Collaborative Proposals and Subawards

From NSF’s Proposal & Award Policies & Procedures Guide (PAPPG) (NSF 24-1), Chapter II:
Proposal Preparation Instructions:

Collaborative proposals are those in which investigators from two or more organizations wish
to collaborate on a unified research project. The lead institution is typically the one whose
scientists are doing the bulk of the work in terms of writing the proposal and/or those that will
manage the largest portion of the funds should the proposal be awarded. Proposal titles must
begin with "Collaborative Research:" and all titles, start dates, durations, and NSF programs
must be the same across the institutions. They may be submitted to NSF in one of two methods:

1. Single Proposal with subaward administered by the Lead Organization
As a single proposal, in which a single award is being requested and subawards administered by
the lead organization.
A subcontract is issued when Kean University is the prime recipient in an agreement with
another institution ("subrecipient") to provide part of the research required in an original contract
or grant.

Subrecipient Documentation
When you are proposing to be the prime recipient of a contract or grant Kean is the primary (pass
through) institution, your subrecipient(s) will need to send the following to ORSP for your
proposal:

• Kean University’s Subrecipient Commitment form
• Statement or scope of work (SOW)
• Detailed Budget that meets the sponsor’s requirements
• Detailed Budget Justification that meets the sponsor's requirements
• Senior and Key Personnel Documents
  • Biographical Sketches
  • Current & Pending Support
  • Collaborators & Other Affiliations Information
  • Synergistic Activities
• Facilities, Equipment, and Other Resources
• Statement of Intent/Letter of Commitment/Collaboration
• Copy of the Institution’s Indirect Cost Agreement or URL
• Copy of the Institution’s Fringe Benefit Rate or URL
• Certification that any necessary review process is complete or pending (human or animal subjects, recombinant DNA or pathogens)
• Any additional documents required by the specific solicitation.

2. Collaborative Proposals with Simultaneous Submission

Collaborative proposals require simultaneous submission of proposals. One organization has
the lead role but all are required to submit their original proposal to NSF. None of the proposals
should be submitted to NSF until they are all linked together. For Research.gov, this means:

• Each organization prepares their proposal (thus creating a temporary proposal number).
• Each non-lead institution provides the temporary proposal number to the lead institution.
• The lead institution initiates linking by entering each non-lead institution’s proposal ID in
• Research.gov by using the “Link Collaborative Proposals” option found on the “FormPreparation Screen.” The lead institution will 'SEND LINK REQUEST' to the non-lead.
• The request must be accepted by the non-lead in the non-lead institution proposal in the Link/View Collaborative Proposals page.
• The lead institution will see the non-lead institutions that have accepted or rejected links as well as any pending link requests.
• Each institution can continue to do work on their own institution’s proposal, and submit when ready "within a reasonable timeframe of one another" (thus non-lead institutions can submit before the lead institution, as long as the lead institution has linked the proposals; non-lead institutions can also submit after the lead).
• When you are working with no external deadline, coordination and communication between the collaborators becomes more important. Historically, NSF has required that collaborative proposal be submitted within "a reasonable timeframe of one another" but hasn't stated what they consider reasonable.
• After linking, each institution submits their proposal. Thus, each institution comes up with a different proposal number – but, in Research.gov, those separate proposals are linked together for printing or electronic viewing (with NO new collaborative number).

Required sections of the proposal differ based on the organization's role.

The following sections are required for a collaborative proposal submitted by:

Lead Organization

• Cover Sheet (List only those PIs and co-PIs affiliated with the Lead Organization)
• Project Summary
• Table of Contents (automatically generated)
• Project Description
• References Cited
• Budget and Budget Justification for the portion of work to be managed by their institution)
• Facilities, Equipment and Other Resources
• Senior and Key Personnel Documents for personnel affiliated with their institution
  • Biographical Sketches
  • Current & Pending Support
  • Collaborators & Other Affiliations Information
  • Synergistic Activities
• Data Management and Sharing Plan
• Mentoring Plan (if required) for the entire project
• List of Project Personnel
• All supplementary single copy documents (ie conflicts of interest tables)
• Any other supplementary documents (ie letters of commitment, quotes, etc.) allowed by the program

Non-Lead Organizations do not need to submit the project summary, project description, and
references cited (which are the same for all collaborating organizations) because they are only
submitted by the Lead. Non-lead will need to submit:

• Cover Sheet (List only those PIs and co-PIs affiliated with the Non-Lead Organization)
• Table of Contents (automatically generated)
• Budget and Budget Justification (for the portion of work to be managed by their institution)
• Senior and Key Personnel Documents for personnel affiliated with their institution:
  • Biographical Sketches
  • Current & Pending Support
  • Collaborators & Other Affiliations Information
  • Synergistic Activities
• Facilities, Equipment & Other Resources

The multiple project directors/principal investigators (PD/PIs) option presents an important
opportunity for investigators applying for projects or activities that require a team science
approach. This option is targeted specifically to those projects that do not fit the single-PD/PI
model. It is intended to supplement and not replace the traditional single PD/PI model. The
overarching goal is to maximize the potential of team science efforts to be responsive to the
challenges and opportunities of the 21st century.

PD/PIs at different institutions may collaborate on the development of a multiple PD/PI
application. However, a single application should be submitted from one institution that
identifies all PD/PIs, including those from institutions other than the applicant institution.
The institution submitting the application will be considered the lead institution. The Contact
PD/PI must be affiliated with the institution submitting the application. The other collaborating
institutions will be supported through subcontracts. Multiple organizations may not submit the
same multiple PD/PI application.

The standard instructions for submitting consortium budgets should be followed. If funded, NIH
will issue the award to the applicant institution which will administer the award using the
traditional subcontract approach.

For NIH proposals involving multiple organizations, either a subcontract agreement or a
consortium agreement may be appropriate, depending on the nature of the collaboration and the
roles of each institution. Subcontracts are used when a participating institution performs specific
work under the main grant, while consortium agreements are used for more equal partnerships
where organizations share the research effort and outcomes.

A Multiple PD/PI Leadership Plan must be included that describes a rationale for choosing the
multiple PD/PI approach. The governance and organizational structure of the leadership team
and the research project should be described, including communication plans, process for making
decisions on scientific direction, and procedures for resolving conflicts. The roles and
administrative, technical, and scientific responsibilities for the project or program should be
delineated for the PD/PIs, including responsibilities for human subject studies or studies with
vertebrate animals as appropriate.