Grants Online
Recipient Assistance
for
Award Action
Requests
Last Update: February 25, 2015
Grants Online provides the ability
for Recipients to submit various different Award Action Requests. Each request is
described below with a link to specific guidance for that kind of request
General Guidance and Department of Commerce Business Rules
- The Department of Commerce requires that ALL Award Action Requests be approved by a Recipient
Authorized Representative. Grants Online enforces this business rule by
routing all requests through the Recipient Authorized Representative(s) for
submission to the appropriate Federal Agency.
- An Award End Date may ONLY be extended through:
- A funded amendment through an application (SF-424)
- A No-Cost Extension - Prior Approval Waived (Research Terms and Conditions)
- A No-Cost Extension - Prior Approval Required
- The Extension to Closeout is the only Award Action Request that may be
initiated after the Award End Date.
- An Extension to Closeout may not be requested after the closeout period
has expired (90 days after the Award End Date unless an Extension to
Closeout is in effect).
- A No-Cost Extension - Prior Approval Waived (Research Terms and Conditions) must be
submitted to the appropriate Federal Agency 10 or more days prior to the Award End Date.
- Grants Online automatically enforces this business rule.
- A No-Cost Extension - Prior Approval Required is required
to be submitted to the appropriate Federal Agency 30 or more days prior to the the Award End Date.
- Grants Online does not enforce this business rule, but failure to meet
this requirement is sufficient grounds for rejection of the request by the Federal Agency.
- Recipients having Expanded Authorities must exercise their No-Cost
Extension - Prior Approval Waived (Research Terms and Conditions) before they request a No-Cost
Extension - Prior Approval Required.
- Grants Online does not enforce this business rule. Enforcement is at the
discretion of the Grants Specialist.
- The "Other" Award Action Request will always produce an amendment. Use
this Award Action Request if you have a request that does not fit under any
other category. Please work with your Federal Program Officer to determine if
you should submit the "Other" Award Action Request. In many cases, an email
request to, and email approval by the Federal Program Officer is sufficient.
The Federal Program Officer can attach the correspondence to the Grants File as
evidence of the transaction.
Grants Online Processing Guidance
View the AAR
Workflow Process Map
From the Grants
Online Grantee Quick Reference Guide :
- Click the "Award" tab.
- Click the "Search" or the "Search Award" link. The "Search Award" page is
displayed.
- Click the "Search" button on the "Search Award" page. When your search
results populate, click the award number for which you are submitting your
AAR.
- On the "Grants File" launch page, select the "Create Award Action Request"
action from the action drop down menu then click the "Submit" button.
- The "Award Action Request Index" page is displayed with the available
AARs. Click the link to the AAR that you wish to submit. The requested page
will be displayed for you to complete. Enter the required fields and click the
"Save" button.
- The AAR page is re-displayed with the attachment link and other fields.
You can upload documents. After completing the required information, click the
"Save and Return to Main" button. Another message will display where you can
confirm your request and start workflow, click the "Yes" button.
- A review task is sent to your "Task" inbox for this request. Follow the
steps listed under the Processing a Task in this
document. The review task will go first to the creator of the document and
then to the Recipient Authorized Representative(s) in the organization. If you
have the role of "Recipient Authorized Representative" you will have to submit
the request to the appropriate Federal Agency, thus you will have processed two tasks..
List of Award Action Requests
The list below identifies the Award Action Requests that can be associated with an award. The list parallels the order of items on the Grants Online Award Action Request selection page.
The items marked with an asterisk, if approved, always result in an amendment to the award.
Other requests generally result in a notification of approval.
NOTE: At the discretion of the Grants Officer, any request may result in an amendment.
Award Action Requests Guidance
No Cost
Extension - Prior Approval Required
The NOAA Administrative Standard Award Conditions, on Page 4, state the
following:
G. Extensions
...
2. Other Extensions to the
Period of Performance/Award Period
- If the recipient believes it is necessary to obtain a no-cost extension to
complete the approved program description and objectives beyond the expanded
authority granted above, then the recipient shall submit a written request to
the Federal Program Officer who will in turn forward the request, along with a
Program Officer recommendation, to the Grants Officer who will then make the
final determination in writing. The written request must clearly justify why
the extension is needed and explain what activities are remaining to be
accomplished under the award and what funds are still available to support the
activity. In addition, the award must be in compliance with all terms and
conditions of the award, including submission of all required reports.
- The request to extend the award period shall be submitted to the Federal
Program Officer at least 30 days prior to the expiration of the award to
provide the minimum time needed to review the request. The recipient proceeds
at their own risk of incurring costs beyond the award expiration if the
request is not submitted to NOAA at least 30 days prior to the expiration.
- Any extension request submitted to NOAA after the expiration of the award
shall be denied. Requests for reconsideration of extreme circumstances that
resulted in failure to request an extension before the end of the award period
must be submitted in writing and will only be considered by the Grants Officer
on a case-by-case basis. Awards which are not in compliance with all terms and
conditions of the award, including submission of all required reports, will
not be reconsidered.
See also the Department of Commerce Financial Assistance Standard Terms and Conditions: A. 06 b.
Assistance and Business Rules related
to the No Cost Extension - Prior Approval Required:
- The written request must clearly justify why the extension is needed and
explain what activities are remaining to be accomplished under the award and
what funds are still available to support the activity.
- Grants Online requires that the justification be filled out.
- Grants Online requires the attachment of a document containing a budget
of remaining funds.
- The request to extend the award period shall be submitted to the Federal
Program Officer at least 30 days prior to the expiration of the award ...
- Grants Online does not enforce this business rule, but failure to meet
this requirement is sufficient grounds for rejection of the request by the appropriate Federal Agency.
- Any extension request submitted to the appropriate Federal Agency after the expiration of the award
shall be denied...
- Grants Online enforces this business rule. You cannot submit any Award
Action Request other than an Extension to Closeout after the award
expiration date.
- Once submitted to the appropriate Federal Agency through Grants Online by the Recipient Authorized
Representative, the No Cost Extension action will automatically be forwarded
to the correct Federal Agency personnel for approval.
