Sponsor Prior Approval Requests

When required by the sponsor, the principal investigator (PI) must work with the Office of Sponsored Projects (OSP) to obtain prior approval for certain actions or expenditures. The award document terms and conditions should always be consulted about such requirements, as they would prevail over these guidelines. Except for any approvals permitted under expanded authorities as confirmed by OSP, advanced approval from the sponsor should be requested when any of the following occurs. Please note that this list is not exhaustive.

All Sponsor Prior Approval Requests should be submitted through myResearch by using the Request Award Modification SmartForm.

Carryover Funding:

With this request, we require the inclusion of the written request letter that will be sent to the sponsor for prior approval, including the following:

• The total amount of unobligated funds requested to carryover;

• An explanation of why the carryover is needed, including the reasons for having unobligated funds from the prior budget period;

• A narrative cost break-down for each activity requiring the carryover of funds; and

• A copy of the accepted Federal Financial Report (SF-425) (or Sponsor Financial Report for non-federal) that reflects the unobligated balance of the funds to be carried over to the next budget period.

***See sponsor guidelines for any other required information and/or templates to be used.***

Equipment not included in the original proposal budget:

Please follow sponsor thresholds for approval limits.

With this request, we require the inclusion of the written request letter that will be sent to the sponsor for prior approval, including the following:

• Reason for why the equipment was not included in the initial proposal;
• Justification for the need for equipment;
• Revised budget to incorporate the request; and
• A copy of a quote from the supplier.

***See sponsor guidelines for any other required information and/or templates to be used.***

Key Personnel Changes:

Absence of PI:

If the PI will be away from the project for more than three months, arrangements for interim oversight of the project should be made.

With this request, we require the inclusion of the written request letter that will be sent to the sponsor for prior approval, including the following:

• Reason(s) for the absence (to include a strong justification related to the scientific project);
• Name of the substitute PI proposed during the absence: CV/Bio-sketch; any budget changes resulting from the proposed change; and
• The effective date for the change.

***See sponsor guidelines for any other required information and/or templates to be used.***

 

Change in PI/PD/Co-PI specified in the application or Federal Award:

If the PI/PD/Co-PI is to be replaced, arrangements for the new PI/PD/Co-PI for the project should be made.

With this request, we require the inclusion of the written request letter that will be sent to the sponsor for prior approval, including the following:

• •Name of new PI/PD/Co-PI;

• Current and pending support or other support (PHS) for new PI/PD/Co-PI (If required by sponsor);

• Biographical sketch information for new PI/PD/Co-PI;

• Effective Date of change; and

• Planned effort %.

***See sponsor guidelines for any other required information and/or templates to be used.***

 

Reduction in PI/Senior/Key Personnel effort:

(e.g. 25% or more reduction of time devoted to the project)

With this request, we require the inclusion of the written request letter that will be sent to the sponsor for prior approval, including the following:

• Reason(s) for effort reduction;
• New proposed effort %;
• Effective date and duration of reduction; and
• Statement on how the reduction will affect the project and budget.

***See sponsor guidelines for any other required information and/or templates to be used.***

Pre-Award Costs:

Incur Pre-award costs more than 90 days before the effective date of the initial budget period or a new or competing continuation award.

With this request, we require the inclusion of the written request letter that will be sent to the sponsor for prior approval, including the following:

• Justification to support the request; and
• Pre-award start date.

***See sponsor guidelines for any other required information and/or templates to be used.***

Initial or Subsequent No-Cost Extension:

With this request, we require the inclusion of the written request letter that will be sent to the sponsor for prior approval, including the following:

• Indicate the number of previous no-cost extension requests:
  • Duration of extension:
  • Months:
  • Please specify the number of months being requested.

• Scientific justification including progress to date;

• Length of extension requested;

• Amount and reason for the remaining balance;

• Plan for use of funds during the extension period;

  • Include categorical budget detail, in text format, of requested direct and F&A costs;
  • Animal and/or human subject use:
  • If yes, provide approvals;
  • If no, state in justification.

***See sponsor guidelines for any other required information and/or templates to be used.***

Budget Revision:

Transfer of funds budgeted for participant support costs to other expense categories:

With this request, we require the inclusion of the written request letter that will be sent to the sponsor for prior approval, including the following:

• Justification for the proposed changes; and
• Revised budget (may require sponsor budget form).

***See sponsor guidelines for any other required information and/or templates to be used.***

Rebudgeting revision:

Prior approval must always be requested in the following instances:

• If the rebudgeting will involve moving substantial funds into or out of a budget category based on the sponsor threshold. The only exception is for NIH modular grants when the scope remains unchanged.
• If the rebudgeting will result in a change in the scope of work, regardless of the dollar amount being rebudgeted

With this request, we require the inclusion of the written request letter that will be sent to the sponsor for prior approval, including the following:

• Amount of funds to be rebudgeted;
• Which budget categories funds will be moved from and to;
• Implications on F&A costs; and
• Indicate whether there will be a change in scope.

***See sponsor guidelines for any other required information and/or templates to be used.***

Change in the Scope of the Project Objective(s):

Significant changes in the research from what was originally proposed and approved require notification and/or approval from the sponsor.

Please select from the following choices, what this form will be addressing.

• Changes in Objectives, Specific Aims, or Scope
• Changes in Research Strategy and Methodology
• Significant Changes, Delays, or Events of Unusual Interest

With this request, we require the inclusion of the written request letter that will be sent to the sponsor for prior approval, including the following:

• Revised Statement of Work;
• Budget Impact Statement; and
• Revised Budget.

***See sponsor guidelines for any other required information and/or templates to be used.***

Add Subaward(s):

This provision does not apply to the acquisition of supplies, material, equipment, or general purpose services.

With this request, we require the inclusion of the written request letter that will be sent to the sponsor for prior approval, including the following:

• For non-FDP members, attach a signed sub-recipient commitment form;
• Statement of work for sub-recipient;
• Budget and justification for sub-recipient; and
• CV or Biosketch.

***See sponsor guidelines for any other required information and/or templates to be used.***

Other types of requests:

Depending on the type of request, a Sponsored Project Administrator may be in contact for additional information.

• Type of request:
• Brief Description of Request:

Please attach all correspondence with the sponsor request.

 

Download the Sponsored Projects Handbook (PDF, GW Login Required)