[Code of Federal Regulations]
[Title 28, Volume 2]
[Revised as of July 1, 2003]
From the U.S. Government Printing Office via GPO Access
[CITE: 28CFR70.25]

[Page 267-268]
 
                    TITLE 28--JUDICIAL ADMINISTRATION
 
              CHAPTER I--DEPARTMENT OF JUSTICE (Continued)
 
  PART 70--UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND AGREEMENTS (INCLUDING SUBAWARDS) WITH INSTITUTIONS OF HIGHER EDUCATION, HOSPITALS AND OTHER NON-
PROFIT ORGANIZATIONS--Table of Contents
 
                   Subpart C--Post-Award Requirements
 
Sec. 70.25  Revision of budget and program plans.

    (a) The budget plan is the financial expression of the project or 
program as approved during the award process. It may include either the 
Federal and non-Federal share, or only the Federal share, depending upon 
the Department's requirements. It must be related to performance for 
program evaluation purposes whenever appropriate.
    (b) Recipients are required to report deviations from budget and 
program plans, and request prior approvals for budget and program plan 
revisions, in accordance with this section.
    (c) For nonconstruction awards, recipients must request in writing 
prior approval from the Department 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 award 
document.
    (3) The absence 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 need for additional Federal funding.
    (5) The transfer of amounts budgeted for indirect costs to absorb 
increases in direct costs, or vice versa, approval is required by the 
Department.
    (6) The inclusion, unless waived by the Department, of costs that 
require prior approval in accordance with OMB Circular A-21, ``Cost 
Principles for Institutions of Higher Education,'' OMB Circular A-122, 
``Cost Principles for Non-Profit Organizations,'' or 45 CFR part 74 
appendix E, ``Principles for Determining Costs Applicable to Research 
and Development under Grants and Contracts with Hospitals,'' or 48 CFR

[[Page 268]]

part 31, ``Contract Cost Principles and Procedures,'' as applicable.
    (7) The transfer of funds allotted for training allowances (direct 
payment to trainees) to other categories of expense.
    (8) Unless described in the application and funded in the approved 
awards, the subaward, transfer or contracting out of any work under an 
award. This provision does not apply to the purchase of supplies, 
material, equipment or general support services.
    (d) The Department restricts the transfer of funds among direct cost 
categories or programs, functions and activities, without prior written 
approval for awards in which the Federal share of the project exceeds 
$100,000 and the cumulative amount of such transfers exceeds or is 
expected to exceed ten percent of the total budget as last approved by 
the Department. The Department will not permit a transfer that would 
cause any Federal appropriation or part thereof to be used for purposes 
other than those consistent with the original intent of the 
appropriation.
    (e) All other changes to nonconstruction budgets, except for the 
changes described in paragraph (g) of this section, do not require prior 
approval.
    (f) For construction awards, recipients must request prior written 
approval promptly from the Department for budget revisions whenever 
paragraph (f) (1), (2) or (3) of this section apply.
    (1) The revision results from changes in the scope or the objective 
of the project or program.
    (2) The need arises for additional Department funds to complete the 
project.
    (3) A revision is desired which involves specific costs for which 
prior written approval requirements may be imposed consistent with 
applicable OMB cost principles listed in Sec. 70.27.
    (g) When the Department makes an award that provides support for 
both construction and nonconstruction work, the Department will require 
the recipient to request prior approval from the Department before 
making any fund or budget transfers between the two types of work 
supported.
    (h) For both construction and nonconstruction awards, the Department 
will require recipients to notify the Department in writing promptly 
whenever the amount of Federal authorized funds is expected to exceed 
the needs of the recipient for the project period by more than $5000 or 
five percent of the award, whichever is greater. This notification will 
not be required if an application for additional funding is submitted 
for a continuation award.
    (i) When requesting approval for budget revisions, recipients must 
use the budget forms that were used in the application unless the 
Department indicates a letter of request suffices.
    (j) Within thirty calendar days from the date of receipt of the 
request for budget revisions, the Department will review the request and 
notify the recipient whether the budget revisions have been approved. If 
the revision is still under consideration at the end of thirty calendar 
days, the Department will inform the recipient in writing of the date 
when the recipient may expect the decision.

[Order No. 1980-95, 60 FR 38242, July 26, 1995; Order No. 1998-95, 60 FR 
57931, Nov. 24, 1995]