OCGA Direct Federal Grants Prior Approval & NCE Request Form

General Instructions

This form is for requesting an NCE on a Federal grants or cooperative agreement award, or for submitting a request for an action that requires a Federal sponsoring agency's prior approval on a Federal grant or cooperative agreement. This form is to be used only for awards where UCSD is the direct recipient of a Federal grant or cooperative agreement, as submission of this form sends the request to the UCSD OCGA Direct Federal Grants Post Award Team. Do not use this for UCSD SIO OCGA grants.
Please answer these questions in the order they appear, as the fields will change based on your input.
Please choose carefully when selecting the type of request you would like to make. You can select multiple types of requests in the same form submission. However, due to limitations with the program used to generate this form, the form will show all instructions for every request type that you select. If you accidentally selected the wrong type of action, please refresh the form and select the correct type of request again in order to ensure that the correct fields populate.
Please note: while this form was intended to apply broadly to multiple agencies, Federal sponsor requirements differ from agency to agency. As a result, after the submission of this form, the assigned OCGA officer may reach out to you and request additional information.
By submitting this form, the requester confirms that the Principal Investigator approves this request.

Enter deadline (if any) to submit to the Federal sponsor

PI Name (required)

Please tell us the full name of the PI that the award is under

PI Email (required)

Please provide the PI's email address

Lead Department

Kuali Award ID (required)

Please type in the twelve digit UCSD Kuali research award id (e.g. 305523-00001)

Federal Sponsor Name (required)

Please provide the name of the Federal sponsoring agency. Please note: this form should be used for awarded Federal grants or cooperative agreements only.

Federal Sponsor Award Number (required)

Please provide the Federal sponsoring agency award number (E.g. R01AG123456)

Requester Name (required)

Please provide your name. NOTE: if you are NOT the PI, by filling out this form you are confirming that the PI has agreed to this request.

Requester's email address (required)

Please provide your email address so we know how to reach you.

Select Request Type for Direct Federal Grants (required)

Please select the type of request you would like to make (you can select multiple types for the same request).
NOTE: if you accidentally selected the wrong type of action, please refresh the form and select the correct type of request again in order to ensure that the correct fields populate.

First NCE requests

First No Cost Extension for a Federal grant or cooperative agreement

A no-cost extension (NCE) extends the project period beyond the original project end date. As the phrase “no cost” suggests, there is no additional funding. For most (but not all) federal agencies, the prior approval requirement for the first NCE has been waived, and an grantee institution can use Expanded Authority to process the NCE. A no-cost extension may be requested by the UCSD PI when all of the following conditions are met:

The end of the project period is approaching, AND
There is a programmatic need to continue the research, AND
There are sufficient funds remaining to cover the extended effort.

Please note that no-cost extensions cannot be approved solely for the purpose of spending down residual funds. Please also note that these first NCE questions assume that the original scope of work has NOT changed. Prior approval is still needed for any change in the scope of work.

For NIH awards, the first NCE must be submitted before the end of the project period. Please answer the questions below, and OCGA will submit the request in eRA Commons. For more information about the general process, see the following links:

For NSF awards, the first NCE must be submitted before the end of the project period. This will be a two step process:

Prepare an Grantee-Approved No-Cost Extension in Research.gov. You can follow this link for instructions on how to prepare the Grantee-Approved No-Cost Extension in Research.gov. The link will open to a new window.
Once ready, you can submit this form to notify OCGA that your request in Research.gov is ready for submission. Please answer the questions below regarding Human Subjects and Animal Subjects. You can leave the rest of the questions below blank, as your justification should be clear in your Research.gov request.

Important note: As of the 2022 PAPPG, NSF Cooperative Agreements can only be submitted as an “NSF-Approved No Cost Extension” (similar to second no cost extensions), and are due 45 days before the end of the project period.
For other sponsors, visit the individual sponsoring agency website on NCEs for more information.

Carryforward Requests

Carryforward of unobligated funds

Carryover is a process through which unobligated funds remaining at the end of the budget period may be carried forward to the next budget period. The carryover of funds allows the grantee institution to use the unused prior year funds in the current budget period. Under expanded authority, most Federal sponsoring agencies allow automatic carryforward to a subsequent budget period, however sometimes a notice of award states that carryforward is not allowed.

