{"id":479,"date":"2016-09-22T09:55:26","date_gmt":"2016-09-22T16:55:26","guid":{"rendered":"https:\/\/www.washington.edu\/research\/?page_id=479"},"modified":"2026-04-02T09:26:45","modified_gmt":"2026-04-02T16:26:45","slug":"award-changes","status":"publish","type":"page","link":"https:\/\/www.washington.edu\/research\/myresearch-lifecycle\/manage\/award-changes\/","title":{"rendered":"Award Changes"},"content":{"rendered":"<h2>Contents<\/h2>\n<ul>\n<li><a href=\"#how-to-request-award-changes\">How do I request changes to an award?<\/a><\/li>\n<li><a href=\"#prior-approval\">Prior Approvals?<\/a><\/li>\n<li><a href=\"#tips\">Key tips for creating a MOD in SAGE<\/a><\/li>\n<li><a href=\"#funding-budgeting-changes\">Funding &amp; Budgeting Changes<\/a><\/li>\n<li><a href=\"#schedule-changes\">Schedule Changes<\/a><\/li>\n<li><a href=\"#other-changes\">Other Changes<\/a><\/li>\n<li><a href=\"#holds\">Holds<\/a><\/li>\n<li><a href=\"#why-mod-returned\">Why was my Modification Request returned?<\/a><\/li>\n<\/ul>\n<p>Topics included here will cover types of award changes along with more information on what\u2019s required to make these requests and links to more guidance.<\/p>\n<h2 id=\"how-to-request-award-changes\">How do I request changes to an award?<\/h2>\n<p>All changes that require sponsor approval, an authorized official signature, or OSP review, must be requested via an OSP &amp; GCA\u00a0 Modification Request (MOD) in SAGE. See <a href=\"\/research\/forms-and-templates\/checklist-osp-gca-mods-in-sage\/\">CHECKLIST: OSP &amp; GCA Modifications in SAGE<\/a><\/p>\n<p>Other types of award changes that can bypass OSP are requested via a <a href=\"https:\/\/finance.uw.edu\/gca\/award-lifecycle\/award-setup\/modifications\" target=\"_blank\" rel=\"noopener\">GCA Only Modification request<\/a> in SAGE.<\/p>\n<p>If you receive an award modification from the sponsor, whether or not OSP is included on the notification, coordinate with your unit\u2019s <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-access-roles\/\" target=\"_blank\" rel=\"noopener\">award preparer<\/a> to create a Modification request in SAGE. This is the intake method for all Modification requests and ensures it gets to the appropriate reviewer directly.<\/p>\n<h2 id=\"prior-approval\">Prior Approvals?<\/h2>\n<p>Sponsors may require prior approval before making certain changes to an award. Federal sponsors who grant <a href=\"\/research\/glossary\/expanded-authorities\/\">expanded authorities<\/a> may allow some changes without getting prior sponsor approval.<\/p>\n<p>When sponsor approval is required and you already have it, attach the approval or revised award notice from the sponsor to your MOD in SAGE.<\/p>\n<p>If concurrence is needed to request prior sponsor approval, attach a <a href=\"\/research\/forms-and-templates\/concurrence-letter-sample\/\">concurrence letter<\/a> and include a comment explaining the situation.<\/p>\n<p>When requesting OSP\u2019s concurrence for prior approval requests, please note, OSP will return these MODs back to the unit while we wait for sponsor guidance.<\/p>\n<p>Review more information on Which MODs require prior approval.<\/p>\n<div class=\"accordion non-bold\" id=\"accessible-accordion\">\n<div class=\"screen-reader-text\">Accessible Accordion<\/div>\n<div class=\"card\" id=\"which-mods-prior-approval\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Which MODs require Prior Approval?<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>Programmatic changes <strong>almost always require prior approval<\/strong>. These can include requests to:<\/p>\n<ul>\n<li>Change the scope of work<\/li>\n<li>Add or remove key personnel<\/li>\n<li>Change key personnel effort<\/li>\n<li>Cost Share changes<\/li>\n<li>Lift funding restrictions<\/li>\n<li>Early termination<\/li>\n<li>Relinquishment and award transfers<\/li>\n<li>Add a subaward not previously in the award<\/li>\n<li>Add <a href=\"\/research\/myresearch-lifecycle\/setup\/sponsor-requirements\/federal\/#foreign-natl-doe\">foreign national participation on Dept. of Energy Awards<\/a><\/li>\n<li>Changes in the use of human subjects or vertebrate animals. Significant changes to human subjects or vertebrate animal protocols may also require institutional review and approval. See:\n<ul>\n<li>Human Subjects Guidance for <a href=\"\/research\/hsd\/study-activities\/modify\/\" target=\"_blank\" rel=\"noopener\">Modifying the study activities<\/a><\/li>\n<li>Office of Animal Welfare: <a href=\"http:\/\/oaw.washington.edu\/\" target=\"_blank\" rel=\"noopener\">Contact OAW<\/a> to submit a significant change request<\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<p>Review your award, sponsor guidance, and additional instructions based on the type of change being requested.<\/p>\n<\/div>\n<\/div>\n<\/div>\n<h3>Prior Approval Resources<\/h3>\n<ul>\n<li>Award documentation<\/li>\n<li>Sponsor guidelines<\/li>\n<li><a href=\"https:\/\/finance.uw.edu\/pafc\/spending\/approvals\" target=\"_blank\" rel=\"noopener\">Approvals<\/a> in Fiscal Compliance<\/li>\n<li><a href=\"\/research\/forms-and-templates\/concurrence-letter-sample\/\">Concurrence Letter sample<\/a><\/li>\n<\/ul>\n<h2 id=\"tips\">Key tips for creating a MOD in SAGE<\/h2>\n<p>When creating a MOD in SAGE, make sure to:<\/p>\n<ul>\n<li>Review instructions for the specific categories and select all categories that reflect the type of changes being requested<\/li>\n<li>Include all <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-supporting-attachments\/#required_attachments\" target=\"_blank\" rel=\"noopener\">Supporting Attachments<\/a><\/li>\n<li>Always add <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\" target=\"_blank\" rel=\"noopener\">Comments<\/a> to provide details on your request\n<ul>\n<li>Review the <a href=\"\/research\/faq\/what-info-to-include-asr-mod\/\">Tell us your story<\/a> video &amp; slides for more details.<\/li>\n<\/ul>\n<\/li>\n<li>For MODs requesting budgetary changes:\n<ul>\n<li>SAGE Budget connection <strong>always required for <\/strong>these OSP\/GCA MODs: Carryover, Cost Share Change, Deobligation, Rebudgeting, Supplement<\/li>\n<li>SAGE Budget connection required, when budgetary changes requested for: Equipment Addition, Subaward: Request Prior Approval, Effort Change, Key Personnel Change (Includes PI), Other Changes, Restriction Release, Work Scope Change<\/li>\n<li>For budget changes to an existing award line, include the <a href=\"\/research\/learning\/online\/index.php\/lessons\/how-to-find-an-award-id-number\/\">Workday Grant ID (GR######)<\/a><\/li>\n<\/ul>\n<\/li>\n<li>For GCA only items that do not already have a required form, GCA encourages including their optional <a href=\"https:\/\/finance.uw.edu\/gca\/award-lifecycle\/award-setup\/modifications\" target=\"_blank\" rel=\"noopener\">GCA Modification Checklist<\/a> along with your requests<\/li>\n<\/ul>\n<hr \/>\n<h2 id=\"funding-budgeting-changes\">Funding &amp; Budgeting Changes<\/h2>\n<p>The following instructions are for the subcategories that fall within the SAGE Modifications Funding &amp; Budget changes section. Make sure to select any other related subcategories and provide a basic description of what you are trying to do in the comments.<\/p>\n<p>Most Funding &amp; Budgeting MOD requests require connecting a SAGE Budget, with two exceptions. SAGE Budget connection is always required for these OSP\/GCA MODs: Carryover, Cost Share Change, Deobligation, Rebudgeting, Supplement<\/p>\n<div class=\"accordion non-bold\" id=\"accessible-accordion\">\n<div class=\"screen-reader-text\">Accessible Accordion<\/div>\n<div class=\"card\" id=\"carryover\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Carryover<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>Some sponsors allow automatic <a href=\"https:\/\/metadata.uw.edu\/catalog\/viewitem\/Term\/fc8a92d2-19e2-4a39-aa0a-6b160ea0d2dc\" target=\"_blank\" rel=\"noopener\">carryover<\/a> (carry forward) of funds from year to year, in which case a MOD is not needed. Others require prior approval, and this requires an OSP &amp; GCA MOD. Review GCA&#8217;s detailed guidance on <a href=\"https:\/\/finance.uw.edu\/gca\/award-lifecycle\/closing-your-award\/carryover-sponsored-program-award-funding\" target=\"_blank\" rel=\"noopener\">Carryover of Sponsored Program Award Funding<\/a>.<\/p>\n<ol>\n<li>Create an OSP &amp; GCA Modification in SAGE.<\/li>\n<li>Navigate to the Funding and Budgeting heading and select the <strong>Carryover<\/strong> subcategory.<\/li>\n<li>Attach a <a href=\"\/research\/forms-and-templates\/concurrence-letter-sample\">concurrence letter<\/a> detailing the reason for unused funds and how those funds will be spent in support of the project for OSP signature and submission to the sponsor.