Prior Approval Request

Why Are Prior Approval Requests Important?

• The Terms and Conditions set forth in the agreement determine the parameters in which changes can be made.
• Failure to acknowledge these parameters and obtain these approvals may result in penalties such as termination of funding by the agency or disallowance of expenses.

Prior Approval Request for Grants and Cooperative Agreements

Prior Approval Request for Grants and Cooperative Agreements: Request for Approval of Administrative Action Under Federalwide Standard Research Terms and Conditions (RTC)

• The information below provides general guidance on additional information required.
• Before submitting any administrative request, refer to agency-specific terms and conditions and prior-approval matrix.
• All requested actions must include a scientific justification. Most actions require additional information to be submitted.
• If further information is needed, contact the Contract & Grant Team assigned to your department/unit.
• Submit Prior Approval Request forms and additional documentation (if applicable) to OCGA Proposal Intake: proposals@research.ucla.edu.

Common Prior Approvals include:

• Change in PI or Other Key Personnel
  Additional information to be submitted includes:
  • Name of new/interim PI
  • Current and pending support or other support (PHS) for new/interim PI
  • Biographical sketch information for new/interim PI
  • Fully signed EPASS with sections 1, 2 and 9 filled out.
  • Applicable Conflict of Interest disclosure(s) (EDGE, 740, 700)
• Significant Reduction in Effort
  Most sponsors allow rebudgeting without prior approval under RTC unless there is a change in the scope of work.
  Additional information required:
  • Amount of funds to be rebudgeted 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
• Establish a consortium or transfer substantive programmatic work to a third party
  Additional information required:
  • Effect on budget
  • Any changes in scope of work
  • Assurance that request will not change existing total cost commitment for current and future budget periods
  • Signed Subrecipient Commitment Form
  • Statement of work for subrecipient
  • Budget and justification for subrecipient
• No-cost Time Extensions
  The fact that funds remain at the expiration of the grant is not, in itself, sufficient justification for a no-cost extension.
  • First Time Requests:
    Requests for first time no-cost time extensions under Research Terms and Conditions (RTC) or expanded authorities must be submitted within sufficient time for OCGA to notify the awarding agency of the extension at least 10 DAYS PRIOR to the expiration date of the project period. (Note: some sponsors require more than 10 days, please refer to the link above for agency-specific requirements).
  • Additional Requests:
    Extensions beyond the first no-cost extension require approval from the sponsor. Submission times vary. Refer to agency specific requirements.
    Additional information required (for any request for NCE):
    • Scientific justification including progress to date
    • Length of extension requested
    • Amount of and reason for unobligated balance
    • Plan for use of funds during extension period. (Include categorical budget detail, in text format, of requested direct and F&A costs.)
    • Conflict of interest disclosure(s)
    • Animal and/or human subject use:
      • If yes, provide approvals
      • If no, state in justification
  • Other information as required by sponsor.
• Carryover Requests
  (NOTE: Unless restricted on the terms of the award, this action is generally allowable under FDP or expanded authorities for certain federal awards.)
  Additional information required:
  • Differs greatly among sponsors; refer to agency-specific terms and conditions.
• Significant Rebudgeting Requests
  (NOTE: For awards issued under FDP or expanded authority, this action is necessary only when rebudgeting represents a change in scope. SNAP awards are required to include this action as part of the noncompeting award process. THIS ACTION DOES NOT APPLY TO AWARDS ISSUED FROM MODULAR GRANT APPLICATIONS.)
  Additional information required:
  • Amount of funds to be rebudgeted
  • Which budget categories funds will be moved from and to
  • Implications on F&A costs
  • Indicate whether there will be a change in scope
  • Assurance that request will not change existing total cost commitment for current and future budget periods