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CDC anticipates that recipients may need to make post-award changes to budget and programmatic plans
during the period of performance to accomplish award objectives. This guidance provides CDC recipients with
an overview of prior approval requests for post-award changes, and also describes the documentation
recipients must submit for these requests. Additionally, the document provides links to other prior approval
resources and tools to assist recipients with prior approval request submissions in the GrantSolutions system.
Types of Activities Requiring Prior Approval
When recipients propose certain types of budget and programmatic-related changes from pre-award plans, prior
approval may be required. See below for a description of typical activities which require prior approval. Recipients
should review their terms and conditions of the Notice of Award (NoA) for a full listing of activities that require CDC
prior approval for their specific award.
• Budget Revision
o Significant rebudgeting – occurs when cumulative redirections among and/or within direct cost budget
categories deviate (increase or decrease) by more than the rebudgeting threshold identified in the NoA.
Typically, the rebudgeting threshold for CDC awards is 25 percent of the total approved budget in the
budget period.
o Budget revisions requested by a recipient with a high-risk condition noted in the NoA – these changes
require prior approval, regardless of amount.
o Implementation of a new activity or entering into a sub-award that is not specified in the approved budget
(i.e., an activity that expands services beyond what was originally planned and/or initiates a new approach
that is not reflected in the approved budget).
o Change in indirect cost rate – costs incurred by a recipient for common or joint objectives and cannot be
identified specifically with a particular project or program.
o Changes related to cost sharing or matching – occur in instances such as the addition of funding from a
supplemental award, which results in CDC recalculating cost sharing or matching amounts.
o Transfer of substantive programmatic work – required for a recipient to transfer substantive programmatic
work to a subaward.
o Change in scope – an activity whereby the objectives or specific aims identified in the approved application
are significantly changed by the recipient after award.
• Carryover of Funds – the process by which unobligated federal funds remaining at the end of a budget period
may be carried forward to another budget period within the period of performance to cover allowable costs of
that budget period (whether as an offset or additional authorization). Recipients with expanded authority for
carryover do not require prior approval to use unobligated funds for approved activities/costs that fall within
the scope and objectives of the project.
• No-Cost Extension – a limited period of time beyond the end of the period of performance needed to complete
project activities.
• Change of Principal Investigator (PI) or Other Key Personnel – when key personnel specified on the NoA
change.
Submission
Recipients should submit prior approval requests at least 30 days before the date of the proposed change to allow for
an adequate and timely review, and to ensure continuity of projects. Additionally, recipients should submit requests at
CDC Prior Approvals for Non-research Awards
Office of Financial Resources, Office of Grants Services
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least 120 days prior to the end of budget period, to ensure timely GMO approval. The requests must be submitted to
the assigned Grants Management Specialist/Officer (GMS/GMO) through a prior approval amendment in
GrantSolutions. Prior approval must be granted by the GMS/GMO before a recipient undertakes any of the activities
contained in their request.
To initiate an amendment requiring prior approval, requests for non-research awards should be submitted via the
GrantSolutions amendment process by the Authorized Organizational Representative (AOR), identified as the
Administrative Official (ADO) role in GrantSolutions. If requests are submitted in GrantSolutions by the Principal
Investigator/Project Director or Financial Official, recipients must include a cover letter on official letterhead signed
by the AOR. Prior approval requests submitted without official AOR system authorization/access, or AOR letter with
signature, will be returned without processing.
If an AOR s
igned prior approval request cover letter is required, it should be on official letterhead and include the items below.
• Date
• Recipient name and award number
• Point of contact – name, phone number, and email address
• A brief description of the request
If an amendment involves a budget worksheet (i.e., Budget Revision or Carryover) it should be submitted individually (not
combined with other prior approval requests).
Required Documentation
CDC requires recipients complete GrantSolutions online forms specific to the type of prior approval amendment. The
GMS/GMO may also require recipients to upload additional supporting documentation in GrantSolutions. Recipients
should submit the GrantSolutions information and the required supporting documentation in GrantSolutions at the
same time. All requests (with AOR signature if request not submitted by AOR, as described above) must include a cover
letter uploaded to GrantSolutions with a brief description of the request.
The most co
mmon prior approval amendments are listed in the table below, along with the required GrantSolutions
online forms and additional supporting documentation required for approval. The third column provides links to additional
resources, including job-aids which include step-by-step information for how to complete the online forms within
GrantSolutions and upload additional required documentation. Recipients should review the documentation
requirements below, and then use the job-aids as a reference when submitting their requests in GrantSolutions.
Recipients are encouraged to contact the GMO/GMS of record on their most recent Notice of Award for specific questions
concerning a prior approval request.
Prior Approval
Amendment
Required GrantSolutions Forms and Supporting
Documentation
Additional Resources
Budget Revision (see
page 1, under the bullet
"Budget Revision" for a
list of typical, budget-
related activities for this
amendment). A budget
revision only occurs for
funds awarded in the
current active budget
period.
• Cover letter (with AOR signature if request not initiated
by AOR) which includes:
o A brief description of the request; include a
statement that the budget revision remains within
the scope of the Notice of Funding Opportunity
(NOFO). Provide justification for any change in
scope of approved activities, if applicable.
o A budget narrative outlining proposed changes,
following the CDC Budget Preparation Guidance
o Summary table which displays columns for the
Original Budget, Difference from Original Amount,
and New Revised Budget Total
Please use the Prior Approval
Budget Revision Cover Letter
Template to draft the cover
letter.
If an award has more than one
component, please use the
Prior Approval Budget Revision
Cover Letter Template- Multi-
component Awards
to draft the
cover letter.
