Managing a sponsored research award at Vanderbilt University means helping researchers meet sponsor requirements while advancing discovery. Our team supports compliance with key regulations, including the Human Research Protection Program (HRPP) and Institutional Review Board (IRB) for studies involving people, as well as the Institutional Animal Care and Use Committee (IACUC) and Animal Care and Use Program (ACUP) for animal research. We also guide investigators through important award changes, such as requesting prior approvals, no-cost extensions, adding equipment not originally budgeted, modifying or transferring grants to or from Vanderbilt, and updating outgoing subawards. Careful subrecipient monitoring ensures that partner institutions meet sponsor expectations, while timely reporting such as federal progress updates and invention disclosures ensures that research moves forward responsibly and transparently.
HRPP & IRB in University Research
The Human Research Protection Program (HRPP) ensures that all research involving human participants upholds the highest ethical standards and complies with federal regulations. A core component of the HRPP is the Institutional Review Board (IRB), which reviews and monitors studies to safeguard participants’ rights, welfare, and privacy. Together, they provide oversight, guidance, and approval processes that support responsible and ethical research practices.
Vanderbilt Human Research Protections and IRB
IACUC & ACUP in University Research
The Institutional Animal Care and Use Committee (IACUC) oversees research involving vertebrate animals to ensure humane care and use in compliance with federal standards. The Animal Care and Use Program (ACUP) provides the institutional framework, policies, and procedures that guide researchers. Together, they ensure ethical practices, regulatory compliance, and the responsible conduct of animal research. This program is run by our colleagues at VUMC, and Research Integrity and Compliance serves as the University point of contact for this service.
Vanderbilt University Medical Center (VUMC) Animal Use and Care Program
Research Integrity and Compliance Contact Page
Clinical Trials
Anything related to Clinical Trials is a shared service with VUMC. VU doesn't have many clinical trials. VUMC is the expert in Clinical Trials, and they have access to the Vanderbilt ClinicalTrials.gov account so you can communicate with them at ctgov@vumc.org for next steps on how to register.
Prior Approval
After an award is made, Prior Approval may be needed before changing a project’s scope, activities, or budget. Some changes must be approved by the sponsor, while others can be approved by Vanderbilt. Always check the sponsor’s guidance and award documents to know which applies. SPA reviews and submits all sponsor requests on your behalf.
Examples of Programmatic and Financial Changes During the Life of an Award
Steps involved in a Prior Approval Request:
The Grants Manager:
*If the prior approval determination is unclear or sponsor instructions are inadequate, consult your SPA specialist to determine if prior approval is needed and/or confirm next steps.
SPA:
Tips:
No-Cost-Extension Process at VU
First, review the Sponsor's guidelines for NCEs to see if prior approval is required. Second, work with your PI to collect required information and documentation for the request.
Your SPA Proposal Specialist is the main point of contact and will guide you through these steps, helping to manage the process both within Vanderbilt and with the award sponsor.
For all Sponsors –
Please refer to the following links for additional guidance:
If you have any questions, please contact your SPA Specialist.
Transfer of Grant to or from Vanderbilt
A PI transfer refers to the administrative process of relocating active sponsored research awards from one institution to another when a Principal Investigator (PI) leaves an institution. This process requires coordination between the responsible department, central research administration, the sponsor, and the receiving institution to ensure compliance with sponsor guidelines, accurate financial reconciliation, proper closeout at the originating institution, and timely re-establishment of the award at the new institution.
FAQ with general guidance on PI Transfers
Equipment Not in the Original Budget
When equipment that was not included in the original proposal budget needs to be purchased for a sponsored project, often prior approval is required.
To determine if prior approval is needed for equipment:
If you have additional questions after reviewing the above items, please contact SPA for assistance.
After determining if prior approval is needed:
Unless Prior Approval is required, you will not need to submit anything through SPA. Prior approval is not required for a change of vendor or model for equipment included in the approved budget, nor for a change of 25% or less in the acquisition price of approved equipment. Purchasing equipment at the end of a project period is difficult to justify and will not normally be permitted.
If Agency Prior Approval is required, then contact your SPA Specialist who will help you decide what steps to take.
The process to submit a prior approval request and what must be included will vary by sponsor. Below are the most common required documents needed for requests to add equipment that was not previously budgeted.
