Office of Research Awards and Award Modifications - Office of Research

Awards and Award Modifications

Send Notice of Award to SPO

Send a copy of the Notice of Award (NOA) to [email protected] to initiate an award. Include the

  • Principal Investigator’s name
  • Sponsor name
  • Associated Cayuse SP Proposal and/or Project number (or SPO number if the associated proposal was submitted before the transition to Cayuse SP)

The award will be assigned to an analyst in SPO for review.

Submit an After-the-Fact Proposal to SPO

After-the-Fact proposals are required when a proposal is submitted to the sponsor without receiving SPO review and when an award is received that did not require an application or proposal.

Prepare and submit the proposal materials to SPO in Cayuse SP for review following the same steps as all other proposals. However, complete the following fields as indicated below.

  • Both the Short Project Name and Project Title:“ATF for [Analyst Name] or [Awards], if unknown”
  • Proposal Type: After-the-Fact
  • Submission Method: Paper
    • Provide sponsor contact information in the pop-up box.
  • Special Interest tab: Indicate that a “draft agreement was received”
  • Proposal Attachments: Upload the draft agreement and all other required documents for a proposal submission

See the Proposals webpage for more information.

Submit an Award Modification/Amendment Request to SPO

Carryfoward Requests

First determine and follow the sponsor requirements. Then email the request to [email protected] and include:

  • Sponsor requirements/guidelines
  • Associated Cayuse SP Award and/or Project number (or SPO number if the associated proposal was submitted before the transition to Cayuse SP)
  • Principal investigator’s name
  • Amount of funds to be carried over (direct and indirect)
  • Identification of any funds that were restricted
  • Explanation of the unobligated balance
  • Breakdown of each parent and supplement, if applicable
  • Submit all required progress reports to the sponsor

For more information see Carryforward and No-Cost-Extension Requests presentation.

No-Cost-Extension Requests

For all projects that are not directly Federally funded, a formal letter of request signed by the PI needs to be provided to our office (emailed to [email protected]) that includes the items listed below.

For projects that are directly Federally funded, simply email No-Cost-Extension requests to [email protected] and include:

  • Associated Cayuse SP Award and/or Project number (or SPO number if the associated proposal was submitted before the transition to Cayuse SP)
  • Principal investigator’s name
  • Determine and follow sponsor requirements
  • Actual correspondence received from the sponsor
  • Justification for the extension
  • Balance of funds remaining by cost category

For more information see Carryforward and No-Cost-Extension Requests presentation.

Change in PI or Administrative Unit Request

Some award modifications require Department and/or Dean Authorization, such as a change in principal investigator and/or administrative unit.

  • Submit an Internal Processing Form in Cayuse SP and complete the following fields as indicated.
  • Both the Short Project Name and Project Title
    • [Cayuse SP Project #, if applicable] [Action] ]PI] [Sponsor] (e.g., “A18-1234 Change in PI Apple USDA)
    • Proposal Type: Select Amendment
    • If the Admin Unit is changing, select the new Admin Unit
    • If the PI or other personnel are changing, include the new personnel
      • Do not include the original personnel if they are being removed from the grant
    • Only complete the required fields on the Budget tab
      • Indicate any changes to cost-sharing
      • Enter 0 in all other amount fields

For detailed instructions, see the Cayuse SP Handbook for Department Contract & Grant Staff, Principal Investigators and Approvers.

Check Award Status

Once an award has been created by Sponsored Programs, check the status of that award in Cayuse SP.

Work with SPO during Award Review

Tools and Instructions

SPO Review

The assigned Sponsored Programs analyst will review the research agreement to:

  • Ensure that the terms and conditions of the agreement are acceptable under UC and UC Davis policies and regulations
  • Identify any areas where there is a conflict with any UC policy including the 1999 UCOP policy Principles Regarding Rights to Future Research Results in University Agreements with External Parties
  • Ensure all necessary compliance documents which may be required by Federal or State law, UC or UC Davis policy, or Sponsor requirement, are obtained
    • The Principal Investigator may be asked to submit online Financial Conflicts of Interest (COI) disclosures in the eCOI Online Disclosure System
      • Form 700-U: Statement of Economic Interests for Principal Investigators (Private Sponsors)
      • Form 800: Statement of Economic Interest (Non-PHS Government Sponsors)
      • Form PHS: Conflict of Interest for PHS Funded Projects
      • Statements of Economic Interests – Supplemental Form: Forms 700-U and 800 Supplement
    • If the project involves human or animal subjects, the assigned Sponsored Programs analyst will ask for completed IRB and IACUC Protocol Certification Form

For further information, see the full Award Review Checklist and the Understanding the Awards Process Toolkit.

