V. 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, that 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, 20
such as Grant General Conditions (NSF GC-1) or
Federal Demonstration Partnership (FDP) Terms and Conditions and (5) any NSF brochure,
program guide, solicitation 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 only may be made 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 project reports and does not require submission
of a new proposal. NSF must receive an annual project report for each increment
of funding at least three months prior to the end of the current funding period.
See Chapter VI, Section G.1. for information on NSF’s electronic reporting system.
2. Renewal Proposals
Renewal proposals are requests for additional funding for a support period
subsequent to that provided by a standard or continuing grant. Renewal proposals
compete with all other pending proposals and must be submitted at least six months
before additional funding is required or consistent with an established deadline,
target date or submission window. 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 information on human resources
development at the postdoctoral, graduate and undergraduate levels as part of
Results from Prior NSF Support. 21
This may involve, but is not limited to, the role of research in
student training, course preparation and seminars (particularly for undergraduates).
Special accomplishments in the development of professional scientists and engineers
from underrepresented groups should be described. Graduate students who participated
in the research should be identified by name. This requirement does not apply
to non-academic organizations.
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 the following two formats for preparation of a renewal
proposal. Both types of renewal proposals must be submitted electronically via
the NSF FastLane system.
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Traditional Renewal. 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 limitation on the project description
applies.
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Accomplishment-Based Renewal. In an “Accomplishment-Based
Renewal” (ABR) proposal, the project description is replaced by copies of no more
than six reprints 22
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 summary (not to exceed four pages) 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 that
it is an ABR submission and the box for “Accomplishment-Based Renewal” must be
checked on the proposal Cover Sheet. 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 for a period
of up to two years. The objectiveof 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 must submit a request for supplemental
funding to the cognizant NSF Program Officer at least two months before funds
are needed.
Requests for supplemental funding may be initiated in the FastLane system by
using the "Supplemental Funding Request" function.23
Such requests must include a summary of the
proposed work, a brief justification, and a budget for the requested funds.
Note: A signed paper copy of the supplemental funding request budget
is no longer required to be submitted to NSF because all necessary certifications
are provided at the time of submission of the supplemental funding request.
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, or for more than six months, may require additional merit
review. 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 request for supplemental funding.
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
NSF, providing supporting reasons for the extension and the revised expiration
date, at least ten days prior to the expiration date specified in the grant to
ensure accuracy of NSF’s grant data. All grantee-authorized extension notifications
must be submitted via the FastLane system. For grantee authorized extensions,
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.
The request must be submitted to NSF at least 45 days prior to 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. All requests for NSF-approved
extensions must be submitted via the FastLane system. 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.
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