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2. Changes Requiring Funding Agency Approval

As a rule, funding agency prior approval is required in the following situations.  These requests should be prepared by the PI and routed through ORS for university concurrence.

a. Change in Principal Investigator (PI)

The University is required to seek approval before a substitute PI is appointed to replace an absent or departed PI.  If the PI is absent from the project for a period of three months or more, the agency must be notified.  Often a substitute PI must be proposed by the grantee and must be approved by the granting agency.  The request for a substitution should include a justification for the change, the qualifications of the proposed substitute, and any budgetary changes resulting from the change.

b. Changes in the original scope of work or research objectives

Examples of such changes include change in the specific aims approved at the time of award; change in key personnel whose expertise is critical to the approved project; or shifting of the emphasis from one research area to another.

c. No-cost extensions

The PI should submit a request to the funding agency 60 days in advance of the end date.  This request should justify the need for additional time and be routed through ORS for concurrence.  Having funds left is usually not justification.  There are exceptions to this as many federal agencies allow extensions without requiring prior approval.