UAccess Research Guidance for NSF Proposals That May Impact Tribal Resources or Interests

UAccess Research Guidance for NSF Proposals That May Impact Tribal Resources or Interests

Explanation

National Science Foundation (NSF) proposals that may impact the resources or interests of a federally recognized American Indian or Alaska Native Tribal Nation (Tribal Nation) will not be awarded by NSF without prior written approval from the official(s) designated by the relevant Tribal Nation(s). This NSF Proposal & Award Policies & Procedures Guide (PAPPG) requirement was introduced in NSF 24-1, Chapter II.E.10. For purposes of this provision, references to "resources or interests of a Tribal Nation" are limited to resources and interests connected to Tribal Nation lands or those aspects of Tribal life that are within the domain of a Tribal Nation, (including, but not limited to, Tribal languages and subsistence rights on Tribal Nation lands) as opposed to individual Tribal Nation members.

Process

When routing a proposal in UAccess Research with the National Science Foundation (NSF) as the Sponsor, a Questionnaire for "NSF Tribal Approval" will be created requiring an answer to the following question:

Does this proposal have the potential to impact the resources or interests of a federally recognized American Indian or Alaska Native Tribal Nation?

If the answer is Yes, 

  • On the Attachments tab, you will need to attach the required documentation using the Tribal Nation Approval Request (UA) attachment type. 
  • On the Supplemental Information > Project Information tab, 
    • Answer the "Native or indigenous research and/or engagement?" question Yes. 
    • Select at least one federally recognized Tribal Nation from the drop-down list. You may add additional federally recognized Tribal Nations by selecting the + button.
    • If your project also involves non-federally recognized Tribal Nations, enter those into the text box. Please be as accurate as possible when entering non-federally recognized Tribal Nation names here as this field is used for reporting purposes. If you are uncertain what to enter, please reach out to Claudia Nelson  in the Native Peoples Technical Assistance Office (NPTAO) for guidance. 

If you are a non-lead collaborator on an NSF multi-institution proposal, where you will be funded directly by NSF and NSF is identified as our direct Sponsor,

  • You will respond Yes on the Questionnaire only if your specific scope of work has the potential to impact the resources or interests of a federally recognized American Indian or Alaska Native Tribal Nation. You will be responsible for attaching the appropriate documentation in UAccess Research and listing the impacted Tribes as detailed above. The Lead institution will be required to mark the cover sheet appropriately and attach the appropriate documentation to the application in Research.gov.
  • You will respond No on the Questionnaire if your specific scope of work does not have the potential to impact the resources or interests of a federally recognized American Indian or Alaska Native Tribal Nation. The Lead institution will be required to mark the cover sheet appropriately and attach the appropriate documentation to the application in Research.gov.

 

If the answer is No, either because the project does not impact any federally recognized Tribal Nations, or because it does not involve native or indigenous research or engagement at all, 

  • On the Supplemental Information > Project Information tab, you will still need to answer the "Native or indigenous research and/or engagement" question. 
  • Answer Yes if: 
    • the research or institutional engagement intentionally involves participation by members of a sovereign Tribe or Indigenous community and may foreseeably result in results with implications specific to a Tribe, Indigenous community, or to individuals as members of the tribe or community. Note: Such engagement may occur with Native or Indigenous peoples outside the U.S.
    • the research or institutional engagement takes place in Indian Country, of Alaska Native homelands, and/or on land under the control or jurisdiction of a sovereign Tribe or Indigenous community. Note: Such engagement may occur with Native or Indigenous peoples outside the U.S.
    • human research is conducted in Indian Health Service (IHS) facilities or involving IHS staff or resources. Note: Additional engagement with the IHS, Tribal Institutional Review Boards (IRBs), or other entities may be required.
    • the research involves human subjects, including genetic testing or testing of blood, tissue, or other biological materials if the individual's membership in or affiliation with a Tribe or Indigenous community is identified, and it is intended to or may foreseeably result in conclusions or generalizations about a Tribe, Indigenous community, or individuals as members of the Tribe of Indigenous community. 
    • any research or institutional engagement involving human remains, funerary objects, sacred objects, or objects of cultural patrimony that are subject to the Native American Graves Protection and Repatriation Act (NAGPRA). 

