Changes to Project 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

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.

UMB forms for approvals:

Sponsor approval: Requests submitted to a sponsor are to be signed or electronically approved by an authorized official in Sponsored Programs Administration (SPA). SPA may require additional approvals before signing for the University. The sponsor must approve the request in writing. Sponsor approval is normally provided by the sponsor's grant or contract officer (not by a program official) in the form of a letter, email/electronic notification, or 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

Follow-up: SPA will process the approved change and share the information with Sponsored Projects Accounting and Compliance (SPAC). Kuali Research and eUMB Financials will be updated as appropriate for the change approved.

Additional guidance for post-award changes to the project or budget

Scope of Work: A change to the scope of work always requires approval of the sponsor.

Personnel Changes:

  • Submit a request for change of PI through Kuali Research proposal development for electronic signature by the new PI and routine proposal approvals. A change of PI usually requires sponsor approval. The request for change should be acknowledged (signed) by the original PI (if available). Upload the acknowledgement documentation from the original PI as a proposal attachment.
  • Submit a request for change of department through Kuali Research proposal development for approval by the new chair and dean. The original chair should acknowledge the change of department by email or memo, uploaded as a proposal attachment in Kuali Research. Change of department does not require sponsor approval. A new Project will be issued to reflect the change of department, and the old Project(s) will need to be closed out.
  • 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 effort on the project by more than 25 percent of the committed effort. The committed effort is the effort promised in the proposal, unless the agency has subsequently approved a new level of effort for that individual.
    • NIH NOT-OD-18-172:  Clarification of NIH's Policy Regarding a Change in Program Director's/Principal Investigator's Status
  • Faculty transfer to a new institution