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NIH Requests for Prior Approval

NIH Requests for Prior Approval

How do I know if I need prior approval?

For awards issued on or after October 1, 2001, the authorities currently known as "Expanded Authorities" will become standard terms and conditions for all NIH grant awards. Expanded Authorities as defined by NIH are the operating authorities provided to grantees under certain research grant mechanisms that waive the requirement for NIH prior approval for specified actions.

Use the following table to determine if you need prior approval for your action.

To Request Prior Approval from NIH via E-mail...

Rules:

• Requests must be initiated by the PI, not the business manger.
• Requests must be made at least 60 days in advance of the proposed change.
• NIH will return, unprocessed, requests mailed by the PI directly to NIH.

 

Instructions

1. Send your email request to awards@uic.edu.
    
2. CC the following individuals:
   • Your immediate supervisor, i.e., department head, dean, or vice chancellor
     (Implies supervisory support of the request.)
   • Your business manager
     (Implies agreement with the financial information in the request.)
   • Mee Mee Lee-Choi, meemlee@uillinois.edu
     (Associate Director, UIC Grants and Contracts)
   
    
3. Enter the complete NIH grant number in the subject line of the request.
    
4. For all requests, include the following in the body of the request:
   • Name and email address of the NIH Grants Management Officer (GMO) listed on the most recent Notice of Grant Award (NGA). Use the NIH directory to look up staff email addresses.
   • The grant's Banner fund and grant number (X-XXXXXX-XXXXXX-XXXXX).
   • Your title, institution, phone number, fax number, and email address. (This information can be included in the email signature instead.)
      
5. Use the list below to identify action-specific content you must include in the body of the request. Or, consult the January 5, 2000 and May 19, 2000 issues of the NIH Guide for a more detailed explanation.
   
   For changes in PI, include in the body:
   • Scientific justification.
   • If applicable, describe the change in effort level.
   • Updated other support, submitted in the format described in the PHS 398 application, Format Page 7.
   • Biographical sketch information for proposed PI or key personnel, if not previously available from the grant application.
   
     For first-time no-cost extensions, include in the body this sample verbiage.
    
     For second-time no-cost extensions, include in the body:
   • Scientific justification, including progress to date.
   • Length of extension requested.
   • Amount of and reason for the unobligated balance.
   • Plan for use of funds during extension period. Include categorical budget detail, in text format, of requested direct and F&A costs.
   
     For carryovers, include in the body:
   • Scientific justification for carryover.
   • Amount of funds requested for carryover.
   • If balance is significant (25% of the current budget period's total costs), provide explanation of why funds available for the requested carryover were not used
   • Plan for use of carryover funds. Include categorical budget detail, in text format, of requested direct and F&A costs.
   
    
6. ORS will review the request and forward it, with institutional approval, to the NIH GMO listed in the body of the note. ORS will notify you via e-mail when NIH has approved your request.

Required Verbiage for First-time, NIH No-Cost Extension Notification

1. Send your email request to awards@uic.edu.

 
2. CC the following individuals:
• Your immediate supervisor, i.e., department head, dean, or vice chancellor
  (Implies supervisory support of the request.)
• Your business manager
  (Implies agreement with the financial information in the request.)
• Mee Mee Lee-Choi, meemlee@uillinois.edu
  (Associate Director, UIC Grants and Contracts)

 
3. Use the following verbiage in the subject line:
   
   Notification of No-Cost Extension on Grant [complete NIH grant number]
    
4. Use the following verbiage in the body:
   
   UIC Banner Fund and Grant Number: XXXXXX-XXXXX

   This is to notify you of action taken in agreement with the “expanded authorities” per the PHS Grants Policy Statement for the above referenced grant, which was scheduled to terminate on [date]. The revised termination date is [date].

   Sincerely,
   [PI Name]

5. ORS will review the request and extend the project end date via the NIH Commons.



6. An email, providing confirmation of the revised project end date, will be forwarded by ORS.