- This action results in an amendment to the award. It is not considered to
be completed until the Recipient Authorized Representative has accepted the
Amendment. Tasks and notifications will be generated for the Recipient
Authorized Representatives after the Grants Officer approves the Amendment.
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No Cost
Extension - Prior Approval Waived (Research Terms and Conditions)
The NOAA Administrative Standard Award Conditions, on Page 4, state the
following:
G. Extensions
1. Extensions to the Period of
Performance/Award Period - Expanded Authority
- All recipients covered under 15 CFR Part 14 (e.g., educational
institutions/non-profits), with non-construction awards are herein granted
authority to initiate a one-time no-cost extension to the award period of up
to one year without prior approval as long as the Grants Officer is notified
in writing at least 10 days prior to expiration of the award with an
explanation of the reason for the extension and none of the following
conditions apply:
- There are other special award conditions that prohibit the extension.
- The extension requires additional federal funds.
- The extension involves any change in program objectives or scope of the
project.
- This authority to extend the award period without prior approval may
not be exercised merely for the purpose of using unobligated funds.
Recipients must maintain compliance with all terms and conditions of the
award, including submission of required reports, or this expanded authority
may be revoked. (This authority should not be utilized to extend continuing
awards that are pending determination by the Grants Officer - see
Administrative Extensions below.)
- For recipients covered under 15 CFR Part 14 (e.g., educational
institutions/non-profits), the written notification to the Grants Officer must
clearly state that the award is being extended under the expanded authorities
of 15 CFR 14.25(e), provide the new expiration date of the award, and explain
the reason for the extension.
See also the Department of Commerce Financial Assistance Standard Terms and Conditions: A. 06 b., and
Government Wide Research Terms and Conditions
Assistance and Business Rules related
to the No Cost Extension - Prior Approval Waived (Research Terms and Conditions):
- The execution of the No Cost Extension - Prior Approval Waived (Research Terms and Conditions)
by the recipient is completely automatic in Grants Online. Once the
notification is submitted to the Federal Agency by the Recipient Authorized Representative,
the Award End Date is immediately updated to reflect the new end date. The
only human interaction on the Federal Agency side is a task for the Finance person to
extend the funding availability end date in the Department of Treasury ASAP
payment system. Notifications are sent to the Program Officer and the Grants
Specialist of the new Award End Date. This action does NOT result in an
amendment to the Award.
- Grants Online enforces the 10 day rule (see above). If you do not submit
the No Cost Extension - Prior Approval Waived (Research Terms and Conditions) 10 or more days prior
to the expiration of the award period, the system will prohibit you from doing
so.
- Only one No Cost Extension - Prior Approval Waived (Research Terms and Conditions) can be
submitted per award. Grants Online enforces this business rule. If a No Cost
Extension - Prior Approval Waived (Research Terms and Conditions), exists, whether it has been
submitted to the Federal Agency or not, the link to create another will be disabled.
- Recipients designated as High Risk are not authorized to invoke their
Expanded Authorities. Grants Online enforces this business rule. If you are
designated as a High Risk, the link to create the No Cost Extension -
Prior Approval Waived (Research Terms and Conditions) will be disabled.
- The Federal Agency requires that ALL No Cost
Extension - Prior Approval Waived (Research Terms and Conditions) actions be for a 1-year duration.
Grants Online enforces this business rule.
- The Federal Agency requires that recipients who have the
capability of executing the No Cost Extension - Prior Approval Waived (Research Terms and Conditions) do so BEFORE requesting a No Cost Extension - Prior Approval Required. Requests for No Cost Extension - Prior Approval Required submitted prior to the No Cost Extension - Prior Approval Waived (Research Terms and Conditions) will be denied by the Grants Specialist. Grants Online does
not enforce this business rule.
- Only certain kinds of organizations are eligible for Expanded Authorities.
Grants Online enforces this business rule. If your organization is not an
eligible type, the link to create the No Cost Extension - Prior Approval Waived (Research Terms and Conditions) will be disabled. The following organization types are
eligible for Expanded Authority:
- Independent School District
- Public/State Controlled Institution of Higher Education
- Non-profit with 501C3 IRS Status (Other than Institution of Higher
Education)
- Non-profit without 501C3 IRS Status (Other than Institution of Higher
Education)
- Private Institution of Higher Education
- Individual
- For-Profit Organization (Other than Small Business)
- Small Business
- Hispanic-serving Institution
- Historically Black Colleges and Universities (HBCUs)
- Tribally Controlled Colleges and Universities (TCCUs)
- Alaska Native and Native Hawaiian Serving Institutions
- Non-domestic (non-US) Entity
- An award MUST support research in order to be eligible for Expanded
Authority. This is determined by the Program Officer during application
review. Grants Online enforces this business rule. If the Program Officer for
the award determines that the award does not support research, the link to
create the No Cost Extension - Prior Approval Waived (Research Terms and Conditions) will be
disabled.
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Extension
to Close Out
The NOAA Administrative Standard Award Conditions, on Page 5, state the
following:
G. Extensions
...
4. Extension to the Closeout
Period
- Recipients have 90 days after the award expires to submit all reports
required by the terms and conditions of the award and liquidate all
obligations incurred. An extension to the closeout period should only be
requested to complete the preparation of final reports and make final
payments.
- An extension to the closeout period of up to an additional 60 days may be
approved by the Grants Officer if a written request (or email) is submitted to
the Grants Officer before the expiration of the 90-day closet out period.
- Any closeout extension requests submitted to the Grants Officer after the
expiration of the award shall be denied. Requests for reconsideration of
extreme circumstances that resulted in failure to request a closeout extension
before it lapsed must be submitted in writing and will only be considered by
the Grants Officer on a case-by-case basis.
- If the final Financial Status Report (SF-269) and all other required
reports are not provided by the expiration of the closeout period or approved
extended closeout period, the Grants Officer shall proceed with the
enforcement remedies for non-compliance including, but not limited to
withholding payments and withholding further award actions as allowed under
the applicable administrative rules [15 CFR §14.62 and 15 CFR §24.43].
Assistance and Business Rules related
to the Extension to Close Out:
- The Extension to Closeout is available as one of the selections in the
list of Award Action Requests. The availability of this list is limited to the
award's project period.
- After the award project period has expired. The Recipient no longer has
access to the Create Award Action Request link on the Grants File launch page.
