Support.
• Gifts, training grants, and prizes are still excluded from Other Support. Care must be taken to ensure that funds are appropriately categorized.
• Awards resulting from internally-funded competitions, such as PU/PRF funds, should be included only if there is measurable effort.
• Non-monetary support provided for the benefit of an investigator’s research endeavors needs to be reported. This would include resources and facilities that are uniquely available to the researcher, but would not include facilities, services, or resources available for shared use and not specific to the individual investigator. Those facilities, services and resources would typically be reported under the Facilities and Other Resources section of the application.
• Individuals with a 9-month appointment must report any time spent conducting research under a foreign award over the summer. See the NIH FAQ on this topic.
• All resources provided by a foreign organization, whether monetary or not, should be disclosed.

NEW NIH Other Support Requirements (effective for due dates on/after May 25, 2021**)

• The Other Support form must be signed by the PI or senior/key personnel. Once a signature has been obtained, the document must be made into a flattened PDF.
• Supporting documentation:
  • For foreign activities or resources, recipients must submit “copies of contracts, grants or any other agreement specific to senior/key personnel foreign appointments and/or employment with a foreign institution.” This may include:
    • Appointment letters or other documents (agreement) related to the terms and conditions of the appointment with foreign entities
    • Employment agreements with foreign entities
    • Grants and contracts received as a result of their appointment and/or employment with the foreign entity (received as an individual or through the foreign entities involved)
  • If not in English, recipient must provide translated copies.
  • Must be part of Other Support PDF

**NIH expects applicants and recipients to use the updated biosketch and other support format for applications, Just-in-Time (JIT) Reports, and Research Performance Progress Reports (RPPRs) as of May 25, 2021. NIH will require the use of the updated format pages for the previously mentioned submissions for anything on and after January 25, 2022. Failure to follow the appropriate formats on or after January 25, 2022 may cause NIH to withdraw applications from or delay consideration of funding.

 

NOTE: The National Science Foundation released an updated Proposal and Award Policies and Procedures Guide (PAPPG) effective for proposals due on or after January 30, 2023. NSF has updated the NSF-approved format required with signature certification for the preparation of the Current and Pending Support document.  The NSF Fillable PDF requires certification by signature and date.  SciENcv certifications are processed through the online system when downloading your report.  Detailed information can be found on this NSF Current and Pending website.

Effective October 23, 2023, ALL NSF Biosketch and Current and Pending documents will be required to be created in SciENcv.  Detailed information can be found on this NSF Current and Pending website.

CURRENT & PENDING PROCEDURES: Support provided by SPS Pre-Award for preparation of the current and pending support document is documented in the Procedures for NSF Current & Pendings document.

Disclosure Table:  NSF Pre-award and Post-award Disclosures Relating to the Biographical Sketch and Current and Pending Support 

Information from the 2023 NSF Proposal and Award Policies and Procedures Guide, effective January 30, 2023 can be found here.  https://beta.nsf.gov/policies/pappg/23-1/ch-2-proposal-preparation#2D2hii

(ii) Current and Pending (Other) Support

Note: The mandate to use SciENcv only for the preparation of Current and Pending (Other) Support information will go into effect for new proposals submitted or due on or after October 23, 2023. In the interim, proposers may continue to prepare and submit this document via use of SciENcv or the NSF fillable PDF. NSF, however, encourages the community to use SciENcv prior to the October 2023 implementation.

(a) Current and Pending (Other) Support^[30] information is used to assess the capacity of the individual to carry out the research as proposed and helps assess any potential scientific and budgetary overlap/duplication, as well as overcommitment with the project being proposed. Note that there is no page limitation for this section of the proposal, though some fields have character limitations for consistency and equity.

(b) Senior personnel include the individuals designated by the proposer/awardee organization and approved by NSF who contribute in a substantive, meaningful way to the scientific development or execution of a research and development project proposed to be carried out with a research and development award.^[31]

(c) Current and Pending (Other) Support must be provided separately for each individual designated as senior personnel through use of SciENcv. SciENcv will produce an NSF-compliant PDF version of the Current and Pending (Other) Support. Senior personnel must prepare, save, certify, and submit these documents as part of their proposal via Research.gov or Grants.gov.

