[Code of Federal Regulations]

[Title 28, Volume 2]

[Revised as of July 1, 2005]

From the U.S. Government Printing Office via GPO Access

[CITE: 28CFR66.30]



[Page 182-183]

 

                    TITLE 28--JUDICIAL ADMINISTRATION

 

              CHAPTER I--DEPARTMENT OF JUSTICE (CONTINUED)

 

PART 66_UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE 

AGREEMENTS TO STATE AND LOCAL GOVERNMENTS--Table of Contents

 

                    Subpart C_Post-Award Requirements

 

Sec. 66.30  Changes.



    (a) General. Grantees and subgrantees are permitted to rebudget 

within the approved direct cost budget to meet unanticipated 

requirements and may make limited program changes to the approved 

project. However, unless waived by the awarding agency, certain types of 

post-award changes in budgets and projects shall require the prior 

written approval of the awarding agency.

    (b) Relation to cost principles. The applicable cost principles (see 

Sec. 66.22) contain requirements for prior approval of certain types of 

costs. Except where waived, those requirements apply to all grants and 

subgrants even if paragraphs (c) through (f) of this section do not.

    (c) Budget changes--(1) Nonconstruction projects. Except as stated 

in other regulations or an award document, grantees or subgrantees shall 

obtain the prior approval of the awarding agency whenever any of the 

following changes is anticipated under a nonconstruction award:

    (i) Any revision which would result in the need for additional 

funding.

    (ii) Unless waived by the awarding agency, cumulative transfers 

among direct cost categories, or, if applicable, among separately 

budgeted programs, projects, functions, or activities which exceed or 

are expected to exceed ten percent of the current total approved budget, 

whenever the awarding agency's share exceeds $100,000.

    (iii) Transfer of funds allotted for training allowances (i.e., from 

direct payments to trainees to other expense categories).

    (2) Construction projects. Grantees and subgrantees shall obtain 

prior written approval for any budget revision which would result in the 

need for additional funds.

    (3) Combined construction and nonconstruction projects. When a grant 

or subgrant provides funding for both construction and nonconstruction 

activities, the grantee or subgrantee must obtain prior written approval 

from the awarding agency before making any fund or budget transfer from 

nonconstruction to construction or vice versa.

    (d) Programmatic changes. Grantees or subgrantees must obtain the 

prior approval of the awarding agency whenever any of the following 

actions is anticipated:

    (1) Any revision of the scope or objectives of the project 

(regardless of whether there is an associated budget revision requiring 

prior approval).

    (2) Need to extend the period of availability of funds.

    (3) Changes in key persons in cases where specified in an 

application or a grant award. In research projects, a change in the 

project director or principal investigator shall always require approval 

unless waived by the awarding agency.

    (4) Under nonconstruction projects, contracting out, subgranting (if 

authorized by law) or otherwise obtaining the services of a third party 

to perform



[[Page 183]]



activities which are central to the purposes of the award. This approval 

requirement is in addition to the approval requirements of Sec. 66.36 

but does not apply to the procurement of equipment, supplies, and 

general support services.

    (e) Additional prior approval requirements. The awarding agency may 

not require prior approval for any budget revision which is not 

described in paragraph (c) of this section.

    (f) Requesting prior approval. (1) A request for prior approval of 

any budget revision will be in the same budget formal the grantee used 

in its application and shall be accompanied by a narrative justification 

for the proposed revision.

    (2) A request for a prior approval under the applicable Federal cost 

principles (see Sec. 66.22) may be made by letter.

    (3) A request by a subgrantee for prior approval will be addressed 

in writing to the grantee. The grantee will promptly review such request 

and shall approve or disapprove the request in writing. A grantee will 

not approve any budget or project revision which is inconsistent with 

the purpose or terms and conditions of the Federal grant to the grantee. 

If the revision, requested by the subgrantee would result in a change to 

the grantee's approved project which requires Federal prior approval, 

the grantee will obtain the Federal agency's approval before approving 

the subgrantee's request.