Submit a Progress Report

PI Responsibilities

The Principal Investigator (PI) is responsible for submitting all required interim and final technical or project reports to the awarding agency or sponsor. The PI should review the award terms and conditions and make note of the following items in order to ensure timely completion of the reports as required by the Sponsor:

  • Required technical or program reports
  • Report deadlines
  • Required format and submission methods

Common Reports

Each sponsor will indicate the reporting requirements. Additionally, each award may have different requirements. It is important to read all award documents and sponsor guidelines. Common reports include:

  • Final Financial Report – Completed by Contracts and Grants Accounting
  • Final Technical Report – Completed by Principal Investigator
  • Final Equipment Report – Completed by Equipment Management
  • Final Patent Certification – Completed by Principal Investigator or SPO with assistance from Innovation Access, when needed

Tools and Instructions

Transfer an Award to/from UC Davis

National Institutes of Health (NIH)

Below are some handy tips and tools to help your new faculty member begin the process of transferring their NIH projects:

  1. If the new faculty member has not already done so, it’s most important to contact the Program Director at NIH regarding their NIH project(s) and explain to them that they’ve accepted a new position and identify that Institution, additionally, identifying when the appointment start date effective.  In addition, explain that they would like to initiate a request to transfer their NIH project(s) to their new institution.
  2. Instructions and forms are available on the NIH website and in the Grant Application (PHS 398) Instructions.
  3. More important, the new faculty member will need to get specific instructions from the Program Director on how to transfer any not yet funded pending NIH proposal(s).  Typically (but this may vary), the previous University signs a relinquishing statement for that proposal and a new proposal package is submitted directly to the Program Director under the new University, reflecting the current salaries, fringe benefits, and indirect costs for that new University.
  4. Once the faculty member has reviewed the information and discussed the information with your Program Director, please contact your Department Administrator in your Administrative Department and they will reach out to the Sponsored Programs to provide Sponsored Programs with the information needed to assist with the transfer application process.

National Science Foundation (NSF)

Disposition of a Grant When a PI/PD Transfers from One Organization to Another Organization (14-1 Award Administration Guide) 

(i) Policy. When a PI/PD plans to leave an organization during the course of a grant, the organization has the prerogative to nominate a substitute PI/PD or request that the grant be terminated and closed out. In those cases where the PI/PD’s original and new organizations agree, NSF will facilitate a transfer of the grant and the assignment of remaining unobligated funds to the PI/PD’s new organization. This should normally be done with a tripartite agreement (involving NSF, the PI/PD’s original organization and new organization), or by a subaward arrangement (in certain circumstances) between the PI/PD’s original and new organizations, subject to NSF’s consent. (See AAG Chapter II.B.3.)

(ii) Procedures. When a PI/PD plans to leave an organization during the course of a grant, the PI/PD or the Sponsored Projects Office, or equivalent, shall notify the NSF Program Office. If the project is to continue with the original organization, the NSF Program Officer should advise the grantee to nominate a substitute PI/PD (see AAG Chapter II.B.2g). If the project is to be continued at the PI/PD’s new organization, and if NSF and both organizations agree, formal notification of the impending transfer can be electronically initiated by either the PI/PD or the PI/PD’s organization. The amount transferred has to be equal to or less than the unobligated balance.

The request shall include a:

  • Brief summary of progress to date;
  • Description of work yet to be accomplished;
  • Completed on-line transfer request, including total estimated disbursements to date (transfer amount will be automatically calculated, based on the amount entered in total estimated disbursements). The original organization is responsible for including in the total estimated disbursements, any anticipated costs yet to be incurred against the original grant.
  • Detailed line item budget for the transfer amount and any outstanding continuing grant increments.

The original organization concurs with the transfer of the award by electronically forwarding the request to the new organization.

The new organization completes the request by providing a detailed budget for the transfer amount agreed to by both organizations. The new organization must electronically sign the request when submitted to NSF. Submission of the request constitutes agreement by the new organization to assume responsibility for completion of the project effort and to administer the grant (as originally awarded) from the transfer date to completion in accordance with any special terms and conditions and the applicable general terms and conditions that normally govern NSF grants made to the new organization. Special terms and conditions, as appropriate, cited in the original award will convey to the new grantee organization.

FastLane will assign at submission a proposal number. This proposal number will become the new grant number when the transfer is approved by an NSF Grants and Agreements Officer.