(d) Consistent with NSPM-33, senior personnel are required to disclose contracts associated with participation in programs sponsored by foreign governments, instrumentalities, or entities, including foreign government-sponsored talent recruitment programs^[32]. Further, if an individual receives direct or indirect support that is funded by a foreign government-sponsored talent recruitment program, even where the support is provided through an intermediary and does not require membership in the foreign government-sponsored talent recruitment program, that support must be disclosed. Senior personnel must also report other foreign government sponsored or affiliated activity. Note that non-disclosure clauses associated with these contracts are not acceptable exemptions from this disclosure requirement.

(e) A table entitled, NSPM-33 Implementation Guidance Pre- and Post-award Disclosures Relating to the Biographical Sketch and Current and Pending (Other) Support^[33]has been created to provide helpful reference information regarding pre-award and post-award disclosures. The table includes the types of activities to be reported, where such activities must be reported in the proposal, as well as when updates are required in the proposal and award lifecycle. A final column identifies activities that are not required to be reported.

(f) Do not submit any personal information in the Current and Pending (Other) support. This includes items such as: home address; home telephone, fax, or cell phone numbers; home e-mail address; driver’s license number; marital status; personal hobbies; and the like. Such personal information is not appropriate for current and pending (other) support and is not relevant to the merits of the proposal. NSF is not responsible or in any way liable for the release of such material.

(g) A separate submission must be provided for each active project/pending proposal as well as in-kind contributions using the format specified below.

The formats of Current and Pending (Other) Support are as follows:

*= required

• • (i) Identifying Information
    • *Name: Enter the name of the senior person (Last name, First name, Middle name, including any applicable suffix).

ORCID ID^[34] (Optional): Enter the ORCID ID of the senior person.

*Position Title: Enter the current position title of the senior person.

• • (ii) Organization and Location
    • *Name: Enter the name of the primary organization of the senior person.

*Location: Enter the City, State/Province, and Country where the primary organization is located. If the State/Province is not applicable, enter N/A.

• • (iii) Projects/Proposals
    • In this section, disclose ALL existing projects, as well as all projects currently under consideration for funding, in accordance with the definitions for “current” and “pending” below. Unless otherwise specified, there is no page or character limit.

*Project/Proposal Title: Enter the title of each project/proposal being reported.

*Status of Support: Select the appropriate status type as defined below:

• • • • Current – all ongoing projects, or projects with ongoing obligations, from whatever source irrespective of whether such support is provided through the proposing organization or is provided directly to the individual.
      • Pending – any proposal currently under consideration for funding (including this proposal) from whatever source irrespective of whether such support is provided through the proposing organization or is provided directly to the individual.

Proposal/Award Number (if available): Enter the applicable proposal/award number for each proposal and/or award, if available.

*Source of Support: Identify the entity for each proposal and/or award that is providing the support. Include all Federal, State, Tribal, territorial, local, foreign, public, or private foundations, non-profit organizations, industrial or other commercial organizations, or internal funds allocated toward specific projects.

*Primary Place of Performance: Identify the primary location where the project or activity is being executed. Enter the City, State/Province, and Country where the organization is located. If the State/Province is not applicable, enter N/A. Indicate “virtual” if the project is not based in a physical location.

*Project/Proposal Start Date: Indicate the start date (MM/YYYY) of the project/activity as proposed/approved.

*Project/Proposal End Date: Indicate the end date (MM/YYYY) of the project/activity as proposed/approved.

*Total Award Amount: Enter the total award amount for the entire period of performance, including indirect costs, rounded to the nearest dollar. If the support is in a foreign country’s currency, convert to U.S. dollars at time of submission.