Instead, this is replaced by the link: Request Extension to Closeout.
This link is available until the award closeout period has expired (see (a)
and (b) above). Although Grants Online allows submission of requests for
Extension to Closeout until the closeout period has expired, the Federal Agency may deny any requests made during this time based on (c)
above.
- The request for an Extension to Closeout must be submitted to the Federal Agency and
approved by the Grants Officer before the extension date will take effect.
- An aproved Extension to Closeout extends the date upon which final Federal
Financial Reports and Project Progress Reports are due. It also extends the
date during which the recipient can draw down funds from the Department of
Treasury ASAP payment system.
- An approval of the Extension to Closeout does not result in an amendment
to the Award. The Recipient Authorized Representative will be notified by
Grants Online of the approval or rejection of the request.
- Additional work on the award project is prohibited during the closeout
period. If additional time is needed to complete the project, a No Cost
Extension MUST be requested.
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Reprogram or
Rebudget
The NOAA Administrative Standard Award Conditions, on Page 2, state the
following:
D. Budget and Program Revisions for Non-Construction
Awards
- Creation of a new direct cost line item category within an approved budget
for costs allowable under the applicable cost principles will not require
prior approval from the Grants Officer unless the new direct cost category
exceeds 10% of the total Federal share of the award and/or if the cumulative
budget transfer threshold of DOC Financial Assistance Standard Term and
Condition A.04.b will be exceeded with the creation of the new line item.
- Requests for prior approval of any budget revisions that transfer funds
among line item cost categories shall be submitted on the SF-424A (or other
OMB approved budget form) showing the total budget for the award along with a
detailed budget narrative explaining the funds transferred. The revised budget
request shall be submitted to the Federal Program Officer who will in turn
forward the request, along with a Program Officer recommendation, to the
Grants Officer who will make the final determination in writing.
- Requests to change and/or add program objectives or tasks that do not
involve a transfer of funds between direct cost categories do not constitute a
budget revision and therefore do not require submission of the SF-424A.
Notwithstanding DOC Financial Assistance Standard Term and Condition B.03, any
programmatic changes shall be submitted directly to the Federal Program
Officer who will in turn forward the request, along with a Program Officer
recommendation, to the Grants Officer who will then make the final
determination in writing via a CD-451, Amendment to Financial Assistance
Award.
- The Recipient is prohibited from expending award funds (federal and/or
non-federal) or the recipient’s provision of in-kind goods or services, for
the purposes of providing transportation, travel, or any other expenses for
any Federal employee unless specifically authorized in the award document.
Assistance and Business Rules related
to Reprogram or Rebudget:
- You must attach a new SF-424A describing the Reprogram or Rebudget, as
well as a detailed budget narrative explaining the proposed funds transfer
- Once submitted to the appropriate Federal Agency through Grants Online by the Recipient Authorized
Representative, the Reprogram or Rebudget action will automatically be
forwarded to the correct Federal Agency personnel for approval.
- The approval of a Reprogram or Rebudget request does not normally result
in an amendment to the award. The Recipient Authorized Representative(s) will
be notified by Grants Online of the approval or rejection of the request. An
amendment to the award may result from this request if the Federal Agency determines that it
is appropriate to do so.
- If a Reprogram or Rebudget request includes a request for a no cost
extension, then you must also submit a No Cost Extension - Prior Approval Required Award Action Request.
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Change in
Scope
15 CFR Part 14, "Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, Other
Non-profit, and Commercial Organizations" states the following: |
§ 14.25 Revision of budget and program plans. ... (c)
For non-construction awards, recipients shall request prior approvals from
the Grants Officer for one or more of the following program or budget
related reasons. Approvals will be provided in writing by the Grants
Officer ... (1) Change in the scope or the objective
of the project or program (even if there is no associated budget revision
requiring prior written approval). |
15 CFR Part 24, "Uniform Administrative Requirements for Grants and
Agreements to State and Local Governments" states the following: |
§ 24.30 Changes. ... (d) Programmatic changes.
Grantees or subgrantees must obtain the prior approval of the awarding
agency whenever any of the following actions is anticipated: ...
(1) Any revision of the scope or objectives of the
project (regardless of whether there is an associated budget revision
requiring prior approval). |
In general, the Recipient Principal Investigator/Project Director may make changes in the
methodology, approach, or other aspects of the project objectives. However, the
Recipient must obtain prior approval from the appropriate Federal Agency for a change in the direction,
type of research or training, or other areas that constitute a significant
change from the aims, objectives, or purposes of the approved project . The
grantee must make the initial determination of the significance of a change and
should consult with their Program Officer as necessary.
Actions likely
to be considered a change in scope and, therefore, requiring Federal Agency prior approval
include, but are not limited to, the following:
- Change in the specific goals and objectives approved at the time of award.
- Shift of the research emphasis.
- Change in the approved project areas or species.
- Change in the amount of work from the approved project description, e.g.
number of samples collected
Assistance and Business Rules related
to Change in Scope:
- The justification for the Change in Scope may either be entered in the
text area or in an attached file.
- Any Change in Scope which results in a decrease in Federal and/or
Recipient funding must be accompanied by an SF-424A (or SF-242C for
construction awards) and a budget narrative describing the planned expenditure
of the remaining funds. The request for a decrease in funding must be clearly
and prominently stated.
- Any request for a reduction in match for a competitively awarded grant
or cooperative agreement will be denied by the Grants Management
Division for the Federal Agency which made the award.
- Any request for a reduction in match for a grant or cooperative
agreement which has a statutory match in place will be denied by the Grants Management
Division for the Federal Agency which made the award.
- If a Change in Scope request includes a request for a no cost extension,
then you must also submit a No Cost Extension - Prior Approval Required Award Action Request.
- Upon submission to the appropriate Federal Agency by the Recipient Authorized Representative, the
Change in Scope request will automatically be routed to the correct Federal Agency
personnel for review and approval.
- An approved Change in Scope will always result in an Amendment to the
Award. Upon approval by the Grants Officer, the Recipient Authorized
Representative(s) will be notified of the approved amendment and tasks will be
generated for acceptance. The Amendment must be accepted by the Recipient in
order to take effect.
