Research OSPA:NCE Process

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Effective Date

September 1, 2013

Statement of the Issue

Procedures required to request a No-Cost Extension (NCE) for a funded sponsored project.

Applicable Policy/Regulation

Uniform Guidance (UG) 2 CFR 200.309 requires funded projects be completed on time and all expenses incurred during the project period. When circumstances prevent this, the Principal Investigator (PI) may request a no-cost extension in order to fulfill the objectives of the project. (See UG 2 CFR 200 Section 200.308 (d)(2)). The request must be submitted at least 10 days before the expiration date specified in the award. Grants may not be extended merely to allow recipients to spend unobligated funds.

Process

  1. If a no-cost extension (NCE) is needed, the PI must notify the Office of Sponsored Projects (OSP) at least 30 days prior to the project end date. The NCE request must be accompanied by a justification for the need of the NCE. (see also the Office of Post Award Management process located at:
    1. <a class="wiki external" target="_blank" data-cke-saved-href="https://research.utdallas.edu/opm/guidelines/period-of-performance" href="https://research.utdallas.edu/opm/guidelines/period-of-performance" rel="external">https://research.utdallas.edu/opm/guidelines/period-of-performance</a>
    2. <a class="wiki external" target="_blank" data-cke-saved-href="https://research.utdallas.edu/wiki/guidelines/opm/close_out_project" href="https://research.utdallas.edu/wiki/guidelines/opm/close_out_project" rel="external">https://research.utdallas.edu/wiki/guidelines/opm/close_out_project</a>
  2. An NCE may be requested if the following three conditions are met:
    1. The end of the project period is approaching, and
    2. There is a programmatic need to continue the research, and
  3. There are sufficient funds remaining to cover the extended effort. Extensions will not be approved if there is a zero balance.
  4. Some federal sponsors have granted institutions expanded authority under the Federal Demonstration Partnership (FDP) to automatically approve an initial NCE of up to 12 months (see, e.g., NIH Grants Policy Statement – Part II: Terms and Conditions of NIH Grant Awards, Administrative Requirements, Expanded Authorities). Any sponsor not falling under expanded authorities requires sponsor approval for any extension beyond the initial budget period.
  5. Subsequent extensions require sponsor approval through the appropriate channels. Second extensions require at least 60 days’ notice, written justification for the need, and an estimate of the unobligated funds remaining and a plan for their use. See template for subsequent NCE request at the end of this process.
  6. When an appropriate justification is received by the Specialist, the NCE will be processed according to relevant sponsor regulations.
  7. Once approval has been obtained through OSP from the sponsor, the Specialist will upload the approved NCE in the Awards module in Peoplesoft. The Specialist will then send the approval to the Office of Post Award Management (OPM) and copy the OSP Business Process Analyst, who will notify the PI, his/her Administrative Assistant, and the School Fiscal Officer (SFO) once OPM has completed the Peoplesoft entry.

Definitions

  1. No cost extension (NCE)
    1. Extends the end date project period beyond the original project end date
    2. There is no additional funding
    3. May NOT be granted for the sole purpose of using an unobligated balance
  2. Federal Demonstration Partnership (FDP)
    1. Cooperative effort among federal research agencies and recipients of federal funds aimed at reducing the administrative burden associated with research grants and contracts
    2. Implemented streamlined terms and conditions for research grants
  3. Uniform Guidance - In effect December 26, 2014 and published by the federal Office of Management and Budget (OMB), this guidance supersedes and streamlines requirements from OMB Circulars A-21, A-87, A-110, and A-122; Circulars A-89, A-102, and A-133; and the guidance in Circular A-50 on Single Audit Act follow-up. This guidance provides a governmentwide framework for grants management which will be complemented by additional efforts to strengthen program outcomes through innovative and effective use of grant-making models, performance metrics, and evaluation. <a class="wiki external" target="_blank" data-cke-saved-href="http://www.whitehouse.gov/omb/grants_docs" href="http://www.whitehouse.gov/omb/grants_docs" rel="external">http://www.whitehouse.gov/omb/grants_docs</a>

Example

March 22, 2016Name of Grants Management Specialist
Title
Address
AddressRE: No-cost extension of 12 months (date) of grant numberDear Name of Grants Management Specialist,The University of Texas at Dallas requests a 12-month no-cost extension of grant, grant number, entitled “title of grant”, under the direction of Dr. name of PI.Justification for request: Why is the extra time needed? Why isn’t projected finished on time?.Plan for future research: What will be accomplished during the extension?Balance: We estimate we will have a total of $estimated balance remaining in our grant when it is due to expire on current end date. Funds will be used to what will remaining funds cover.
Approval: _ __
Emily Lacy, Director, Office of Sponsored Projects Date