Prior Approval Requests

Review the sponsor guidelines to identify which roles the sponsor considers senior/key personnel. (adding/replacing)

Principal Investigator or co-Principal Investigator

Submit a completed and signed EPASS, including the following: 

• Name and contact information of new/interim Principal Investigator (PI) or co-PI
• Budget changes resulting from the proposed change
• Current and Pending (Other) Support for new individual(s) proposed
• Financial Conflict of Interest (FCOI) disclosures for new individual(s) proposed
• Prior Approval Request Form, including a justification of the request
• If the project is funded by 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
  • Commons ID for any new PD/PIs
  • PHS NIH PI Signature Form
• If the Department is changing, the old Department must approve the EPASS.

Other Roles

Submit a completed Prior Approval Request Form, including the following information to awards@research.ucla.edu:

• Justification of the request
• Name of new individual(s) proposed
• Budget changes resulting from the proposed change
• Current and Pending (Other) Support for new individual(s) proposed
• Biographical sketch information for new individual(s) proposed
• Financial Conflict of Interest (fCOI) disclosures for new individual(s) proposed

The federal definition of a significant reduction in effort is "withdrawing from the project entirely, being absent from the project during any continuous period of 3 months or more, or 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

Other sponsors may have different requirements. Please see the Terms and Conditions of your award.

OCGA Requirements

• Prior Approval Request Form, including a scientific justification of the reduced effort
• Any proposed changes in scope
• 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 documents may be required upon OCGA's review of the request

When prior approval is required, the required information differs greatly among sponsors. Refer to the agency-specific terms and conditions. Unless restricted on the terms of the award, this action is generally allowable under  expanded authorities for certain federal awards.

OCGA Requirements if Prior Approval is Required

• Prior Approval Request Form, including the carryforward amount and a justification of the request

Sponsors may require prior approval for significant re-budgeting.

The federal definition of significant re-budgeting is "when expenditures in a single direct cost budget category deviate (increase or decrease) from the categorical commitment level established for the budget period by 25 percent or more of the total costs awarded." For federal awards issued under expanded authority, prior approval is only required for this action when re-budgeting represents a change in scope. SNAP awards are required to include this action as part of the noncompeting award process. This action is not applicable for awards issued under modular budgets.

OCGA Requirements if Prior Approval is Required

• Prior Approval Request Form, including a justification of the request and amount of funds to be re-budgeted
• Revised budget
• Implications to F&A costs
• Revised scope of work if applicable
  • NIH indicators that might signal a change in scope
• Assurance that request will not change existing total cost commitment for current and future budget periods

Review the sponsor guidelines/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.

• NIH does not require prior approval for the transfer of performance of already peer reviewed programmatic work unless the activity constitutes a change in scope.
• 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.

OCGA Requirements when Prior Approval is Required

• Prior Approval Request Form, including a scientific justification of the request
• Subrecipient's statement of work
• Subrecipient's budget and justification
• Other information required by the sponsor

A no-cost extension (NCE) is defined as an extension of time that does not require the obligation of additional Federal funds (2 CFR 200.308).  Sponsors often require prior approval to grant a NCE. 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.

OCGA Requirements

• Prior Approval Request Form, including a
  • 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, including a categorical budget detail, in text format, of requested direct and F&A costs.
• 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

Awards from Federal Sponsors

• First Time Requests:
  Requests for first time NCEs 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. Some sponsors require more than 10 days. Refer to agency-specific requirements.
• Additional Requests:
  Extensions beyond the first NCE require prior approval from the sponsor. Submission times vary. Refer to the sponsor-specific requirements.

Prior approval from the sponsor is required when a Principal Investigator intends to transfer an active award from UCLA to another entity. This may be due to a Principal Investigator leaving UCLA or for other reasons.

Submit the request before the anticipated transfer date, preferably several months in advance.

OCGA Requirements

• 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

Common Sponsor Requirements

• The Principal Investigator may be required to notify/discuss with the sponsor’s Program Official before submitting the request.
• The Principal Investigator and their department will need to complete financial actions, such as the NSF online transfer request.

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

• Prior Approval Request Form, including justification of the request

Common Sponsor Requirements

• Final closeout reports and other items