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Equipment
Purchase
The Department of Commerce Financial Assistance Standard Terms and
Conditions, on Page 23, states the following: |
M. MISCELLANEOUS REQUIREMENTS ... .03 American-Made
Equipment and Products. Recipients are hereby notified that they
are encouraged, to the greatest extent practicable, to purchase
American-made equipment and products with funding provided under this
award. |
The definition for equipment, as stated
in 45 CFR Parts 74 and 92, is an article of tangible nonexpendable personal
property having a useful life of more than one year and an acquisition cost of
$5,000 or more per unit. For awards subject to 15 CFR Part 14, equipment also
includes exempt property charged directly to the award.
Recipients must
submit an Award Action Request for approval prior to purchasing equipment.
Assistance and Business Rules related
to Equipment Purchase:
- Recipients must answer the following question (presented on the Equipment
Purchase page: "Was Lease vs. Purchase Analysis Completed?". If the answer is
yes, then the analysis must be attached to the Award Action Request. If the
answer is no, then provide justification for not doing the analysis.
- The proposed Equipment Purchase must be listed in the project proposal on
the SF-424A, Secion B, Line E. If it is not, then a Reprogram or Rebudget
Award Action Request must also be submitted.
- The equipment description should include a narrative description,
including the equipment function if it is unusual. It should also include make
and model if appropriate.
- The justification should include the previously mentioned lease vs.
purchase discussion, as well as the purpose (related to the objectives of the
award) for which the equipment is to be used.
- Upon submission to the appropriate Federal Agency by the Recipient Authorized Representative, the
Equipment Purchase request will automatically be routed to the correct Federal Agency
personnel for review and approval.
- The approval of an Equipment Purchase request does not normally result in
an amendment to the award. The Recipient Authorized Representative(s) will be
notified by Grants Online of the approval or rejection of the request. An
amendment to the award may result from this request if the Federal Agency determines that it
is appropriate to do so.
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Transfer of
Award
NOTE: The "Transfer of Award" functionality in Grants Online
is currently being enhanced. Until this enhancement is complete, please submit
a "Termination for Convenience" Award Action Request with supporting documentation
to request a Transfer of Award.
The Department of Commerce Grants and Cooperative
Agreements Interim Manual, Chapter 16 - Page 9, states:
W. Transfer of Award. In certain circumstances, the Program
Officer and the recipient may agree that it would be in the best interests of
the government and the recipient
for an award to be transferred by DOC to a replacement recipient.
1. When the two organizations, the Program Officer and the Grants
Officer agree that it is in the best interests of the Federal
Government and the intended beneficiaries
of the award to allow the transfer, the Grants Officer will amend the award
to transfer it to the new recipient organization. In such
cases, the Program Officer
must submit a request to the Grants Officer to change recipients. The request
shall include documentation attesting to the original recipient’s and proposed
replacement recipient’s consent to the proposed transfer. Such documentation
must include a written agreement between the original recipient and the proposed
replacement recipient executed by authorized representatives of both parties.
In this instance, the organization relinquishing the award will be liable
for all programmatic activities and all funds expended
under the award prior to the
effective date of the transfer. The relinquishing organization will be responsible
for all closeout activities, including having an audit performed, if required,
for the award prior to the effective date of the transfer. The organization
to which the award is transferred must submit an application (if
appropriate) which includes
a proposal
and detailed budget narrative (a maximum of an original and two copies may
be required by the Federal awarding agency). The following forms must also
be submitted,
as applicable: the SF-424, SF-424A, SF-424B, SF-424C, SF-424D, CD-511, CD-346,
SF-LLL, or any other approved program specific forms. The Program Officer
will review all documents and make a recommendation as to the applicant’s
adequacy
to meet program requirements which will be forwarded to the Grants Office
along with the request. This review will be the same as the review of any
new application,
including a responsibility check on the applicant, unless that function is
performed by the Grants Office. The language in the amendment must clearly
delineate the
responsibilities of both parties to the transfer.
2. Novation Agreement. A novation occurs when one organization takes over
all of the liabilities and responsibilities of another organization. This
might occur
as a result of a merger, one organization buying another, an organization
going out of business and entering into an agreement with another organization
to take
over its business, or a variety of other reasons.
a. When an organization seeks to transfer an award to another organization
as a result of a novation agreement, the two organizations must submit
a proposed
novation agreement to the Grants Officer, signed by the CEOs, Presidents,
or equivalent fiduciary officers of the two organizations. The novation
agreement must state that all rights, duties and obligations
of the award are transferred
without further claim and that the new recipient agrees to accept them.
Furthermore, the new recipient must meet statutory and
regulatory eligibility requirements.
In the case of successor-in-interest organizations, the recipient shall
submit relevant documentation reflecting the relationship
between the recipient
and
the successor organization.
b. The Grants Officer will consult with the OGC on the legal merits of
the proposed novation. If the novation is determined to be in order,
the Grants
Officer will
request that the proposed new recipient submit an application and an
amended proposal (if appropriate) to effect the change in award recipient.
The application
must include an original proposal and detailed budget narrative (as well
as two copies if required by the Federal awarding agency). The following
forms must
be submitted, as applicable: the SF-424, SF-424A, SF-424B, SF-424C, SF-424D,
SF-511, CD-346, SF-LLL, or any other approved program specific forms.
The Grants Officer will then obtain a review and written recommendation
regarding
the proposed
novation from the Program Officer as to the programmatic efficacy of
the proposed agreement. The Program Officer should examine whether the
scope
of work has changed
or if there are other issues arising that would put the initial competitive
selection in jeopardy because of differences between the original and
the new recipient
and review any related budgetary changes. The Grants Officer must make
a responsibility determination regarding the new recipient. If the Grants
Officer
then determines
that the award should continue, he/she will issue an amendment to the
award to effect the transfer to the subsuming organization.
Assistance and Business Rules related
to Transfer of Award:
• The most common reason for a Transfer of Award is due to the transfer of
the Principal Investigator/Project Director from one organization to another.
Please discuss the Transfer of Award with your Program Officer early in the
planning stages. Due to budgetary and other administrative considerations,
it may be necessary to take an alternative approach, e.g. a sub-award to the
new organization.
