Page Updated: July 12, 2021
This document contains guidance for completing Other/Current and Pending Support documents. It is the investigator’s responsibility to ensure the accuracy of Other/Current and Pending Support documents, in accord with the application guidelines or the sponsor’s instructions. Please be sure to carefully read and follow the guidance provided by individual sponsors on how to prepare Other Support documents.
Many federal agencies are revising their instructions regarding Other Support. They request similar, though not uniform, information and provide somewhat ambiguous instructions. Given these factors, we offer below some clarifying statements to standardize and set expectations on what to include in Other/Current and Pending Support documents submitted by UW-Madison.
|Include any activity conducted within the scope of an Investigator’s UW-Madison appointment that provides funding or requires a commitment of time must be reported.||
|Include all collaborations and affiliations that provide funding or require a commitment of time must be reported, whether foreign or domestic.|
|Include the proposal being submitted as a pending proposal.|
|Address potential overlap or over-commitments.||
|List projects with no-cost extensions.|
|Update information as much as possible, e.g., remove outdated proposals or expired awards, unless specifically requested by sponsor, such as NIH or DoD.|
|For subawards to UW-Madison, include the total amount specific to the subaward requested or received by UW-Madison.|
|Include clinical trials.||
|Include start-up funding provided by an organization other than UW-Madison.|
|Include consulting agreements where the PI or senior/key personnel will be conducting research as part of the consulting activities must be reported.|
|In-kind contributions should be reported for NIH and NSF, per agency instructions.||
|For NIH Other Support documents, include an Investigator’s VA-funded activities.||
|Do NOT include start-up funding from UW-Madison.|
|Do NOT include consulting agreements that involve non-research consulting activities.||
|Do NOT include training awards, prizes, or gifts.||
|Do NOT include NIH proposals or projects for which the individual is an Other Significant Contributor.|
|Do NOT include UW-Madison endowed professorships.|
|Do NOT include UW-Madison retention packages.|
|Do NOT include fee-for-service agreements.|
|Do NOT include internal departmental funds, such as 101.|
What follows are examples of Federal sponsor-specific guidance on what they request in their Other Support documents. This guidance is subject to change and will be revised as sponsors release new information. Because sponsor guidance may change, RSP recommends that the investigator/department pay close attention to the sponsor’s instructions in the request for proposal, policy guide, etc. on how to prepare these documents. Each sponsor may request slightly different information or require that it be provided following their own format. RSP’s Current and Pending Support tool offers a method to prepare the information for some of the University’s largest sponsors.
Investigators and departments should be prepared to respond to a sponsor’s questions about the information provided in Other Support.
From General Application Instructions, Version 601, Department of Defense, Defense Health Program, Congressionally Directed Medical Research Programs:
PI Previous/Current/Pending Support: This file must be titled “Support_LastName.pdf” where “LastName” is the last name of the PI.
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.
From Continuation of Solicitation for the Office of Science Financial Assistance Program, posted 10/1/2020:
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:
From NASA GUIDEBOOK FOR PROPOSERS RESPONDING TO A NASA FUNDING OPPORTUNITY, Revised as of May 2020, Effective as of June 23, 2020:
3.16 Current and Pending Support
PIs and Co-PIs must 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 to the proposed effort must provide a list of ongoing and pending projects and proposals (regardless of salary support) that require a significant share (more than 10%) of their time. Proposals do not need to include the current proposal on the list of pending proposals unless submitted to another funding opportunity (NASA or another sponsor).
For those investigators for whom it is required (see above), the proposal shall provide the following information for each current and pending project:
The proposing PI must notify the NASA Program Officer identified in the NOFO immediately of any successful proposals that are awarded for substantially the same research 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. It may be requested, depending on the specifics of the NOFO. Proposers may request student funding in three different ways:
NIH guidance and instructions on Other Support has evolved over the last few years. Major resources include the following:
From the NIH Grants Policy Statement, Revised October 2019:
Definition of 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:
Other Support must be provided 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.
Some specific examples of information that should be disclosed in NIH Other Support include, but are not limited to:
From Special Instructions for Individuals with Multiple Research Appointments (e.g., dual university/Department of Veterans Affairs appointments):
When an individual holds multiple appointments involving support for research activities, information from each appointment must be included separately in the Other Support documentation. The support from each funding source should be clearly and separately delineated so that the separate appointments can be considered independently when determining any potential overlap.
