Guide section list
Comprehensive reference guide
Principal investigator disengagement
Subpart D: Post Award Requirements
Text Accordion Closed
200.308 Revision of budget and program plans
The approved budget for the Federal award summarizes the financial aspects of the project or program as approved during the award process. It may include both the Federal and non-Federal share or only the Federal share, depending upon awarding agency requirements. It must be related to performance for program evaluation purposes whenever appropriate.
For non-construction Federal awards, recipients must request prior approvals from awarding agencies for one or more of the following program or budget-related reasons:
(1) Change in the scope or the objective of the project or program (even if there is no associated budget revision requiring prior written approval).
(2) Change in a key person specified in the application or the Federal award.
(3) The disengagement from the project for more than three months, or a 25 percent reduction in time devoted to the project, by the approved project director or principal investigator.
(4) The inclusion of costs that require prior approval in accordance with Subpart E – Cost principles.
(5) The transfer of funds budgeted for participant support costs to other categories of expense.
(6) Unless described in the application and funded in the approved award, the subawarding, transferring or contracting out of any work under the award, including fixed-amount awards. This provision does not apply to the acquisition of supplies, materials, equipment, or general support services.
(7) Changes in the approved cost-sharing contribution;
(8) The need for additional funds to complete the project.
No other prior approval requirements for specific items may be imposed unless an exception is approved by OMB.
Except for a change in the scope or objective of the project or program, the Federal awarding agency is authorized, at its option, to waive prior written approvals required by above paragraph. Such waivers may include authorizing recipients to do any one or more of the following:
(1) Incur project costs 90 calendar days before the Federal awarding agency makes the Federal award. Expenses more than 90 calendar days pre-award require prior approval of the Federal awarding agency.
(2) Initiate a one-time extension of the period of performance by up to 12 months. For one-time extensions, the recipient must notify the awarding agency in writing with the supporting reasons and revised period of performance at least 10 calendar days before the end of the period of performance. This one-time extension may not be exercised merely for the purpose of using unobligated balances. Extensions require explicit prior awarding agency approval when:
(i) The terms and conditions of the award prohibit the extension.
(ii) The extension requires additional funds.
(iii) The extension involves any change in the approved objectives or scope of the project.
(3) Carry forward unobligated balances to subsequent periods of performance.
Unless the awarding agency provides otherwise in the award or in the agency’s regulations, these three prior approvals are automatically waived for Federal research Awards and recipients need not obtain such prior approvals to incur 90 day pre-award costs, issue one time “no-cost” extensions, or carry over unobligated balances.
The Federal awarding agency may, at its option, restrict the transfer of funds among direct cost categories or programs, functions and activities for Federal awards in which the Federal share of the project exceeds the Simplified Acquisition Threshold and the cumulative amount of such transfers exceeds or is expected to exceed 10 percent of the total budget.
Explanation Accordion Closed
The Uniform Guidance recognizes that a PI can be absent from campus and remain engaged in the project.
To remain serving as a Principal Investigator during a period of disengagement, NAU expects the PI to personally and actively manage the project. For example, such continued engagement would not be appropriate if the PI is:
- Terminated or suspended from employment with the University;
- Absent from the project for more than 12 months;
- Reduces his or her effort on the project to 0 percent or engages in less than weekly contact with project personnel.
Note
200.308, Revision of budget and program plans is reproduced almost verbatim from A-110. It outlines the criteria for requesting budget and program revisions, but, as noted in the text above, the awarding agency may choose to waive approval requirements for all but a change in the Scope of Work or project objectives. For research awards, recipients need not obtain prior approvals to incur 90 day pre-award costs, issue one time “no-cost” extensions, or carry over unobligated balances unless denied by the terms of a specific award or prohibited by agency regulations.
Application Accordion Closed
Agency prior approval is required for PI disengagement (formerly “absence”) from the project for more than 3 months or a 25% reduction in effort.
Ensure requests for prior approval explain NAU’s policy regarding “disengagement” and demonstrate how the project will continued to be managed in accordance with the award terms.
Comments on agency implementation policies/procedures Accordion Closed
No updates at this time.
Related NAU policies/procedures Accordion Closed
- PAASFC Policy: Principal Investigator Delegation