\n<ul>\n<li>Why did the awarded budget not match expenditures on the award?<\/li>\n<li>Detail the amount of funds to be carried forward and an explanation of unobligated balance.<\/li>\n<li>MOD Requests for concurrence will be returned to the campus unit preparer while the UW waits for the sponsor to approve the request.<\/li>\n<\/ul>\n<\/li>\n<li>Connect a SAGE budget.\n<ul>\n<li>The connected SAGE budget should have the period(s) with unused funds selected along with the intended recipient period(s).<\/li>\n<li>This detailed SAGE Budget Worksheet needs to include the carryover amounts according to how they are going to be spent.<\/li>\n<li>It is important that the carryover balances are reflected in the SAGE Budget so GCA is able to complete the necessary plan amendments and award line corrections for the related GR(s) receiving the carryover funding.<\/li>\n<\/ul>\n<\/li>\n<li>In the <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\" target=\"_blank\" rel=\"noopener\">comments<\/a>, include the <a href=\"\/research\/learning\/online\/index.php\/lessons\/how-to-find-an-award-id-number\/\" target=\"_blank\" rel=\"noopener\">Workday Grant ID (GR######)<\/a> along with the request for budgetary changes so GCA will know which Grant ID changes should be applied to.<\/li>\n<li><a href=\"\/research\/tools\/sage\/guide\/awards\/awards-supporting-attachments\/\" target=\"_blank\" rel=\"noopener\">Attach<\/a> a copy of the carryover budget for submission to sponsor (according to sponsor requirements).<\/li>\n<\/ol>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"auto-carryover\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Automatic Carryover<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>Waiting for an award modification from the sponsor to be fully executed and the terms &amp; conditions of the award indicate <a href=\"https:\/\/metadata.uw.edu\/catalog\/viewitem\/Term\/fc8a92d2-19e2-4a39-aa0a-6b160ea0d2dc\" target=\"_blank\" rel=\"noopener\">Automatic Carryover?<\/a>\u00a0 You should request a Temporary Internal Extension.<\/p>\n<p>Review guidance:<\/p>\n<ul>\n<li><a href=\"#temporary-internal-extensions\">Temporary Internal Extensions<\/a><\/li>\n<li>GCA: <a href=\"https:\/\/finance.uw.edu\/gca\/award-lifecycle\/closing-your-award\/carryover-sponsored-program-award-funding\" target=\"_blank\" rel=\"noopener\">Carryover of Sponsored Program Award Funding<\/a><\/li>\n<\/ul>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"cs-changes\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Cost Share Changes - Prior Approval Required<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>When sponsor approval is required for changes to cost share, create &amp; submit an OSP &amp; GCA Modification in SAGE. If sponsor approval is not required, you will submit a <a href=\"https:\/\/finance.uw.edu\/gca\/award-lifecycle\/award-setup\/modifications\">GCA Only MOD<\/a>.<\/p>\n<p>Follow these instructions when prior approval is required:<\/p>\n<ol>\n<li>Create OSP &amp; GCA Modification (MOD) in SAGE.<\/li>\n<li>Navigate to the Funding and Budgeting heading and select the<strong>\u00a0Cost Share Changes &#8211; Prior Approval Required<\/strong> subcategory as well as any other MOD categories being requested.<\/li>\n<li>Add comments to explain special situations, or explain what you are requesting.<\/li>\n<li>Connect a SAGE Budget with the period(s) selected in which cost share is being changed.<\/li>\n<li>Attach: completed <a href=\"https:\/\/finance.uw.edu\/gca\/GCA_Cost_Share_Addendum\" target=\"_blank\" rel=\"noopener\">Cost Share Addendum.<\/a><\/li>\n<li>Attach concurrence letter as needed to request sponsor approval, see <a href=\"\/research\/forms-and-templates\/concurrence-letter-sample\/\">sample concurrence letter<\/a>.\n<ul>\n<li>MOD Requests for concurrence will be returned to the campus unit preparer while the UW waits for the sponsor to approve the request.<\/li>\n<\/ul>\n<\/li>\n<\/ol>\n<p>Once documented sponsor approval has been obtained, OSP will approve the MOD in SAGE and send it to GCA for entry into Workday. Review <a href=\"https:\/\/finance.uw.edu\/gca\/award-lifecycle\/cost-share\" target=\"_blank\" rel=\"noopener\">more information about Cost Share<\/a> from GCA.<\/p>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"deob\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Deobligation<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>Deobligations may also be known as funding decreases on an award. Sponsors typically issue a deobligation to reduce award amounts for the following situations:<\/p>\n<ul>\n<li>Award will end early (e.g. early termination)<\/li>\n<li>UW did not spend &amp; draw down \/ invoice for the full award amount by end of project period<\/li>\n<li>Sponsor decides to reduce award amount related to project needs<\/li>\n<\/ul>\n<p>When a deobligation to an award needs to occur, you must create &amp; submit an OSP &amp; GCA Modification in SAGE and connect a SAGE Budget to the MOD.<\/p>\n<p><strong>What to do:<\/strong><\/p>\n<ol>\n<li>Create an OSP &amp; GCA Modification (MOD) request in SAGE.<\/li>\n<li>Navigate to the Funding and Budgeting heading and select the <strong>Deobligation<\/strong> subcategory.<\/li>\n<li>Add <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\" target=\"_blank\" rel=\"noopener\">comments<\/a> to explain special situations, or explain what you are requesting.<\/li>\n<li>Attach the deobligation or revised award notification from the sponsor indicating the reduced award amount.<\/li>\n<li>Include PI confirmation accepting award amount reduction.\n<ul>\n<li>This can be in the form of <a href=\"\/research\/tools\/sage\/guide\/approvals\/approving-awards\/awards-approval-process\/#adhoc\">including the PI as an Ad Hoc Approver on the MOD<\/a> or an email with PI approving the deobligation attached to the MOD.<\/li>\n<\/ul>\n<\/li>\n<li>Connect a SAGE Budget to the MOD request.\n<ul>\n<li>Select the period(s) in which the award amount has been reduced.<\/li>\n<li>The SAGE budget should reflect the reduced award (if not provided as part of the award modification).<\/li>\n<li>GCA needs to know line items being impacted by reduction to complete the changes to the award in WD Finance.<\/li>\n<li><a href=\"\/research\/learning\/online\/index.php\/lessons\/how-to-find-an-award-id-number\/\" target=\"_blank\" rel=\"noopener\">Include the Workday Grant ID (GR######)<\/a> along with the request so GCA will know which Grant ID changes should be applied to<\/li>\n<\/ul>\n<\/li>\n<li>Include all relevant <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-supporting-attachments\/\" target=\"_blank\" rel=\"noopener\">Supporting Attachments.<\/a><\/li>\n<\/ol>\n<p>If an active subaward is affected, you will also need to submit a request to <a href=\"\/research\/myresearch-lifecycle\/manage\/subawards\/#sub-changes\">change a subaward in the SAGE Subaward Module<\/a>.<\/p>\n<p>If the deobligation is accompanied by early termination, also select the Early Termination subcategory found under Schedule Changes and attach a completed <a href=\"\/research\/forms-and-templates\/end-of-award-form\/\">End of Award form<\/a> to your SAGE Modification request.<\/p>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"equip\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Equipment Addition<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>The purchase of equipment typically results in rebudgeting and may also result in a change of scope for the project.<\/p>\n<p>Many sponsors require\u00a0 prior approval before making this significant purchase, if not included in the approved budget.<\/p>\n<ol>\n<li>Create a OSP &amp; GCA Modification (MOD) Request in SAGE.<\/li>\n<li>Navigate to the Funding and Budgeting heading and select <strong>Equipment Addition<\/strong> subcategory as well as any other MOD categories being requested.<\/li>\n<li>Include <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-supporting-attachments\/\" target=\"_blank\" rel=\"noopener\">Supporting Attachments<\/a> such as\u00a0 a <a href=\"\/research\/forms-and-templates\/concurrence-letter-sample\/\">completed concurrence letter<\/a>, and supporting sponsor required documentation.\n<ul>\n<li>Such as a copy of the quote from the equipment vendor\/manufacturer.<\/li>\n<\/ul>\n<\/li>\n<li>If adding equipment creates a need to rebudget, a SAGE Budget must be connected.\n<ul>\n<li>Select both the Rebudgeting subcategory as well as the Equipment Addition subcategory.