*Person-Month(s) (or Partial Person-Months) Per Year Committed to the Project: Enter how much time the individual anticipates is necessary to complete the scope of work on the proposed project or award. Enter the number of person-months (even if unsalaried) for the current budget period and enter the proposed person-months for each subsequent budget period. If the individual is reporting person-months that span two calendar years, the individual should enter the latter year. For example, if the entry covers the organization’s fiscal year of June 2023 through May 2024, the individual would enter “2024” for the year and include the corresponding person-months as defined and used by the organization in proposals submitted to NSF. If the time commitment is not readily ascertainable, reasonable estimates should be provided.

*Overall Objectives: Provide a brief statement of the overall objectives of the proposal/award. This field is limited to 1500 characters.

*Statement of Potential Overlap: Provide a description of the potential overlap with any pending proposal or award and this proposal in terms of scope, budget, or person-months planned or committed to the project by the individual. If there is no potential overlap, enter N/A in this field.

• • (iv) In-Kind Contributions

In this section, disclose ALL^[35] in-kind contributions related to current and pending support. In-kind contributions include, but are not limited to, office/laboratory space, equipment, supplies, and employee or student resources.

*Status of Support: Select the appropriate status type as defined below:

• • • Current – all in-kind contributions obligated from whatever source irrespective of whether such support is provided through the proposing organization or is provided directly to the individual.
    • Pending – all in-kind contributions currently under consideration from whatever source irrespective of whether such support is provided through the proposing organization or is provided directly to the individual.

*In-Kind Contribution Start Date: Indicate the start date (MM/YYYY) of the in-kind contribution as proposed/approved.

*In-Kind Contribution End Date: Indicate the end date (MM/YYYY) of the in-kind contribution as proposed/approved.

*Source of Support: Identify the entity(ies) that is/are providing the in-kind contribution. Include, for example, Federal, State, Tribal, territorial, local, foreign, public, or private foundations, non-profit organizations, industrial or other commercial organizations, or internal funds allocated toward specific projects.

*Summary of In-Kind Contribution(s): Provide a summary of the in-kind contribution(s) not intended for use on the project/proposal being proposed to NSF, whether or not it has an associated time commitment. If the time commitment or dollar value is not readily ascertainable, reasonable estimates should be provided.

*Person-Month(s) (or Partial Person-Months) Per Year Associated with the In-kind Contribution: Enter how much time the individual anticipates is necessary to complete the scope of work associated with the in-kind contribution. Enter the number of person-months (even if unsalaried) for the current budget period and enter the proposed person-months for each subsequent budget period. If the individual is reporting person-months that span two calendar years, the individual should enter the latter year. For example, if the entry covers the organization’s fiscal year of June 2023 through May 2024, the individual would enter “2024” for the year and include the corresponding person-months as defined and used by the organization in proposals submitted to NSF. If the time commitment is not readily ascertainable, reasonable estimates should be provided.

*U.S. Dollar Value of In-Kind Contribution: Enter the U.S. dollar value of the in-kind contribution. If the dollar value is not readily ascertainable, reasonable estimates should be provided. If the support is in a foreign country’s currency, convert to U.S. dollars at time of submission, rounded to the nearest dollar.

*Overall Objectives: Provide a brief statement of the overall objectives of the in-kind contribution(s). This field is limited to 1500 characters.

*Statement of Potential Overlap: Provide a description of the potential overlap with any current or pending in-kind contribution and this proposal in terms of scope, budget, or person-months planned or committed to the project by the individual. If there is no overlap, then enter N/A in the field.

• • (v) *Certification

When the individual signs the certification on behalf of themselves, they are certifying that the information 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. 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.

(h) The individual also must report any proposal, other than the proposal currently being submitted, that will likely be submitted imminently or in the near future.

(i) Prior to making a funding recommendation, the cognizant NSF program officer will request that an updated version of Current and Pending (Other) Support be submitted via Research.gov.

Source:  https://beta.nsf.gov/policies/pappg/23-1/ch-2-proposal-preparation#2D2hii

 

The Department of Energy has released a memo limiting participation in foreign talent recruitment programs. DOE has released an order and FAQs to implement this memo. 