Documents to Include in most Prior Approval requests:
Changes to Outgoing Subawards
Outgoing subaward/subcontract partnerships are established to support collaboration and ensure project goals are met. However, circumstances during the life of a sponsored project may require adjustments to these agreements.
Researchers may request changes to an outgoing subaward/subcontract for a variety of reasons, including modifications to the project’s scope of work, reallocation or adjustment of funding, revisions to the project timeline, changes in key personnel, or concerns about the subrecipient’s ability to fulfill the terms of the agreement. These changes help ensure that the collaboration remains aligned with sponsor requirements, institutional policies, and the overall goals of the project.
Depending on what the change is, it may require further changes in VERA and Oracle. For additional details, contact your SPA Specialist (refer to the Departmental Assistance section to locate your Department’s assigned SPA Specialist).
What about a new outgoing subaward/subcontract collaborations not identified in the original awarded budget?
In general, sponsors must approve new subaward/subcontract collaborations not identified in the original awarded budget. Certain paperwork from the proposed subrecipient must be submitted to SPA for review then submission to the sponsoring agency:
Coordinate with your PI and Subrecipient Institution to collect the above documentation.
A VERA Award Modification Request (AMR) including the above must be submitted to your SPA Specialist. Upon successful review, your SPA Specialist will submit the request to the Sponsor.
Department Request Award Modification Guide
SPA will notify the Department of the Sponsor determination and next steps.
What about changes to already existing outgoing subaward/subcontract collaborations?
Determine whether Prior Approval applies by reviewing the Prime Award. Confirm if Vanderbilt can authorize the change under its Prior Approval authority or if a formal sponsor request and approval are required.
For example, if the PI would like to make a change to the Subrecipient PI or change the scope of work for the subrecipient institution, then both NSF and NIH require sponsor approval.
Regardless of the change being made to the collaboration, you will need to go through SPA. To begin the process for SPA to automatically approve the changes and initiate any modifications in VERA and Oracle, or to begin the sponsor approval process, create an Award Modification Request (AMR) in VERA through the VERA Award file. Please include the above referenced documentation, if applicable.
Department Request Award Modification Guide
If you have any questions, please contact your SPA Specialist.
In sponsored programs research, a subrecipient is an external organization (such as a university, nonprofit, company, or other entity) that receives a portion of a sponsored award from a prime recipient (the institution that received the award directly from the sponsor/pass-through-entity) to carry out a substantive portion of the programmatic work.
For example:
Prime Sponsor > Pass-through-entity > Subrecipient organization
National Institutes of Health > Vanderbilt University > University of Tennessee Knoxville
A subrecipient:
A subrecipient is different from a contractor:
Subrecipient monitoring in sponsored programs research is the process of overseeing subrecipients to ensure they use sponsored funds in compliance with federal regulations, sponsor requirements, and institutional policies, including reviewing invoices, assessing performance, and addressing risks throughout the award period.
SPA –
The Grants Manager –
Research Finance –
Reporting Responsibilities
PIs are responsible for submitting the technical reports to the sponsor. When the report is submitted to the sponsor, SPA is to be copied on the email that submits the report so that proof of submission can be documented in the grant record, or it can be uploaded in the record as an attachment in VERA.
NOTE: Failure to submit technical reports in a timely manner can delay payment of an invoice, delay closeout of the grant, cause an audit finding, or could result in loss of future funding.
All fiscal reports are to be submitted by Research Finance and are based on the information that is documented in Oracle, the system of record.
Progress Reports
Sponsors often require annual progress reports be submitted to update them on how the project is going, identify any challenges or changes, confirm the financial status of the project, and understand future plans. The format of the report varies greatly by sponsor, so it is important to check the notice of award and sponsor guidelines for reporting to confirm the content, submission method, and deadlines for all reports.
Invention Reporting
In most cases, inventions must be reported to both Vanderbilt University and the sponsor.
To report an invention to Vanderbilt University, the PI completes an Invention Disclosure. Information about when and how to submit an invention disclosure can be found on the Center for Technology Transfer & Commercialization’s website under Invention Disclosure Resources.
Most sponsors require a final invention statement as part of final reporting. Grants Managers work with the PI and the Center for Technology Transfer & Commercialization (CTTC) to ensure the final invention statement is accurate and submitted timely. The PI normally submits this report directly to the sponsor.