Grant Policies.

These include: 1. grant eligibility; 2. grant inquiries and submission of an invited proposal; 3. use and management of grant funds; 4. modification of grant terms; 5. use of consultants and contractors; 6. expenditure responsibility requirements; and 7. conditions on the payment of grant funds.

The Foundation makes grants to organizations that advance its charitable mission and strategic goals. Our grantees include organizations that are large and small, established and new, based in the US. The Foundation makes its grants exclusively to organizations in the United States that have been determined by the IRS to be section 501(c)(3) public charities. The Foundation does not make grants to organizations that are not 501(c)(3) public charities, including for-profit organizations and organizations outside the US. In addition, the Foundation does not make grants to individuals.

If an applicant’s proposal is approved by the Foundation, the grantee will be required to enter into a standard grant agreement (which is constituted by the final proposal and the award letter) with the Foundation before the grant is funded. This grant agreement and the finalized proposal establish the terms of the grant.

Many of the policies described below are memorialized in the Foundation’s grant agreement; therefore, prospective grantees are encouraged to read through these policies in advance of submitting a proposal. The Foundation is available to discuss any questions grantees or prospective grantees have regarding these policies.

Statement of Academic Independence

The Foundation adheres to a Statement of Academic Independence that commits to the principles of merit-based selection, scholarly autonomy, institutional integrity, transparency, nonpartisanship, and respecting the intellectual property of grantees.

The Foundation emphasizes its commitment to the academic freedom of grantees, as well as established institutional processes of grantees with respect to selection and appointment, as expressed in the American Association of University Professors (AAUP)’s 1940 Statement of Principles on Academic Freedom and Tenure and the 1966 Statement on Government of Colleges and Universities.

Our Grantmaking Areas

Information regarding the Foundation’s program areas and strategies can be found in the grantmaking area descriptions:

• Dissertation fellowships
• Postdoctoral fellowships
• Pre-tenure research grants
• Post-tenure research grants
• Academic leadership support

Types of Grants

The Foundation makes project support grants. Project support grants are intended for a specific, dedicated, restricted purpose and are to be spent according to the proposal, including its schedule and budget, and conditions specified in the Foundation’s grant agreement. Some of our grants include a matching requirement.

Use and Management of Grant Funds

For grants awarded by the Foundation, the Foundation’s grant agreement specifies the terms of the grant, including the use of grant funds and reporting schedule. Grant funds must only be used for the purposes, over the timeframe, and in the manner set forth in the grant agreement and finalized proposal.

Awarded grant funds may not be expended on project costs incurred prior to the grant start date or after the grant end date without the Foundation’s prior written approval. Unless specifically discussed in the proposal, grant funds cannot be used as collateral, to offset other financial obligations (including interest payments on lines of credit, and securing or servicing debt), nor to meet cash-flow or general operating expenses. In carrying out grant-funded projects, grantees must comply with all applicable local, state, federal, and international laws, regulations, and rules, including data privacy and intellectual property laws. Grantees are also expected to maintain controls to see that use of grant funds complies with the rules and guidance promulgated by the United States Office of Foreign Assets Control and all other relevant regulatory requirements.

Record Keeping

Grantees are required to retain accounting records, detailing all receipts and expenditures, for a minimum of three years following submission of the final grant report. Organizations receiving expenditure responsibility grants are required to keep records for four years. With reasonable notice, the Foundation reserves the right to conduct on- and offsite audits of records related to the use of grant funds.

Conditional Payments

Payment(s) towards grants awarded from the Foundation may be conditioned on the satisfaction of specific requirements. Where conditions are established, the Foundation will not make payment on the award unless and until all conditions have been met. The Foundation reserves the right to rescind a conditional grant when conditions have not been satisfied in a timely manner.

Collaborative Grants

Foundation grants may involve work undertaken by collaborating institutions. In such cases, the Foundation typically awards grant funds to a single grantee, who is responsible under the terms of the award for reporting on the activities and expenditures of the collaborating organizations.

Notification and Cooperation

Grantees should promptly notify the Foundation of:

1. significant organizational changes during the term of the grant, including changes in key personnel and changes in tax status;
2. reported concerns about the legality or propriety of the grant activities or use of Foundation funds, and
3. filed claims alleging harassment, discrimination, or a hostile work environment; financial impropriety; or breach of fiduciary obligations by senior leadership or the organization’s board.

