{"id":204,"date":"2025-12-03T15:11:01","date_gmt":"2025-12-03T20:11:01","guid":{"rendered":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/?page_id=204"},"modified":"2025-12-09T16:29:21","modified_gmt":"2025-12-09T21:29:21","slug":"re-budgeting-and-prior-approvals","status":"publish","type":"page","link":"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/re-budgeting-and-prior-approvals\/","title":{"rendered":"Re-Budgeting and Prior Approvals"},"content":{"rendered":"\n<div class=\"wp-block-columns sidebar is-layout-flex wp-container-core-columns-is-layout-28f84493 wp-block-columns-is-layout-flex\">\n<div class=\"wp-block-column is-layout-flow wp-block-column-is-layout-flow\" style=\"flex-basis:45rem\">\n<p class=\"is-style-intro\">During the lifecycle of an award, there may be a need to make changes in the scope, time, staff, or budget based on a number of circumstances. The following outlines the notifications and approvals necessary to make such changes, both internally and with the funder.<\/p>\n\n\n\n<p><strong>First and foremost, Principal Investigators should always follow the guidelines in the relevant sponsor\u2019s guidelines.<\/strong><\/p>\n\n\n\n<p><strong>Any request for changes to an award should be made as soon as possible once you are aware of the need, and no later than the date limitations outlined in the University\u2019s or the sponsor\u2019s guidelines.<\/strong><\/p>\n\n\n\n<p>During an award, a Principal Investigator (PI) may want to make changes to the budget or to modify other aspects of the project. In some cases, the changes may require only internal approval by the University and in other cases such changes may require approval of the sponsor&nbsp;<em>prior<\/em>&nbsp;to the change. Re-budgeting and Prior Approvals procedures vary from sponsoring agency to sponsoring agency and it is the responsibility of the PI to review and be familiar with the procedures of their project sponsor (including non-government sponsors).<\/p>\n\n\n\n<p>Below constitutes some general rules. As policies do vary from sponsor to sponsor and are amended from time to time, PIs are ultimately responsible for being familiar with their sponsor\u2019s requirements at the time the award is made.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\" id=\"h-when-do-i-need-prior-approval\" style=\"padding-top:var(--wp--preset--spacing--20)\">When do I need prior approval?<\/h3>\n\n\n\n<details class=\"wp-block-details is-layout-flow wp-block-details-is-layout-flow\"><summary>General guidelines for changes requiring prior approval<\/summary>\n<p>Most sponsors will require obtaining their approval prior to the following changes:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Change in the objectives or scope of the project<\/li>\n\n\n\n<li>\u201cSignificant\u201d re-budgeting which is often defined as transferring over 25% of the award among direct cost categories<\/li>\n\n\n\n<li>Absence of or significant change of PI or other key personnel effort<\/li>\n\n\n\n<li>Change of grantee institution<\/li>\n\n\n\n<li>Need for additional funding<\/li>\n\n\n\n<li>Transfer of a \u201csignificant part\u201d of the programmatic effort to a third party<\/li>\n\n\n\n<li>Transfer of Participant Support costs to another budget category<\/li>\n\n\n\n<li>Application of new technology<\/li>\n\n\n\n<li>Change in the approved use of animals or human subjects<\/li>\n\n\n\n<li>Pre-award spending more than 90 days prior to the award start date<\/li>\n<\/ul>\n\n\n\n<p>Clark University requires internal approval on the changes listed above in addition to the following budget revisions:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Pre-award spending within 90 days of the award start date<\/li>\n\n\n\n<li>Re-budgeting which moves funds into salaries\/support costs for the PI<\/li>\n<\/ul>\n<\/details>\n\n\n\n<h3 class=\"wp-block-heading\" id=\"h-procedures\" style=\"padding-top:var(--wp--preset--spacing--20)\">Procedures<\/h3>\n\n\n\n<details class=\"wp-block-details is-layout-flow wp-block-details-is-layout-flow\"><summary>Procedures for review and approval<\/summary>\n<p>All re-budgeting and prior approvals requests must:<\/p>\n\n\n\n<ol class=\"wp-block-list\">\n<li>Occur prior to any changes or actions, and <\/li>\n\n\n\n<li>Be submitted through OSPR whether they require sponsor approval or internal approval.<\/li>\n<\/ol>\n\n\n\n<p>All requests should be emailed to OSPR with a\u00a0<em>description of the change requested including a justification for the change<\/em>. OSPR will advise the PI as to next steps in obtaining approvals.<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>In the case of re-budgeting requests requiring internal approval only, OSPR staff will review and consult with the Dean of Research to make a determination.\u00a0 Once the determination is made, notification will be sent to the PI, and to\u00a0 Grant Accounting if applicable.<\/li>\n\n\n\n<li>When sponsor approval is required, OSPR staff will work with the PI to create the request. OSPR will contact the sponsor with the request in most cases, either via email or through the appropriate research administration portal, e.g., Research.gov.<\/li>\n<\/ul>\n<\/details>\n\n\n\n<details class=\"wp-block-details is-layout-flow wp-block-details-is-layout-flow\"><summary>Budget revisions will be denied when:<\/summary>\n<ul class=\"wp-block-list\">\n<li>the requested revision does not comply with funder and\/or university guidelines, requirements, and\/or terms and conditions for allowable expenditures and\/or budget revisions.<\/li>\n\n\n\n<li>required prior approval from the funder is denied.<\/li>\n\n\n\n<li>there is insufficient lead time to process and approve the request per funder guidelines.<\/li>\n\n\n\n<li>there is insufficient documentation or justification for the request.<\/li>\n\n\n\n<li>the timing of the revision is at such a point in the period of performance that the intended expenditure may not benefit the project to the extent intended by the funder during the award period.