Sponsors may require a formal prior approval request for certain award changes. Read the award terms and conditions, sponsor policy and other sponsor guidance materials for instructions and guidance on which changes can be made and how to make those changes.
Follow all sponsor guidance carefully to ensure compliance.
Common Actions Requiring Prior Approval
These are some common prior approval actions. If you have specific questions about a prior approval action, contact your assigned award analyst/officer.
Changes in Key Personnel
Sponsor approval is often required to add or remove senior or key personnel to or from a project. Refer to the sponsor’s terms and conditions for guidance and instruction.
Requesting Prior Approval
Submit the following to OCGA Awards Intake (awards@research.ucla.edu):
- Prior Approval Request Form, including the name and contact information of the new/interim Principal Investigator and a justification of the request
- If the change is for the Principal Investigator or a co-Principal Investigator, a complete EPASS (PDF) signed by the department relinquishing the award
- Budget changes resulting from the proposed change
- Biographical Sketches for new individual(s) proposed,
- Current and Pending (Other) Support for new individual(s) proposed,
- Financial Conflict of Interest (FCOI) disclosures for new individual(s) proposed
- Additional sponsor-required materials
- If the sponsor or prime sponsor is NIH:
- New or revised Leadership Plan if the request is to change from a single PD/PI model to a multiple PD/PI model, or to change the number or makeup of the PD/PIs on a multiple PD/PI award
- eRA Commons ID for any new PD/PIs
- PHS NIH PI Signature Form
- If the sponsor or prime sponsor is NIH:
- Change in Key Personnel letter template (UCLA Box Login Required), if required by the sponsor or requested by OCGA
- Completed and signed by the Principal Investigator
- OCGA will counter sign the document as part of reviewing and processing the request (Do not submit directly to the sponsor)
Read the award terms and conditions, sponsor policy and other sponsor guidance to identify the roles defined as senior key personnel and the instructions for requesting the needed change.
National Institutes of Health
- GPS 1.2 Definition of Terms
- GPS 8.1.2.6 Change in Status, Including Absence of PD/PI and Other Senior/Key Personnel Named in the NoA
- NOT-OD-20-124 Guidance Regarding Change in Status, Including Absence of PD/PI and Other Key Personnel Named in the Notice of Award
National Science Foundation
Significant Reduction in Effort
The NIH definition of a significant reduction in effort is "reducing time devoted to the project by 25 percent or more from the level that was approved at the time of initial competing year award. Reductions are cumulative, i.e., the 25% threshold may be reached by two or more successive reductions that total 25% or more." NIH GPS 8.1.2 Prior Approval Requirements
Refer to the sponsor’s terms and conditions for guidance and instruction. Other sponsors have different definitions and requirements.
Requesting Prior Approval
Submit the following to OCGA Awards Intake (awards@research.ucla.edu):
- Prior Approval Request Form, including a scientific justification of the reduced effort
- Any proposed changes in scope of work
- Any budget changes resulting from the proposed change
- Amount of funds to be re-budgeted and to/from which categories
- Impact on affected budget categories
- Assurance that request will not change existing total cost commitment for current and future budget periods
- Additional sponsor-required materials
- Significant Reduction of Effort letter template (UCLA Box Login Required), if required by the sponsor or requested by OCGA
- Completed and signed by the Principal Investigator
- OCGA will counter sign the document as part of reviewing and processing the request (Do not submit this template directly to the sponsor)
- Additional documents may be required upon OCGA's review of the request
Read the award terms and conditions, sponsor policy and other sponsor guidance to identify the requirements of your award.
National Institutes of Health
- GPS 8.1.2.6 Change in Status, Including Absence of PD/PI and Other Senior/Key Personnel Named in the NoA
- NOT-OD-20-124 Guidance Regarding Change in Status, Including Absence of PD/PI and Other Key Personnel Named in the Notice of Award
National Science Foundation
Carryover/Carryforward
Sponsor prior approval is sometimes required for carryover/carryforward (the process of transferring an unobligated balance from one budget period to the next).
Most federal sponsors allow carryover/carryforward under expanded authority. (Federal-wide Research Terms and Conditions - Appendix A: Prior Approval Matrix)
When prior approval is required, the required information differs greatly among sponsors. Refer to the sponsor’s terms and conditions for guidance and instruction.
Requesting Prior Approval
Submit the following to OCGA Awards Intake (awards@research.ucla.edu):
- Prior Approval Request Form, including the carryforward amount and a justification of the request
- Other materials required by the sponsor
-
Carryover/Carryforward letter template
(UCLA Box Login Required), if required by the sponsor or requested by OCGA
- Completed and signed by the Principal Investigator
- OCGA will counter sign the document as part of reviewing and processing the request (Do not submit the letter directly to the sponsor)
Read the award terms and conditions, sponsor policy and other sponsor guidance to identify the requirements of your award.
National Institutes of Health (NIH)
National Science Foundation (NSF)
Significant Rebudgeting
Sponsors may require prior approval for significant re-budgeting. Refer to the award terms, sponsor policy and other sponsor guidance for the definition of what constitutes significant re-budgeting.
The NIH definition of significant re-budgeting is "when expenditures in a single (NIH GPS 8.1.2)
For federal awards issued under expanded authority, prior approval is only required for this action when re-budgeting represents a change in scope. (2 CFR 200.308).
Refer to the sponsor’s terms and conditions for guidance and instruction.
Requesting Prior Approval
Submit the following to OCGA Awards Intake (awards@research.ucla.edu):
- Prior Approval Request Form, including a justification of the request and amount of funds to be re-budgeted
- Revised budget
- Implications to the indirect costs
- Revised scope of work, if applicable
- Assurance that request will not change existing total cost commitment for current and future budget periods
Read the award terms and conditions, sponsor policy and other sponsor guidance to identify the requirements of your award.
