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Post award modifications may be needed for a variety of reasons: 

  • Budget modifications when total funding previously awarded is reduced or increased, significant revisions are needed (i.e., those requiring prior approval from the sponsor), or funds are reallocated from participant support 
  • No-cost extensions when additional time is needed to meet a project’s objectives with no additional funding 
  • Award transfers from or to another institution 
  • Changes to project’s PI, scope, objectives, or personnel effort 
  • Other modifications requiring a sponsor’s prior approval 

 Post award modifications must first receive university approval through routing a UWL Post Award Modification Form with required documentation for review and approval from the PI’s department chair/unit director, college dean/division director, and ORSP director. The completed, signed Post Award Modification Form with required documentation is due to ORSP at least 10 business days prior to a sponsor’s submission deadline for materials. To expedite the university review process, it is strongly recommended that the PI first submit the above documentation to ORSP for review and feedback prior to routing it with the form for signatures. Please allow sufficient time for prior review and revisions in order to meet the required internal submission deadline. 

Prior approval is required for modifications on all current extramural awards, including subawardsThe specific requirements for each modification type are addressed below. 

Budget Modifications

The following budget modification process is required for: 

  • Increases and decreases in funding for current awards 
  • Significant revisions to existing budgets (i.e., those requiring prior approval from the sponsor) 
  • Reallocation of funds from participant support (Note: Reallocation of funds for student help may also require prior approval contingent upon project objectives.) 

It is recommended you consult with the grant accountant and ORSP to determine whether a proposed modification requires formal approval.  

Note: Applications for supplements to current awards should follow the UWL Grant/Contract Transmittal Form routing and review process. 

  1. Complete the Post Award Modification Form. 
  2. Attach the following documentation to the form: 
    1. Available balance worksheet for the current award account 
      • Request this from the grant accountant. 
    2. Revised budget and budget justification reflecting the funding modification 
    3. Documentation regarding the modification from the sponsor (e.g., notifications or approval of changes) 
  3. To expedite the university review process, it is strongly recommended that the PI first submit the above documentation to ORSP for review and feedback prior to routing it with the form for signatures. Please allow sufficient time for prior review and revisions in order to meet the required internal submission deadline (see #5). 
  4. Route the Post Award Modification Form and required documentation for review and signatures from the PI’s chair/unit director, dean/division director, and ORSP director. 
  5. Submit the completed form and documentation to ORSP at least 10 business days prior to a sponsor’s submission deadline for materials.
  6. The budget modification materials can be submitted to the sponsor following ORSP approval. Depending on sponsor requirements, the materials may need to be submitted by the PI or ORSP. 

Contact ORSP for assistance with any portion of the process

 

No-Cost Extensions

No-cost extensions (NCEs) are generally available through several federal and state agencies, as well as some private sponsors. "No-cost" refers to the stipulation that no additional funds will be awarded, but additional time is being approved to accomplish project objectives. NCEs are allowable only for programmatic purposes and not for the purpose of spending remaining funds. Generally, extensions can be requested for 6 to 12 months and must be requested several weeks or months prior to the award expiration date; refer to the sponsor’s specific guidelines for required time frames. For most federal sponsors, submission deadlines are firm and do not include a grace period for late submissions. Contact ORSP for assistance navigating sponsor guidelines. 

The following process is required for all NCEs: 

  1. Complete the Post Award Modification Form. 
  2. Attach the following documentation to the form: 
    1. Available balance worksheet for the current award account 
      • Request this from the grant accountant. 
    2. Revised budget and budget justification detailing how remaining funds will be spent 
    3. Justification for the NCE 
      • Refer to the sponsor’s guidelines for specific requirements. 
  3. To expedite the university review process, it is strongly recommended that the PI first submit the above documentation to ORSP for review and feedback prior to routing it with the form for signatures. Please allow sufficient time for prior review and revisions in order to meet the required internal submission deadline (see #5). 
  4. Route the Post Award Modification Form and required documentation for review and signatures from the PI’s chair/unit director, dean/division director, and ORSP director. 
  5. Submit the completed form and documentation to ORSP at least 10 business days prior to a sponsor’s submission deadline for materials.
  6. The NCE materials can be submitted to the sponsor following ORSP approval. Depending on sponsor requirements, the materials may need to be submitted by the PI or ORSP. 

