Federal Agency Guidance Regarding Disclosures of Other Support (Current and Pending Support) - UW-Madison Approach

Page Updated: May 23, 2024

UPDATE:

For new proposals submitted or due on or after October 23, 2023, SciENcv is required for preparation of Current and Pending (Other) Support. SciENcv can be populated with information stored in an ORCID account. The UW Libraries provide information about setting up an ORCID ID and building an ORCID profile. Also see the NCBI tutorial on SciENcv: Integrating with ORCID and NSF’s guidance on Current and Pending (Other) Support documents.

Also note that NSF is requiring SciENcv for the preparation of Biographical Sketches for new proposals submitted or due on or after October 23, 2023. See this NSF webpage for more information.

General Guidance

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. Regardless of the sponsor, information provided in Other/Current and Pending Support documents must be current, accurate, and complete.

Tip Additional Notes
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.
  • Commitments are regular obligations of time (part of an investigator’s regular activities), not short-term obligations, such as attending a meeting and making a presentation.
  • If an investigator has a commitment for an activity but is receiving no salary support from the activity (salary is cost shared by the University), that activity must be reported.
  • Typically, activities that provide funding or have a quantifiable commitment of time are Federal or Non-Federal sponsored projects (fund 144 or 133).
  • Even if a research project does not involve a quantifiable commitment of time, if the PI/senior key personnel is spending time on the project, the project should be included.
  • Awards resulting from internally-funded competitions should be included. Examples include, WARF Fall Competition funds, SEED Research Program or Draper Technology funds, Research Service Grants, Wisconsin Partnership Program grants, and Thompson Center awards to name a few. 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.
Include all collaborations and affiliations that provide funding or require a commitment of time, whether foreign or domestic.
Include the proposal being submitted as a pending proposal.
Address potential overlap or over-commitments.
  • As this is a primary concern of Federal agencies, please be clear in your explanations.
List projects with no-cost extensions. The NIH has a policy that active awards (including projects in a no-cost extension period) must have a measurable level of effort. The NIH GPS states, “With the exception of grant programs that have an effort requirement, or where terms and conditions prohibit such reductions, NIH will not require prior approval for the reduction in effort for Senior/Key personnel named in the NOA. The recipient is reminded that active awards must have a measurable level of effort.” See the NIH FAQs below.
Update information as much as possible, e.g., remove outdated proposals or expired awards, unless specifically requested by sponsor, such as DoD.
For subawards to UW-Madison, include the total amount specific to the subaward requested or received by UW-Madison.
Include clinical trials.
  • For federally-sponsored clinical trials, include the effort commitment listed in the award document.
  • For industry-sponsored clinical trials, group the clinical trials in one section. Include an aggregated effort amount for all industry-sponsored trials, as well as a general description for all trials. Each trial should then be listed individually with the sponsor, PI, dates, payments received to date, and a brief (one-sentence) description. See example
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.
  • If the agreement will result in a co-authored publication, it may be considered research.
  • Consulting may be outside of the scope of an individual’s UW-Madison appointment, but may need to be included.
  • See NIH FAQs B.4. and A.22. and the NSF Pre-award and Post-award Disclosures table.
  • See this document for "research" definitions.
In-kind contributions should be reported for NIH and NSF, per agency instructions.
  • NIH
    • If an in-kind contribution is not specific to the project being proposed but a resource available to the investigator, then it must be included as part of Other Support.
    • If an in-kind contribution is intended for use on the project being proposed, it should be included in the Facilities and Other Resources or Equipment section. If included in the Facilities section, it does not need to be replicated on Other Support.
    • For in-kind resources with no associated time commitment, researchers can list zero effort, but must provide the estimated dollar value of the in-kind resource. The effort and dollar value cannot both be zero.
    • Information on high-value materials (e.g., data, samples, etc.) received from collaborators must be included in the in-kind contribution section of Other Support, including the source, a summary of the in-kind contribution, and the estimated value. Only resources uniquely available to the researcher must be reported.
    • Institutional resources, such as core facilities or shared equipment that are made broadly available and will be used on the project being proposed, should not be included in Other Support, but rather listed under Facilities and Other Resources.
    • See NIH Other Support information.
  • NSF
    • If the in-kind contributions are not specific to the project/proposal but are available to the investigator and have an associated time commitment, the information must be included as part of the current and pending support section of the proposal.
    • In-kind contributions with no associated time commitment that are intended for use on the project/proposal to NSF must be included as part of the Facilities, Equipment, and Other Resources section. These contributions do not need to be replicated in the individual’s Current and Pending Support submission.
    • See NSF Current & Pending Support information.
  • UW-Madison definition of third party in-kind contributions:
    • Non-cash contributions from third parties external to the university. Instead of cash, the third party provides goods or services. This can include donated space, donated buildings or land, donated supplies, donated or loaned equipment, volunteer effort, or the paid effort of employees from an outside organization. (from UW-Madison Cost Sharing Guidelines)
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.
  • Gifts are resources provided where there is no expectation of anything in return. Care must be taken to ensure that funds are appropriately categorized. See Gift Funds Policy.
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.