<\/li>\n<\/ul>\n<\/li>\n<\/ol>\n<p>Add <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\" target=\"_blank\" rel=\"noopener\">comments<\/a> to explain special situations, or explain what you are requesting<\/p>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"rebudget\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Rebudgeting<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>Sometimes the approved award budget is not consistent with actual project needs. Many sponsors allow reasonable budget revisions without prior approval. Review the award and sponsor guidance to ensure compliance with rebudgeting requirements. Some sponsors require prior approval for budget revisions.<\/p>\n<h4>Rebudgeting &#8211; Sponsor Approval Required<\/h4>\n<ol>\n<li>Create a OSP &amp; GCA Modification (MOD) Request in SAGE<\/li>\n<li>Navigate to the Funding and Budgeting heading and select <strong>Rebudgeting &#8211; Sponsor Approval Required<\/strong> subcategory as well as any other MOD categories being requested<\/li>\n<li>If a sponsor uses an electronic system for submission of the request, use that system to prepare and forward your request to OSP (AOR)<\/li>\n<li>If no sponsor system of submission is involved, attach a completed concurrence letter to the MOD along with any other supporting sponsor required documentation.\n<ul>\n<li>MOD Requests for concurrence will be returned to the campus unit preparer while the UW waits for the sponsor to approve the request.<\/li>\n<\/ul>\n<\/li>\n<li>Connect a SAGE Budget.\n<ul>\n<li>Select the period(s) which have changes to the budgeted funding.<\/li>\n<\/ul>\n<\/li>\n<li>Add <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\" target=\"_blank\" rel=\"noopener\">comments<\/a> to provide updates, explain special situations, or explain what you are requesting\n<ul>\n<li>Detail the need for the rebudget request and reflect how the rebudgeting will support the project.<\/li>\n<li>Include the <a href=\"\/research\/learning\/online\/index.php\/lessons\/how-to-find-an-award-id-number\/\" target=\"_blank\" rel=\"noopener\">Workday Grant ID (GR######)<\/a> along with the request so GCA will know which Grant ID changes should be applied to.<\/li>\n<\/ul>\n<\/li>\n<li>Include all relevant <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-supporting-attachments\/\" target=\"_blank\" rel=\"noopener\">Supporting Attachments<\/a>.<\/li>\n<\/ol>\n<h4>Rebudgeting when Prior Sponsor Approval NOT Required<\/h4>\n<p>This request includes rebudgeting to transfer funds between award lines, including supplementing an existing award line for a subaward when sponsor approval is <em>not<\/em> required. This type of Modification request can be found in the GCA Only Modifications section. Review <a href=\"https:\/\/finance.uw.edu\/gca\/award-lifecycle\/award-setup\/modifications\" target=\"_blank\" rel=\"noopener\">GCA guidance on Modifications<\/a>.<\/p>\n<ul>\n<li>Grant and Contract Accounting: <a href=\"https:\/\/finance.uw.edu\/gca\/award-lifecycle\/budget-setup\/rebudgeting-funds-grant-or-contract\" target=\"_blank\" rel=\"noopener\">Rebudgeting funds on grants and contracts<\/a><\/li>\n<li>Post Award Fiscal Compliance: <a href=\"http:\/\/finance.uw.edu\/pafc\/rebudgeting\" target=\"_blank\" rel=\"noopener\">Rebudgeting<\/a><\/li>\n<\/ul>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"relinquishment\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Relinquishments and Award Transfers<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>Relinquishments and award transfers mean returning funds back to the sponsor and giving up the UW\u2019s right to the funding. If another entity will be taking over the award, the sponsor reissues the award as a new award to that entity. It is not a transfer directly from UW to the new entity.<\/p>\n<p>Even if the end date is shortened, closeout requirements still apply per the terms and conditions of the award. Make sure to get all closeout documentation from the PI before they leave the UW.<\/p>\n<h4>How to Request:<\/h4>\n<ol>\n<li>Complete the relevant portions of the <a href=\"\/research\/forms-and-templates\/end-of-award-form\/\" target=\"_blank\" rel=\"noopener\">End of Award request form<\/a> and attach it to an OSP &amp; GCA Modification Request (MOD) in SAGE.<\/li>\n<li>Navigate to the Funding and Budgeting heading and select <strong>Relinquishments<\/strong> category.<\/li>\n<li>Add <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\" target=\"_blank\" rel=\"noopener\">comments<\/a> to explain special situations, or explain what you are requesting.<\/li>\n<li>If there are active subawards, you will also need to request a subaward modification request in SAGE Subawards to terminate <a href=\"\/research\/myresearch-lifecycle\/manage\/subawards\/#sub-changes\" target=\"_blank\" rel=\"noopener\">subawards<\/a>.<\/li>\n<li>If the sponsor initiates a Relinquishment or Award Transfer and you received an amendment to your award, attach the amendment along with a completed <a href=\"\/research\/forms-and-templates\/end-of-award-form\/\">End of Award request form<\/a> to the MOD.<\/li>\n<li>If animals are also being transferred with the transfer of an award: <a href=\"http:\/\/oaw.washington.edu\/\">Contact OAW<\/a><\/li>\n<li>Review the following section on NIH relinquishments for additional instructions<\/li>\n<\/ol>\n<h4>NIH Relinquishments<\/h4>\n<ol>\n<li>Indicate the estimated unexpended balance of the award being returned to NIH on the NIH relinquishment request form. Estimates should be comprehensive and include all outstanding obligations. The amount indicated will be deobligated and returned to NIH.<\/li>\n<li>Contact GCA Help via <a href=\"https:\/\/finance.uw.edu\/gca\/award-portal\" target=\"_blank\" rel=\"noopener\">Award Portal<\/a> for more information or for help completing the relinquishment form before submitting to the Office of Sponsored Programs (OSP).<\/li>\n<li>Attach completed NIH relinquishment form to the OSP &amp; GCA Modification Request in SAGE along with other items from the general relinquishment instructions (e.g. End of Award Form, Sponsor amendment to agreement if you have one).<\/li>\n<\/ol>\n<p>OSP will submit the request to NIH in eRA Commons.<\/p>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"add-sub-prior-approval\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Subaward - Prior Approval<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<ol>\n<li>Create an OSP &amp; GCA Modification Request (MOD) in SAGE.<\/li>\n<li>Navigate to the Funding and Budgeting Changes heading and select <strong>Subaward &#8211; Prior Approval Required<\/strong> subcategory as well as any other MOD categories being requested.<\/li>\n<li>Add <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\" target=\"_blank\" rel=\"noopener\">comments<\/a> to explain special situations, or explain what you are requesting.<\/li>\n<li><a href=\"\/research\/tools\/sage\/guide\/awards\/awards-supporting-attachments\/\" target=\"_blank\" rel=\"noopener\">Attach<\/a> subaward documentation consistent with <a href=\"\/research\/policies\/gim-7\/\">GIM 7<\/a> to the OSP &amp; GCA Modification Request as if the subrecipient was being included in an original proposal.<\/li>\n<li>Attach a budget in sponsor format, if required by sponsor.<\/li>\n<li>Update your awarded SAGE Budget &amp; create a SAGE Budget worksheet for the new subaward on the Awarded SAGE Budget.\n<ul>\n<li>Connect this SAGE Budget to the MOD.<\/li>\n<\/ul>\n<\/li>\n<li>If sponsor approval is required, attach a <a href=\"\/research\/forms-and-templates\/concurrence-letter-sample\/\">concurrence letter<\/a> for submission to the sponsor along with any other sponsor required documentation.\n<ul>\n<li>MOD Requests for concurrence will be returned to the campus unit preparer while the UW waits for the sponsor to approve the request.<\/li>\n<\/ul>\n<\/li>\n<li>Review the <a href=\"\/research\/policies\/subawards-checklist-from-proposal-to-closeout\/\">Checklist: Subawards from Proposal to Closeout<\/a> for more information on the Subaward process.<\/li>\n<\/ol>\n<p><strong>NIH Attachments &#8211; <\/strong>Attach the documents needed for the eRA Commons Prior Approval Module in PDF format, including:<\/p>\n<ul>\n<li>A justification document explaining the rationale for the request.<\/li>\n<li>A budget document, preferably in the form of a Subaward R&amp;R Budget.<\/li>\n<li>Note that the budget and the subrecipient\u2019s letter of intent should reflect the proposed effective date, which is required information in the Prior Approval Module.<\/li>\n<\/ul>\n<p>For requests to NIH, NIH approval is required before moving forward with the SAGE subaward request.