Project Changes Requiring Prior Approval From Sponsor
Project Changes Requiring Prior Approval From Sponsor
的 事先审批矩阵 总结需要联邦机构批准的项目变更以及那些可以在内部批准和/或跟踪的项目变更. 的 information provided is specific to each federal agency. Any requests needing sponsor approval must be submitted to 百 using the 维拉 电子科研管理系统. 有关申请程序的指引，可参阅该系统的“奖励表格”一栏的“帮助提示”.
1. 预算的修正
大多数发起人都明白在坚持提案预算方面需要灵活性，并允许主要研究人员(pi)在没有机构批准的情况下更改各种行项目, provided such changes do not affect the scope of work. This means that actual expenditures in many budget categories may vary 从 the original proposal. 然而, some sponsors may place limitations on shifts into or out of certain expense categories; may not allow any single expense category to be “overdrawn;” or may limit the budget changes to a certain dollar amount or percentage. 因为重新编制预算是一种契约变更, when prior approval 从 the sponsor for a budget change is needed, the request must be made through the 赞助项目办公室 (百). Prior approval should generally be requested in the following instances:
- 如果重新编制预算将涉及将大量款项转入或移出预算类别-通常是直接费用总额的25%或250美元中较小者,000. 唯一的例外是美国国立卫生研究院的模块化资助，当范围保持不变时，国家科学基金会的资助范围保持不变.
- 如果重新预算将导致工作范围的变化，而不管重新预算的金额是多少.
2. 无成本(时间)延期(NCTE或NCE)
如果PI认为项目可以用剩余的资金完成，但需要更多的时间来完成工作, he or she must request an official extension of the end date of the project, 被称为“无成本扩展”.许多联邦机构现在允许一次性的12个月的自动延期，只要通知提供给该机构 at least 10-30 days prior to the award termination date (见 自民党矩阵); such notifications must be submitted by 百. Other agencies may require a formal request for extension, 哪些必须提交给百审核, signature and submission to the funding agency in accordance with APM 45.14. A justification for why the project needs additional time must be provided; “spending out” the remaining funds is not an acceptable justification.
3. 补充资金申请
If, 在项目的过程中, the PI feels that supplemental funds will be needed in order to complete the work, 他或她必须以提案的形式向机构提交补充资金申请，概述要做的工作和所需的额外资金. 预算和预算叙述应该包括在内. Any requests for supplemental funding should be submitted through 维拉 and require the same approvals as a standard proposal.
4. Substantive changes to proposed research (change in scope)
与最初提议和批准的研究相比，研究的重大变化总是需要发起人的通知和/或批准. PIs are advised to contact the Program Officer as soon as possible in the following situations:
目标或应对的变化
在未事先征得发起人同意的情况下，不得改变所研究的现象和提案中所述的项目目标. 此类变更应以书面形式向保荐人提出，并由百的授权组织代表(AOR)会签.
方法的改变
项目负责人可能希望在项目实施过程中寻找有趣和重要的线索，或者采用一种似乎更有希望实现项目目标的替代方法. 在这些情况下, the PI should contact the Program Officer to ascertain whether formal approval is necessary.
Significant changes, delays or events of unusual interest
当项目负责人发现可能影响实现项目目标或满足原始提案中列出的任何时间表的能力的任何延误或不利条件时，他或她应与项目官员联系. 当项目过程中发生任何不寻常的事件时，也应通知项目官员.
5. Change in level of PI (Co-PI, Key Personnel) effort
赞助方决定支持或不支持提案，在某种程度上是基于对项目负责人对研究领域的知识和开展项目的能力的评估. 的refore, sponsors expect to be notified formally if a PI, Co-PI, or key personnel:
- 在工作上投入的精力(减少25%)比批准的提案中预期的要少得多;
- leaves 大学; or
- otherwise relinquishes active direction of the project
在提出申请时，必须向百提供系主任和/或学院院长的批准声明. 所有这样的PI变化需要CV(生物草图)和, 取决于赞助商, a current and pending support form for the proposed new PI.
a. 缺少PI
If the PI will be away 从 the project for a period of longer than three months, 应安排对项目进行临时监督，并向发起人发出正式的批准请求. This information should be provided in writing to the Program Officer as far in advance as possible, 并由百会签. 的 Program Officer typically provides written approval of such arrangements. If the arrangements are not satisfactory to the sponsor, the award may be terminated.
b. Transfer of an award to or 从 the University of Idaho
Awards for sponsored funding are made to the institution and not directly to the PI. 出于这个原因, when a PI wishes to transfer an award to or 从 大学, appropriate institutional approvals must be sought. It is the PI’s responsibility to notify the departmental administrator, 百, and his or her program manager as soon as possible to alert them to the need for a transfer. 除非PI符合最新的所有技术或进度报告要求，否则不得进行转让.
转让奖励和设备(如有) 从 把大学搬到PI的新机构, please complete the “PI transfer of awards/equipment to new institution form” located on the PI转职/退休表格 page of the 百 website and route to the appropriate personnel for approvals. 正式放弃奖学金必须以书面形式提交，并由大学的AOR签署, 百的主管.
If an award and its associated equipment is to be transferred to 大学, 原来的机构必须正式放弃对赞助商的奖励，并提供最终的财务报告. 如果担保人同意, they will then reissue the balance of the award funding to the University of Idaho. 连同获奖文件一起, the PI must provide the University of Idaho with an approved budget and scope of work through 维拉. 百 will not process the award for setup until all of these items are received.
When the award being relinquished has associated equipment that needs to be transferred, 必须特别注意设备是归属于机构还是归属于赞助商. If the equipment is vested with the sponsor or is considered “federally-owned,” then sponsor approval for transferring the equipment needs to be received prior to UI acceptance. 该部门负责与 UI资产管理 and 百 to ensure proper tagging in the UI inventory system.
6. 设备不在原预算之内
申请联邦奖励, 当PI希望购买一项资本设备(定义为成本为5美元)时，通常不需要请求赞助商批准,000 or more and with a useful life of one or more years); however, if the equipment was not in the original proposal submission, 这种许可可能是必需的. 请查看 事先审批矩阵 or your award document to verify agency requirements.
非联邦奖励可能更具限制性, 最好和机构的签约官员确认是否需要正式的批准. Any such formal approval requests must be counter-signed by the AOR at 百 prior to submission.
Special note regarding awards 从 Battelle Energy Alliance/Idaho National Labs (INL):
所有的装备都归赞助商所有, and the agency's definition of equipment is not restricted to items over $5,000. 如果采购的设备不在原建议书中，则需要以合同修正案的形式获得代理机构的正式批准. 合同终止时, all equipment purchased with award funds must be either returned, 转移到另一个可以使用该设备的BEA/INL项目或(很少)转移到另一个适当的联邦项目.
7. 原预算之外的分包
In most cases, sponsors must approve subcontracts not identified in the original proposal. 必须提供分包商的适当文件，以便百提交代理批准的请求. 该文档包括:
- Letter of support 从 an authorized official of the subcontractor
- 工作说明
- Budget and budget justification for the subcontractor's portion of the work
- UI部分工作的修订预算
- PI的求职信，解释分包合同的必要性，以及UI的工作范围如何改变以适应分包合同