To formally request prior approval to carryforward funds for an active grant that has NOT ended, the following is needed:

the explanation of the unobligated balance
the scientific justification
detailed budget and budget justification for the funds that will be carried over. For NIH requests, we recommend using the PHS2590 budget forms (e.g. the detailed budget, budget justification, and checklist).

Note: for NIH requests, the unobligated balance explanation, scientific justification, and budget must be THREE separate pdfs as each is uploaded into a different field in eRA Commons.
Upload these documents into the "Attachment" field.
Please note: due to system limitations, to upload multiple attachments, select all attachments and upload them once rather than individually.

Change in PI or senior/key personnel named on a notice of award

Change in senior/key personnel named on a notice of award

Senior/key personnel are defined as individuals who individuals who contribute in a substantive, meaningful way to the scientific development or execution of the project, whether or not salaries are requested. The principal investigator (PI) / program director (PD) is always considered senior/key personnel.

Across all Federal agencies, prior approval is always required for a change in PI/PD, a multiple-PI, and/or a co-PI/co-PD. For NIH awards, prior approval is only required for a change in senior/key personnel named on the notice of award. For other federal agencies, prior approval requirements vary but is usually required for a change in key person named in the application or the award.

The following is needed by the sponsoring agency for a change in senior/key personnel:

name of new senior/key personnel
their email address
their user name for the Federal sponsoring agency system (e.g. for NIH, the eRA Commons ID
their level of effort in person-months devoted to the project
their biographic sketch in sponsor-required format (pdf)
their other support (pdf) (note: for NIH requests, this needs to be a separate attachment from the biographical sketch)
if this project has multiple PD/PIs, confirmation of who the lead/contact PD/PI is
date that this change is effective
strong scientific justification for change, including any proposed changes in scope (pdf)
budget changes, if any, resulting from the proposed change
for NIH awards, if this is a change in a multiple PD/PI award, a new or revised leadership plan
for NIH awards, the request/justification should mention as to whether change(s) in PD/PI or Senior/Key Personnel is related to concerns about safety and/or work environments (e.g. due to concerns about harassment, bullying, retaliation, or hostile working conditions)
for NIH awards, confirmation of whether or not human subjects education is up to date for the requested individual

Additionally, for a change in PI, the following are required by UCSD:

New PI's Department FinUnit number for administering this project
New PI's Department MSO/DBO approval that they will accept this award (email acceptable)
New PI's Department Chair approval (email acceptable)
New PI's approval or signature of the certification language in Kuali
Former PI's Department MSO/DBO approval that they will no longer be administering this award (email acceptable)
Former PI's Department Chair approval (email acceptable)
Confirmation that Former PI acknowledges/is aware of this transfer (previous dept fund manager’s email confirmation with a cc to the Former PI's email is acceptable)

After your request is submitted, the OCGA officer will reach out if there are any questions or any information is missing. Please note that the new PI's conflict of interest will be needed; this process will be triggered when this submission is made.

Upload the required documents into the "Attachment" field.

Please note: due to system limitations, to upload multiple attachments, select all attachments and upload them once rather than individually.

Change of PI or Senior/key personnel's devoted effort by 25% or more

Change of PI or Senior/key personnel's devoted effort by 25% or more

Across all Federal sponsoring agencies, prior approval is needed if the Principal Investigator (PI) or Program Director (PD), multiple PI, and/or co-PI/co-PD's committed effort is reduced by 25% or more from the level that was approved at the time of the initial competing year award, or a change of 25% or more from a previously approved reduction in effort level as reflected in a revised Notice of Award (NOA). For example, a proposed change from 12 person months (100% effort) to 9 person months (75% effort) or fewer would require prior approval. For NIH awards, prior approval is required for a 25% or more reduction in effort from senior/key personnel named on the notice of award. For other federal agencies, prior approval requirements vary but will likely be required when effort is reduced by 25% or more in key person named in the application or the award. This request should be submitted at least 30 days before the proposed change, or as soon as practicable after the prospective change is known.

