CHAPTER VI THE AWARD AND CONTINUED SUPPORT
A. STANDARD AND CONTINUING GRANTS
NSF awards two types of grants:
Standard Grants, in which NSF agrees to provide a specific level of support for a specified period of time with no statement of NSF intent to provide additional future support without submission of another proposal; and
Continuing Grants, in which NSF agrees to provide a specific level of support for an initial specified period of time, usually a year, with a statement of intent to provide additional support of the project for additional periods, provided funds are available and the results achieved warrant further support.
Notification of an NSF grant is by a letter signed by an NSF Grants Officer, addressed to the Grantee Organization. An NSF grant consists of: (1) the award letter, which includes any special provisions applicable to the grant and any numbered amendments thereto; (2) the budget, which indicates the amounts, by categories of expense, on which NSF has based its support (or otherwise communicates any specific approvals or disapprovals of proposed expenditures); (3) the proposal referenced in the award letter; (4) the applicable grant conditions, such as Grant General Conditions (NSF GC-1) or Federal Demonstration Partnership (FDP) Terms and Conditions and (5) any NSF brochure, program guide, announcement or other NSF issuance that may be incorporated by reference in the award letter. Electronic mail notification is the preferred way to transmit NSF grants to organizations that have electronic mail capabilities and have requested such notification from the Division of Grants and Agreements.
Effective/Expiration Dates and Preaward Costs.
The grant period begins on the effective date specified in the award letter or, in its absence, the date of the award letter and runs until the expiration date indicated. Expenditures incurred within the 90-day period preceding the effective date of the grant may be authorized by the grantee organization. Such expenditures, however, are made at the grantee's risk. Expenditures after the scheduled expiration date of the grant may be made only to honor documented commitments made on or before the expiration date. PIs should consult their business offices for details.B. ADDITIONAL SUPPORT
1. Incremental Funding
Incremental funding for continuing grants within the total duration of the project is based on NSF review of Progress Reports and does not require submission of a new proposal. For each increment, an annual progress report addressed to the cognizant program office, with a copy to the Authorized Organizational Representative, must be received by NSF at least three months before the end of the period currently being funded. For information on a new electronic reporting capability for submission of project reporting information, see Section VII.G.1.
2. Renewal Proposals
Proposals for additional funding for a support period subsequent to that provided by a standard or continuing grant compete with all other pending proposals and should be submitted at least six months before additional funding is required or consistent with an established deadline or target date. In preparing a renewal proposal, proposers should assume that reviewers will not have access to previous proposals.
All proposals for renewed support of research projects from academic institutions only must include, as part of Results from Prior NSF Support, information about any contribution of the completed project to the education and development of human resources in science and engineering at the postdoctoral, graduate and undergraduate levels. Commercial organizations and other non-profit organizations are exempt from this requirement. (See Section II.D.4. for more information.)
PIs are encouraged to discuss renewal proposals with the Program prior to submission of a proposal. Unless precluded by individual program requirements, PIs can choose either of two formats for a renewal proposal:
3. Two-Year Extensions for Special Creativity
A Program Officer may recommend the extension of funding for certain research grants beyond the initial period for which the grant was awarded. The objective of such extensions is to offer the most creative investigators an extended opportunity to attack adventurous, "high-risk" opportunities in the same general research area, but not necessarily covered by the original/current proposal. Awards eligible for such an extension are generally three-year continuing grants.
Special Creativity Extensions are initiated by the NSF Program Officer based on progress during the first two years of a three-year grant; PIs will be informed of such action a year in advance of the expiration of the grant.
4. Supplemental Funding
In unusual circumstances, small amounts of supplemental funding and up to six months of additional support may be requested to assure adequate completion of the original scope of work. The grantee may submit a request for supplemental funding to the cognizant NSF Program Officer at least two months before funds are needed. Program Officers may make decisions regarding whether or not to recommend a small supplement without merit review of the supplemental request. Requests for larger supplements may require merit review. Such requests should include a brief justification and a budget signed by the PI and the Authorized Organizational Representative. Supplemental funding requests will not be approved for such purposes as defraying costs associated with increases in salaries or additional indirect cost reimbursement. Grantees should contact the cognizant Program Officer prior to submitting a proposal for a supplemental request. See GPM 264 for additional information on Supplemental Funding requests.
In addition, limited supplemental funds are available for special NSF programs, such as Facilitation Awards for Scientists and Engineers with Disabilities, Research Opportunity Awards, and Research Experiences for Undergraduates. (See Sections V.G.-I. and the appropriate program brochures.)
C. NO-COST EXTENSIONS
1. Grantee Authorized Extension
Grantees may authorize a one-time extension of the expiration date of the grant of up to 12 months if additional time beyond the established expiration date is required to assure adequate completion of the original scope of work within the funds already made available. This one-time extension may not be exercised merely for the purpose of using the unliquidated balances. The grantee shall notify the NSF Grants Officer in writing, providing supporting reasons for the extension and the revised extension date, at least ten days prior to the expiration date specified in the grant to ensure accuracy of NSF's grant data. For extensions provided by organizations, no amendment will be issued. Grantees are strongly encouraged to use the NSF FastLane system to transmit their no-cost extension notifications to NSF.
2. NSF-Approved Extension
If additional time beyond the extension provided by the grantee is required and exceptional circumstances warrant, a formal request must be submitted to NSF. Two copies of the request, signed by the PI and the Authorized Organizational Representative, must be received by the cognizant NSF program office at least 45 days before the expiration date of the grant. The request must explain the need for the extension and include an estimate of the unobligated funds remaining and a plan for their use. As indicated above, that unobligated funds may remain at the expiration of the grant is not in itself sufficient justification for an extension. The plan must adhere to the previously approved objectives of the project.
Any NSF-approved no-cost extension will be issued by an NSF Grants Officer in the form of an amendment to the grant specifying a new expiration date. Grantees are cautioned not to make new commitments or incur new expenditures after the expiration date in anticipation of a no-cost extension. Grantees are strongly encouraged to use the NSF FastLane system to submit their no-cost extension requests to NSF.
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