List each appointment separately and include enough information on the type of appointment; (e.g., full time academic or 6/8 VA) so that an assessment of an individual’s commitment can be made. Within each appointment, include appropriate sources of research support providing the standard detailed information cited above.
Note that when an individual has multiple appointments (UW & VA) it is possible that the combined effort can result in excess of 12 calendar months (not from any one institution, but a combination of multiple appointments). In all cases, an individual’s combined total professional effort must meet a test of reasonableness.
|Calendar year/person months on other support||How are we supposed to complete the Year/Person Months table in the NIH Other Support form? The grant period usually does not align with the calendar year.||In the Year column, enter the calendar year during which the budget period begins. In the Person Months column, enter the person months the individual plans to spend during the budget period. The Project/Proposal Start and End Date should indicate that the budget periods will be, typically twelve-month periods that begin on the start date and each anniversary thereafter. The NIH provided the following example in their Other Support sample document:
From NIH Other Support Sample: Project/Proposal Start and End Date: (MM/YYYY) (if available): 10/1/2021 – 9/30/2023
|For a project that is in a no-cost extension period, what should be listed for an effort commitment in Other Support?||For a project in a no-cost extension (NCE), the NIH expects some small amount of effort be included for an NIH award. One option would be to show the effort for the final year of the project and extend the period of time for the NCE period. For example, this would mean entering the annual effort commitment of 0.5 calendar months for the Person Months, but instead of listing 1/1/2018 – 12/31/2020, the dates would be 1/1/2018 – 12/31/2021. A visual representation of this idea is available at the top of page 2 at this link. Another option would be to enter a de minimis amount of effort for the NCE period of the NIH award, provided 1) the original effort commitment for the project had already been fulfilled, and 2) the project is not an award with a specific minimum effort requirement such as a K award.|
|Fee-for-service||Should we include funding from fee-for service (fund 136) activities in other support?||No, funding from fee-for-service or fund 136 activities should not be included in Other Support.|
|Foreign appointments/employment||Does the Supporting Documentation requirement ONLY apply to foreign appointments or employment? For example, if a PI has research agreement with a foreign company that flows through UW-Madison, would that require supporting documentation?||The Supporting Documentation requirement only applies to foreign appointments or employment that an individual engages in as an outside activity. If a PI has a research agreement with a foreign company that is run through UW-Madison, i.e., a sponsored project on fund 133, the sponsored project would be listed on Other Support, but there would be no need to provide a copy of the research agreement with the Supporting Documentation.|
|Can you differentiate between what NIH expects for a foreign appointment vs. participation on a grant with a foreign sponsor? How should a grant with a foreign sponsor or entity be indicated on Other Support, and does it require any documentation?||NIH expects that a foreign appointment or foreign employment will be listed in the Biosketch, in the section on Positions, Scientific Appointments, and Honors. NIH expects that institutions will provide “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.” Grants, contracts, or other agreements associated with the foreign appointment or employment would be listed in the Other Support document (as Active, Pending, or Completed projects) for the PI or senior/key personnel. The copies of contracts, grants, or any other agreements would be included in the Other Support PDF.
If a PI has a research agreement with a foreign sponsor or entity that is run through UW-Madison, i.e., a sponsored project on fund 133 or 144, the sponsored project would be listed on Other Support, and there would be no need to provide a copy of the research agreement with the Supporting Documentation.
|What if a PI is working with a foreign country on a grant from that country in that country during the summer? Would we need the supporting documents for that grant or agreement?||If a PI is working with a foreign country on a grant from that country and the agreement is NOT run through UW-Madison, the agreement should be listed as a project in Other Support and a copy of the agreement should be included as part of the Supporting Documentation.|
|What does it mean to ‘flatten’ a PDF? And how do I do it?||Flattening a PDF means merging separate, distinct content into one document. You can flatten a PDF and combine documents by using the “Print to PDF” function. RSP recommends retaining the individual documents in the event NIH requests copies of them.|
|Form use||What does NOT-OD-21-110 mean?||The notice indicates that the new Other Support format is expected to be used as of May 25, 2021, but it is not required until January 25, 2022. This means that NIH will not withdraw applications that do not follow the new format until January 25, 2022. NIH clarified that they will not require that supporting documentation be included with Other Support until January 25, 2022, but that institutions may be asked to provide this documentation to NIH prior to that date, if necessary.
