This document has been archived and replaced by NSF-94-2
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 grant
applicable conditions, such as Grant General Conditions (NSF GC-1)
or Federal Demonstration Project (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 also used to transmit NSF grants
to organizations that have electronic mail capabilities and have
requested such notification from the Division of Grants and Agreements.
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,
one copy of the
Annual NSF Grant 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. Requests should include the items identified on
the NSF Form 1328 and the certification contained on the form
must be signed by the PI. (See Appendix D
for NSF Form 1328.)
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.
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:
The "traditional" renewal proposal is developed as
fully as though the proposer were applying for the first time.
It covers all the information required in a proposal for a new
project, including results from the prior work. The 15-page limit
on the project description applies.
In an "Accomplishment-Based Renewal" (ABR) proposal,
the project description is replaced by copies of no more than
six reprints of publications resulting from the research supported
by NSF (including research supported by other sources that is
closely related to the NSF-supported research) during the preceding
three- to five-year period. Of the six publications, two preprints
(accepted for publication) may be included. In addition, a brief
(not to exceed four pages) summary of plans for the proposed support
period must be submitted. All other information required for
NSF proposal submission remains the same. It must be clearly
indicated in the proposal and the box for "ABR" should
be checked on the
NSF Form 1207. ABR proposals
may not be submitted for consecutive renewals.
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/explanation
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.
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.
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 an 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.