Federal Agency Guidance

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.

The National Science and Technology Council Research Security Subcommittee has released a table entitled, NSPM-33 Implementation Guidance Pre- and Post-award Disclosures Relating to the Biographical Sketch and Current and Pending (Other) Support. The most recent version is available at this website. The table provides helpful reference information regarding pre-award and post-award disclosures, including what activities are to be reported; where activities must be reported in the application; when updates are required; and activities that are not required to be reported.

For any Federal proposals, please ensure that the PI(s) and senior/key personnel receive a copy of this PDF document, which highlights Section 223(a)(1) of the NDAA for FY2021.

Investigators and departments should be prepared to respond to a sponsor’s questions about the information provided in Other Support.

Department of Defense (DoD) Previous/Current/Pending Support RECENTLY UPDATED
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.

See below for information on the new certification required by Section 223 of the FY2021 NDAA.

From General Application Instructions, Version 702, Department of Defense, 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 (includes period of time awaiting funding status and/or period of time awaiting start date) 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, 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.

Note: Other support includes all resources made available to a researcher in support of and/or related to all of their research endeavors, regardless of monetary value and/or where they are based. 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 (biologics, chemical, model systems, technology, etc.).

New Requirement: Certification Regarding Disclosure of Funding Sources. The proposing entity must comply with Section 223(a) of the William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021, which requires that the PI, Partnering PIs (if applicable), and all key personnel:

  • Certify that the current and pending support provided on the application is current, accurate, and complete;
  • Agree to update such disclosure at the request of the agency prior to the award of support and at any subsequent time the agency determines appropriate during the term of the award; and
  • Have been made aware of the requirements under Section 223(a)(1) of this Act.

False, fictitious, or fraudulent statements or claims may result in criminal, civil, or administrative penalties (U.S. Code, Title 18, Section 1001).

Source: https://cdmrp.health.mil/funding/pa/General%20Application%20Instructions-702.pdf

For the "New Requirement,” RSP recommends inserting the following paragraph at the end of the Previous/Current/Pending Support disclosures and above the signature line:

I, PD/PI or other senior/key personnel, certify that the statements herein are current, complete and accurate to the best of my knowledge.  I agree to update such disclosure at the request of the agency prior to the award of support and at any subsequent time the agency determines appropriate during the term of the award.  I have been made aware of the requirements under Section 223(a)(1) of the William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021.  I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties (U.S. Code, Title 18, Section 1001).

Please use DocuSign for the signature/certification.

Also, please ensure that the PI(s) and senior/key personnel receive a copy of this PDF document, which highlights Section 223(a)(1) of the NDAA for FY2021.

Department of Energy (DoE) Current and Pending Support
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.

DoE released a Financial Assistance Letter (FAL) on Current and Pending Support Disclosure Requirements. Dept. of Energy and National Nuclear Security Administration Contracting and Grants Officers will incorporate the guidance of the FAL into funding opportunity announcements, agreements, or awards.

From Continuation of Solicitation for the Office of Science Financial Assistance Program, posted 9/30/2022:

11. 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

If required to identify overlap, duplication of effort, or synergistic efforts, append a description of the other award or activity to the current and pending support.

