In an effort to keep UCSB's research community apprised of developments related to the potential federal government shutdown due to the lapse in appropriations, information will be posted on this page. Sponsored Projects Office will update this page as new information becomes available. Please check back regularly.

The information on the information on this page relates to funding from U.S. Federal Government sponsors and flow-through funding involving U.S. Federal Government sponsors. 

Effects on Proposals and Awards 

Proposals

The Sponsored Projects Office (SPO) will continue to submit proposals to federal sponsors to the extent proposal submission systems (NSF Fastlane, Grants.gov, NSPIRES, etc) are operable. At this time, we cannot foresee how a shutdown may affect our ability to submit proposals. We do know that in the event these systems continue to function, we will be without help desk or technical support should any submission issues arise.

Request for Approval to Spend (RAS)

Requests for approval to spend funds on awards not yet received (RAS requests) should be carefully considered due to the additional financial risk caused by the shutdown. Each RAS should be discussed with the appropriate Sponsored Projects Team prior to department/ORU or Dean endorsement of such requests. The Office of Research will closely review and monitor RAS requests and consult as needed with PIs, Chairs, Deans and department staff to determine if the risk is appropriate for the University to assume. 

Awards

To the best of our knowledge the following may occur:

- No awards will be issued by federal sponsoring during the shutdown. This includes new, supplemental and continuation (incremental funding) awards. 

- Federal awards under negotiation at the time of the shutdown and multi-year contracts that end during/after the shutdown may be put on hold by the sponsor. 

- Federal employees (e.g., Program Officers, Grants Management Specialists, and Contracting Officers) most likely will not be available to conduct routine business. 

OMB Memo M 18-05 and attached FAQs state that if projects have existing funds and the performance period has not ended, the work on the project may continue to the extent that the project does not require federal staff involvement or intervention. Each agency has an agency-specific notice and plan for shutting down their operations. These should be reviewed on an award by award basis. We have linked these below under Sponsor Notices and Information. 

Additionally, the federal sponsor can issue a stop-work order. If a stop-work order is issued, SPO will receive a project-specific notice from the federal sponsor and will inform the department liaison. Projects funded by contracts and cooperative agreements are more likely to receive stop-work orders or performance suspension notices than projects funded by grants. 

Research Compliance

At this time, we do not anticipate that the shutdown will impact the review and approval of research protocols by UCSB's research oversight committees (e.g, IRB, IACUC, etc.). Please note that these services may be more than minimally impacted by a long-term shutdown.

Sponsor Notices and Information

Office of Management and Budget (OMB)

OMB memorandum titled "Planning for Agency Operations during a Potential Lapse in Appropriations" is linked here. It includes FAQs regarding grants and contracts in Section II, Pages 3-9.

The OMB maintains a list of links to agency contingency plans here.

NSF plan for operations during a funding hiatus is linked here. It can be downloaded directly here. 

Here is a direct link to the DHHS contingency staffing plan for operations in the absence of enacted annual appropriations. 

Here is the DOE webpage on implementation activities in the case of a lapse of appropriations. Here is a PDF of the order. 

The DOD guidance for continuation of operations during a lapse of appropriations is here.

Here is a link to the NASA shutdown plan in the event of a lapse in appropriations. Click here for FAQs related to the shutdown plan. 

Here is a link to the US DOI Operations in the Absence of Appropriations website. Here is a link to the US DOI FAQs During a Lapse in Appropriations.

Here is a link to the Department of Agriculture lapse in funding plans.

Here is a PDF of the Department of Transportation lapse plans.

Here is a link to the plans for orderly shutdown due to lapse in appropriations. 

Here is a link to the guidance on operations during a lapse in appropriations. 

Here is the Department of Treasury lapse in appropriations contingency plan. 

Here are the DHS procedures for a lapse in appropriations.

Here is a link to the contingency plan for DOJ operations during a lapse in appropriations.

Here is a link to the EPA contingency plan for shutdown.

Here is a link to the plan for agency operations in the absence of appropriations. 

Here is a link to the plan for agency operations in the absence of appropriations.