<\/p>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"award-line-req-for-sub\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">GCA ONLY Request - Award Line Addition<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>This request is similar to requesting rebudgeting when sponsor prior approval is not required and is requested via a <a href=\"https:\/\/finance.uw.edu\/gca\/award-lifecycle\/award-setup\/modifications\" target=\"_blank\" rel=\"noopener\">GCA Only Modifications<\/a> request. A SAGE Budget will need to be connected to the MOD.<\/p>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"supplement\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Supplement<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>A sponsor may provide award funds incrementally throughout the project. Often OSP receives supplements from the sponsor and will create the initial MOD in SAGE and send these to campus for completion.<\/p>\n<p>Steps to follow:<\/p>\n<ol>\n<li>Navigate to the Funding and Budgeting Changes heading and select the <strong>Supplement<\/strong> subcategory as well as any other MOD subcategories being requested.\n<ul>\n<li>If the supplement is also an extension, you must select both the Supplement and Extension subcategories.<\/li>\n<\/ul>\n<\/li>\n<li>Add <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\" target=\"_blank\" rel=\"noopener\">comments<\/a> to explain special situations, or explain what you are requesting Supplemental funding requires a SAGE Budget.<\/li>\n<li>Connect a SAGE Budget.\n<ul>\n<li>Select the period(s) where funds are being added. Supplementing requires a new SAGE Budget worksheet or updates to an existing one.<\/li>\n<li>For budget changes to an existing award line, include the <a href=\"h\/research\/learning\/online\/index.php\/lessons\/how-to-find-an-award-id-number\/\">Workday Grant ID (GR######)<\/a> along with the request for budgetary changes so GCA will know which Grant ID changes should be applied to.<\/li>\n<\/ul>\n<\/li>\n<li>Non-fiscal compliance changes?\n<ul>\n<li>Provide information about the changes and include relevant approval dates and protocol numbers.<\/li>\n<li><a href=\"\/research\/tools\/sage\/guide\/awards\/awards-supporting-attachments\/\" target=\"_blank\" rel=\"noopener\">Attach<\/a> any relevant compliance documentation to the Modification Request.\n<ul>\n<li>Review more information on <a href=\"https:\/\/washington.edu\/research\/myresearch-lifecycle\/setup\/financials\/#communicating-compliance\" target=\"_blank\" rel=\"noopener\">Communicating Compliance Information.<\/a><\/li>\n<\/ul>\n<\/li>\n<li>The PI, Personnel &amp; Organizations page of the original eGC1 should be updated as necessary.<\/li>\n<\/ul>\n<\/li>\n<li>Include all relevant <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-supporting-attachments\/\">Supporting Attachments<\/a><\/li>\n<\/ol>\n<p><strong>Applying for supplemental funding?<\/strong> When supplemental funding requests to a sponsor require a proposal application, complete an <a href=\"\/research\/faq\/need-use-egc1\/\" target=\"_blank\" rel=\"noopener\">eGC1<\/a>. Note: MODs are used if these supplemental funding applications are later funded by a sponsor. Do not use an Award Setup Request (ASR).<\/p>\n<p>FAQ: <a href=\"\/research\/faq\/when-will-i-need-an-egc1-vs-create-a-modification-request\/\">When will I need an eGC1 vs. create a Modification request?<\/a><\/p>\n<\/div>\n<\/div>\n<\/div>\n<hr \/>\n<h2 id=\"schedule-changes\">Schedule Changes<\/h2>\n<p>The following instructions are for subcategories that fall within the SAGE Modifications Schedule Changes section. Make sure to select any other related subcategories. Make sure to select any other related categories and include a basic description of what you are looking to do.<\/p>\n<div class=\"accordion non-bold\" id=\"accessible-accordion\">\n<div class=\"screen-reader-text\">Accessible Accordion<\/div>\n<div class=\"card\" id=\"early-termination\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Early Terminations<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>Early termination is shortening the life of the project prior to completion. Some reasons might include:<\/p>\n<ul>\n<li>Sponsor and\/or Principal Investigator (PI) decide to end the project earlier than planned<\/li>\n<li>PI is leaving the University<\/li>\n<li>Programmatic or financial reasons to end a project earlier than planned<br \/>\nReceipt of a competing renewal that overlaps a previous competing segment<\/li>\n<li>Early terminations may also involve a deobligation or revision to the award amount<\/li>\n<\/ul>\n<h4><b>How to Request:<\/b><\/h4>\n<ol>\n<li>Complete the relevant portions of the <a href=\"\/research\/forms-and-templates\/end-of-award-form\/\">End of Award request form<\/a> and attach to a OSP &amp; GCA Modification Request (MOD) in SAGE.\n<ul>\n<li>NOTE: This form is not required for early terminations initiated by federal agencies or federal flow-through entities.<\/li>\n<\/ul>\n<\/li>\n<li>Navigate to the Schedule Change heading and select <strong>Early Termination<\/strong> subcategory.<\/li>\n<li>Add <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\">comments<\/a> to explain special situations, or explain what you are requesting.<\/li>\n<li>If there are active subawards, you will also need to request a subaward modification request in SAGE Subawards to terminate <a href=\"\/research\/myresearch-lifecycle\/manage\/subawards\/#sub-changes\">subawards<\/a>.<\/li>\n<li>If the sponsor initiates an early termination and you received an amendment to your award, attach the amendment along with a completed <a href=\"\/research\/forms-and-templates\/end-of-award-form\/\">End of Award request form<\/a> to the MOD.<\/li>\n<li>Include all <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-supporting-attachments\/\">Supporting Attachments<\/a>.<\/li>\n<\/ol>\n<p>For early terminations for federal and federal flow-through, please review more information on <a href=\"\/research\/or\/guidance-on-new-admin-policy\/#early-termination\">Guidance on Federal Administration Research Policy<\/a>.<\/p>\n<p>If the early termination is accompanied by a Deobligation, also select the Deobligation category for your SAGE Modification request.<\/p>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"extension\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Extension<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>A (no-cost) extension gives a Principal Investigator (PI) additional time on an awarded project without additional funding. It can be requested mid-project (temporary) or towards the end of the project.<\/p>\n<p>Sponsors may have limitations on the timing and notification of an extension. Review the award and sponsor regulations.<\/p>\n<p>All extensions for awarded projects (even those already approved by the sponsor) require compliance review and approval by OSP.<\/p>\n<p>If your award has annual reporting requirements, you may need to request an <a href=\"https:\/\/finance.uw.edu\/gca\/award-lifecycle\/award-setup\/advance-awards\" target=\"_blank\" rel=\"noopener\">advance<\/a> instead of an extension.<\/p>\n<p>If an award has not been made, and you want to extend a pre-existing Advance, review guidance from Grant &amp; Contract Accounting on <a href=\"https:\/\/finance.uw.edu\/gca\/award-lifecycle\/award-setup\/advance-awards\" target=\"_blank\" rel=\"noopener\">Advance Set Up &amp; Extension<\/a>.<\/p>\n<p>End of project extension requests should be submitted 45 business days before the award end date.<\/p>\n<h4>How to request:<\/h4>\n<ol>\n<li>Create an OSP &amp; GCA Modification Request (MOD) in SAGE.<\/li>\n<li>Navigate to the Schedule Change heading and select the <strong>Extension<\/strong> subcategory.<\/li>\n<li>Add <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\" target=\"_blank\" rel=\"noopener\">comments<\/a> to explain special situations, or explain what you are requesting.<\/li>\n<li>Attach a copy of your completed <a href=\"https:\/\/forms.office.com\/r\/jKXi9gFpq2\" target=\"_blank\" rel=\"noopener\">Extension Request form<\/a>.<\/li>\n<li>If no sponsor system of submission is involved, or this is a second no-cost extension, also attach a <a href=\"https:\/\/washington.edu\/research\/forms-and-templates\/concurrence-letter-sample\/\">concurrence letter<\/a> requesting additional time and a scientific justification for the additional time (e.g. remaining funds to expend is not a justification).\n<ul>\n<li>MOD Requests for concurrence will be returned to the campus unit preparer while the UW waits for the sponsor to approve the request.