Revised October 2017. This document applies to all NIH grants and cooperative agreements for budget periods beginning on or after October 1, 2017.
10.8 Administrative Requirements
10.8.1 Prior Approval Requirements
Recipients must obtain written prior approval from the GMO for the following types of recipient-initiated project or budget changes:
- Any applicable change as specified in Administrative Requirements-Changes in Project and Budget in IIA.
- Revision that would result in a change in scope of the project, change in project site and/or location, including proposed modifications that would materially alter the costs of the project, space utilization, or financial outlay (including Federal/non-Federal cost share adjustments), resulting in changes in the previously approved procurement method or contract. Modifications that would materially alter the costs include the transfer of funds between construction and non-construction work.
- Deviations from design requirements.
- Alternate contracting methods.
- Revision that would increase the amount of Federal funds needed to complete the project.
- Extension of the project period with or without funds.
- Change in the use of the facility (see Real Property Standards-Use of Facility and Disposition in this chapter).
- Transfer of the remaining usage obligation to another facility.
The request for approval must include sufficient information to allow NIH review of the circumstance(s) and need for the proposed change. For changes affecting construction contracts, if the recipient receives written prior approval from the GMO, the recipient may make or authorize the approved modifications to the construction contract. Minor modifications to construction contracts may be made without NIH awarding IC prior approval. However, copies of all change orders to construction contracts must be retained as grant-related records (see Administrative Requirements-Monitoring-Record Retention and Access in IIA).
10.8.2 Alteration and Renovation Projects Under Non-construction Grants
Two copies of each of the following documents must be submitted with each request for approval of minor A&R costs greater than $300,000, but not more than $500,000 (whether proposed in the application or as a post-award rebudgeting request):
- Single-line drawing of the existing space and proposed alterations.
- Narrative description of the proposed functional utilization of the space and equipment requirements prepared by the program and administrative managers who will use and be responsible for the working space and, when appropriate, with input from architectural and engineering advisors. Final drawings and specifications will be based on this description. The description must include a detailed explanation of the need, character, and extent of the functions to be housed in the space proposed for A&R, using the following headings, as appropriate:
- General information
- Description of the functions to be performed in the space
- Space schedule (detailed description of floor space)
- List of fixed equipment proposed for the facility
- Cost estimate (see sample format in Exhibit 8)
- Special design problems
- Description of the existing and proposed utility systems for the modified space
- Description of plans to provide accessibility for the physically handicapped
- Provisions for meeting the requirements of the Life Safety Code
- Length of the property lease if the space is rented
- Other information required by program legislation or regulations.
When the proposed alteration is to occur in a building that is under construction or in an incomplete structure, two copies of the following documentation also must be provided:
- Detailed justification for the need to perform the work before the building is completed
- Cost comparison between doing the work before and after the building is completed
- Description of other specific benefits to be gained by doing the work before the building is completed.
Applicants/recipients undertaking A&R projects that will require NIH funding of more than $500,000 are subject to the review, approval, and documentation requirements included or referenced in this chapter for construction grants.