The following is needed for the prior approval request:

Statement indicating the previous approved level of effort and the requested new level of effort reflected in person months. Indicate the duration of the effort reduction (when such reduction is less than the remaining project period).
Description of the remaining work that needs to be accomplished on the grant and a statement that the requested new level of effort is sufficient to complete the remaining work described.
Updated Other Support page, incorporating the requested change in effort, explaining how this change in effort affects the overall level of effort on other grants.
Provide an explanation as to how the funds will be utilized, if funds are being freed up from salary.

For NIH awards, reduction of effort for the next budget period can also be requested using the Research Performance Progress Report (RPPR). When a grantee selects “yes” to question D.2.a, this constitutes a prior approval request. The issuance of a subsequent year of funding constitutes agency approval of the request. Once a prior approval to change has been granted, the new approved level of effort becomes the basis for any subsequent measure of effort reduction. If the PI chooses to submit their prior approval request via the RPPR, this form does not need to be completed.

Upload the documents into the "Attachment" field.

Please note: due to system limitations, to upload multiple attachments, select all attachments and upload them once rather than individually.

Rebudgeting

Rebudgeting

Rebudgeting occurs when funds appropriated for one budget category are moved to another. The overall value of the award does not change. Whether or not a Federal sponsoring agency requires prior approval for rebudgeting depends on the sponsors, the activity type being funded, and sometimes the budget categories. If the proposed changes to the budget would result in a change in the scope of the project, sponsor approval is most likely required prior to making the change.

For NIH awards, prior approval is required for significant rebudgeting. Significant rebudgeting occurs when expenditures in a single direct cost budget category increases or decreases from the categorical commitment level established for the budget period by 25 percent or more of the total costs awarded. For example, if the award budget for total costs is $200,000, any rebudgeting that would result in an increase or decrease of more than $50,000 in a budget category is considered significant rebudgeting. The base used for determining significant rebudgeting excludes the effects of prior-year carryover balances but includes competing and non-competing supplements. Significant rebudgeting does not apply to modular grants.

If significant rebudgeting is occurring because of another action that requires prior approval that can be selected (e.g. change in scope of work, reduction of senior/key personnel effort by 25% or more, etc) please select that request type instead as there will be other instructions specific to that type of action.

Please provide the following for the prior approval request for rebudgeting:

scientific justification - please confirm if there is a change in the scope of work
revised detailed budget
budget justification

Upload the documents into the "Attachment" field.

Please note: due to system limitations, to upload multiple attachments, select all attachments and upload them once rather than individually.

Change in Scope of Work

Change in the Scope of Work

A change in scope of work is a change in the direction, aims, objectives, purposes, or type of research training, identified in the approved project. A change in the awarded scope of work always requires prior approval.

For NIH awards, the request should be submitted at least 30 days before the planned use of the funds. Provide the following in an attachment:

Principal Investigator (PI)’s name, title, organization, telephone and fax number, and email address
SF 424 RR Guide Modified Scope Template, completed and attached as a pdf that includes:
- Modified Project Summary/Abstract Section—If the abstract will be modified, provide the modified abstract in this section. If the abstract will not be modified, state “none” instead.
- Modified Specific Aims Section—If one or more Specific Aims will be modified, list the complete Specific Aims modification(s) in this section; up to one page is recommended. If the Specific Aims will not be modified, state “none” instead.
- Modified Public Health Relevance Section (Project Narrative)—If the project narrative will be modified, provide two or three sentences to modify the Project Narrative. If the project narrative will not be modified, state “none” instead.

For NSF awards, provide the following as an attachment:

Proposed changes in objectives or scope
Justification for changes in objectives or scope

For DoD awards, provide the following as an attachment:

formal letter request
support documents pertaining to the proposed changes (e.g. revised SOW, Aims, etc.)

For other Federal agencies provide at a minimum, a letter request that details the scientific justification for the change. The OCGA officer will notify you if additional information is required in accordance with the sponsor guidelines.