• The organization that is losing the Award initiates their part of the Transfer
of Award by submitting the Novation Agreement through the Transfer of Award
Action Request.
• A short description of the reason for the Transfer of Award and identification
of the replacement Recipient is required in the Justification text box.
• The appropriate Federal Agency Program Officer will work with the replacement
Recipient on submission of an application for the new Award.
• Upon submission to the Federal Agency by the Recipient Authorized Representative,
the Transfer of Award request will automatically be routed to the correct Federal
Agency personnel for review and approval.
• The approval of Transfer of Award request will produce termination amendment.
The Recipient Authorized Representatives will be notified of the Amendment
after it is approved by the Grants Officer. This amendment must be accepted
by the Recipient in order to take effect.
3. Requirements for the recapture and re-obligation of unexpended funds
from the initial recipient (recipient from which the award is being
transferred):
• Grants Management Specialist will
closeout the award and prepare a deobligation memo to Finance (Note: The
GMS needs to explain the urgency of this request to Finance)
• Finance will get notified through the Grants Online system (Finance will
notify the Grants Management Division Obligation Team by email to de-authorize
funds from the recipient from which the award is being transferred)
• The Obligation Team will de-authorize the funds (this process will take 24
to 48 hours to post to the Commerce Business System)
• Finance will receive notification in the Commerce Business System that the
funds have been de-authorized
• Finance will deobligate the funds and the Grants Online system will notify
the Grants Management Specialist of the de-obligation
• The Grants Management Specialist will notify the appropriate Program Officer
of the de-obligation
• The Program Officer will contact their responsible NOAA Budget Officer to
recapture the de-obligated funds
• The NOAA Budget Officer will notify the Program Officer once this task is
completed
• The Program Officer will notify the Grants Management Division once the Program
Office has received the new application from the applicant designated to receive
the transferred award.
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Foreign
Travel
The Department of Commerce Financial Assistance
Standard Terms and Conditions, on Page 22, states the following:
M.
MISCELLANEOUS REQUIREMENTS
...
.02 Foreign Travel
- The recipient shall comply with the provisions of the Fly America Act (49
USC § 40118). The implementing regulations of the Fly America Act are found at
41 CFR §§ 301-10.131 through 301-10.143.
- The Fly America Act requires that Federal travelers and others performing
U.S. Government-financed foreign air travel must use U.S. flag air carriers,
to the extent that service by such carriers is available. Foreign air carriers
may be used only in specific instances, such as when a U.S. flag air carrier
is unavailable, or use of U.S. flag air carrier service will not accomplish
the agency's mission.
- Use of foreign air carriers may also be used only if bilateral agreements
permit such travel pursuant to 49 USC § 40118(b). DoC is not aware of any
bilateral agreements which meet these requirements. Therefore, it is the
responsibility of the recipient to provide the Grants Officer with a copy of
the applicable bilateral agreement if use of a foreign carrier under a
bilateral agreement is anticipated.
- If a foreign air carrier is anticipated to be used for any part of foreign
travel, the recipient must receive prior approval from the Grants Officer.
When requesting such approval, the recipient must provide a justification in
accordance with guidance provided by 41 CFR § 301-10.142, which requires the
recipient to provide the Grants Officer with the following: name; dates of
travel; origin and destination of travel; detailed itinerary of travel, name
of the air carrier and flight number for each leg of the trip; and a statement
explaining why the recipient meets one of the exceptions to the regulations.
If the use of a foreign air carrier is pursuant to a bilateral agreement, the
recipient must provide the Grants Officer with a copy of the agreement. The
Grants Officer shall make the final determination and notify the recipient in
writing. Failure to adhere to the provisions of the Fly America Act will
result in the recipient not being reimbursed for any transportation costs for
which the recipient improperly used a foreign air carrier.
Assistance and Business Rules related
to Foreign Travel:
- You must certify your compliance (or non-compliance) with the Fly America
Act as part of the Award Action Request. Please explain your certification
answer in the justification.
- In order to approve the request, Grants Management Division servicing the Federal Agency
which granted the award requires enough details about your flight in order to determine if you are in
compliance with the Fly America Act. Please provide origin, destination,
airline, flight dates/times, and other pertinent information in the
justification.
- Upon submission to the appropriate Federal Agency by the Recipient Authorized Representative, the
Foreign Travel request will automatically be routed to the correct Federal Agency
personnel for review and approval.
- The approval of a Foreign Travel request does not normally result in an
amendment to the award. The Recipient Authorized Representative(s) will be
notified by Grants Online of the approval or rejection of the request. An
amendment to the award may result from this request if the Federal Agency determines that it
is appropriate to do so.
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Change in Principal Investigator/Project Director
Assistance and Business Rules related
to Change in Principal Investigator/Project Director:
- Please discuss the request for a Change in Principal Investigator/Project Director with
your Federal Program Officer early in the planning stages. Selection of
applications for award are made partly on the qualifications of the Principal Investigator/Project Director. The Federal Agency may wish to consider alternative remedies, e.g.
transferring the award to the current Principal Investigator's/Project Director's new organization.
- All of the new Principal Investigator/Project Director fields must be filled out. As an
alternative to typing in the PI information, you can click the "Search PI"
link which will display all of the personnel from your organization that have
the Recipient Investigator role. Clicking "Select" link for that person will
fill out the information automatically on the Change in Principal Investigator/Project Director
screen.
- If your original application included a resume or Curriculum Vitae for the
Principal Investigator/Project Director, or if the Federal Program Officer requires it,
you must submit the same for the proposed Principal Investigator/Project Director.
Note for MBDA Award Recipients: The Change in Principal Investigator/Project Director request must
be include a resume setting forth the qualifications of the proposed Project Director, along with an
official college transcript as appropriate. Additionally, an original commitment letter from the proposed
Project Director must be scanned and attached to the request in Grants Online.
- Upon submission to the appropriate Federal Agency by the Recipient Authorized Representative, the
Change in Principal Investigator/Project Director request will automatically be routed to the
correct Federal Agency personnel for review and approval.