In June 2022, the Department of Energy published a Financial Assistance Letter (FAL), which outlines a plan for implementing NSPM-33.  To ensure consistency across DOE and NNSA,  Grant Officers should use language provided in the FAL Appendix 1.  The FOA will outline the requirements of the Current and Pending support on a program by program basis.  Always check the FOA for specific requirements related to Overlap, Past Support, Certification and format.

From Continuation of Solicitation for the Office of Science Financial Assistance Program, posted 10/1/2020:

SECTION VIII.A.

10. How to Prepare Current and Pending Support

WARNING: These instructions have been significantly revised to require disclosure of a variety of potential conflicts of interest or commitment, including participation in foreign government-sponsored talent recruitment programs.

Current and Pending support is intended to allow the identification of potential duplication, overcommitment, potential conflicts of interest or commitment, and all other sources of support. The PI and each senior/key person at the prime applicant and any proposed subaward must provide a list of all sponsored activities, awards, and appointments, whether paid or unpaid; provided as a gift with terms or conditions or provided as a gift without terms or conditions; full-time, part-time, or voluntary; faculty, visiting, adjunct, or honorary; cash or in-kind; foreign or domestic; governmental or private-sector; directly supporting the individual’s research or indirectly supporting the individual by supporting students, research staff, space, equipment, or other research expenses. All foreign government-sponsored talent recruitment programs must be identified in current and pending support. SC requires the use of the format approved by the National Science Foundation (NSF), which may be generated by the Science Experts Network Curriculum Vita (SciENcv), a cooperative venture maintained at https://www.ncbi.nlm.nih.gov/sciencv/, and is also available at https://www.nsf.gov/bfa/dias/policy/nsfapprovedformats/cps.pdf .  The use of a format required by another agency is intended to reduce the administrative burden to researchers by promoting the use of common formats.

For every activity, list the following items:

• The sponsor of the activity or the source of funding
• The award or other identifying number
• The title of the award or activity. If the title of the award or activity is not descriptive, add a brief description of the research being performed that would identify any overlaps or synergies with the proposed research
• The total cost or value of the award or activity, including direct and indirect costs. For pending proposals, provide the total amount of requested funding
• The award period (start date –end date)
• The person-months of effort per year being dedicated to the award or activity

Grant Officers MAY also require the following. 

• Identify overlap, duplication of effort or synergistic efforts
• Certification language and signature, each current and pending support disclosure must be signed and dated and include a certification statement.
• Format – SCIENCV formatting may be required.

Source: https://www.energy.gov/sites/default/files/2022-06/FAL%202022-04%20Current%20and%20Pending%20Support%20Disclosures.pdf

The Department of Defense has indicated that information provided in Previous/Current/Pending Support will be used to support protection of intellectual property, national security, and to limit undue influence. See Memorandum.

 

From General Application Instructions, Version 601, Department of Defense, Defense Health Program, Congressionally Directed Medical Research Programs:

PI/Key Personnel Previous/Current/Pending Support: This file must be titled “Support_LastName.pdf” where “LastName” is the last name of the PI/Key Personnel.

For all previous (award period of performance ending within the past 5 years), current, and pending research support, include the title, time commitments, supporting agency, name and address of the funding agency’s procuring Contracting/Grants Officer, performance period, level of funding, brief description of the project’s goals, and list of the specific aims. If applicable, identify where the proposed project overlaps with other existing and pending research projects. Clearly state if there is no overlap.

List all positions and scientific appointments, both domestic and foreign, held by senior/key personnel that are relevant to an application, 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).

Report all resources and other support for all individuals designated in an application as senior/key personnel–including for the PI and for other individuals who contribute to the scientific development or execution of a project in a substantive, measurable way, whether or not they request salaries or compensation. Information must be provided about all current support for ongoing projects, irrespective of whether such support is provided through the applicant organization, through another domestic or foreign organization, or is directly provided to an individual who supports the senior/key personnel’s research efforts.