Upload the documents into the "Attachment" field.
Please note: due to system limitations, to upload multiple attachments, select all attachments and upload them once rather than individually.

Second NCE

Second No Cost Extension for a Federal grant or cooperative agreement

Unlike the first no cost extension (NCE), the second no cost extension requires prior approval. That there are unobligated funds remaining at the end of the grant is not sufficient justification alone for an extension.

For NIH awards, the second NCE must be submitted at least 30 days before the end of the project period. Please note that key personnel named in the NOA must have a measurable level of effort. Provide the following in the request:

A justification document combined together into ONE separate attachment containing:
- Detailed explanation of why the project could not be completed by the originally approved end date;
- Scientific rationale for continuing the project;
A brief (not to exceed one page) progress report that communicates scientific progress made from submission of the last RPPR to present. This should be a separate attachment in pdf;
Amount of Direct Costs and Facilities and Administrative (F&A) costs remaining (estimated unobligated balance) in U.S. dollars;
The following budget documents combined together into ONE separate attachment:
- Detailed Budget reflecting the proposed plans to use the remaining funds
- Checklist reflecting calculated F&A costs. Note this budget document should be a separate attachment;
- Budget Justification;
Updated certifications and assurances, including IRB (if applicable under the Revised Common Rule) and IACUC approvals;

For NSF awards, the second NCE must be submitted at least 45 days before the end of the project period. This will be a two step process:

Prepare an NSF-Approved No-Cost Extension in Research.gov. You can follow this link for instructions on how to prepare the NSF-Approved No-Cost Extension in Research.gov. The link will open to a new window.
Once ready, you can submit this form to notify OCGA that your request in Research.gov is ready for submission.

For DoD awards, provide the following in the request:

Indicate how much additional time is needed; your request cannot exceed 12 months.
Indicate that no additional funds are being requested.
Outline the remaining tasks to be completed; all work must be within the scope of the original Statement of Work.
Include reasons supporting the extension.
Make certain that all financial (SF425) and technical progress reports (quarterly and/or annual) have been submitted.
Make certain all human and/or animal protocols and continuing reviews are up to date and that the appropriate approvals are in place.
If your award has a progress report that is due even while your NCE request is being processed, please submit as the next due Annual rather than the Final report.
A budget and budget justification. This budget should tie into the latest SF-425 (approximately).

For other Federal sponsors, provide a scientific justification for why the extension is needed, a budget for the unobligated balance, and budget justification. An OCGA officer will contact you if additional information is needed.

Upload the documents into the "Attachment" field.

Please note: due to system limitations, to upload multiple attachments, select all attachments and upload them once rather than individually.

Early Termination

Early Termination or Award Relinquishment

Early termination is the process by which a project ends prior to the original expiration date. Common reasons for a project terminating early include the Principal Investigator leaving the grantee institution or the Principal Investigator has completed the project objectives and no funding remains.

For NIH awards, the prior approval request for early termination should be submitted at least 90 days prior to the date of transfer and/or anticipated termination date. The following is needed for an early termination request on an NIH award:

Letter requesting early termination with a justification for the request. Note: the request should mention as to whether the change in recipient institution is related to concerns about safety and/or work environments (e.g. due to concerns about harassment, bullying, retaliation, or hostile working conditions) involving the PD/PI.
Department Chair approval for the early termination
Estimated unobligated balance
Completed PHS 3734
For Fellowships and Training grants, the PHS 416-7 Termination notice is needed as well.

Note: if the early termination is approved, then NIH will issue a revised notice of award indicating the new the project end date. The grant accordingly then moves into the Closeout process after the new end date, and the Final Federal Financial Report, Final RPPR, and the Final Invention Report are needed within 120 days of the revised project end date.

For an NIH award transferring to a new institution, the new institution will need to submit a Change of Grantee Organization application in order to complete the grant transfer process.

For other sponsors, provide the letter requesting the early termination, the Department Chair's approval, and the estimated unobligated balance. The OCGA Officer will reach out to you if additional information is needed in accordance with the terms and conditions of the award.

Upload the documents into the "Attachment" field.

Please note: due to system limitations, to upload multiple attachments, select all attachments and upload them once rather than individually.