- The approval of a Change in Principal Investigator/Project Director request does not
normally result in an amendment to the award. The Recipient Authorized
Representative(s) will be notified by Grants Online of the approval or
rejection of the request. An amendment to the award may result from this
request if the appropriate Federal Agency determines that it is appropriate to do so.
- After approval of a Change in Principal Investigator/Project Director request, the
Recipient Administrator(s) will be notified and assigned a task to "Manage
Recipient Users". They should complete this task by assigning the new
Principal Investigator/Project Director to the Award and removing the old assignment. Federal Agency
personnel cannot perform this task. The assigned Recipient Investigator(s)
will receive notifications of required Project Progress Reports, so it is
important that they be assigned to their awards.
- Changing the Principal Investigator/Project Director associated with an Award in the Grants
Online Manage Recipient Users or View/Manage Award-related Personnel features
DOES NOT constitute notification or approval by the Federal Agency of the change.
- Adding Recipient Investigators (who are not Principal Investigator/Project Directors) to
the Award through the Grants Online Manage Recipient Users or View/Manage
Award-related Personnel features is not prohibited. If you desire to give
personnel a Recipient Investigator capability into specific Awards, the appropriate Federal Agency has
no objection to you adding them as Recipient Investigators without going
through any permission procedures.
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Sole Source
Contract
Assistance and Business Rules related
to Sole Source Contract:
- Contract Definition: The legal instrument reflecting a relationship
between a recipient or sub-recipient and contractor or between such contractor
and subcontractor whenever the principal purpose of the relationship is the
acquisition, by purchase, lease, or barter, of property or services.
- For the purchase of equipment, technology, or services under a Department of Commerce award,
Recipients must follow their own policies and procedures on procurement as
long as those requirements conform to the Federal procurement requirements set
forth in 28 CFR § 66.36 and 28 CFR § 70 (as applicable). The Recipient
Authorized Representative should submit an Award Action Request for a Sole
Source Contract if it is determined that the award of a contract through a
competitive process is infeasible, and if one of the following circumstances
applies:
- The item/service is available only from one source.
- The public exigency or emergency for the requirement will not permit a
delay resulting from competitive solicitation.
- Competition is determined inadequate after solicitation of a number of
sources.
- The recipient must seek written authorization from the appropriate Federal Agency for sole source
procurements in excess of $100,000. Approval for sole source procurements from
the Federal Agency Grants Officer must be received prior to purchasing equipment,
technology or services, obligating funding for a contract, or entering into a
contract with award funds.
- The justification must certify that the award of the contract through full
and open competition is infeasible. The request must also identify which of
the three circumstances identified above apply to the procurement transaction.
In addition, the request should include the following:
- A brief description of the project and the purpose of contract.
- An explanation as to why it is necessary to contract in a non-competitive
manner. The explanation must contain the following:
- Expertise of the contractor
- Management
- Responsiveness
- Knowledge of project
- Experience of contractor personnel
- Results of a market survey to determine competition availability; if
no survey is conducted, please explain why not
- Time Constraints.
- When the contractual coverage is required by your organization and why
- Impact on project if deadline/dates are not met
- How long it would take an alternative contractor to reach the same
required level of competence (equate to dollar amounts, if desired).
- Uniquentess.
- Additional supporting information
- A declaration that this action/choice is in the best interest of the
agency.
- You may enter the justification in the provided text box, but it is
probably more appropriate to attach it as a file.
- Upon submission to the appropriate Federal Agency by the Recipient Authorized Representative, the
Sole Source Contract request will automatically be routed to the correct Federal Agency
personnel for review and approval.
- The approval of a Sole Source Contract request does not normally result in
an amendment to the award. The Recipient Authorized Representative(s) will be
notified by Grants Online of the approval or rejection of the request. An
amendment to the award may result from this request if the Federal Agency determines that it
is appropriate to do so.
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Change in
Key Person Specified in the Application
15 CFR Part 14, "Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, Other
Non-profit, and Commercial Organizations" states the following: |
§ 14.25 Revision of budget and program plans. ... (c)
For non-construction awards, recipients shall request prior approvals from
the Grants Officer for one or more of the following program or budget
related reasons. Approvals will be provided in writing by the Grants
Officer ... (2) Change in a key person specified in
the application or award document. |
15 CFR Part 24, "Uniform Administrative Requirements for Grants and
Agreements to State and Local Governments" states the following: |
§ 24.30 Changes. ... (d) Programmatic changes.
Grantees or subgrantees must obtain the prior approval of the awarding
agency whenever any of the following actions is anticipated: ...
... (3) Changes in key persons in cases where
specified in an application or a grant award. In research projects, a
change in the project director or principal investigator shall always
require approval unless waived by the awarding agency..
|
Assistance and Business Rules
related to Change in Key Person Specified in the Application:
- Please discuss the request for a Change in Key Person Specified in the
Application with your Federal Program Officer prior to submission of the
Award Action Request through Grants Online.
- All of the new Key Person fields must be filled out. As an alternative to
typing in the Key Person information, you can click the "Search Person" link
which will display all of the personnel from your organization that have a
Recipient User role. Clicking "Select" link for that person will fill out the
information automatically on the Change in Key Person Specified in the
Application screen.
- If your original application included a resume or Curriculum Vitae for the
Key Person, or if the Federal Program Officer requires it, you must
submit the same for the proposed Key Person.
- Upon submission to the appropriate Federal Agency by the Recipient Authorized Representative, the
Change in Key Person Specified in the Application request will automatically
be routed to the correct Federal Agency personnel for review and approval.
- The approval of a Change in Key Person Specified in the Application
request does not normally result in an amendment to the award. The Recipient
Authorized Representative(s) will be notified by Grants Online of the approval
or rejection of the request. An amendment to the award may result from this
request if the Federal Agency determines that it is appropriate to do so.
- After approval of a Change in Key Person Specified in the Application
request, the Recipient Administrator(s) will be notified and assigned a task
to "Manage Recipient Users". They should complete this task by assigning the
new Key Person to the Award and removing the old assignment. Federal Agency personnel
cannot perform this task. The assigned Key Person(s) will receive
notifications of required Project Progress Reports and required Federal
Financial Reports, so it is important that they be assigned to their awards.
- Changing Key Persons associated with an Award in the Grants Online Manage
Recipient Users or View/Manage Award-related Personnel features DOES NOT
constitute notification or approval by the Federal Agency of the change.
