Most sponsors allow no-cost extensions (NCE) of grant periods to provide maximum possible continuity in funding research and educational activities. The requirements to apply for a NCE vary with the sponsor and each investigator should refer to his/her sponsor’s policies.
For instance, NASA
http://www.hq.nasa.gov/office/procurement/nraguidebook/ (go to paragraph D-3) allows recipients to extend the expiration date of a grant if additional time beyond the established expiration date is required to assure adequate completion of the original scope of work with the funds already made available. Under these conditions, the recipient may unilaterally make a ONE- TIME no-cost extension, not to exceed 12 months. This requires that written notification with supporting reasons be received by the grant officer at least ten days prior to the expiration of the award. Any other extension must be submitted as a request in writing to the grant officer. Any notification or request should be co-signed by OSP prior to sending. Grantees are not authorized to extend an award that contains a zero balance.
For NIH
http://grants2.nih.gov/grants/oer.htm has similar (but not identical) requirements for FDP participants and for awards made under expanded authority. UMBC is not an FDP participant at this time and if expanded authority is not given at the time of award or in the case of some special grants (construction, training, etc) the rules may vary.
The grantee may extend the final budget period of the project period one time for a period of up to 12 months beyond the original expiration date shown in the NGA if no additional funds are required to be obligated by the awarding office, there will be no change in the project’s originally approved scope or objectives, and any one of the following applies:
- Additional time beyond the established expiration date is required to ensure adequate completion of the originally approved project.
- Continuity of NIH grant support is required while a competing continuation application is under review.
- The extension is necessary to permit an orderly phaseout of a project that will not receive continued support.
The fact that funds remain at the expiration of the grant is not, in itself, sufficient justification for an extension without additional funds. The grantee must notify the NIH awarding office, in writing, of the extension 10 days prior to the expiration date of the project period. Upon notification, the NIH awarding office will revise the project period ending date and provide an acknowledgment to the grantee.
In extending the final budget period of the grant through this process, the grantee agrees to update all required certifications, including human subjects and animal welfare, in accordance with applicable regulations and policies. Grantees may not extend project periods previously extended by the NIH awarding office. Any additional project period extension beyond the one-time extension of up to 12 months requires NIH prior approval. (See “Prior Approval Requirements” above for extensions requiring additional funds.)
OSP requires notification from the PI when a NCE is being requested. This notification should ideally be submitted to OSP at least 30 days prior to expiration of the grant. This notification should include a clear explanation/reason for the no cost extension. OSP will then generate correspondence to the appropriate Grants Specialist at NIH requesting the extension. Upon receipt of acknowledgment back from NIH, our internal records will be updated to reflect the new end date and a new information sheet will be generated.
For NSF
http://www.nsf.gov/pubs/2002/nsf02151/gpm02_151.pdf (go to paragraph 253.2, No-Cost Extension). Note that NSF requires NCEs to be submitted electronically.
a. Grantee-Approved Extension. Grantees may authorized 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. Grantees are not authorized to extend an award that contains a zero balance. 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-approved extension notifications must be submitted via the FastLane system. For grantee-approved extensions, no amendment will be used.
b. NSF-ApprovedExtension.
1. 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. Grantees are not authorized to extend an award that contains a zero balance.
2. 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.
All requests for no cost extensions are submitted through FastLane. Upon submission, OSP will receive notification that a request has been made. Upon our review, final processing will take place with the FastLane system.
For NSA (no website available) requires a request that includes the remaining dollar amount be provided.
NOTE:
In all cases, the notification/request must originate with the PI/Department with a justifiable reason for the extension. This request should be submitted to OSP in the sponsor’s required format allowing enough time for OSP to meet the sponsor’s deadlines.
In no case does a sponsor allow for an extension simply to use up unexpended funds.
In general, no-cost extensions requested after the end date of a grant will not be honored by the sponsor.