During the life of a grant, it is likely that changes will be needed that deviate from the submitted proposal. At times, these changes require prior approval from the sponsor. What requires prior approval or not is dependent on the sponsor’s award terms and conditions, which vary by sponsor (a private foundation’s prior approval terms and conditions will typically differ from a federal sponsor’s). It is the PI/PD’s responsibility to review and familiarize themselves with their award’s terms and conditions to ensure they are in compliance. For more information on prior approvals for NSF awards, please refer to the NSF Prior Approval Matrix.
The most common types of requests are:
- No Cost Extensions
- Re-budgets
- Carry-forward
- Changes to Key Personnel
- Changes to Effort
Examples of circumstances requiring prior approval from a sponsor include, but are not limited to:
- Changes in the scope or the objective of the project
- Changes in the Principal Investigator or Key Personnel
- Absence for more than three (3) months, or a 25% reduction in the time devoted to the project by the Principal Investigator or Key Personnel
- Transfers of funds allocated for training expenses (direct trainee payments, stipends, tuition, fees) to other budget categories
- Subcontracting a substantive programmatic portion of the scope of work
- Equipment not approved in the original award
Official prior approval requests must be submitted by an Authorized Organizational Representative (AOR) in OSP, since those individuals can officially request changes on behalf of the institution. Prior to implementing any significant changes, a PI/PD must review the award’s terms and conditions. If a PI/PD is uncertain as to whether a change requires sponsor prior approval, he/she should contact their assigned Grant Accountant or an OSP post-award officer to determine if the change requires the sponsor’s prior approval or not. When the sponsor’s prior approval is required, OSP will determine what information, data, etc. is required and will guide and assist the PI/PD in drafting the request. Ultimately, OSP is responsible for submitting official prior approval requests. If the prior approval request is approved by the sponsor, OSP will notify the PI, the assigned Grant Accountant, and other necessary parties.
For more information about submitting a prior approval request, please contact OSP at osp@montclair.edu or 973-655-4128.