Rebudgeting and Other Changes to the Project
In many cases, PIs need to implement changes to their projects to revise the budget or scope of work to accommodate the changes made the project after the proposal stage. Many of these changes require approval from the sponsor and/or SDSU Research Foundation before any revisions can be implemented.
- Changes That May Require Prior Sponsor Approval or Formal Notification: (The following guidelines are for federally funded projects but also may be applicable to other types of grants and contracts. PIs are encouraged to contact their SR administrator if any of the following changes are necessary.) The award analysis provides specific project approval requirements for each individual fund. Any request for sponsor approvals should be prepared and signed jointly by the SR administrator and the PI.
- Rebudgeting: Changes in a project's sponsor-approved budget must be approved by SDSU Research Foundation and may also, in certain situations, require prior consent of the funding source. Certain governmental funding sources are particularly restrictive regarding budget changes. If a budget change is necessary, the PI prepares a budget adjustment request form, including justification, and forwards the form to the SR administrator. If the funding source's approval is required, SDSU Research Foundation submits a request to reallocate funds to the sponsor based upon the justifications provided by the PI. Budget adjustment request forms may be obtained from SDSU Research Foundation’s web site at SRA forms.
- Significant Rebudgeting: Significant rebudgeting occurs when expenditures in a direct cost budget category increase or decrease by more than 25 percent of the total costs awarded. For example, if the award budget for total costs is $200,000, prior approval may be required for any rebudgeting that would increase or decrease the budget category by $50,000.
- Changes in Objectives or Scope: The sponsor agency expects the scope of work to be carried out as prescribed in the proposal with minimal changes in methodology, approach or other aspects of the project objectives. Any changes that significantly alter the scope of work, direction, or other areas that constitute a significant change from the objectives of proposed plan require sponsor approval.
- Absence or Change of Key Personnel: If the PI anticipates withdrawing from the project or being absent from the day-to-day supervision of the project for a period of three months or more, prior sponsor approval is required. Prior sponsor approval is also required if the PI reduces her/his effort devoted to the project by 25 percent or more. Any changes to key personnel, whose expertise is critical to the success of the project, require prior approval.
- New Sub agreements: Prior approval is required prior to issuing any subagreements not included in the award budget and scope of work. (See Section Subaward Procedures.)
- Carryover of Unobligated Balances: Prior sponsor approval may be required to carry over funds remaining at the end of a budget period to the subsequent budget period. PIs are required to provide justification for amounts greater than 25 percent of the current year’s total budget (including any prior year carryover) in their non-competing renewal applications.
- No-Cost Extension: If additional time is needed beyond the original project end date to complete the proposed scope of work, a 12-month extension without additional funds is normally granted. The fact that funds remain at the end of a project is not sufficient justification for an extension. The project is required to update all required certifications, including conflict of interest, financial disclosures, human subjects and animal welfare to cover the additional time period. The request should be made no later than 30 days before the current end date of a project.