If the Foundation learns of such allegations, it expects grantees to cooperate with reasonable requests of the Foundation to understand the grantee’s policies and procedures, including what steps were taken in response to the allegations.

Right to Discontinue Funding and Require Return of Funds

The Foundation reserves the right to modify a grant, discontinue funding, or terminate a grant and require the return of grant funds if a grantee fails to materially comply with the terms of the grant or becomes unable to carry out the purposes of the grant.

Changes in Grant Terms

Grantees should inform the Foundation of any significant changes in proposal grant activities and should request advance approval to modify grant terms. Grant modification requests considered by the Foundation include:

1. extension of the grant period to permit additional time to complete supported activities;
2. reallocation of funds to permit spending in a manner different than that described in the original budget (e.g., from one budget category to another);
3. rollover of funds from an older Foundation grant into a newer grant given for the same purpose;
4. extension of the matching period to permit additional time to satisfy a matching condition; and
5. transfer of grant funds from the original grantee to another organization.

Grantees must obtain advance written approval from the Foundation for these and other material changes.

Upon request, the Foundation will consider requests for changes in grant terms. Non-routine changes, such as repurposing a grant, may require approval of the Foundation’s Board of Trustees.

Workplace Conduct Standards and Nondiscrimination Policy

The Foundation gives high priority to the realization of equality of opportunity for all members of society, including those of diverse viewpoints and socioeconomic backgrounds. Accordingly, the Foundation expects grantees to seek to foster a workplace that is free from discrimination, harassment, and workplace misconduct; and have appropriate policies and procedures for training staff, receiving and addressing complaints regarding sexual harassment and other forms of workplace misconduct, and prohibiting retaliation against persons who make good faith complaints.

Consistent with its respect for the governance of the institutions that host its grantees, the Foundation relies on each grantee’s own policies and procedures in these matters.

The Foundation gives high priority to ensuring its programs are open on equal terms to qualified scholars, without regard to protected characteristics. Accordingly, the Foundation expects grantees to promulgate and adhere to a nondiscrimination policy substantially similar to that of the Foundation’s own policy, namely a stated commitment to not discriminate in its employment or operations on the basis of race, color, national origin, ethnicity, ancestry, religion, sex, gender, gender identity or expression, sexual orientation, age, disability, veteran status, marital status, pregnancy, genetic information, or any other characteristic protected by applicable federal, state, or local law.

Grant Work Products

The Foundation aims to maximize the use and reach of intellectual property created with grant funds in order to broaden the impact of both our work and the work of our grantees. This principle and the Foundation’s expectations regarding the use and dissemination of grant work products are described in the Foundation’s Intellectual Property Policy, which all grantees and prospective grantees are encouraged to read.

Additional Grant Considerations

Particular considerations apply for grants involving grant-produced work products, the use of consultants and contractors, the exercise of expenditure responsibility, or grants that are subject to a matching requirement.

Use of Consultants and Contractors: If a significant portion of the grant budget will be paid to consultants or other third-party vendors, grantees should follow the Foundation’s Guidelines for Grants Involving Consultants and/or Contractors.

Matching Grants: Grants may be subject to a matching requirement. In order to satisfy the Foundation’s matching requirement, matching funds must be newly received and in hand; pledges will not qualify. Gifts intended to meet the matching requirements will be valued as of the time of transfer to your organization. If the Foundation awards a matching grant, it will pay matching funds in installment amounts specified in the Foundation’s grant agreement upon the submission of gifts that meet the matching requirement.

Grants Portal Terms of Use

The Foundation provides grantee and prospective grantee organizations with access to its grants portal as a way to streamline and enhance the processes for proposing and administering grants. Use of the grants portal is subject to the Foundation’s Grants Portal Terms of Use. Grantee and prospective grantee organizations are responsible for ensuring that their institutional representatives (“users”) follow these Terms of Use, including designating the principal investigator and other users who may have access to a proposal and any confidential information contained therein, ensuring that users do not share accounts, and maintaining the security and confidentiality of accounts, and are responsible for any violations of these terms.

Intellectual Property Policy

In providing support for projects, the Foundation expects grant funds to be used in ways that take into account the interests of our grantees, as well as broader charitable objectives, including the long-term interests of the educational and cultural communities that our grantees serve.

