Award Modifications
Award Modifications
Summary: Provides information on the types of modifications that may occur during the life of the award as well as providesguidance on when and how to request award modifications.
During the life cycle of an award, changes may occur which alter the original terms of the award. Some of the more common award modifications are changes to the approved budget, change in project termination date, and change in Principal Investigator (PI). While some of these changes may be sponsor initiated, more often than not, the Principal investigator initiates these modifications as needed in order to address award revisions needed in order to successfully complete project goals and objectives. The following are typical award modifications and guidance for PI’s when initiating/requesting award modifications.
Modify or Re-budget the original award budget
The most common type of budget modification is re-budgeting from one budget line-item category to another with no change in the total budget amount. Many times sponsors will specify whether re-budgeting is allowed and at what level in the award terms and conditions. If the award terms and conditions do not specify an allowed amount or percentage that is allowed for re-budget, or if the needed budget change is outside of the level allowed by the sponsor, a formal budget modification request is required.
To request a budget modification, the PI should prepare a brief letter to the sponsor requesting the modification which includes the following:
- An explanation of the circumstances that led to the need for changing the budget
- How the budget modification will impact the project scope or objective.
- Detailed Revised budget
The budget modification (re-budgeting) request lettershould be prepared by the PI and submitted to the OSP Grant & Contract Analyst for review. Often sponsors require budget modification requests to be signed by the Institution’s authorized organizational representative (AOR). In these cases, the Grant & Contract Analyst will submit the request letter to the AVP for Agriculture – Extension or the CFO for signature. Once the budget modification letter is signed, the Grant & Contract Analyst will return the letter to the PI for submission to the sponsor’s technical and administrative point of contact.
No Cost Extension
A no-cost extension is an award modification which gives the PI extra time to complete the scope and objectives of the project without additional funds being provided by the sponsor. Generally no-cost extension requests should be initiated by the PI and submitted to the sponsor no later than 30 days prior to the termination of the award. The amount of time requested varies depending on the tasks remaining to complete project goals and objectives.
To request a no cost extension, the PI should prepare a brief letter to the sponsor requesting the extension which includes the following:
- An explanation of the circumstances that led to the need for a change in the project termination date.
- How the no cost extension modification will impact the project scope or objective.
- Revised project termination date.
The no cost extension modification request letter should be prepared by the PI and submitted to the OSP Grant & Contract Analyst for review. Often sponsors require extension modification requests to be signed by the Institution’s authorized organizational representative (AOR). In these cases, the Grant & Contract Analyst will submit the request letter to the AVP for Agriculture – Extension or the CFO for signature. Once the no cost extension letter is signed, the Grant & Contract Analyst will return the letter to the PI for submission to the sponsor’s technical and administrative points of contact.
Change in Principal Investigator
A change in Principal Investigator may sometimes be needed during the life cycle of the award. This could be due to the original PI leaving the institution or changing positions within the institution. A change in PI always requires prior sponsor approval. The change in PI request should be submitted to the sponsor by the institution’s authorized organizational representative (AOR) in consultation with the department head/chair of the department where the project activity is being conducted.
To formally request a change in PI, the AOR should prepare a brief letter to the sponsor requesting the change which includes the following:
- An explanation of the circumstances that led to the need for a change in the principal investigator.
- How the recommended PI is qualified to conduct the remainder of the project goals and objectives.
- The effective date of the requested change in PI.
The formal request letter for change in PI should be signed by the PI being recommended in addition to the AOR and submitted to the sponsor’s technical and administrative points of contact by the office of sponsored programs staff.
Special Note: Award Modifications which change the scope or specific purpose of the project must be formally submitted to the sponsor for approval. These type changes may involve updated project and budget narratives as well as budget amendments to either reduce or increase award amounts.