Please note, if you answer yes to the "Native or indigenous research and/or engagement" question due to any of the reasons above, you will need to:

  • select any federally recognized Tribal Nation from the drop-down list. You may add additional federally recognized Tribal Nations by selecting the + button.
  • enter any non-federally recognized Tribal Nations into the text box. Please be as accurate as possible when entering non-federally recognized Tribal Nation names here as this field is used for reporting purposes. If you are uncertain what to enter, please reach out to Claudia Nelson  in the Native Peoples Technical Assistance Office (NPTAO) for guidance. 
No routing changes will accompany these additional questions. The Native Peoples Technical Assistance Office (NPTAO) will be added as an FYI route stop. FYIs do not hold up proposal routing. 

Refer to the Steps for Sponsored Project Submission for additional guidance about working with Native Nations and Indigenous Communities. The University of Arizona Native Peoples Technical Assistance Office (NPTAO) is available to assist in compliance with required consultation Policies.

Questions NSF specifically answered for the University of Arizona:

Only the lead institution must check the box on the Cover Sheet and attach the required documents in Research.gov.

If you are a subawardee on a NSF proposal, where NSF is listed in UAccess Research as the Prime Sponsor, the NSF Tribal Impacts Questionnaire will not appear and will not need to be answered.  However, you will still need to answer the "Native or indigenous research and/or engagement" question. 

Answer Yes if: 

  • the research or institutional engagement intentionally involves participation by members of a sovereign Tribe or Indigenous community and may foreseeably result in results with implications specific to a Tribe, Indigenous community, or to individuals as members of the tribe or community. Note: Such engagement may occur with Native or Indigenous peoples outside the U.S.
  • the research or institutional engagement takes place in Indian Country, of Alaska Native homelands, and/or on land under the control or jurisdiction of a sovereign Tribe or Indigenous community. Note: Such engagement may occur with Native or Indigenous peoples outside the U.S.
  • human research is conducted in Indian Health Service (IHS) facilities or involving IHS staff or resources. Note: Additional engagement with the IHS, Tribal Institutional Review Boards (IRBs), or other entities may be required.
  • the research involves human subjects, including genetic testing or testing of blood, tissue, or other biological materials if the individual's membership in or affiliation with a Tribe or Indigenous community is identified, and it is intended to or may foreseeably result in conclusions or generalizations about a Tribe, Indigenous community, or individuals as members of the Tribe of Indigenous community. 
  • any research or institutional engagement involving human remains, funerary objects, sacred objects, or objects of cultural patrimony that are subject to the Native American Graves Protection and Repatriation Act (NAGPRA). 

Please note, if you answer yes to the "Native or indigenous research and/or engagement" question due to any of the reasons above, you will need to:

  • select any federally recognized Tribal Nation from the drop-down list. You may add additional federally recognized Tribal Nations by selecting the + button.
  • enter any non-federally recognized Tribal Nations into the text box. Please be as accurate as possible when entering non-federally recognized Tribal Nation names here as this field is used for reporting purposes. If you are uncertain what to enter, please reach out to Claudia Nelson  in the Native Peoples Technical Assistance Office (NPTAO) for guidance. 

Correct. No further documentation would be required if explicit approval for the proposed activities is submitted at time of proposal. 

As long as the the proposed activities that would impact the resources or interests of the Tribal Nation are stated and explicitly approved in the MOU, the MOU would suffice. 

Because NSF has a lease in place with the Tohono O'odham Nation (TO) regarding the approved use of their land for astronomical purposes, there is no need for additional permission to be sought from the TO if proposers seek NSF funding to conduct astronomical research on Kitt Peak. 

Additional Resources

NSF has compiled a list of  Frequently Asked Questions (FAQs) on Seeking or Obtaining Tribal Nation Approval for Proposals that May Impact Tribal Resources or Interests.