Requested information may be appended to current and pending support, whether produced from a fillable PDF or in SciENcv.

SC strongly recommends the use of SciENcv to reduce administrative burden by allowing the use of digital persistent identifiers, including the Open Researcher and Contributer ID (ORCiD). Current and pending support must be attached to the Research and Related Senior/Key Person Profile (Expanded) form in an application.

Details of any obligations, contractual or otherwise, to any program, entity, or organization sponsored by a foreign government must be provided on request to either the applicant institution or DOE.

Source:
https://science.osti.gov/grants/FOAs/-/media/grants/pdf/foas/2023/SC_FOA_0002844.pdf

National Aeronautics and Space Administration (NASA) Current and Pending Support

From NASA GUIDEBOOK FOR PROPOSERS RESPONDING TO A NASA FUNDING OPPORTUNITY, Revised: February 4, 2022, Effective: February 18, 2022:

2.16 Current and Pending Support

PIs and CoPIs 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 percent 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 percent 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 CoPIs 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 that 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:

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

Source: https://www.nasa.gov/sites/default/files/atoms/files/nasa_guidebook_for_proposers-feb_2022_tagged.pdf

National Institutes of Health (NIH) Other Support

Updated UW-Madison’s NIH Other Support Faculty Questionnaire and Template

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:

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, start-up support from the US based institution, or gifts.

Note: Gifts are resources provided where there is no expectation of anything (e.g.., time, services, specific research activities, money, etc.) in return.

Source: https://grants.nih.gov/grants/policy/nihgps/HTML5/section_1/1.2_definition_of_terms.htm

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
    • Scientific overlap occurs when (1) substantially the same research is proposed in more than one application or is submitted to two or more funding sources for review and funding consideration or (2) a specific research objective and the research design for accomplishing the objective are the same or closely related in two or more applications or awards, regardless of the funding source.
    • Budgetary overlap occurs when duplicate or equivalent budgetary items (e.g., equipment, salaries) are requested in an application but already are provided by another source.
    • Commitment overlap occurs when an individual's time commitment exceeds 100 percent (i.e., 12 person months), whether or not salary support is requested in the application.
    • Overlap, whether scientific, budgetary, or commitment of an individual's effort greater than 100 percent, is not permitted. Any overlap will be resolved by the IC with the applicant and the PD/PI at the time of award.
  • 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.

Sources: https://grants.nih.gov/faqs#/other-support-and-foreign-components.htm?anchor=56209#/other-support-and-foreign-components.htm?anchor=question56209 https://grants.nih.gov/grants/policy/nihgps/HTML5/section_2/2.5.1_just-in-time_procedures.htm

NIH Other Support Guidance

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.

What to include in NIH Other Support:
  • Resources and financial support from all foreign and domestic entities that are available to the researcher in support of and/or related to their research endeavors. This includes all resources and support, whether provided through University of Wisconsin-Madison, another institution, or to the researcher directly.
  • In-kind contributions, e.g., laboratory/office space, equipment, supplies, or employees or students supported by an outside source
  • Financial support for laboratory personnel
    • For example, a student or postdoc funded by a foundation or their home university who is working on research in support of the PI or senior/key personnel’s research endeavors should be reported as an in-kind contribution on Other Support
  • Provision of high-value materials that are not freely available (e.g., biologics, chemical, model systems, technology, etc.)
  • Consulting agreements when PD/PI or other senior/key personnel will be conducting research as part of consulting activities
  • Start-up funds provided by sources outside UW-Madison
  • Individuals with a 9-month appointment must report any time spent conducting research under a foreign award over the summer. See the NIH FAQ I.B.13 on this topic.
  • For a researcher working on a subproject for another UW-Madison PI, provide the project number and PD/PI name for overall project. Provide all other information, including total award amount and person months, for the subproject only.
  • For a researcher working on a subaward to UW-Madison where the NIH grant is awarded to another institution, provide the project number and PD/PI name for the prime award. Provide all other information, including total award amount and person months, for the subaward only.

