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Federal & State of California Sponsor Award Guidance

Federal Sponsor Guidance

General Information:

Awards from federal agencies are currently governed by the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (UG) 2 CFR 200. These regulations are better known as the Uniform Guidance, or UG. The UG superseded the previous Office of Management and Budget (OMB) Circulars that governed Federal awards, such as circulars A-21, A-110, and A-133. The Uniform Guidance became effective on December 26, 2014. New awards for grants and cooperative agreements made after the effective date are subject to the Uniform Guidance.

In order to streamline, address, and implement the Uniform Guidance, the Federal Government is in the process of creating new Research Terms and Conditions (RTC). Similar to the Uniform Guidance, these will be the base terms and conditions for research funding from agencies that have adopted the RTC. Many agencies will supplement the RTCs with Agency Specific Requirements (ASR’s). The NSF, NIH, and DOE will be implementing the new RTC on April 3rd, 2017. Other federal agencies will be implementing the RTC throughout the remainder of 2017.

The following list provides award guidance for the federal agencies that provide the majority of federal funding for research at UCSB.


National Science Foundation (NSF)

The NSF uses their electronic system for award management.

Awards from NSF are governed the Uniform Guidance and by terms set forth in the NSF Proposal & Award Policies Procedures Guide (PAPPG) and the National Science Foundation Grant General Conditions (GC-1).

It is National Science Foundation policy to foster harassment-free environments wherever science is conducted, including at NSF-sponsored conferences, workshops, and symposia. NSF requires applicants requesting NSF funds for carrying out conferences, workshops, and symposia to have a policy or code of conduct that addresses sexual harassment, other forms of harassment, or sexual assault, and that includes clear and accessible means of reporting violations of the policy or code-of-conduct. This policy or code of conduct must be provided to all event participants prior to the event and at the conference/workshop/symposia itself. UCSB's guidance on this process and participant notification can be found here.


National Institutes of Health (NIH)

The NIH uses their eRA Commons electronic systems for award management.

NIH awards are subject to the Uniform Guidance, as well as the terms and conditions set forth in the NIH Grants Policy Statement.

The terms and conditions of NIH awards include the requirement to obtain prior approval before any PD/PI or Senior/Key Personnel specifically named in the NIH notice of award:

It is the PI(s)' and department's responsibility to monitor the status and level of effort of PD/PIs and Senior/Key Personnel. See the NIH Grants Policy Statement section for additional details and information that must be included in the prior approval request. Contact your Sponsored Projects team if you have any questions.


National Aeronautics and Space Administration (NASA)

NASA uses their NSPIRES electronic systems for most award management actions.

NASA awards are governed by the Uniform Guidance and the NASA Grant and Cooperative Agreement Handbook. NASA has supplemented the UG with their own guidance, which is published in the Code of Federal Regulations as 2 CFR 1800.

Department of Energy (DOE)

The DOE utilizes their Portfolio Analysis and Management System (PAMS) for award management.

DOE awards are governed by the Uniform Guidance. DOE has supplemented the UG with their own guidance, which is published in the Code of Federal Regulations as 2 CFR 910.


Office of Naval Research (ONR)

ONR awards are not currently managed by any electronic system.

ONR awards are subject to the Uniform Guidance and the R&D General Terms and Conditions.


Other Agencies:

Similar to the agencies listed above, some of the following federal agencies also function with their own award terms and conditions in addition to those incorporated by the Uniform Guidance.

For agencies that have their own award terms and conditions in addition to the UG, they are linked after the name of the agency below. Always be sure to read the award document for any special terms and conditions and links to updated award guidance.

State of California Guidance

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