The Foundation aims to maximize the use and reach of intellectual property created with grant funds in order to broaden the impact of both our work and the work of our grantees. Accordingly, the Foundation encourages wide dissemination of, and equitable access to, grant-funded work products. Grant-funded work products include a variety of materials such as audio or video works (including podcasts, films, and oral history recordings), books, white papers and reports, databases, software, and digital collections. The Foundation does not seek ownership rights in intellectual property created in the grant projects it supports. However, in order to advance the above goals, the Foundation’s standard grant agreement includes provisions regarding grant-funded work products, as described below.

• Grantees will obtain all necessary rights and permissions for the supported work so that grant activities and use of grant work products do not infringe on or violate the intellectual property, publicity, privacy, or other rights of any person.
• Grantees will make grant-funded work products available, as appropriate, for educational or charitable purposes. Where suitable, the Foundation will request final grant-funded products to be licensed to the public with a Creative Commons license. A Creative Commons license is a simple, standardized license that allows creators to retain copyright and receive attribution while allowing others to copy, distribute, and display their work; commercial uses may be prohibited by the creator. For information on Creative Commons licenses, please visit creativecommons.org.
• In the case of grant-funded software, grantees must agree, whenever possible, to make the software available according to the terms of an open source license and to other provisions aimed at promoting the sustainability, and maintenance of the software. Open source software is software with source code that anyone can inspect, modify, and enhance.
• With our grantees' agreement, the Foundation may use grant-funded work products to promote the grant project and the Foundation's charitable purposes. The Foundation is eager to use its communications platforms and network to share the exciting and impactful work of our grantees.

The Foundation recognizes that different projects have different intellectual property features and that limiting dissemination or access may be appropriate in certain cases to protect the interests of our grantees, the communities they serve, or participants in grant-funded projects. Examples of such interests may include privacy concerns, culturally sensitive materials, and preservation of revenue streams where revenue generation is a key component of the grant's charitable goals. Foundation program and legal staff are available to address questions and to discuss the Foundation's objectives and requirements with prospective grantees.

Working with Consultants and Contractors

The following guidelines govern the use of consultants and/or contractors for grants funded by the Foundation. The Foundation does not ordinarily consider universities that partner with a grantee to be consultants or contractors for purposes of these guidelines. Where a significant portion of the grant budget will be paid to a third party in exchange for services described in the proposal, the following guidelines will apply:

Required Bidding

• If selection of a vendor is made prior to the submission of the proposal, the proposal should include an explanation of how and why the contractor or consultant was selected. In addition, grantees should include the selected vendor’s budget as an appendix.
• If the selection of a vendor is not made prior to submission, the proposal should estimate consulting costs as an average of the quotes received. The grantee is responsible for obtaining detailed budget information from potential consultants or contractors.
• If a final selection is not made prior to acceptance and approval of the proposal by the Foundation, the grant may be paid in installments conditioned upon selection of an appropriate vendor.
• Wherever possible, at least three qualified contractors and/or consultants should bid for the work. Bids should include budgets and budget narratives at the same level of detail as those expected from the grantee.

Agreements with Consultants and Contractors

• Wherever large amounts of consultant or contractor hours are anticipated, fixed-price contracts are preferable to hourly contracts; if hourly contracts are used, a monetary limit should be expressly set.
• Vendors should provide clear documentation describing the work to be performed, including detailed budgets for estimated hours and expenses, in all consulting and contracting contracts and subsequent invoices.
• Grantees should, wherever possible, pay the contractor in stages as work is completed rather than disbursing an “up front” payment of the entire amount budgeted.
• The primary investigator is responsible for monitoring the work and expenses of all contractors and consultants.
• All consultants and contractors should sign confidentiality and work-for-hire agreements (where applicable), and affirm that they have no conflicts of interest.

Retention of Former Foundation Employees

The retention of a former Foundation employee for consulting and contracting work must conform to Foundation policy, which prohibits program staff from recommending former employees within 18 months of the employee’s departure for projects to be funded by the Foundation. Foundation funding of former staff may also be subject to restrictions by continuing fiduciary, legal, contractual, and/or ethical obligations as a result of former staff’s positions and contractual relationships with the Foundation.

Reporting

Consulting expenses should be clearly and separately accounted for in financial and narrative reports to the Foundation.

Attribution and Acknowledgement

These grantmaking policies are substantially derived from, and in most cases, identical to, the grantmaking policies of The Andrew W. Mellon Foundation as of March 9, 2023.

Last updated September 2026.