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• Indirect Cost Rate Agreement (if applicable)
• SF-424A Budget Information Non-Construction
(recipient can complete within GrantSolutions or
upload a completed PDF form) available on
grants.gov.
For instructions on how to
submit the request in
GrantSolutions, go to Budget
Revision Amendment for Grant
Recipients (Redirection of
Funds), Non-Research Grants
Job Aid.
Carryover of Funds
(using funding from the
prior budget period to
conduct grant activities)
nt
s JoNote: If approved
for Expanded Authority,
prior approval is only
required for carryover if
you plan to use
unobligated funds for
activities not supported
by your approved
workplan (i.e., new in-
scope activities); submit
the carryover
amendment under the
current active budget
period in GrantSolutions.
• Cover letter (with AOR signature if request not
submitted by AOR) which includes:
o A brief description of the request; include a
statement that the budget revision remains within
the scope of the NOFO and will be used to
support the ongoing activities.
o A budget narrative outlining proposed changes,
following the CDC Budget Preparation Guidance
o Summary table which displays columns for the
Original Budget, Proposed Carryover, and New
Revised Budget Total
• Indirect Cost Rate Agreement (if applicable)
• Copy of Annual Federal Financial Report (FFR) (see
GrantSolutions Quick Sheet for instructions to obtain a
copy of an FFR)
• SF-424A Budget Information Non-Construction
(recipient can complete within GrantSolutions or
upload a completed PDF form) available on
Grants.gov
Please use the Prior Approval
Carryover Cover Letter
Template to draft the cover
letter.
For instructions on how to
submit the request in
GrantSolutions, go to
Carryover
of Funds Amendment for Grant
Recipients, Non-Research Grab
Aid.
Change in Project
Director (PD)/
Principal Investigator
(PI) Key Personnel
Note: a PD/PI change
should be submitted
separately from any
other key personnel
changes.
• Cover letter (with AOR signature if request not submitted
by AOR) with a description of the request including new
PD/PI effective date, name, position title, work phone,
and work e-mail of the key personnel that is changing
• “Change Project Director” GrantSolutions online form
• New PD/PI CV/resume with contact information
Please use the Prior Approval
PD/PI Change Cover Letter
Template to draft the cover
letter.
For instructions on how to
submit the request in
GrantSolutions, go to Change
PD/PI Amendment for Grant
Recipients, Non-Research
Grants Job Aid.
Change in (other) Key
Personnel
N
ote: other key
personnel changes
should be submitted for
all personnel changes
that are not the PD/PI.
Also, if a change in key
personnel requires a
budget change, the
Budget Revision
amendment is also
• Cover letter (with AOR signature if request not
submitted by AOR) with a description of the request
including:
o Name and position title of the key personnel that
is changing
o Address, phone, and email address for new key
staff
o Proposed effective date of the change
• New key personnel resume or CV
Please use the Prior Approval
Other Key Personnel Change
Cover Letter Template to draft
the cover letter.
For instructions on how to
submit the request in
GrantSolutions, go to Change
Key Personnel Amendment
Grant Recipients, Non-
Research
Grants Job Aid.
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required. Verify with the
assigned GMS/GMO
whether to submit the
request in conjunction
or separately.
o No-Cost Extension
• Cover letter (with AOR signature if request not
submitted by AOR) with a description of the request
including:
o Specific recipient activities that will continue and
why
o Timeline for completing the activities
o Reason recipient was unable to complete
activities
within the period of performance
• “Project Period Revision” GrantSolutions online form
• Budget revision(s) should be completed prior to
submitting a No-Cost Extension
Please use the Prior Approval
No-Cost Extension Cover Letter
Template to draft the cover
letter.
For instructions on how to
submit the request in
GrantSolutions, go to No Cost
Extension Amendment Grant
Recipients, Non-Research
Grants Job Aid.
Notification of
Contractor or
Consultant
• Cover letter (with AOR signature if request not
submitted by AOR) with a description of the request
including the required elements for contractor or
consultant approval in accordance with the
CDC
Budget Preparation Guidance
Please use the Prior Approval
Contractor/Consultant Cover
Letter Template to draft the
cover letter.
For instructions on how to
submit the request in
GrantSolutions, go to
Notification Contractor
Consultant Amendment Grant
Recipients, Non-Research
Grants Job Aid.
Organization Name
Change
• Cover letter (with AOR signature if request not
submitted by AOR) with a description of the request
including:
o The new organization name that has been updated
in SAM.gov under existing Unique Entity Identifier
(UEI)
o Effective date
o UEI number
• Supporting documentation from recipient’s legal
counsel indicating name change was made in
accordance with applicable laws
• SF-424 Application for Federal Assistance Version 4
(pdf form). A new SF-424 is required for each CDC
grant (showing new name and PD/PI).
Please use the Prior Approval
Organization Name Change
Cover Letter Template to draft
the cover letter.
For instructions on how to
submit the request in
GrantSolutions, go to
Organization Name Change
Amendment Grant Recipients,
Non-Research Grants Job Aid.
Release of Restrictions
on NoA
• Cover letter (with AOR signature if request not
submitted by AOR) with a description of the request
including justification for release of funding
restrictions, contractor restrictions, etc.
• Any supporting documentation requested in Notice
of Award (NoA)
Please use the Prior Approval
NoA Restrictions Cover Letter
Template to draft the cover
letter.
For instructions on how to
submit the request in
GrantSolutions, go to Release
Restriction Amendment Grant
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Recipients Non-Research
Grants Job Aid.
Termination
• Cover letter (with AOR signature if request not
submitted by AOR) with a description of the request
including:
o Termination justification with the effective date
o If partial termination, portion to be terminated
Reach out to your GMS/GMO
for assistance in submitting a
termination request.
