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Actions Requiring NIH Approval

last updated 09/08/09


(Note: The following table has been revised in accordance with the 12/01/03 NIH Guide Notice)
(For more detail, see the full grants policy statement on the NIH website)

Summary of Actions Requiring NIH Prior Approval

NIH prior approval is required for

Under the following circumstances

Alterations & Renovations

Rebudgeting into A&R costs that would exceed 25 percent of the total approved budget for a budget period.

If rebudgeting would not meet this threshold but would result in a change in scope.

Any single A&R project exceeding $300,000.

Capital expenditures (construction, land, or building acquisition)

All instances when purchase proposed; any proposal to convey, transfer, assign, mortgage, lease, or in any other manner encumber real property acquired with NIH grant funds.

Change in scope

All instances.

Changes in status of key personnel

Withdrawal from the project; absence for any continuous period of 3 months or more; reduction of time devoted to project by 25 percent or more from level in approved application.

Change of grantee organization

All instances.

Carryover of unobligated balances

If the NGA indicates that the grantee does not have the authority to automatically carry over balances.

Deviation from award terms and conditions

All instances. Includes undertaking any activities disapproved or restricted as a condition of the award.

Foreign component added to a grant to a domestic organization

All instances.

Need for additional NIH funding

All instances, including extension of a final budget period of a project period with additional funds.

Pre-award costs

More than 90 days before effective date of the initial budget period of a new or competing continuation award, at grantee's own risk.

Retention of research grant funds when K award made

All instances.

Second no-cost extension or extension greater than 12 months

All instances.

Transfer of funds between construction and nonconstruction work

All instances.

Transferring amounts from trainee costs

All instances.

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