Department of Education
DE | ||
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ACTION ITEM: | ||
Change in scope or objective of project or program | ||
Changes in named personnel | ||
Restrictions on Notice of Grant Award | ||
Change in Grantee Institution | ||
Transferring program work | ||
Need for additional funding | ||
Pre-award costs more than 90 days | ||
Second request for extension of time | ||
Alterations & Renovations | ||
Transferring amounts from trainee costs | ||
Transfer of funds between construction and nonconstruction grants |
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Equipment (Capitalized), not in budget > $5000 | ||
Rebudgeting F&A costs to absorb increases iin direct costs or vice versa |
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Program Income | ||
Foreign travel | ||
Equipment (Capitalized), not in budget < $5000 | ||
Carry forward of unobligated funds | ||
Extension of time w/o additional funds (one time up to 12 months) | ||
Pre-award costs 90 days or less | ||
Rebudgeting between direct line items |
Prior Approval Authorities For DE Grants
I. IMPLEMENTING GUIDELINES:* the need for the requested activity
* the budget categories which would be altered
* any significant effect on the general scientific direction of the project
* signatures of both the department head and business office
request. The rebudgeting must neither impair the investigator's ability to complete the project as approved nor increase the total cost to the grant. The authorized designee will review the request for scientific or program propriety in relation to the objectives of the specific project supported by the grant to which the charges will be made. Final approval or disapproval will be indicated in writing.
Each documented request (both approved and disapproved) will be kept in the Sponsored Programs Services Office for audit purposes.
In cases where Sponsored Programs staff have difficulty in determining the appropriateness of the prior approval, SPS staff will consult with the academic department to determine if additional information or justification is required.
2. Changes in Named Personnel.
B. DE prior approval is needed if the Notice of Grant Award for a non-research grant specifically states a prior approval requirement is imposed for any replacement or significant change in responsibilities of persons expressively identified on the award as key project staff.
C. On all DE grants, the continuation of the project during any continuous period of more than 3 months without active direction of an approved project director or principal
investigator.
3. Restrictions on Notice of Grant Award. Prior approval is necessary to undertake any activities disapproved or restricted as a condition of the award.
4. Change of Grantee Institution
5. Transferring Programmatic Work (subcontract). DE approval is required to enter into any subcontract arrangement that was not specified in the proposal. This does not apply to procurement
activities.
6. Need for Additional Funds. DE prior approval is required when there is a need for the award of additional federal funds.
7. Preaward Cost Incurred More than 90 Days Prior to the Effective Date of Any New or Competing Continuation Award.
8. Second Extensions of Budget Periods -beyond an extension that was granted by the University or DE.
9. Alterations and Renovations-Any costs not specified in the proposal require DE approval.
10. Transferring Amounts from Trainee Costs. DE prior approval is necessary for the transfer of amounts previously awarded for trainee costs. (stipends, tuition and fees) to other categories of expense.
11. Transfer of Funds Between Construction and Nonconstruction.
12. Scientific Equipment (Capitilized), Not in Budget > $5,000 Acquisition of special purpose equipment, costing in excess of $5,000 and not included in the approved proposal budget, requires the prior approval of the administrative grant officer (unless the item is merely a different model of an item in the approved proposal budget).
13. Rebudgeting F&A costs to absorb increases in direct costs or vice versa.
1. Foreign Travel. Approval is required for all trips not specifically identified in the proposal. U.S. flag carriers must be used in accordance with government policy. This requirement cannot be influenced by cost, convenience, or personal travel preference.
2. Scientific Equipment (Capitilized), Not in Budget < $5,000
Any scientific equipment with an acquistion cost > $1,000 but less than $5,000 can be approved by the University.
b) Non Discretionary authority - Requires DE approval.
a) Discretionary authority - The University may approve the extension of the final budget period of a research project one time for a period up to 1 year beyond the original expiration date. Request for internal approval must be made 30 days prior to the grants expiration date. Purdue must notify DE of any extensions 10 days prior to the expiration date.
An extension can be made only when no additional funds are needed and any one of the following apply: (The fact that funds remain at the end of a project period is not in itself sufficient justification for an extension.)
* Additional time beyond the established expiration date is required to assure adequate completion of the originally approved project.
* The extension is necessary to permit an orderly phaseout of a project that will not receive continued support.
b) Non Discretionary authority - Requires DE approval.
4. Rebudgeting between direct line items
a) Discretionary authority - Grantee may transfer funds among direct line items
b) Non Discretionary authority - Requires DE approval
- Department of Education
- Department of Energy (DOE) Grants: 41050000
- DOI (Department of the Interior) Grants: 41070000
- Department of Transportation (DOT) Grants: 41080000
- Fellowship Grants
- Foreign Governments Grants: 44010000
- International Grants: 41060000
- National Security Agency (NSA) - Prior Approval Guidelines
- Other Federal Government Grants: 41120000
- Explanation of the Prior Approval Process
- Industrials: 43010000
- PRF Grants: 45010000
- State of Indiana (All Divisions): 42010000