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No-Cost Extension (NCE) request procedural guidance

IMPORTANT NOTICE: 

Please note that due to continuing developments, users should consult the following resource for the most recent guidance and directives from federal funding agencies:

Questions relating to specific awards or grants should be directed to the following contact:

For those projects requiring additional time to complete, Grant Managers should review sponsor-specific guidelines and project award documents for specific procedures for requesting a No-Cost Extension (NCE). The following sections provide a general list of questions and actions that Grant Managers should review and confirm when requesting an NCE. This guidance should aid in the gathering of information to request an NCE.
 

Determine the NCE pathway

Before collecting the information necessary to make an NCE request, it is important to determine which path you will use to request the NCE.

Type of award/agreementPathway to take when requesting an NCE
Any Federal award, whether it requires prior approval from the Sponsor or can be granted by Duke (0RA/0RS)Submit via NCE tool in SPS
Any incoming subaward prior approval requests*Submit via NCE tool in SPS
Any foundation award prior approval requests*Submit via NCE tool in SPS
Industry awards with no defined end dateSubmit via NCE tool in SPS
Industry agreements with a defined end date in need of a modificationContact your ORS/ORC representative to discuss a modification
Incoming subaward when the prime award is not in an NCE periodInitiate a new SPS record
Sponsor initiated/incoming subaward not requested by the PI/Department

Submit subaward modification:

*NCE requests must always be submitted to ORA/ORS prior to submitting to the sponsor

Programmatic considerations

In coordination with the PI
Why is additional time needed?

Work with the Pl to draft a justification for the NCE. Include information about why the NCE is necessary and what project work will take place during the NCE period. Upload justification in NCE tool in SPS.

How much additional time is needed?

Enter requested budget period end date in NCE tool in SPS.

Are there any unapproved, planned changes to the Scope of Work (SOW) during the NCE period?

If yes, obtain revised SOW from Pl for sponsor prior approval to attach as supporting documentation in NCE tool in SPS.

Will any subawards be EXCLUDED from the extension?

If yes, list the WBSE that do NOT need extensions, and include them in the field in the NCE tool in SPS.

  • Please note that anyone named as key personnel cannot be excluded without prior approval from the sponsor.
  • For all subawards that will be extended, communicate the status of NCE request to all subrecipients, including requesting any information needed for the extension (ex: FCOI, revised budget, etc.).
  • Please note that before a modification will be issued to a subrecipient the SIR (ORA) or subrecipient progress report (ORS) must be completed indicating the necessary agreement changes.
Is there a current FCOI disclosure on file for all Duke personnel on the project who have a role in the design, conduct, analysis or reporting of results relating to the research?

If not, please contact the Duke Office of Scientific Integrity at dosicoi@duke.edu with questions. For FAQs related to Conflicts of Interest/Commitment, please visit Conflict of interest related FAQs.

Administrative considerations

In coordination with Institutional Offices
Does this award require sponsor approval for an NCE (not subject to expanded authorities)?

If yes, will the NCE request be submitted by the Department/Center/Institute?

Indicate in the NCE tool in SPS

Is this a first/second/third/etc., NCE for this award?

Indicate in the NCE tool in SPS

Are there any sponsor special instructions or specific restrictions (e.g. inclusion of required documentation or a use of a specific portal) for requesting this NCE?

Include in NCE tool in SPS under “internal comments” section (shows after saving the form)

Is there any human subject (IRB) work, including any use of identifiable patient information for research purposes, being conducted during the NCE period?

If yes, protocol(s) must cover the NCE period if human subjects work is expected to continue.

Is there any animal subject (IACUC) work being conducted during the NCE period?

If yes, protocol(s) must cover the NCE period if animal subjects work is expected to continue.

Is there any biosafety (IBC) work being conducted during the NCE period?

If yes, protocol(s) must cover the NCE period if biosafety work  is expected to continue. 

Financial considerations

Best practice is to submit an NCE request in the NCE tool in SPS well in advance of the sponsor's required submission date or Project End Date, whichever is earlier, or according to Sponsor’s policy. ORA/ORS will review NCE requests within 7 business days after receipt of notification from the NCE tool.
What is the projected unobligated balance at the end of the current period?

Indicate in anticipated unobligated balance amount field in NCE tool.

Are there enough funds to carry out the project work through the life of the NCE?

Indicate yes or no in the field in the NCE tool in SPS and provide budget document.

  • If no, briefly describe a plan to financially support the project through the extension period.
Is a re-budget or revised budget required for the proposed NCE period?

If yes, a CAS/Re-budget form must be submitted after NCE is approved.

Are there any significant changes in sponsor key effort commitments (e.g., >25%)?

Provide explanation for change in NCE tool in SPS within "internal comments"