<\/li>\n<\/ul>\n<\/li>\n<li>If a sponsor uses an electronic system for submission of the request, use that system to prepare and forward your request to OSP (AOR).<\/li>\n<li>An updated SAGE Budget Worksheet is not needed.<\/li>\n<li>The PI, Personnel, &amp; Organizations page of the original eGC1 should be updated, if necessary.<\/li>\n<li>Investigators should update their SFI disclosure if they have not renewed their SFI or if there is new or updated SFI to disclose.<\/li>\n<\/ol>\n<h4>Sponsor Specific Extension Request\/Notification Processes<\/h4>\n<p>In addition to using the <a href=\"https:\/\/forms.office.com\/r\/jKXi9gFpq2\">Extension Request form<\/a> and Creating a SAGE Modification Request, we must notify or request an extension from the sponsor. Sometimes this is done by OSP and sometimes by the PI.<\/p>\n<p>In all cases, OSP compliance review &amp; approval must be requested via an OSP &amp; GCA Modification Request in SAGE.<\/p>\n<table>\n<tbody>\n<tr>\n<th scope=\"col\">Sponsor<\/th>\n<th scope=\"col\">System<\/th>\n<th scope=\"col\">PI Instructions<\/th>\n<\/tr>\n<tr>\n<th scope=\"row\">NIH<\/th>\n<td>eRA Commons<\/td>\n<td>OSP submits after PI requests via SAGE MOD<\/td>\n<\/tr>\n<tr>\n<th scope=\"row\">NSF<\/th>\n<td>Research.gov<\/td>\n<td>OSP submits after PI requests via SAGE MOD<\/td>\n<\/tr>\n<tr>\n<th scope=\"row\">NOAA<\/th>\n<td>eRA Commons<\/td>\n<td>OSP submits after PI requests via SAGE MOD<\/td>\n<\/tr>\n<tr>\n<th scope=\"row\">NASA<\/th>\n<td>Shared Services Center<\/td>\n<td>Submit notification or request and get sponsor confirmation<\/td>\n<\/tr>\n<tr>\n<th scope=\"row\">HRSA<\/th>\n<td>E-Handbook<\/td>\n<td>Submit concurrence letter (signed by OSP) within system<\/td>\n<\/tr>\n<tr>\n<th scope=\"row\">USGS<\/th>\n<td><\/td>\n<td>Submit concurrence letter (signed by OSP) within system<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<h4>Extension FAQs:<\/h4>\n<ul>\n<li><a href=\"\/research\/faq\/what-is-a-no-cost-extension\/\">What is a no-cost extension?<\/a><\/li>\n<li><a href=\"\/research\/faq\/how-does-the-no-cost-extension-process-work\/\">How does the no-cost extension process work?<\/a><\/li>\n<\/ul>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"temporary-internal-extensions\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Temporary Internal Extensions<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>A Temporary Internal Extension allows you to extend an award so you can continue posting expenses while awaiting additional funding or formal extension processing.<\/p>\n<ol>\n<li>Create an OSP &amp; GCA Modification Request (MOD) in SAGE<\/li>\n<li>Navigate to the Schedule Change heading and select the <strong>Extension: Temporary Internal<\/strong> subcategory.<\/li>\n<li>Add <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\" target=\"_blank\" rel=\"noopener\">comments<\/a> to explain special situations, or explain what you are requesting.<\/li>\n<li>Attach a copy of your completed <a href=\"https:\/\/forms.office.com\/r\/jKXi9gFpq2\" target=\"_blank\" rel=\"noopener\">Extension Request form<\/a>.<\/li>\n<li>You must provide an alternative departmental non-sponsored project worktag on the extension form.<\/li>\n<\/ol>\n<p>If the sponsor does not approve the extension, the department worktag will be used to cover those expenses.<\/p>\n<p>GCA cannot invoice sponsors for expenses accrued past the current approved end date.<\/p>\n<p>FAQ: <a href=\"\/research\/faq\/temporary-budget-extension\/\">What is a Temporary Internal Extension?<\/a><\/p>\n<h4>Automatic Carryover &amp; Temporary Internal Extensions<\/h4>\n<p>If you are waiting for an award modification from the sponsor to be fully executed and the terms &amp; conditions of the award indicate<a href=\"https:\/\/finance.uw.edu\/gca\/award-lifecycle\/budget-setup\/renewals-vs-supplement-extensions\"> Automatic Carryover,<\/a> you should request a Temporary Internal Extension. Expenditures under the Temporary Internal Extension period will not be billed until the sponsor approved modification has been processed.<\/p>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"payment-schedule-change\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Payment Schedule Change<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>For instances where the sponsor has revised payment terms. This typically involves a change to the payment dates\/frequency\/amounts (still same total).<\/p>\n<ol>\n<li>Create an OSP &amp; GCA Modification Request in SAGE.<\/li>\n<li>Navigate to the Schedule Change heading and select the <strong>Payment Schedule Change<\/strong> subcategory.<\/li>\n<li>Attach correspondence from sponsor detailing the change to the payment terms.<\/li>\n<li>Add <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\" target=\"_blank\" rel=\"noopener\">comments<\/a> to explain special situations, or explain what you are requesting.<\/li>\n<\/ol>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"preaward-spending-period-change\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Pre-award Spending Period Change<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>For requesting prior sponsor approval to update the period of advance spending.<\/p>\n<ol>\n<li>Create an OSP &amp; GCA Modification Request in SAGE.<\/li>\n<li>Navigate to the Schedule Change heading and select the <strong>Pre-Award Spending Period Change<\/strong> subcategory.<\/li>\n<li>Attach sponsor approval allowing an updated pre-award spend period.<\/li>\n<li>Add <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\" target=\"_blank\" rel=\"noopener\">comments<\/a>\u00a0to explain special situations, or explain what you are requesting.<\/li>\n<\/ol>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"preaward-spending-period-change\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Start Date Change<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>Use when there are start date changes to an award and prior sponsor approval is required:<\/p>\n<ol>\n<li>Create an OSP &amp; GCA Modification Request.<\/li>\n<li>Navigate to the Schedule Changes heading and select the <strong>Start Date <\/strong>subcategory.<\/li>\n<li>Add <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\" target=\"_blank\" rel=\"noopener\">comments<\/a> to explain special situations, or explain what you are requesting.<\/li>\n<\/ol>\n<p>When start date changes do not require sponsor approval, create a <a href=\"https:\/\/finance.uw.edu\/gca\/award-lifecycle\/award-setup\/modifications\" target=\"_blank\" rel=\"noopener\">GCA Only Modification Request<\/a>. GCA encourages including their optional <a href=\"https:\/\/finance.uw.edu\/gca\/award-lifecycle\/award-setup\/modifications\" target=\"_blank\" rel=\"noopener\">GCA Modification Checklist<\/a> along with your Award Modification Request (GCA Only).<\/p>\n<\/div>\n<\/div>\n<\/div>\n<hr \/>\n<h2 id=\"other-changes\">Other Changes<\/h2>\n<p>The following instructions are for the subcategory types within the Other Changes section of the OSP\/GCA Modification section of SAGE. Make sure to select any other related categories and include a basic description of what you are looking to do.<\/p>\n<div class=\"accordion non-bold\" id=\"accessible-accordion\">\n<div class=\"screen-reader-text\">Accessible Accordion<\/div>\n<div class=\"card\" id=\"stop-work-exec\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Stop Work Order, Resume Work Order, Executive Branch Directive Order<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>Select these three OSP &amp; GCA MOD subcategories according to <a href=\"\/research\/or\/guidance-on-new-admin-policy\/\">Guidance on Federal Administration Research Polic<\/a>y:<\/p>\n<ul>\n<li><a href=\"\/research\/or\/guidance-on-new-admin-policy\/#stop-or-suspend-work-order\">Stop Work Order<\/a><\/li>\n<li><a href=\"\/research\/or\/guidance-on-new-admin-policy\/#resume-work\">Resume Work Order<\/a><\/li>\n<li>Executive Branch Directive Order: Review guidance when sponsor requests <a href=\"\/research\/or\/guidance-on-new-admin-policy\/#scope-revisions\">Scope Revisions<\/a> or when they are requesting <a href=\"h\/research\/or\/guidance-on-new-admin-policy\/#terms-or-award-changes\">Terms or Award Changes<\/a>.<\/li>\n<\/ul>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"cta-changes\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Clinical Trials Agreement Changes<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>Select all relevant MOD subcategories for changes included in your request. For example, when requesting a change of PI for a Clinical Trial Agreement (CTA), you select CTA Change and Change of PI.