Report all current projects and activities that involve senior/key personnel, even if the support received is only in-kind (e.g., office/laboratory space, equipment, supplies, employees). All research resources including, but not limited to, foreign financial support, research or laboratory personnel, lab space, scientific materials, selection to a foreign “talents” or similar-type program, or other foreign or domestic support must be reported.

Provide the total award amount for the entire award period covered (including facilities and administrative costs), as well as the number of person-months (or partial person-months) per year to be devoted to the project by the senior/key personnel involved.

If there is no previous, current, or pending support, enter “None.” An updated previous, current, and pending support document will be required if an award is recommended for funding.

Source: https://cdmrp.army.mil/funding/pa/FY21-BCRP-GAI.pdf

From USDA NIFA Current & Pending Support template:

Instructions:

Who completes this template: Each project director/principal investigator (PD/PI) and other senior personnel specified in the Request for Applications (RFA). For Agriculture and Food Research Initiative (AFRI) applications, completion of this is only required for PDs/PIs and CoPDs/CoPIs.

How this template is completed:

• Record information for active and pending projects, including this proposal.
• All current efforts to which PD/PI(s) and other senior personnel have committed a portion of their time must be listed, whether or not salary for the person involved is included in the budgets of the various projects. For AFRI applications, list only projects for which salary is requested.
• Provide analogous information for all proposed work which is being considered by, or which will be submitted in the near future to, other possible sponsors, including other USDA programs.
• For concurrent projects, the percent of time committed must not exceed 100%.

Note: Concurrent submission of a proposal to other organizations will not prejudice its review by NIFA.

Source: https://nifa.usda.gov/sites/default/files/resource/current_pending_0.doc

From NASA GUIDEBOOK FOR PROPOSERS RESPONDING TO A NASA FUNDING OPPORTUNITY (NOFO), Revised as of February 4, 2021, Effective as of February 15, 2021:

 

2.16 Current and Pending Support

PIs and Co-PIs shall provide all ongoing and pending projects and proposals (regardless of salary support) in which they are performing or will perform any part of the work. Co-Is proposing to spend 10% or more of their time in any given year to the proposed effort shall provide a list of ongoing and pending projects and proposals (regardless of salary support) that require more than 10% of their time in any given year. Proposals do not need to include the current proposal on the list of pending proposals unless it has been submitted in response to another funding opportunity (i.e., NASA or another sponsor).

PIs and Co-PIs also shall list their current and pending support with Chinese universities and other similar institutions or a Chinese-owned company at the prime recipient level and at all subrecipient levels, whether the bilateral involvement is funded or performed under a no exchange of funds arrangement3. (See paragraph 2.2.1) For those investigators for whom it is required (see above), the proposal shall provide the following information for each current and pending project:

• Title of funded project or proposal title;
• Name of PI on award or proposal;
• Program name (if appropriate) and sponsoring agency or organization, including a point of contact with their telephone number and email address; • Performance period;
• Total amount proposed (if pending) or received by that PI (including indirect costs) for that award or the amount per year if uniform (e.g., $50k/year); and
• Time commitment by the PI for each year of the period of performance.

The proposing PI shall notify the NASA Program Officer identified in the NOFO immediately of any successful proposals that are awarded for substantially overlapping work as proposed to NASA, any time after the proposal due date and until the announcement of NASA’s selections.

Current and pending support is not required for Co-Is at non-U.S. institutions. Current and pending support is usually not required for students, but it may be requested, depending on the requirements of the NOFO. Proposers may request student funding in one of three different ways:

• As a direct labor cost, the same as a key or other personnel;
• As a scholarship or other student aid that shall comply with the requirements in 2 CFR 200.466, Scholarships and student aid costs; or
• As a participant support cost as defined in 2 CFR 200.75 Participation support costs.

Source: https://www.nasa.gov/sites/default/files/atoms/files/2021_ed._nasa_guidebook_for_proposers.pdf