Contact ORSP for assistance with any portion of the process.

 

Award Transfers

Occasionally, an existing award must be transferred from another institution to UWL, or from UWL to another institution. This typically occurs when the PI for an award moves to a new institution, and it requires prior approval from multiple sources: 

  • The institution to which the award was made 
    • Note: Awards are generally made to the institution, and not to the PI, and so the institution may choose to make alternate arrangements rather than transfer the award to another institution (e.g., assign a different PI, set up a subaward or consultant arrangement with the current PI at their new institution). 
  • The sponsor 
  • The institution to which the award may be transferred 

Note: Awards are generally made to the institution, and not to the PI, and so the institution may choose to make alternate arrangements rather than transfer the award to another institution (e.g., assign a different PI, set up a subaward with the current PI at their new institution). In short, an award transfer is not guaranteed when a PI moves to a new institution. Thus, it is strongly recommended that PIs initiate communication with all stakeholders as early as possible in the process, particularly with the sponsored programs offices at both institutions. 

The following process is required for all award transfers to UWL from another institution or from UWL to another institution: 

  1. Complete the UWL Post Award Modification Form. 
  2. Attach the following documentation to the form: 
    1. Itemized budget detailing remaining funds to be transferred 
      • For current UWL awards, request an available balance worksheet from the UWL grant accountant. For awards not held by UWL, request this from the institution’s post award contact. 
    2. Written confirmation of approval from the institution currently holding the award 
    3. Written confirmation of approval from the sponsor 
    4. Name, email, and phone number of the primary contact at the other institution’s sponsored research/grants office who will be assisting with the transfer 
  3. To expedite the university review process, it is strongly recommended that the PI first submit the above documentation to ORSP for review and feedback prior to routing it with the form for signatures. Please allow sufficient time for prior review and revisions in order to meet the required internal submission deadline (see #5). 
  4. Route the UWL Post Award Modification Form and required documentation for review and signatures from the PI’s UWL chair/unit director, UWL dean/division director, and UWL ORSP director. 
  5. Submit the completed form and documentation to UWL ORSPat least 10 business days prior to a sponsor’s submission deadline for materials.
  6. Following UWL ORSP approval, the UWL grant accountant will either a) set up an account to receive the transferred funds or b) coordinate the fund transfer from UWL to the new institution.  

Contact ORSP for assistance with any portion of the process. We strongly recommend contacting ORSP before beginning the process for assistance, as it can be complex. ORSP can assist with making necessary contact with the sponsor and other institution

 

 

 

 

Other Modifications

Examples of other modifications that generally require the university’s and/or sponsor’s prior approval include: 

  • Changes to a project’s PI 
  • Changes to a project’s scope and/or objectives 
  • Increases or decreases in personnel effort (that may or may not impact the budget) 
  • Other modifications requiring a sponsor’s prior approval 

The above modifications may be only programmatic or may also entail budgetary changes. Regardless of the modification type, contact ORSP first for guidance on university and sponsor requirements.  

The following process is required for the above types of modifications: 

  1. Complete the UWL Post Award Modification Form. 
  2. Attach the following documentation to the form: 
    1. Available balance worksheet for the current award account 
      • Request this from the grant accountant. 
    2. Copy of sponsor guidance 
    3. Narrative justifying the modification 
    4. Any other documents required by the sponsor 
  3. To expedite the university review process, it is strongly recommended that the PI first submit the above documentation to ORSP for review and feedback prior to routing it with the form for signatures. Please allow sufficient time for prior review and revisions in order to meet the required internal submission deadline (see #5). 
  4. Route the Post Award Modification Form and required documentation for review and signatures from the PI’s chair/unit director, dean/division director, and ORSP director.
  5. Submit the completed form and documentation to ORSP at least 10 business days prior to a sponsor’s submission deadline for materials.
  6. The materials can be submitted to the sponsor following ORSP approval. Depending on sponsor requirements, the materials may need to be submitted by the PI or ORSP. 

Contact ORSP for assistance with any portion of the process.