Procedures for post-award changes in key personnel, scope of work, time, or budget
After an award is made, changes may be needed. Review the award document and sponsor policies to determine whether the proposed change requires sponsor approval or may be approved internally by University officials.
General procedures
The Principal Investigator (PI) initiates the request. Depending upon the type of change proposed, a form, email, or memo may be used to request approval or the request may be submitted via an online sponsor system. Contact your Sponsored Programs Administration (SPA) team with questions regarding procedures for internal approvals and for approval by the sponsor, when required.
Sponsor approval: The PI, following school and/or department procedures, submits the request to SPA. SPA may require additional approvals before signing for the University. The sponsor must approve the request in writing. Sponsor approval may be provided by the sponsor's grant or contract officer in the form of a letter, email/electronic notification, or formal award modification.
NIH Prior Approvals: Use the eRA Commons Prior Approval Module to submit requests for withdrawal of an application, approval of $500,000 or more direct costs, change of PD/PI, no-cost extension, and carryover. Prior Approval Module tutorials. Forward to SPA any email request to the NIH. The email must be clearly identified as a prior approval request and must reflect the complete grant number in the subject line. SPA will review the request and then forward it to the Grants Management Officer identified on the NIH Notice of Award.
Follow-up: SPA will process the approved change and update Kuali Research as needed. SPA will share the information with Sponsored Projects Accounting and Compliance (SPAC) and the Project will be updated as appropriate for the approved change.
Additional guidance and forms
Scope of Work: A change to the scope of work always requires approval by the sponsor.
Time and Budget Changes:
- Budget Modification Form and guidance about budget modifications
- Carryover Request form
- Child Project Request Form (SPAC form)
- UMB NCE Request (form) and guidance about no-cost extensions
Personnel Changes:
- Change of PI: Submit a request for a change of PI through Kuali Research proposal development using the Proposal Type Change in PI/Dept. A change of PI usually requires sponsor approval. Typically, the sponsor will need information such as an explanation for the change and a biosketch or CV for the proposed new PI.
- If the proposed PI is in a different department, also follow the Change of Department instructions below.
- If the change of PI is due to the PI's departure from UMB, also complete the UMB Departing Investigator form (UMB log-in required).
- Change of Department: The new department will submit a request for a change of department through Kuali Research proposal development using the Proposal Type Change in PI/Dept. Change of department does not require sponsor approval. A new Award and PID will be issued to reflect the change of department, and the old PID(s) will need to be closed out.
- Change in Status of PI/Key Personnel: For federal grants, agency approval is required
- If key personnel will withdraw from the project entirely.
- If PI will disengage from the project for three months or more.
- If PI will reduce their effort on (time devoted to) the project by more than 25 percent of the committed effort. The committed effort is the effort promised in the proposal and approved at the time of the initial competing year award, unless the agency has subsequently approved a new (adjusted) level of effort for that individual.
- NIH NOT-OD-20-124: Guidance on NIH's Policy Regarding a Change in Program Director's/Principal Investigator's Status
- Faculty transfer to a new institution