(iii) Fund Transfer. Upon receipt of the above material, NSF will review the request and, if approved, deduct the specified transfer amount from the original grant and re-establish it under a new grant number at the new organization. Award notification by the NSF Grants and Agreements Officer will constitute NSF approval of the grant transfer. The award notification also will specify the applicable basic terms and conditions that govern the grant (i.e., RTC, NSF GC-1, or other Terms and Conditions).

(iv) Upon transfer of the grant to the new organization, any monetary discrepancies must be resolved between the original and the new grantee. NSF will not intervene in any disputes between the two organizations regarding the transferred amount.

(v) Equipment Transfers. Equipment purchased with NSF funds for use in a specific project should remain available for use for the duration of the project. PI/PDs who are in the midst of projects that included funding for equipment and who will continue the project at a new organization with NSF support should be able to arrange with their original organization to have the equipment transferred with them. Shipping costs for such equipment may be charged to the original or transferred grant as an allowable cost. Budgets should not include funds to “buy” equipment that had been previously obtained with Federal funds.

(vi) Possible Alternatives to the Transfer Process. When the amount of time and funds remaining in a project are modest, and if both the original and new organizations are in agreement, the original organization may issue a subaward to the new organization for completion of the project. This and other possible alternatives should be discussed with the NSF Grants and Agreements Officer.

Other Sponsors

Read the sponsor guidance for transferring and award. Contact [email protected] if you need further assistance.

Work with SPO during Award Closeout

Tools and Instructions

You will receive an automated notification from extramural accounting 90 days prior to the award end date that the award period is coming to an end. This checklist will assist you in assuring a timely and accurate close out of your award.

  • CGA Award Closeout Checklist
  • Submit Final Reports. For federally sponsored projects, required reports generally include the following:
    • Final technical or project report: The PI is responsible for submitting the required final technical or project report to the sponsoring agency. Evidence that the report was submitted should be provided to SPO (i.e., transmittal letter or e-mail).
    • Final financial report: The campus Extramural Funds Accounting Office prepares and submits the final financial report to the sponsoring agency as required by the award terms and conditions.
    • Final invention/patent report: The PI submits final invention reports to SPO, which submits final invention reports to sponsors. The report describes any new technology developed with support from the award, whether or not it has been disclosed to the Office of the President Office of Technology Transfer.
    • Final equipment inventory report: If required by the award terms and conditions, contact the BOC or your unit Business Manager for guidance or assistance with preparation of an equipment inventory report, which will be submitted by SPO to the sponsoring agency.
  • Share the results if required by the award terms and conditions. Review the conditions of your award for specific details on any publication conditions. Please note that some sponsors may require prior notice or a review period prior to disseminating results. Examples include sharing results via:
    • Education
    • Conference
    • Proceedings
    • Journal articles
    • Acknowledging the grant

Uniform Guidance provides the following information about closeouts

The Uniform Guidance establishes increased importance of timely progress reporting including the reporting of both significant positive and negative impacts on projects. In addition, federal guidelines are moving toward stricter rules for award closeout. 

The 90-day closeout requirement is not technically a new requirement; however, new language introduces a definite standard on federal awarding agencies to closeout awards timely. Impact on recipients (like UC Davis) will include federal payment systems removing funding authorizations promptly and therefore preventing recipients from drawing cash outside of the closeout period. (§200.343, section (g))

Post-close adjustmentsSponsors may (and have recently) question and/or deny expenditures (and related drawdown) submitted after the permitted closeout period.  Federal agency or pass-through entities must make cost disallowance determinations and notify the non-federal entity within the record retention period. This does not relieve the non-federal entity of the obligation to return any funds due as a result of refunds, corrections or indirect rate adjustments, nor does it relieve the recipient’s post-closing responsibilities. 

Costs related to publication or sharing of research results can be charged to a federal award after the period of performance but before the end of the 90-day closeout period.  However, check with Extramural Funds Accounting before doing so, as allowing charges after the performance period may require campus systemic/procedural changes to allow costs to post to an award after the performance period.

If the possibility exists that equipment needs to be shipped back to the government or another agency, funds should be reserved in the award for such costs, prior to closeout, or be allowable additional costs (since awards typically close before final resolution of equipment issues is made).

For fixed-amount awards: The Uniform guidance explicitly specifies that a sub-recipient of a fixed-amount award must certify at the end of the project that the project or activity was completed or that the level of effort was expended. (§ 200.201 (b)(3) and §200.332)

Each UC campus is revising policy and procedures to adapt to the new Uniform Guidance regulations. In the future, new campus policies & guidelines, along with revised forms, may change the way award closeouts are managed.