<\/p>\n<p>Provide responses to these questions in the <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\">comments<\/a> section:<\/p>\n<ul>\n<li>What is the primary purpose of the Amendment (e.g. protocol changes)?<\/li>\n<li>Provide the best, current sponsor contact information.<\/li>\n<li>Does this Amendment cause a budget change of more than 10% or are there new charges?<\/li>\n<\/ul>\n<p>Include required <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-supporting-attachments\/\" target=\"_blank\" rel=\"noopener\">attachments<\/a> as applicable:<\/p>\n<ul>\n<li>Draft CTA amendment<\/li>\n<li>Current Protocol<\/li>\n<li>Current IRB approval\n<ul>\n<li>IRB reliance letter, if applicable<\/li>\n<\/ul>\n<\/li>\n<li>Sponsor\/CRO correspondence<\/li>\n<li>Budget Attachments\n<ul>\n<li>CTO summary review; if the CTO summary review\/PI approval is still pending, state this in the <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\" target=\"_blank\" rel=\"noopener\">comments<\/a>.<\/li>\n<li>All summary review attachments, including:\n<ul>\n<li>Billing Grid<\/li>\n<li>Final agreed upon draft budget<\/li>\n<li>Final agreed upon payment terms<\/li>\n<\/ul>\n<\/li>\n<li>PI approval of the budget and attachments as reviewed by CTO<\/li>\n<\/ul>\n<\/li>\n<li>For a Change of PI on a CTA, also follow <a href=\"\/research\/myresearch-lifecycle\/manage\/award-changes\/#change-pi\">MOD instructions for Change of PI<\/a> and attach a completed <a href=\"\/research\/forms-and-templates\/request-a-change-of-pi\/\">Change of PI form<\/a>\n<ul>\n<li>Updated Biographical sketch for new PI, the UW recommends using <a href=\"https:\/\/www.ncbi.nlm.nih.gov\/sciencv\/\">SciENcv<\/a> and federal <a href=\"https:\/\/www.nsf.gov\/bfa\/dias\/policy\/nstc_disclosure.jsp\" target=\"_blank\" rel=\"noopener\">Common Forms<\/a><\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<p>The OnCore Clinical Trial Management System (CTMS) handles generation of the invoices for these studies. OnCore is integrated with Workday so that once an invoice is generated in the OnCore CTMS, an invoice is generated in Workday, since Workday is the UW\u2019s system of record. The OnCore CTMS and Workday Invoice integration automatically increases the award total, award authorizations, award line amount, and plan amount (which flows to the budget seen in the R1234 report) based on the amount of the invoice generated in OnCore. This integration between the two systems is why a MOD is sent over with a zero dollar SAGE budget. The Department remains responsible for tracking costs and accuracy of invoicing based on the current terms.<\/p>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"effort-changes-key-person\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Effort Changes- Key Personnel - Includes PI<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>A significant reduction in effort (25% or more) for the PI or other Key Personnel usually requires prior sponsor approval. Reduction includes absence from the project for an extended period of time of 3 months or more.<\/p>\n<p>Review your notice of award and other sponsor guidelines before sending Modification Requests to OSP for review and submission to the sponsor.<\/p>\n<ol>\n<li>Create a OSP &amp; GCA Modification Request in SAGE.<\/li>\n<li>Navigate to Other Changes heading and select <strong>Effort Changes -Key Personnel<\/strong> subcategory along with any other subcategories for all changes being requested (and follow those instructions too)<\/li>\n<li>Include explanation of necessary change in the comments.<\/li>\n<li>Attach and indicate any scope of work change as a result.<\/li>\n<li>If effort changes mean there will be budgetary changes, update the Awarded SAGE Budget Worksheet(s) and connect to the MOD.\n<ul>\n<li>For budget changes to an existing award line, <a href=\"\/research\/learning\/online\/index.php\/lessons\/how-to-find-an-award-id-number\/\" target=\"_blank\" rel=\"noopener\">include the Workday Grant ID (GRXXXXXX)#<\/a> along with the request for budgetary changes so GCA will know which Grant ID changes should be applied to.<\/li>\n<li>Select Rebudgeting category (found under Funding &amp; Budgeting heading) in addition to Effort Changes.<\/li>\n<\/ul>\n<\/li>\n<li>Attach sponsor approval for named key personnel, if you already have it.<\/li>\n<li>Attach updated Cost Share Addendum attached to MOD if cost shared effort involved and will change.<\/li>\n<\/ol>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"fed-data-repository-access\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Federal Data Repository Access &amp; Submission<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>When you are accessing or submitting data to a Federal Repository such as dbGaP, NIAGADS, CMS, and are required to complete a Data Submission Agreement (DSA), Data Access Request (DAR), or Data Use Certification (DUC) you will need to follow these instructions.<\/p>\n<ol>\n<li>Create OSP &amp; GCA Modification request in SAGE<\/li>\n<li>Navigate to Other Changes heading &amp; select <strong>Federal Data Repository Access &amp; Submission<\/strong> subcategory.<\/li>\n<li>Attach the completed Federal Repository form.<\/li>\n<li>Add <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\">comments<\/a> to explain special situations, or explain what you are requesting.<\/li>\n<\/ol>\n<p>NOTE: Before submitting human subjects datasets to repositories, consult with the Human Subjects Division <a href=\"mailto:hsdinfo@uw.edu\" target=\"_blank\" rel=\"noopener\">hsdinfo@uw.edu<\/a><\/p>\n<h4>NIH Controlled-Access Genomic Data:<\/h4>\n<p>If you will be accessing controlled-access genomic data, as defined by NIH, compliance with the \u201cNIH Security Best Practices for Users of Controlled-Access Data\u201d requires such data on institutional IT systems and third-party computing infrastructures meet certain standards in NIST SP 800-171 \u201cProtecting Controlled Unclassified Information in Nonfederal Information Systems and Organizations\u201d.<\/p>\n<p>Review steps in <a href=\"\/research\/policies\/how-to-request-datasets-from-dbgap\/\" target=\"_blank\" rel=\"noopener\">How to request dbGaP datasets<\/a>.<\/p>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"progress-report-rppr\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Progress Report - RPPR - Submission<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>A Modification Request in SAGE is <em>not<\/em> needed for the following progress report submissions:<\/p>\n<ul>\n<li>Sponsor allows direct submission of the progress report by the PI<\/li>\n<li>NIH: SNAP eligible Annual, Interim, or Final RPPRs<\/li>\n<li>NIH: Interim and Final RPPRs<\/li>\n<li>Fred Hutchinson Cancer Center (FHCC)\n<ul>\n<li>FHCC does not require OSP signature on progress report materials \/ Letter of Intent for non-competing years<\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<p>You do need an OSP &amp; GCA Modification in SAGE for the following progress report submission requests:<\/p>\n<ul>\n<li>NIH non-SNAP Annual RPPR\n<ul>\n<li>Review <a href=\"\/research\/faq\/how-do-i-know-snap-eligible\/\">How do I know if an award is SNAP eligible?<\/a><\/li>\n<\/ul>\n<\/li>\n<li>Some federal flow-through awards, if the pass-through entity requires a signature or a Letter of Intent,\/li&gt;\n<ul>\n<li style=\"list-style-type: none;\">\n<ul>\n<li>Don\u2019t assume they require a signature<\/li>\n<li>Confirm with the pass-through entity before routing a Modification<\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<h4><strong>What to do<\/strong><\/h4>\n<ol>\n<li>Create an OSP &amp; GCA Modification Request in\u00a0 SAGE<\/li>\n<li>Navigate to the Other Changes section and select the <strong>Progress Report\/RPPR <\/strong>subcategory<strong>.<\/strong><\/li>\n<li>comments to explain special situations, or explain what you are requesting.<\/li>\n<li>If no sponsor system of submission involved, <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-supporting-attachments\/\" target=\"_blank\" rel=\"noopener\">attach<\/a> the progress report or other sponsor required documentation for progress report submission<\/li>\n<\/ol>\n<p>Investigators should <a href=\"\/research\/sfi-review-for-sponsored-research-progress-reporting\/\" target=\"_blank\" rel=\"noopener\">update their SFI disclosure<\/a> if they have not renewed their SFI or if there is new or updated SFI to disclose. This is checked later at the time supplemental funding is processed.