- Adding Key Persons who are not specified on the application to the Award
through the Grants Online Manage Recipient Users or View/Manage Award-related
Personnel features is not prohibited. If you desire to give personnel a view
capability into specific Awards, the Department of Commerce has no objection to you adding them as
Key Persons at the discretion of your organization's Recipient Administrator in consultation with the Authorized Representative.
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Absence of more
than 3 months or 25% by project director or PI
15 CFR Part 14, "Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, Other
Nonprofit, and Commercial Organizations" states the following: |
§ 14.25 Revision of budget and program plans. ... (c)
For non-construction awards, recipients shall request prior approvals rom
the Grants Officer for one or more of the following program or budget
related reasons. Approvals will be provided in writing by the Grants
Officer ... (3) The absence for more than three
months, or a 25 percent reduction in time devoted to the project, by the
approved project director or principal investigator.
|
Assistance and Business Rules related
to Absence of more than 3 months or 25% by project director or PI:
- If attaching the justification, please just enter "See attachment." in the
justification text area.
- Upon submission to the appropriate Federal Agency by the Recipient Authorized Representative, the
Absence of Project Director or PI request will automatically be routed to the
correct Federal Agency personnel for review and approval.
- The approval of a Absence of Project Director or PI request does not
normally result in an amendment to the award. The Recipient Authorized
Representative(s) will be notified by Grants Online of the approval or
rejection of the request. An amendment to the award may result from this
request if the Federal Agency determines that it is appropriate to do so.
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Satisfied
Special Award Conditions
Assistance and Business Rules related
to Satisfied Special Award Conditions:
- Many awards contain Special Award Conditions that require evidence of
completion. Examples are special fishing permits, environmental assessments,
property deeds, and building permits.
- The Special Award Conditions are available in a drop-down list on the
Award Action Request details page. Please choose the appropriate condition
that is being satisfied.
- After selecting the Special Award Condition, the SAC Description text
box will automatically be filled out with the Special Award Condition
details.
- The Due Date field cannot be filled out. This is also filled out by
information associated with the selected Special Award Condition if
applicable.
- Many older awards that were migrated into Grants Online from other Federal Agency databases will not
have the individual Special Award Conditions available. In this case, select
the closest Special Award Condition to that which you are satisfying and
reference the relevant Special Award Condition. If no Special Award
Conditions exist for the older award, please contact the Help Desk for
assistance in getting the condition migrated for availability.
- Fill out the justification in the provided text area and attach associated
files after you click the Save button.
- Upon submission to the appropriate Federal Agency by the Recipient Authorized Representative, the
Satisfied Special Award Conditions request will automatically be routed to the
correct Federal Agency personnel for review and approval.
- The approval of a Satisfied Special Award Conditions request does not
normally result in an amendment to the award. The Recipient Authorized
Representative(s) will be notified by Grants Online of the approval or
rejection of the request. An amendment to the award may result from this
request if the Federal Agency determines that it is appropriate to do so.
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Inclusion of
cost that require prior approval based on cost principles
15 CFR Part 14, "Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, Other
Nonprofit, and Commercial Organizations" states the following: |
§ 14.25 Revision of budget and program plans. ... (c)
For non-construction awards, recipients shall request prior approvals from
the Grants Officer for one or more of the following program or budget
related reasons. Approvals will be provided in writing by the Grants
Officer ... (6) The inclusion, unless waived by the
DoC, of costs that require prior approval in accordance with OMB Circular
A-21, "Cost Principles for Educational Institutions," OMB Circular A-122,
"Cost Principles for Non-Profit Organizations," 45 CFR part 74 Appendix E,
"Principles for Determining Costs Applicable to Research and Development
under Grants and Contracts with Hospitals," or 48 CFR part 31, "Contract
Cost Principles and Procedures," as applicable. |
Assistance and Business Rules related
to Inclusion of cost that require prior approval based on cost principles:
- The cost amount and a justification are required.
- If attaching the justification, please just enter "See attachment." in the
justification text area.
- Upon submission to the appropriate Federal Agency by the Recipient Authorized Representative, the
Inclusion of Cost request will automatically be routed to the correct Federal Agency
personnel for review and approval.
- The approval of an Inclusion of Cost request does not normally result in
an amendment to the award. The Recipient Authorized Representative(s) will be
notified by Grants Online of the approval or rejection of the request. An
amendment to the award may result from this request if the Federal Agency determines that it
is appropriate to do so.
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Transfer of
funds allotted for training to other categories of expenses
15 CFR Part 14, "Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, Other
Nonprofit, and Commercial Organizations" states the following: |
§ 14.25 Revision of budget and program plans. ... (c)
For non-construction awards, recipients shall request prior approvals rom
the Grants Officer for one or more of the following program or budget
related reasons. Approvals will be provided in writing by the Grants
Officer ... (7) The transfer of funds allotted for
training allowances (direct payment to trainees) to other categories of
expense. |
15 CFR Part 24, "Uniform Administrative Requirements for Grants and
Agreements to State and Local Governments" states the following: |
§ 24.30 Changes. ... (c) Budget changes - (1)
Non-construction projects. Except as stated in other regulations or an
award document, grantees or subgrantees shall obtain the prior approval of
the awarding agency whenever any of the following changes is anticipated
under a non-construction award: ... (iii) Transfer of
funds allotted for training allowances (i.e., from direct payments to
trainees to other expense categories). |
Assistance and Business Rules related
to Transfer of funds allotted for training to other categories of expenses:
- The transfer amount and a justification are required.
- If attaching the justification, please enter "See attachment." in the
justification text area.
- Upon submission to the appropriate Federal Agency by the Recipient Authorized Representative, the
Transfer Training Funds request will automatically be routed to the correct
Federal Agency personnel for review and approval.
- The approval of an Transfer Training Funds request does not normally
result in an amendment to the award. The Recipient Authorized
Representative(s) will be notified by Grants Online of the approval or
rejection of the request. An amendment to the award may result from this
request if the Federal Agency determines that it is appropriate to do so.
