Quarterly SPAAS MeetingSponsored Programs Administration &

Accounting Services

Prior Approval Requirements

• Change in the scope or the objective of the project (even when there is no budget revision)– NIH examples of Change in Scope:

• Change in the specific aims approved at the time of award.

• Substitution of one animal model for another.• Any change from the approved use of animals or

human subjects.• Significant rebudgeting, whether or not the

particular expenditure(s) require prior approval. Significant rebudgeting occurs when expenditures in a single direct cost budget category deviate (increase or decrease) from the categorical commitment level established for the budget period by more than 25 percent of the total costs awarded.

• Purchasing a unit of equipment exceeding $25,000.

Prior Approval Requirements

• Change in the key person(s) specified in the notice of award

• The disengagement from the project for more than three months by the PD or PI

Prior Approval Requirements

• Reduction in time devoted to the project by the PI or key person(s) by 25% or more.

• The transfer of funds budgeted for participant support costs to another budget category.– NIH waived except for Kirschstein-

NSRA grants• Changes in the approved cost-

sharing

Prior Approval Requirements

• Unless described in the application and funded in the approved Federal awards, the subawarding, transferring or contracting out of any work under a Federal award, including fixed amount subawards.– NIH has waived prior approval unless

the transfer is to a foreign component or will result in a change of scope.

– DOE requires prior approval when the subaward would be more than 25% of the total dollars awarded

Expanded Authority• Incur project costs 90

calendar days before the Federal awarding agency makes the Federal award. However, all costs incurred before the Federal awarding agency makes the Federal award are at the recipient’s risk

Expanded Authority• Initiate a one-time extension of

the period of performance by up to 12 months unless one of the following applies: – The terms and conditions of the

Federal award prohibit the extension– The extension requires additional

Federal funds– The extension involves any change

in the approved objectives or scope of the project

Expanded Authority• Carryforward unobligated

balances to subsequent periods of performance– NIH requires prior approval

when award indicates– NASA and DOD require that the

uncommitted carryforward funds be included in the continuation proposal if they are “substantial”