The NOAA Administrative Standard Award Conditions, on Page 4, state the following:

G. Extensions
...
2. Other Extensions to the Period of Performance/Award Period

1. 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.
2. 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.
3. 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.

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.

No Cost Extension - Prior Approval Waived (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.

Extension to Close Out

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.

Reprogram or Rebudget

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.

Change in Scope

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.

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.

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.

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.

Foreign Travel

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.

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.

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:
  1. The item/service is available only from one source.
  2. The public exigency or emergency for the requirement will not permit a delay resulting from competitive solicitation.
  3. 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:
  1. A brief description of the project and the purpose of contract.
  2. An explanation as to why it is necessary to contract in a non-competitive manner. The explanation must contain the following:
     1. Expertise of the contractor
     2. Management
     3. Responsiveness
     4. Knowledge of project
     5. Experience of contractor personnel
     6. Results of a market survey to determine competition availability; if no survey is conducted, please explain why not
  3. Time Constraints.
     1. When the contractual coverage is required by your organization and why
     2. Impact on project if deadline/dates are not met
     3. How long it would take an alternative contractor to reach the same required level of competence (equate to dollar amounts, if desired).
  4. Uniquentess.
  5. Additional supporting information
  6. 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.

Change in Key Person Specified in the Application

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.

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.

Back to Top

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.

Back to Top

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.

Back to Top

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.

Back to Top

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.

Back to Top

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.

Back to Top

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.

Back to Top 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.

Back to Top

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.

Back to Top

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.

Back to Top