Other Support documents must include disclosures of all domestic and foreign support available to a researcher, per NIH guidance. Although the new Other Support format is not required until January 25, 2022, RSP recommends that people begin using the format as soon as they are able on or after May 25, 2021. If the attestation is included, it should be signed by the PI/PD or senior/key personnel. RSP also recommends that departments begin collecting supporting documentation, in case NIH requests it.
|Gifts||Do 233 accounts need to be listed on other support?||No. 233 accounts are considered gift funds. Gifts are resources provided where there is no expectation of anything in return. As long as gifts are appropriately classified, there is no need to include them in Other Support.|
|Immediate notification of non-RPPR or non-JIT disclosure||Regarding NIH’s new requirement of immediate notification of undisclosed Other Support, does this refer only to a deliberate failure to disclose? What if a person receives a new award after the JIT is submitted -- would this award need to be communicated to the GMS?||The immediate notification requirement refers to instances where there was a failure to disclose information about support that was active when a JIT or a progress report was submitted. If a researcher receives a new award after the JIT or RPPR was submitted, then the update would be reflected in the next RPPR.|
|In-kind contributions||Should we only report in-kind contributions that are currently active? Do we need to report pending or completed in-kind contributions?||RSP is advising people to include active or pending in-kind contributions. If a new in-kind contribution arrives during the period of the award, it should be reported in the RPPR.|
|Is RSP setting a minimum threshold for an in-kind contribution estimated dollar amount? The example in the NIH Other Support sample of $1,000 seems low.||No, RSP is not setting a minimum threshold for when an in-kind contribution should be included. The PI and department should try to determine the fair market value of an in-kind contribution. Guidance for valuing contributions is available in 2 CFR §200.306 Cost sharing or matching. The NIH has indicated that in-kind contributions should be included if they are either of high value or uniquely available to a researcher.|
|Do in-kind donations need to be reported if from a different department within UW (e.g., Vet School to SMPH)?||In-kind contributions are defined as non-cash contributions (goods or services) from a third party that is external to UW-Madison, so something provided internally would not be considered an in-kind contribution. If resources are being provided to a department by another department for the proposed project, they may need to be described in the in Facilities section of the proposal.|
|How are administrators to identify or know about in-kind contributions?||Administrators may not be aware of in-kind contributions that support an individual’s research. The administrator may need to ask the researcher to identify in-kind contributions as part of preparing the other support document.|
|Internal funding||How should I determine if internal funds should be included in Other Support?||
In general, consider including internal funds if they meet all of the following criteria: a proposal and budget for a specific project were submitted; funds were competitively awarded for the conduct of research and will be separately accounted for; and a deliverable such as a project report is required.
Examples of internal funds to include (not a comprehensive list): WARF Fall Competition funds; WARF funded MIR awards; Wisconsin Partnership fund; Baldwin WI Idea Endowment awards; Research Service Grant awards; SEED or Draper Technology Innovation Fund awards.
Examples of internal funds to exclude (not a comprehensive list): Vilas Early & Mid-Career Professorships; Hilldale or Bascom Professorship; Kellett Mid-Career Award; Romnes Faculty Fellowships; other named professorships.
|Key personnel||What is the definition of key personnel and why is it important related to other support?||
NIH defines key personnel as “the PD/PI and other individuals who contribute to the scientific development or execution of a project in a substantive, measurable way, whether or not they receive salaries or compensation under the grant.” (See link for complete NIH definition.) Classifying someone as key personnel is important because many administrative requirements, such as provision of Other Support documents, are tied to one’s role as key personnel.