National Institutes of Health (NIH)
National Science Foundation
Add a Consortium/Subaward
Review the sponsor guidelines and award terms and conditions to determine whether prior approval is required before adding a subaward/establishing a consortium to transfer substantive programmatic work.
Most federal sponsors require prior approval before adding a subaward. Refer to the sponsor’s terms and conditions for guidance and instruction.
Requesting Prior Approval
Submit the following to OCGA Awards Intake (awards@research.ucla.edu):
- Prior Approval Request Form, including a scientific justification of the request
- Complete subaward proposal package
- Subrecipient Institutional Information Form (SIIF) for non-FDP Expanded Clearinghouse members.
- Please note that delays in receiving the Institutional Information form for non-FDP Expanded Clearinghouse subrecipients will delay outgoing subaward agreements
- If required, copies of the subrecipient compliance documents including Human Subjects, Animal Subjects, Stem Cell, etc.
- Other information required by the sponsor
Read the award terms and conditions, sponsor policy and other sponsor guidance to identify the requirements of your award.
National Institutes of Health (NIH)
- NOT-OD-26-062: Prior Approval Requirement for Changes to Domestic Subawards
- NIH GPS 8.1.1.4 Transfer of the Performance of Substantive Programmatic Work to a Third Party by Means of a Consortium Agreement
- NIH GPS 8.1.3 Requests for Prior Approval
National Science Foundation
National Institute of food and Agriculture
USDA NIFA only requires prior approval when the subaward(s) would be more than 50% of the total dollars of the award or subaward is to a federal agency.
No-Cost Extension
Sponsors often require prior approval to grant a No-Cost Extension (NCE).
Request a Grantee-Approved No-Cost Extension
Sponsor prior approval is not required to grant a first time NCE under expanded authority for specific federal awards but notification to the sponsor is required. Submit requests to OCGA as early as possible.
- Requests for first time NCEs under Research Terms and Conditions (RTC) or expanded authorities must be submitted with sufficient time for OCGA to review and notify the awarding agency of the extension within their required timeline. Refer to the sponsor-specific requirements.
- If the request is received by OCGA after the award expiration date, the grantee-approved option is no longer available and sponsor prior approval will be required.
Process
Submit the following to OCGA Awards Intake (awards@research.ucla.edu):
- Prior Approval Request Form which includes the information needed for OCGA to process the request, including:
- Scientific justification including progress to date
- Length of extension requested
- Amount of and reason for unobligated balance
- Applicable FCOI disclosure(s)
- Animal and/or human subject use:
- If yes, provide Animal Review Committee (ARC) and/or Institutional Review Board (IRB) approvals
- If no, state so in the justification
- Additional documents may be required upon OCGA's review of the request
Requesting Prior Approval for a No-Cost Extension
Submit the following to OCGA Awards Intake (awards@research.ucla.edu):
- Prior Approval Request Form, including:
- Scientific justification including progress to date
- Length of extension requested
- Amount of and reason for unobligated balance
- Applicable FCOI disclosure(s)
- Animal and/or human subject use:
- If yes, provide Animal Review Committee (ARC) and/or Institutional Review Board (IRB) approvals
- If no, state so in the justification
- Additional materials required by the sponsor, such as:
- Plan for use of funds during extension period, including a categorical budget detail, in text format, of requested direct and indirect costs
- NCE request letter template, if required by sponsor or requested by OCGA (UCLA Box Login Required)
- Do not submit directly to the sponsor.
- Additional documents may be required upon OCGA's review of the request
Read the award terms and conditions, sponsor policy and other sponsor guidance to identify the requirements of your award.
National Institutes of Health (NIH)
- NIH GPS: 8.1.2 Prior Approval Requirements
- NOT-OD-25-110: Updated NIH Processes for No-Cost Extensions
- eRA Common Help: No-Cost Extension (NCE) for NIH Grants
National Science Foundation (NSF)
Department of Defense (DoD)
Relinquish/Transfer an Award
Prior approval from the sponsor and UCLA department chair and/or dean is required when a Principal Investigator intends to transfer an active award from UCLA to another entity.
Submit the request before the anticipated transfer date, preferably several months in advance.
Requesting Prior Approval
- Discuss potentially transferring the award with your department chair.
- Discuss potentially transferring the award with sponsor's grant management officer, if required by the sponsor.
- Complete and obtain department approval to transfer/relinquish the award on the Relinquishment/Award Transfer letter template (UCLA Box Login Required).
- Submit the following to OCGA Awards Intake (awards@research.ucla.edu):
- Prior Approval Request Form, including a justification for the request
- Summary of progress to date
- Description of work to be accomplished
- Detailed line-item budget for the transfer amount and outstanding award increments
- Completed and signed Relinquishment/Award Transfer letter template (UCLA Box Login Required) (Do not submit directly to the sponsor)
- Additional materials and actions may be required by the sponsor
- Work with EFM to complete the final financial actions.
Read the award terms and conditions, sponsor policy and other sponsor guidance to identify the requirements of your award.
National Institutes of Health (NIH)
National Science Foundation (NSF)
NSF requires an on-line transfer request including total disbursements and unpaid obligations to date to completed in Research.gov.
Early Termination
Sponsors must be notified if a Principal Investigator (PI) intends to end an award before the project end date. If the sponsor notifies the PI of the intent to terminate an award before the project end date, the PI should forward the sponsor's termination notice to awards@research.ucla.edu.
OCGA Requirements for PI-Initiated Termination
- Written justification of the request
- Other items as required by the sponsor
Common Sponsor Requirements
- Final closeout reports and other items