Some specific examples of information that should be disclosed in NIH Other Support include, but are not limited to:

  • Other funding (e.g., salary, stipend, honoraria, etc.) paid to a University of Wisconsin-Madison researcher by an outside entity. This may include participation in a foreign talent program.
  • Financial support for laboratory personnel (e.g., students, postdocs, or scholars working in a researcher’s lab at University of Wisconsin-Madison and who are supported by a foreign entity either through salary, stipend, or receipt of living or travel expenses).
  • Provision of lab space at another institution, foreign or domestic.
  • Any agreement with a foreign university for which the University of Wisconsin-Madison faculty member directs non-UW students, postdocs, or other personnel affiliated with that university.
  • Any contractual agreement with a foreign institution or government agency.
  • Any non-University of Wisconsin-Madison agreement in which foreign funds or other resources are provided to the faculty for activities either at University of Wisconsin-Madison or at a foreign institution.
What not to include in NIH Other Support:
  • Training awards, prizes, or gifts. Care must be taken to ensure that funds are appropriately categorized. See Gift Funds Policy.
  • Start-up funds provided by UW-Madison
  • Non-research consulting activities
  • Facilities, services, or resources available for shared use and not specific to the individual investigator
NIH Other Support Requirements (effective for due dates on/after January 25, 2022)
  • The Other Support form must be signed by the PI or senior/key personnel, and the signature must be electronic. The UW-Madison licensed product for obtaining and providing electronic signatures is DocuSign. Once a signature has been obtained, print the document to PDF to make it into a flattened PDF.
  • Supporting documentation, for active support only:
    • 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 the agreements are not in English, UW-Madison must provide translated copies. See additional information on translations.
    • All Supporting Documentation must be combined with the signed Other Support form and submitted as one Other Support PDF document.
  • Sign Other Support with DocuSign
NIH Other Support for VA Supported Investigators

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.

Source: https://www.research.va.gov/services/shared_docs/Other-Support-JIT.pdf

NIH Frequently Asked Questions
Category Question Answer
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 ends. 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 what 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

  • Total Award Amount (including Indirect Costs): $262,921
  • Person Months (Calendar/Academic/Summer) per budget period.
Year (YYYY) Person Months (##.##)
1. 2022 2.4 calendar
2. 2023 2.4 calendar
For a project that is in a no-cost extension period, what should be listed for an effort commitment in Other Support? For an NIH project in a no-cost extension (NCE), because it is an active award, the NIH expects a measurable amount of effort to be included. RSP recommends entering 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. An example of a de minimis amount of effort would look like this:
Year (YYYY) Person Months(#.#)
6. 2023 (NCE) 0.01 calendar months
For projects with a specific minimum effort requirement, please enter effort according to the terms and conditions of the 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 or Pending 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.
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? NIH indicates that only active and pending in-kind support must be included.
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.

How do you reconcile key personnel submitted in an application versus key personnel listed in NIH Notice of Award (which may only be the PI)? For instance, when the RPPR is submitted, do you only need to submit updated Other Support for the PI? For the JIT or RPPR, NIH will look at everyone UW-Madison lists as key, regardless of who is indicated as key on the Notice of Award. See the Cover Page of the application in Commons to see who is listed as key. In a JIT submission or in the RPPR, we will need to submit updated Other Support for all of the individuals listed as key in the application.
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.
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.”
National Science Foundation (NSF) Current and Pending Support RECENTLY UPDATED
NOTE:

For new proposals submitted or due on or after October 23, 2023, SciENcv is required for preparation of Current and Pending (Other) Support. SciENcv can be populated with information stored in an ORCID account. The UW Libraries provide information about setting up an ORCID ID and building an ORCID profile. Also see the NCBI tutorial on SciENcv: Integrating with ORCID and NSF’s guidance on Current and Pending (Other) Support documents.

Also note that NSF is requiring SciENcv for the preparation of Biographical Sketches for new proposals submitted or due on or after October 23, 2023. See this NSF webpage for more information.

From NSF Proposal and Award Policies and Procedures Guide, effective January 30,2023:

(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 program[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 email 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

USDA National Institute of Food and Agriculture (NIFA) Current & Pending Support

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