Third NCE

Third No Cost Extension for a Federal grant or cooperative agreement

Similar to the second no cost extension, the third no cost extension requires prior approval. If requesting a third extension provide compelling scientific justification that warrants a third extension. Note: some agencies rarely approve a third NCE.

For NIH awards, the third NCE must be submitted at least 30 days before the end of the project period. Please note that key personnel named in the NOA must have a measurable level of effort. Provide the following in the request:

A justification document combined together into ONE separate attachment containing:
- Detailed explanation of why the project could not be completed by the second NCE end date;
- Scientific rationale for continuing the project;
A brief (not to exceed one page) progress report that communicates scientific progress made from submission of the last RPPR to present. This should be a separate attachment in pdf;
Amount of Direct Costs and Facilities and Administrative (F&A) costs remaining (estimated unobligated balance) in U.S. dollars;
The following budget documents combined together into ONE separate attachment:
- Detailed Budget reflecting the proposed plans to use the remaining funds
- Checklist reflecting calculated F&A costs. Note this budget document should be a separate attachment;
- Budget Justification;
Updated certifications and assurances, including IRB (if applicable under the Revised Common Rule) and IACUC approvals;

For NSF awards, the third NCE must be submitted at least 45 days before the end of the project period. This will be a two step process:

Prepare an NSF-Approved No-Cost Extension in Research.gov. You can follow this link for instructions on how to prepare the NSF-Approved No-Cost Extension in Research.gov. The link will open to a new window.
Once ready, you can submit this form to notify OCGA that your request in Research.gov is ready for submission.

For DoD awards, provide the following in the request:

Indicate how much additional time is needed; your request cannot exceed 12 months.
Indicate that no additional funds are being requested.
Outline the remaining tasks to be completed; all work must be within the scope of the original Statement of Work.
Include reasons supporting the extension.
Make certain that all financial (SF425) and technical progress reports (quarterly and/or annual) have been submitted.
Make certain all human and/or animal protocols and continuing reviews are up to date and that the appropriate approvals are in place.
If your award has a progress report that is due even while your NCE request is being processed, please submit as the next due Annual rather than the Final report.
A budget and budget justification. This budget should tie into the latest SF-425 (approximately).

For other Federal sponsors, provide a scientific justification for why the extension is needed, a budget for the unobligated balance, and budget justification. An OCGA officer will contact you if additional information is needed.

Upload the documents into the "Attachment" field.

Please note: due to system limitations, to upload multiple attachments, select all attachments and upload them once rather than individually.

Other Requests

Other Types of Requests

This form is intended to be used only with awarded Federal grants and cooperative agreements.

If you have another type of prior approval request, please describe it in the "Comments/notes" field below. In the "Attachment" field, please provide a scientific justification for why this request is being made. An OCGA officer will review your request and let you know if additional information is needed.

Upload the documents into the "Attachment" field.
Please note: due to system limitations, to upload multiple attachments, select all attachments and upload them once rather than individually.

Note: if you have any general questions that fall outside of the purpose of this form, please feel free to direct them to OCGA Client Experience.

End Date

Please indicate the requested end date.

Number of months requested for extension

Is a Human Subjects protocol associated with this project?

If yes, select the status of the protocol and upload a copy in the "Attachments". If no, select "Not Required."

UCSD IRB protocol number

If there is a UCSD IRB protocol number, please provide it here

Is an Animal Subjects protocol associated with this project?

If yes, select the status of the protocol and upload a copy in the "Attachments". If no, select "Not Required."

UCSD IACUC protocol number

If there is a UCSD IACUC protocol number, please provide it here

What are the total estimated funds remaining as of the current project end date; including Indirect costs?

Why is additional time necessary?

Please ensure that the PI provides the response for this section.

Why are these funds still available?

Please ensure that the PI provides the response for this section.

How will these funds be used during the extension period?

Please ensure that the PI provides the response for this section.

Attachment

Please upload any attachments needed. If you have more than one attachment, please select all the attachments and upload them at once.

Comments / notes

Comments / notes to the assigned contract officer

Summary (required)

Service Line