NIH Prior Approval Requests

Content for Request

Header Information for All Requests

  • Title of project
  • Principal investigator (PI) name
  • Agency number
  • Grant administrator name
  • Name and email address of the NIH grant officer (if possible)

NIH Extramural Institutional Certification Approval Routing Form

Carryover Requests

  • Amount of funds requested for carryover
  • Provide explanation of why available funds were not used
  • Plan for use of carryover funds (attach budget or list items)
  • Programmatic justification for why funds are needed for carryover

NOTE: The Financial Status Report must be submitted by Sponsored Financial Reporting before request can be considered by NIH

No-Cost Extension Requests

  • Period of extension requested
  • Estimated balance (direct and indirect) to be available for extension
  • If balance is significant (25 percent of the award), provide explanation of why available funds were not used
  • Work to be completed during extension period
  • Detailed budget for available funds for the extension

Change of scope or research objectives

  • Explain and justify the proposed changes
  • Indicate any changes in funding and/or categorical reallocations

Change in PI/Key Personnel*

  • CV for proposed PI/Key personnel
  • Justification
  • Other support information

Establish a Consortium*

  • Statement of Intent—provide administrative endorsement
  • Assurances
  • Will there be rebudgeting (explanation)?
  • Will there be a change in scope?
  • Programmatic justification (need/benefit)
  • Provide detailed budget and justification from the proposed consortium
  • Other support information for key personnel

Change in Key Personnel Whose Expertise is Critical to Project

  • Role of personnel involved
  • Decrease of effort (from % and to %)—must be a decrease of more than 25 percent of proposed effort (e.g., budget reflecting 10 percent PI effort could not be reduced to 5 percent without prior approval because it would be a 50 percent reduction).
  • Duration of change
  • Decrease of effort—what rebudgeting might occur and its impact on the project
  • Justification of need for change and its overall impact on the project

Agency-Approved Rebudgeting Requests, if Applicable

  • Amount of funds to be rebudgeted
  • Budget category funds are moving from
  • Budget category funds are moving to
  • Will there be a change in scope?
  • Programmatic justification for rebudgeting

*Because of the number of attachments required for these approval requests, SPA may choose to transmit the request and supporting documentation in hard copy only.