<\/li>\n<\/ul>\n<\/details>\n\n\n\n<h3 class=\"wp-block-heading\" id=\"h-time-extensions\" style=\"padding-top:var(--wp--preset--spacing--20)\">Time extensions<\/h3>\n\n\n\n<p>All sponsored projects are awarded for a specified time period based on the sponsor\u2019s confidence that the proposed project period is reasonable and consistent with the project objectives. Due to a number of circumstances, there may be a need to request additional time to complete a sponsored project, even if no additional funding is being requested, i.e.,&nbsp;<em>No Cost Extension<\/em>. Similar to budget revisions, sponsor guidelines vary and some requests for time extensions can be approved internally, and others required sponsor approval.<\/p>\n\n\n\n<p>All requests for time extensions must be submitted through OSPR whether they require sponsor approval or internal approval.&nbsp;&nbsp;<strong>Request for a time extension should be made at least 90 days prior to the end of the approved award period.<\/strong><\/p>\n<\/div>\n\n\n\n<div class=\"wp-block-column is-layout-flow wp-block-column-is-layout-flow\"><?xml encoding=\"utf-8\" ?><nav class=\"is-vertical wp-block-navigation is-content-justification-stretch is-layout-flex wp-container-core-navigation-is-layout-2c14e10a wp-block-navigation-is-layout-flex\" aria-label=\"Procedures Sub Navigation\"><ul class=\"wp-block-navigation__container  is-vertical wp-block-navigation\"><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/animal-use\/\"><span class=\"wp-block-navigation-item__label\">Animal Use<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/award-expenditures\/\"><span class=\"wp-block-navigation-item__label\">Award Expenditures<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/citi-training\/\"><span class=\"wp-block-navigation-item__label\">CITI Training<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/cost-transfer\/\"><span class=\"wp-block-navigation-item__label\">Cost Transfer<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/export-controls\/\"><span class=\"wp-block-navigation-item__label\">Export Controls<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/financial-conflict-of-interest\/\"><span class=\"wp-block-navigation-item__label\">Financial Conflict of Interest<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/irb-human-subjects\/human-subjects-policy\/\"><span class=\"wp-block-navigation-item__label\">Human Subjects Policy<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/intellectual-property\/\"><span class=\"wp-block-navigation-item__label\">Intellectual Property<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/policies\/www-content\/uploads\/sites\/295\/2023\/02\/International-Travel-Policy-FINAL-Jan-2023-1.pdf\"><span class=\"wp-block-navigation-item__label\">International Travel<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/re-budgeting-and-prior-approvals\/\"><span class=\"wp-block-navigation-item__label\">Re-Budgeting and Prior Approvals<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/responsible-conduct-in-research\/\"><span class=\"wp-block-navigation-item__label\">Responsible Conduct in Research<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/sub-recipient-and-sub-award-monitoring\/\"><span class=\"wp-block-navigation-item__label\">Sub-Recipient and Sub-Award Monitoring<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/cdn.clarku.edu\/sponsored-programs-and-research\/wp-content\/uploads\/sites\/116\/summer-salary-guideline.pdf?_gl=1*14k6xcw*_gcl_aw*R0NMLjE3Njg0ODc2NjAuRUFJYUlRb2JDaE1JZ29DNzlPR05rZ01Wd3pZSUJSMWEtQ3c2RUFBWUFTQUFFZ0pNS2ZEX0J3RQ..*_gcl_au*MTA0MjkxMTczMy4xNzYzNzQzMDAz\"><span class=\"wp-block-navigation-item__label\">Summer Salary Guidelines<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/time-and-effort-reporting\/\"><span class=\"wp-block-navigation-item__label\">Time and Effort Reporting<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/wp-content\/uploads\/sites\/116\/Trafficking-in-Persons-Procedures.pdf\"><span class=\"wp-block-navigation-item__label\">Trafficking in Human Persons<\/span><\/a><\/li><li class=\" wp-block-navigation-item wp-block-navigation-link\"><a class=\"wp-block-navigation-item__content\" href=\"https:\/\/www.clarku.edu\/offices\/purchasing\/travel-policy\/\"><span class=\"wp-block-navigation-item__label\">Travel Policy<\/span><\/a><\/li><\/ul><\/nav>\n<\/div>\n<\/div>\n","protected":false},"excerpt":{"rendered":"<p>During the lifecycle of an award, there may be a need to make changes in the scope, time, staff, or budget based on a number of circumstances. The following outlines the notifications and approvals necessary to make such changes, both internally and with the funder. First and foremost, Principal Investigators should always follow the guidelines [&hellip;]<\/p>\n","protected":false},"author":7,"featured_media":0,"parent":63,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"footnotes":"","_links_to":"","_links_to_target":""},"class_list":["post-204","page","type-page","status-publish","hentry"],"yoast_head":"<!-- This site is optimized with the Yoast SEO Premium plugin v27.4 (Yoast SEO v27.4) - https:\/\/yoast.com\/product\/yoast-seo-premium-wordpress\/ -->\n<title>Re-Budgeting and Prior Approvals | Sponsored Programs and Research | Clark University<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.clarku.edu\/sponsored-programs-and-research\/procedures\/re-budgeting-and-prior-approvals\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Re-Budgeting and Prior Approvals\" \/>\n<meta property=\"og:description\" content=\"During the lifecycle of an award, there may be a need to make changes in the scope, time, staff, or budget based on a number of circumstances. The following outlines the notifications and approvals necessary to make such changes, both internally and with the funder. 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