One question to consider in naming key personnel is: If the person were to leave the project, how disruptive would that be to the project? The potential level of disruption may be an indicator of whether or not to name the person as key personnel, i.e., low disruption indicates probably not key personnel.
|Multi-project or multi-site awards||What if UW-Madison is a site for a clinical trial on a multi-center study? UW is not the coordinating site, but other sites on the study are in foreign countries. Does this need to be reported and, if so, how?||If UW-Madison is not the coordinating site, and we are simply one site in a multi-center study, we need only list UW-Madison as the Primary Place of Performance. Per the NIH, “The researcher should provide the project number, PD/PI name for the prime award. All other information, including the total award amount and person months, should be specific [to] the subaward.”|
|For the multi-project grant that is run by our department, other administrators are asking me to determine how much support each of the thirty (30) key persons received from the full dollar amount. Are we really going into that much detail?||Yes, in the case where a researcher is a key person on a multi-project grant, the NIH guidance is “recipients should provide the project number and PD/PI name for the overall project. All other information, including total award amount and person months, [is] for the subproject only.” A best practice is for each investigator to have his/her own project set up. Also see the Collaborative Grant Expenditure Policy.|
|Pending grant||When is a grant officially "pending"? When it's submitted? After you get a fundable score?||A grant is considered pending once a proposal has been submitted. An industry-sponsored clinical trial is considered pending if it is in active negotiations.|
|RSP Current & Pending Support tool||Will RSP update the format of the Other Support document on the Current and Pending support tool?||Yes, RSP is working on revisions to the Current and Pending Support tool to incorporate changes to the NIH Other Support and a new section on industry-sponsored clinical trials. We will make an announcement when the tool has been updated.|
|Training grants and fellowships||Do NIH training grants and NIH fellowships need to be included in Other Support documents?||Training grants only need to be reported if you are the PI; trainers do not need to include training grants in other support. For NIH fellowships, the PI should include the award in Other Support.|
|VA appointment||Do we need to include active support for UW investigators with VA appointment when applying for NIH award?||Yes, funding from VA for research should be included, as well. Further information is available on the RSP Other Support website in the NIH section, under “NIH Other Support for VA Supported Investigators.”|
Released June 16, 2021: NSF Pre-Award and Post-Award Disclosures table, Relating to the Biographical Sketch and Current and Pending SupportNOTE: The National Science Foundation released an updated Proposal and Award Policies and Procedures Guide (PAPPG) on June 22, 2021. The new PAPPG is effective on October 4, 2021. NSF requires the use of an NSF-approved format to prepare Current and Pending Support, and the agency has made available a website on Current and Pending. The UW Libraries can support you if you have question on use of SciENcv to create your Current and Pending Support.
From NSF Proposal and Award Policies and Procedures Guide, effective October 4, 2021:
h. Current and Pending Support32
(i) This section of the proposal is used to assess the capacity of the individual to carry out the research as proposed, as well as to help assess any potential overlap/duplication with the project being proposed.
(ii) Current and pending support information must be separately provided through use of an NSF-approved format33, for each individual designated as senior personnel on the proposal. 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, except as noted in paragraph (v) below. Current and pending support also includes in-kind contributions (such as office/laboratory space, equipment, supplies, employees, students34. In-kind contributions not intended for use on the project/proposal being proposed that have associated time commitments also must be reported.35
(iii) Current and pending support information must be provided for this project, for ongoing projects, and for any proposals currently under consideration from whatever source irrespective of whether such support is provided through the proposing organization or is provided directly to the individual. This includes, for example, Federal, State, local, foreign, public, or private foundations, non-profit organizations, industrial or other commercial organizations, or internal funds allocated toward specific projects.
(iv) A brief statement of the overall objectives of the project/proposal being proposed or in-kind contribution must be provided. The submission also should summarize potential overlap with any active or pending proposal or in-kind contribution and this proposal in terms of scope, budget, or person-months planned or committed to the project by the individual.
(v) 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. Person-month information included in current and pending support may differ from the person-months requested on the budget for a given project. The information contained on the budget is separate and distinct from the information entered on current and pending support regarding how much time the individual is or is planning, or has committed to spend on a project. If the individual is not requesting salary, and will not be expending any effort, then the project should not be reported in current and pending support.
(vi) Concurrent submission of a proposal to other organizations will not prejudice its review by NSF, if disclosed.36 If the project (or any part of the project) now being submitted has been funded previously by a source other than NSF, information must be provided regarding the last period of funding.
From USDA NIFA Current & Pending Support template:
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:
Note: Concurrent submission of a proposal to other organizations will not prejudice its review by NIFA.