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Sub award, transfer
or contracting out of any work under the award if not described in the approved
application
Assistance and Business Rules related
to Sub award, transfer or contracting out of any work under the award if not
described in the approved application:
- If not described in the approved application, the recipient may not grant
a sub-award, transfer, or contract out any work under the award.
- You must choose the method of selection (competitive or non-competitive),
a description of the work, and a justification if the sub-award was chosen
non-competitively.
- Upon submission to the appropriate Federal Agency by the Recipient Authorized Representative, the
Sub-Award request will automatically be routed to the correct Federal Agency personnel
for review and approval.
- This action results in an amendment to the award. It is not considered to
be completed until the Recipient Authorized Representative has accepted the
Amendment. Tasks and notifications will be generated for the Recipient
Authorized Representatives after the Grants Officer approves the Amendment.
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Pre-Award
Cost
15 CFR Part 14, "Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, Other
Nonprofit, and Commercial Organizations" states the following: |
§ 14.25 Revision of budget and program plans. ... (e)
Except for requirements listed in paragraphs (c)(1) and (c)(4) of this
section, the Grants Officer may waive cost-related and administrative
prior written approvals required by this part and OMB Circulars A121 and
A1122. Such waivers may include authorizing recipients to do any one or
more of the following: (1) Incur pre-award costs 90
calendar days prior to award or more than 90 calendar days with the prior
approval of the Grants Officer after coordination with the DoC operating
unit. All preaward costs are incurred at the recipient’s risk (i.e., the
DoC is under no obligation to reimburse such costs if for any reason the
recipient does not receive an award or if the award is less than
anticipated and inadequate to cover such costs). |
Assistance and Business Rules related
to Pre-Award Cost:
- This Award Action Request would only be used if the Recipient received the
Award more than 90 days prior to the award start date and needed to incur
pre-award costs during the period that was more than 90 days prior to the
start of the award.
- Upon submission to the appropriate Federal Agency by the Recipient Authorized Representative,
the Pre-Award Cost request will automatically be routed to the correct Federal Agency
personnel for review and approval.
- The approval of an Pre-Award Cost request does not normally result in an
amendment to the award. The Recipient Authorized Representative(s) will be
notified by Grants Online of the approval or rejection of the request. An
amendment to the award may result from this request if the Federal Agency determines that it
is appropriate to do so.
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Termination for Convenience
15 CFR Part 24, "Uniform Administrative Requirements for Grants and
Agreements to State and Local Governments" states the following: |
§ 24.44 Termination for Convenience Except as provided in §
24.43 awards may be terminated in whole or in part only as follows:
(a) By the awarding agency with the consent of the grantee or
subgrantee in which case the two parties shall agree upon the termination
conditions, including the effective date and in the case of partial
termination, the portion to be terminated, or (b) By the grantee or
subgrantee upon written notification to the awarding agency, setting forth
the reasons for such termination, the effective date, and in the case of
partial termination, the portion to be terminated. However, if, in the
case of a partial termination, the awarding agency determines that the
remaining portion of the award will not accomplish the purposes for which
the award was made, the awarding agency may terminate the award in its
entirety under either § 24.43 or paragraph (a) of this section.
|
Assistance and Business Rules related
to Termination for Convenience:
- This Award Action Request would primarily be used if the Recipient
finishes the project tasks significantly prior to the award project period end
date and completes or anticipates completion of the award's financial
transactions within 90 days of the requested early termination date.
- Do not submit this Award Action Request if there is a Change in Scope for
the Award. In that case, discuss the Change in Scope with your Program Officer
and submit a Change in Scope Award Action Request.
- Upon submission to the appropriate Federal Agency by the Recipient Authorized Representative, the
Termination for Convenience request will automatically be routed to the
correct Federal Agency personnel for review and approval.
- This action results in an amendment to the award. It is not considered to
be completed until the Recipient Authorized Representative has accepted the
Amendment. Tasks and notifications will be generated for the Recipient
Authorized Representatives after the Grants Officer approves the Amendment.
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ASAP Drawdown Request ASAP Drawdown Request ASAP Drawdown Request-->
ASAP Drawdown Request
4
Assistance and Business Rules related
to ASAP Drawdown Request:
- This Award Action Request is available only for awards under the ASAP Agency Review process.
- This Award Action Request should not be submitted to the Federal Agency until AFTER a drawdown request has been entered into the Department of Treasury's ASAP system. When an award is under "Agency Review" the ASAP system does not notify the Federal Agency that a drawdown request has been made. This AAR will notify the Agency that a request has been made in ASAP and is ready for review.
- This Award Action Request is currently not used by NOAA because NOAA does not use the ASAP Agency Review process.
- Approval of this Award Action Request will normally be accompanied by a release of the requested funds in ASAP.
- Non-NOAA Grant Recipients should contact their Grant Specialist if there is a question about the use of this Award Action Request.
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Submit Closeout Documents
Assistance and Business Rules related to Submit Additional Closeout Documents:
- This Award Action Request is available for all awards under all Department of Commerce Bureaus using Grants Online; however, the terms and conditions of the award will determine if it is needed.
- This Award Action Request will be available for use until the Final Reports Due date. An Extension to Closeout must be requested in order to extend the availability of this Award Action Request.
- Grant Recipients should contact their Grant Specialist if there is a question about the use of this Award Action Request.
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Other
Assistance and Business Rules related
to Other:
- The "Other" Award Action Request will always produce an amendment. Use
this Award Action Request if you have a request that does not fit under any
other category. Please work with your Federal Program Officer to determine if
you should submit the "Other" Award Action Request. In many cases, an email
request to, and email approval by the Federal Program Officer is sufficient.
The Federal Program Officer can attach the correspondence to the Grants File as
evidence of the transaction.
- The "Other" Award Action Request requires both a description and a
justification. Please provide sufficient information in both text areas to
allow the appropriate Federal Agency personnel to make an appropriate decision.
- Upon submission to the appropriate Federal Agency by the Recipient Authorized Representative, the
"Other" Award Action Request will automatically be routed to the correct Federal Agency
personnel for review and approval.
- The approval of an "Other" Award Action Request will produce an amendment.
The Recipient Authorized Representatives will be notified of the Amendment
after it is approved by the Grants Officer. This amendment must be accepted by
the Recipient in order to take effect.
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