"They say no plan survives first contact with implementation." -Andy Weir (The Martian)
Research, scholarship, and creative work rarely goes exactly to plan. If changes are needed to your sponsored program, we are here to help. In some cases, OSP may be able to directly approve changes, but frequently prior approval is required by the sponsor before the change can be made. We are here to help guide you through the process.
Please reach out to us as soon as you believe a prior approval may be needed. Remember that sponsors can always decline prior approval requests, and so you should always wait for formal approval before moving forward with a change to your sponsored program.
Below, we've collected common types of prior approvals as well as the information we need from you to prepare the request.
Not sure if you need prior approval for a change to your sponsored program? If you don't see it in the list below, just ask us! Please send the following information to grants@jmu.edu:
- The name of your funder and award number (or other similar information)
- A summary of what you'd like to do
- A short explanation why you need to do this to accomplish the objectives laid out in your award
This is appropriate if it is taking you longer than expected to complete the work associated with your sponsored project. If granted, the sponsor will give you additional time to complete the work, as well as additional time to spend the already-allocated funds. The total amount of funds awarded will not change.
What we need:
Please send us a letter that we can send to the sponsor for prior approval which includes the following information:
- Details about the no-cost extension you are requesting, including its duration.
- Details about any previous no-cost extension(s), including duration(s), if relevant.
- A scientific justification for the extension. Please be sure to discuss the progress made to date and the work that remains.
- The current remaining unspent balance on the grant and explain why it was not yet spent. If you do not know the current remaining balance, we will work with Sponsored Programs-Financial Administration to determine the amount.
- Your plan for how to use the remaining funds.
- If relevant, please ensure that your IRB, IACUC, or other institutional approvals remain in effect and include this information in your letter.
We will work with you to develop a budget for the remaining funds if necessary.
This is appropriate if you need to adjust your budget, primarily by shifting funds from one category to another. Most sponsors will have a threshold below which it's not necessary to apply to approval; generally this can be found in the terms and conditions for your award. If you're not sure if prior approvial is needed, please reach out to us. Note that generally if your scope of work is also changing, you'll need to include a budget revision regardless of how much is being rebudgeting into different categories.
What we need:
- We need to know the amount of funds that will be rebudgeting, as well as which budget categories they are being moving between. We will then work with you to develop a revised budget. You may want to review our budget development page.
- As the budget is revised, we will generally need a new budget justification which aligns with the new budget.
- Please tell us whether there is also a change in scope. If, please see the appropriate section below.
If you budget revision also includes a new subaward: We will also need the materials listed on our external collaboration page, specifically in the section where JMU is the lead. Please note that these typically take longer to arrange and plan accordingly. If you are adding new senior personnel with your subaward, please also prepare the relevant documents for key personnel changes as well.
This is appropriate when:
- You need to change who is listed as key personnel on a sponsored program (for example, adding or removing a PI).
- You need to change the amount of effort a PI or other personnel is devoting to the sponsored program.
- In some cases, some sponsors will require an interim PI to be appointed if the PI will be away for a substantial period of time.
In many cases, a budget revision is necessary along with the key personnel change.
To change PIs, project directors, or other personnel:
What we need:
- A letter explaining the reason(s) for the change.
- A list of who is to be removed or added.
- Sponsor-required documents for new personnel. Usually, this includes a CV or biosketch, current or pending support, etc.
- The date for the change to be effective.
- The amount of effort the new personnel will devote to the project (if applicable).
Sponsors may have additional requirements or use specific templates. Generally this requires a budget revision as well.
To change effort:
What we need:
We will need a letter to be sent to the sponsor that includes the following information:
- Reason(s) for the change in effort
- The new proposed effort
- Effective date for the new amount of effort; if it will be a temporary reduction, please also include the end date
- Statement on how the change in effort will affect the project and budget
Generally a budget revision will also be necessary.
To appoint an interim PI, project directors, or other personnel:
What we need:
- A letter explaining the reason(s) for the absence and the need for an interim PI. This letter should also explain whether the scope of work or timeline will change.
- Name of the interim PI, along with sponsor-required materials for new personnel. Usually, this includes a CV or biosketch, current or pending support, etc.
- The beginning and end dates for the interim PI.
- The amount of effort the interim PI will devote to the project (if applicable).
Sponsors may have additional requirements or use specific templates. This may require a budget revision as well.
If you did not spend all of the funds in a budget period, you may request to carry these over to the next period. As always, please remember that the sponsor may not grant these requests. We recommend spending all of your funds in each budget period.
What we need:
- The total amount of unspent funds that you are requesting to carry over. Please consult with Sponsored Programs-Financial Services to ensure this is accurate.
- A letter explaining why the carry-over is needed; in particular, it should explain the reasons that the funds were not spent as expected during the previous budget period. This should also provide a justification for each activity in the next budget period that will use the redistributed funds, should the sponsor agree.
We will work with you to develop a revised budget reflecting the carry-over funds. Please note that additional forms (such as the SF-425) may need to completed once the budget is finalized.
Significant changes in the research or project proposed generally require approval from the sponsor. These can include:
- Changes in the objectives, aims, or scope of the project
- Changes in the research strategy or methodology (while keeping the objective or aim the same)
What we need:
- A letter describing significant changes and what necessitated them. In particular, this should explain what unforeseen circumstances have impacted your work.
- A revised statement of work.
- Typically, a budget impact statement is also required, which will outline the impact of the change in scope on the budget. This may be included within a new budget justification if one is needed.
Typically, a budget revision is also required to align the budget with the new scope of the project. We will assist you with preparing a budget revision to go along with the change of scope.
Most sponsors do not fund pre-award costs. For federal awards, uniform guidance allows sponsors to fund pre-award costs only if necessary for timely performance of the sponsored work, at the funding agency's discretion. It is always better to wait for the start of your award before incurring costs if at all possible.
What we need from you:
- A letter justifying your request to spend the funds early.