<\/p>\n<p>Review more:<\/p>\n<ul>\n<li><a href=\"\/research\/myresearch-lifecycle\/manage\/reporting\/\" target=\"_blank\" rel=\"noopener\">Manage Progress Reports &#8211; RPPRs<\/a><\/li>\n<li><a href=\"\/research\/myresearch-lifecycle\/closeout\/reporting\/#external\" target=\"_blank\" rel=\"noopener\">Closeout Progress Reports\u00a0 &#8211; RPPRs<\/a><\/li>\n<\/ul>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"restriction-release\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Restriction Release<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>Award terms and conditions may place restrictions on some or all of the funding before it can be spent. Some restrictions require prior sponsor approval before the restriction can be lifted. All restricted funding must be managed with internal controls at the UW.<\/p>\n<h4>Requesting Funding Restriction Removal: Prior Approval Required<\/h4>\n<p>Review your award to determine if prior approval from the sponsor is required to lift funding restrictions. Funding restrictions will also be visible in the <a href=\"https:\/\/finance.uw.edu\/gca\/award-lifecycle\/managing-your-award\/workday-object-classes\" target=\"_blank\" rel=\"noopener\">Award Plan in Workday under ledger account 95150 and object class 21<\/a>.<\/p>\n<p>Submit requests for prior approval via a SAGE Modification Request (OSP &amp; GCA), select Other Changes, and provide:<\/p>\n<ol>\n<li>Create an OSP &amp; GCA Modification Request in SAGE.<\/li>\n<li>Navigate to Other Changes heading and select Restriction Release subcategory.<\/li>\n<li>Explain in the <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\" target=\"_blank\" rel=\"noopener\">comments<\/a> how requirements have been met to release the restriction.<\/li>\n<li>Supporting documentation attached to the MOD that reflects requirement has been met (e.g. protocol approval).<\/li>\n<li>After sponsor prior approval is obtained, OSP will approve the MOD and send it to GCA.<\/li>\n<\/ol>\n<h4>Request Removal of Funding Restriction when Prior Sponsor Approval is NOT Required<\/h4>\n<p>Requests to remove spend restrictions on an award when prior approval is not required are submitted on a SAGE <a href=\"https:\/\/finance.uw.edu\/gca\/award-lifecycle\/award-setup\/modifications\" target=\"_blank\" rel=\"noopener\">GCA Only Modification Request<\/a>, select Other Changes, indicate request to remove funding restriction in the comments.<\/p>\n<p>GCA encourages including their optional <a href=\"https:\/\/finance.uw.edu\/gca\/award-lifecycle\/award-setup\/modifications\" target=\"_blank\" rel=\"noopener\">GCA Modification Checklist<\/a> along with your Award Modification requests.<\/p>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"change-scope-of-work\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Work Scope Change<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<ol>\n<li>Create an OSP &amp; GCA Modification Request in SAGE.<\/li>\n<li>Navigate to the Other Changes heading and select the <strong>Work Scope Change<\/strong> subcategory along with any other categories of changes being requested<\/li>\n<li>Add <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\" target=\"_blank\" rel=\"noopener\">comments<\/a> to explain special situations, or explain what you are requesting.<\/li>\n<li>Attach a <a href=\"\/research\/forms-and-templates\/concurrence-letter-sample\/\">concurrence letter<\/a> describing intended change in scope, scientific justification or other sponsor required information to make the request\n<ul>\n<li>If the PI already has an award modification in hand, attach it to the Modification Request to OSP.<\/li>\n<li>MOD Requests for concurrence will be returned to the campus unit preparer while the UW waits for the sponsor to approve the request.<\/li>\n<\/ul>\n<\/li>\n<li>An updated SAGE Budget Worksheet is not needed <em>unless<\/em> the change leads to rebudgeting, in which case also select Funding &amp; Budgeting Changes, and\n<ul>\n<li>Connect an updated Awarded SAGE Budget.<\/li>\n<li>For budget changes to an existing award line, <a href=\"\/research\/learning\/online\/index.php\/lessons\/how-to-find-an-award-id-number\/\" target=\"_blank\" rel=\"noopener\">include the Workday Grant ID (GRXXXXXX)#<\/a> along with the request for budgetary changes so GCA will know which Grant ID changes should be applied to.<\/li>\n<li>Select Programmatic Changes as well as Funding &amp; Budgeting Changes.<\/li>\n<\/ul>\n<\/li>\n<li>The PI, Personnel &amp; Organizations page of the original eGC1 should be updated, if necessary<\/li>\n<\/ol>\n<p>At the time sponsor approval is achieved, OSP will verify with the PI that intended compliance changes that require separate protocol or compliance office approval are in place. Steps a PI may need to take to initiate changes to protocol approvals:<\/p>\n<ul>\n<li>Human Subjects: Submit a <a href=\"\/research\/hsd\/study-activities\/modify\/\" target=\"_blank\" rel=\"noopener\">modification to the IRB<\/a> reviewing the study<\/li>\n<li>Animal Use: Submit an <a href=\"https:\/\/hoverboard.washington.edu\/\" target=\"_blank\" rel=\"noopener\">amendment to the IACUC protocol(s)<\/a>. Reach out to OAW with questions or for assistance transferring animals to another institution <a href=\"mailto:oawrss@uw.edu\">oawrss@uw.edu<\/a><\/li>\n<li>Changes that introduce new or changes to SFI: Disclose in FIDS to make updates<\/li>\n<\/ul>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"other-other\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Other Changes<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>Use this category sparingly. It was designed for changes that absolutely do not fit in any of the other categories.<\/p>\n<p>Make sure to include a comment explaining what you are requesting and attach all relevant documentation that will help OSP &amp; GCA understand what you are requesting.<\/p>\n<\/div>\n<\/div>\n<\/div>\n<h3 id=\"key-person-changes-incl-pi\">Key Personnel Changes &#8211; Includes PI<\/h3>\n<p>There are two sets of instructions for Key Personnel Changes. One for <a href=\"#change-pi\">Change of PI<\/a> and another for <a href=\"#change-key-person\">Key Personnel Changes<\/a>.<\/p>\n<div class=\"accordion non-bold\" id=\"accessible-accordion\">\n<div class=\"screen-reader-text\">Accessible Accordion<\/div>\n<div class=\"card\" id=\"change-pi\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Change of PI - Campus Steps<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>When the PI originally named on a proposal needs to change to another UW PI after an award is made, there are a few things that need to happen. Not only is prior sponsor approval required, the UW needs the new PI to provide specific assurances, and the unit Chair &amp; Dean also need to provide their concurrence.<\/p>\n<p>These instructions explain what to do when a change of PI is required once an award has been made to UW. If you need to change a PI after proposal before an award is made review <a href=\"\/research\/myresearch-lifecycle\/plan-and-propose\/submit-proposal\/post-submission\/#change-pi-after-proposal-before-award\">Requesting a Change of PI after Proposal up to Time of Award<\/a>.<\/p>\n<h5>Instructions<\/h5>\n<ol>\n<li>Follow instructions for completing <a href=\"\/research\/forms-and-templates\/request-a-change-of-pi\/\" target=\"_blank\" rel=\"noopener\">Change of PI form<\/a> including Preliminary Steps required to change a PI.<\/li>\n<li>Update eGC1 PI, Personnel, &amp; Organizations page: <a href=\"\/research\/tools\/sage\/guide\/egc1-forms\/egc1-pi-personnel-organizations-page\/principal-investigator\/\">Change the Principal Investigator.<\/a>\n<ul>\n<li>Update any other Personnel and\/or Investigator Status for the project if applicable\n<ul>\n<li>If other Key Personnel are changing, sponsor prior approval is also required, follow steps for <a href=\"#change-key-person\">Key Personnel changes<\/a>.<\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<\/li>\n<li>Create an OSP &amp; GCA Modification Request (MOD) in SAGE<\/li>\n<li>Navigate to Other Changes and select <strong>Key Personnel Changes &#8211; Includes PI.<\/strong><\/li>\n<li>Attach:\n<ul>\n<li>Completed <a href=\"\/research\/forms-and-templates\/request-a-change-of-pi\/\">Change of PI Request form<\/a>.<\/li>\n<li>Proof of Sponsor\u2019s authorized representative approval or, if sponsor approval is outstanding, attach request drafted to the sponsor on the new PI\u2019s campus unit letterhead, signed by the new PI and the former PI (or Chair\/Unit Lead if former PI unavailable) for OSP concurrence.<\/li>\n<li>Documentation reflecting the new PI\u2019s suitability for the role (such as their Biosketch and Other Support) as required by the sponsor.<\/li>\n<li>Other supporting material as required by the sponsor.<\/li>\n<\/ul>\n<\/li>\n<li>If budgetary changes result from a PI change:\n<ul>\n<li>Make any budgetary changes on the Awarded budget in SAGE Budget and connect to the MOD.