Project Amendments

When managing sponsored awards, changes in costs, personnel, scope of work, etc., differ from the original proposal due to unforeseen circumstances. In these cases, some sponsors will require PIs obtain written prior approval before taking certain actions related to an award. To receive prior approval, nearly all sponsors require a written request that explains why the action is necessary and a written response from the authorized official from the sponsor’s organization.

Verbal approval does not constitute authority to proceed.

Generally, prior approval is applicable when there is a deviation from the approved proposal; however, some sponsors may still require approval during the post award phase for actions included in the approved proposal.

The SRO assists PIs with submitting all formal requests for modification to OSP, who will submit these requests to the sponsor.

No Cost Extension

No Cost Extension Request Form

Specific projects may allow for the final budget period to be extended for a specific period depending on the sponsor guidelines. Such an action affirms that additional work remains to be completed on the project and that resources are available to continue to support the project, or that additional time is needed to provide for an orderly closeout. The fact that funds remain at the expiration of the grant is not sufficient justification for an extension without additional funds. Conditions of these requests cannot not require additional funds to be obligated by the sponsor and the project's originally approved scope cannot not change.

To request a no cost extension, the PI must complete a No Cost Extension Request Form.

Change in Key Personnel

Change in Key Person Request Form

During the award-making process, sponsors take into consideration the skills, reputation, and experience of the key personnel identified in the proposal; therefore, most sponsors require prior approval before a senior official is replaced or added onto the project. Sponsor requirements for seeking prior approval will vary. Sponsors may require a biographical sketch for the new individual, conflict of interest disclosure, a list of pending and active support, and/or an explanation of the change. The approval process may take months to process, so the process should be started as quickly as possible when a known change is needed.

Sponsor policies for requiring prior approval for the reduction of effort for the PI or key personnel varies. For federal awards, 2 CFR 200 states that prior approval is required when there is disengagement from the project for more than three months, or a 25% reduction in time devoted to the project by the PI, though federal awarding agencies may have different interpretations or policies.

Budget Carryover

Carryover Request Form

Carry forward, also called carryover, allows for unobligated funds at the end of a budget period to be moved to the subsequent budget period to cover allowable expenses. Some sponsors provide for automatic carry forward authority for certain awards. The award terms and conditions will indicate if carry forward authority is granted without prior approval and other requirements.

To request budget carry forward or carryover, the PI must submit a Carryover Request Form.

Subaward Amendment

Subaward Amendment Request Form

When a modification to an existing subaward is required, it may necessitate sponsor approval. However, in some cases, the sponsor does not require approval for subaward modifications. Reviewing the terms and conditions of the award is necessary to determine whether sponsor approval is required. Some possible reasons for a subaward modification:

  • Change in scope of work
  • Change in key personnel
  • Next period funding increase
  • Supplemental funding
  • No cost extension

To request an amendment to an existing subaward, the PI must submit a Subaward Amendment Request Form.