<\/li>\n<li>For budget changes to an existing award line, <a href=\"\/research\/learning\/online\/index.php\/lessons\/how-to-find-an-award-id-number\/\" target=\"_blank\" rel=\"noopener\">include the Workday Grant ID (GR######)<\/a> along with the request for budgetary changes so GCA will know which Grant ID changes should be applied to.<\/li>\n<li>Select the Rebudgeting subcategory (found under Funding &amp; Budgeting heading) along with Key Personnel Changes subcategory.<\/li>\n<\/ul>\n<\/li>\n<li>Provide details on changes to the scope of work that result from personnel changes.<\/li>\n<li>Add <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\">comments<\/a> to explain special situations, or explain what you are requesting.<\/li>\n<li>Include all other relevant <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-supporting-attachments\/\" target=\"_blank\" rel=\"noopener\">Supporting Attachments<\/a>.<\/li>\n<\/ol>\n<p>A change of PI will be reflected on the Award in Workday after OSP receives sponsor approval and GCA has processed the Request in Workday Finance. Review the following sections on requirements for a change of PI when Human Subjects or Animal Research is involved.<\/p>\n<p>After OSP receives the authorized sponsor representative\u2019s approval of the change, OSP will send the modification request to GCA. GCA will then change the PI name in the financial system. Sponsor approval may be in the form of an award modification or amendment.<\/p>\n<h5>Human Subjects Research: Change of PI<\/h5>\n<p>When human subjects research is involved, the following actions must be promptly taken when (or just before) a PI is replaced or moves to another institution:<\/p>\n<ul>\n<li>Submit a modification to the IRB reviewing the study.<\/li>\n<li>Change the responsible party at ClinicalTrials.gov, if the study is a registered clinical trial.<\/li>\n<\/ul>\n<h5>Animal Subjects Research: Change of PI<\/h5>\n<p>When animal subjects research is involved, the following actions must be promptly taken when (or just before) a PI is replaced or moves to another institution:<\/p>\n<ul>\n<li>Submit an amendment to the IACUC protocol(s).<\/li>\n<li>Reach out to OAW with questions or for assistance transferring animals to another institution <a href=\"mailto:oawrss@uw.edu\">oawrss@uw.edu<\/a>.<\/li>\n<\/ul>\n<\/div>\n<\/div>\n<div class=\"card\" id=\"change-key-person\">\n<div class=\"card-header\" id=\"accordion-header\">\n<h3 class=\"mb-0\"><button class=\"btn btn-link\" type=\"button\" data-toggle=\"collapse\" data-target=\"#collapse\" aria-expanded=\"false\" aria-controls=\"collapse\"><span class=\"btn-text\">Key Personnel Changes<\/span><span class=\"arrow-box\"><span class=\"arrow\"><\/span><\/span><\/button><\/h3>\n<\/div>\n<div id=\"collapse\" class=\"collapse \" aria-labelledby=\"collapse\" data-parent=\"#accordion\" role=\"region\">\n<p>Similar to when there is a Change of PI, when there are Other Key Personnel changes, sponsor prior approval is often required. Review your notice of award and other sponsor guidelines before sending requests to OSP for review and submission to the sponsor.<\/p>\n<p>Verify the Key Personnel have not been <a href=\"\/research\/policies\/gim-1\/#pi-assurances-egc1\">debarred or suspended<\/a>.<\/p>\n<ol>\n<li>Submit an OSP &amp; GCA Modification Request (MOD) in SAGE<\/li>\n<li>Navigate to the Other Changes heading and select<strong> Key Personnel Changes &#8211; Includes PI<\/strong>.<\/li>\n<li>Attach a completed <a href=\"\/research\/forms-and-templates\/concurrence-letter-sample\/\" target=\"_blank\" rel=\"noopener\">concurrence<\/a> letter to the Modification Request.\n<ul>\n<li>MOD Requests for concurrence will be returned to the campus unit preparer while the UW waits for the sponsor to approve the request.<\/li>\n<\/ul>\n<\/li>\n<li>Add <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-comments-history\/#asr_and_mod_comment_examples\">comments<\/a> to explain special situations, or explain what you are requesting.<\/li>\n<li>Attach a replacement Personnel Biographical Sketch.<\/li>\n<li>If budgetary changes result from a Key Person change:\n<ul>\n<li>Make any budgetary changes on the Awarded budget in SAGE Budget and connect to the MOD.<\/li>\n<li>For budget changes to an existing award line, <a href=\"http:\/\/www.washington.edu\/research\/tools\/sage\/guide\/sage-budget\/budget-history\/\" target=\"_blank\" rel=\"noopener\">include the Workday Grant ID (GRXXXXXX)#<\/a> along with the request for budgetary changes so GCA will know which Grant ID changes should be applied to.<\/li>\n<li>Select Funding and Budgeting Changes in addition to Programmatic Changes.<\/li>\n<\/ul>\n<\/li>\n<li>Provide details on changes to the scope of work that result from personnel changes.<\/li>\n<li>Include all other relevant <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-supporting-attachments\/\" target=\"_blank\" rel=\"noopener\">Supporting Attachments<\/a>.<\/li>\n<\/ol>\n<\/div>\n<\/div>\n<\/div>\n<hr \/>\n<h2 id=\"holds\">Holds<\/h2>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"wp-image-50192 alignnone\" src=\"\/research\/wp-content\/uploads\/SAGE-Holds-banner.png\" alt=\"Banner indicates Holds or compliance checks are in process. View the Comments &amp; History section for more information.\" width=\"741\" height=\"49\" srcset=\"https:\/\/www.washington.edu\/research\/wp-content\/uploads\/SAGE-Holds-banner.png 3932w, https:\/\/www.washington.edu\/research\/wp-content\/uploads\/SAGE-Holds-banner-300x20.png 300w, https:\/\/www.washington.edu\/research\/wp-content\/uploads\/SAGE-Holds-banner-1024x68.png 1024w, https:\/\/www.washington.edu\/research\/wp-content\/uploads\/SAGE-Holds-banner-768x51.png 768w, https:\/\/www.washington.edu\/research\/wp-content\/uploads\/SAGE-Holds-banner-1536x102.png 1536w, https:\/\/www.washington.edu\/research\/wp-content\/uploads\/SAGE-Holds-banner-2048x136.png 2048w, https:\/\/www.washington.edu\/research\/wp-content\/uploads\/SAGE-Holds-banner-375x25.png 375w, https:\/\/www.washington.edu\/research\/wp-content\/uploads\/SAGE-Holds-banner-750x50.png 750w, https:\/\/www.washington.edu\/research\/wp-content\/uploads\/SAGE-Holds-banner-1140x76.png 1140w\" sizes=\"auto, 100vw\" \/><br \/>\nOSP and GCA both can <a href=\"\/research\/tools\/sage\/guide\/awards\/awards-holds\/\">manually apply a &#8220;Hold&#8221;<\/a> to Award Setup (ASR) or Modification (MOD) Requests for a variety of reasons. A notification appears at the top of each section to let you know when a Hold has been applied.<\/p>\n<p>The Comments &amp; History section of the MOD will include a brief description of the Hold Reason, and depending upon the type of hold may contain additional instructions. Not all Holds require campus action. Review the Comments &amp; History section for information on any action items you may need to address.<\/p>\n<h2 id=\"why-mod-returned\">Why was my Modification Request returned?<\/h2>\n<p>Your request may be returned for a variety of reasons, including:<\/p>\n<ul>\n<li>Compliance Approval Needed<\/li>\n<li>Form Missing<\/li>\n<li>Inaccurate information<\/li>\n<li>Incomplete information<\/li>\n<li>Pending Activation Notice (for fellowship)<\/li>\n<li>PI acknowledgement Needed<\/li>\n<li>Revised SAGE Budget Needed<\/li>\n<li>SAGE Budget Needed<\/li>\n<li>MOD Requests for concurrence will be returned to the campus unit preparer while the UW waits for the sponsor to approve the request.<\/li>\n<li>Other<\/li>\n<\/ul>\n<hr \/>\n<p><em>Updates to format 3\/27\/2026<\/em><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Contents How do I request changes to an award? Prior Approvals? Key tips for creating a MOD in SAGE Funding &amp; Budgeting Changes Schedule Changes Other&#8230;<\/p>\n","protected":false},"author":13,"featured_media":0,"parent":214,"menu_order":7,"comment_status":"closed","ping_status":"closed","template":"templates\/page-builder-lifecycle.php","meta":{"_acf_changed":false,"footnotes":""},"class_list":["post-479","page","type-page","status-publish","hentry"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.1.1 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Award Changes - UW Research<\/title>\n<meta name=\"description\" content=\"Guidance on OSP\/GCA Modifications in SAGE, prior approval, supplement, extension, change PI as well as information on requesting other MODs\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.washington.edu\/research\/myresearch-lifecycle\/manage\/award-changes\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Award Changes - 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