UW Research

Award Changes

Contents

Topics included here will cover types of award changes along with more information on what’s required to make these requests and links to more guidance.

How do I request changes to an award?

All changes that require sponsor approval, an authorized official signature, or OSP review, must be requested via an OSP & GCA  Modification Request (MOD) in SAGE. See CHECKLIST: OSP & GCA Modifications in SAGE

Other types of award changes that can bypass OSP are requested via a GCA Only Modification request in SAGE.

If you receive an award modification from the sponsor, whether or not OSP is included on the notification, coordinate with your unit’s award preparer 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.

Which MODs require Prior Approval?

Sponsors may require prior approval before making certain changes to an award. Federal sponsors who grant expanded authorities may allow some changes without getting prior sponsor approval.

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.

If concurrence is needed to request prior sponsor approval, attach a concurrence letter and include a comment explaining the situation.

When requesting OSP’s concurrence for prior approval requests, please note, OSP will return these MODs back to the unit while we wait for sponsor guidance.

Programmatic changes almost always require prior approval. These can include requests to:

  • Change the scope of work
  • Add or remove key personnel
  • Change key personnel effort
  • Cost Share changes
  • Lift funding restrictions
  • Early termination
  • Relinquishment and award transfers
  • Add a subaward not previously in the award
  • Add foreign national participation on Dept. of Energy Awards
  • 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:

Review your award, sponsor guidance, and additional instructions based on the type of change being requested.

Prior Approval Resources:

Key tips for creating a MOD in SAGE

When creating a MOD in SAGE, make sure to:

  • Review instructions for the specific categories and select all categories that reflect the type of changes being requested
  • Include all Supporting Attachments
  • Always add Comments to provide details on your request
  • For MODs requesting budgetary changes:
    • SAGE Budget connection always required for these OSP/GCA MODs: Carryover, Cost Share Change, Deobligation, Rebudgeting, Supplement
    • 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
    • For budget changes to an existing award line, include the Workday Grant ID (GR######)
  • For GCA only items that do not already have a required form, GCA encourages including their optional GCA Modification Checklist along with your requests

Funding & Budgeting Changes

This list reflects which SAGE Modification categories fall within the Funding & Budget changes section.
Make sure to select any other related subcategories. Most Funding & 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

Review the specific guidance for each category:

Carryover

Some sponsors allow automatic carryover (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 & GCA MOD. Review GCA’s detailed guidance on Carryover of Sponsored Program Award Funding.

  1. Create an OSP & GCA Modification in SAGE.
  2. Navigate to the Funding and Budgeting heading and select the Carryover subcategory.
  3. Attach a concurrence letter 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.
    • Why did the awarded budget not match expenditures on the award?
    • Detail the amount of funds to be carried forward and an explanation of unobligated balance.
    • MOD Requests for concurrence will be returned to the campus unit preparer while the UW waits for the sponsor to approve the request.
  4. Connect a SAGE budget.
    • The connected SAGE budget should have the period(s) with unused funds selected along with the intended recipient period(s).
    • This detailed SAGE Budget Worksheet needs to include the carryover amounts according to how they are going to be spent.
    • 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.
  5. In the comments, include the Workday Grant ID (GR######) along with the request for budgetary changes so GCA will know which Grant ID changes should be applied to.
  6. Attach a copy of the carryover budget for submission to sponsor (according to sponsor requirements).

Automatic Carryover?

Waiting for an award modification from the sponsor to be fully executed and the terms & conditions of the award indicate Automatic Carryover?  You should request a Temporary Internal Extension.

Review guidance:

Cost Share Changes – Prior Approval Required

When sponsor approval is required for changes to cost share, create & submit an OSP & GCA Modification in SAGE. If sponsor approval is not required, you will submit a GCA Only MOD.

Follow these instructions when prior approval is required:

  1. Create OSP & GCA Modification (MOD) in SAGE.
  2. Navigate to the Funding and Budgeting heading and select the Cost Share Changes – Prior Approval Required subcategory as well as any other MOD categories being requested.
  3. Add comments to explain special situations, or explain what you are requesting.
  4. Connect a SAGE Budget with the period(s) selected in which cost share is being changed.
  5. Attach: completed Cost Share Addendum.
  6. Attach concurrence letter as needed to request sponsor approval, see sample concurrence letter.
    • MOD Requests for concurrence will be returned to the campus unit preparer while the UW waits for the sponsor to approve the request.

Once documented sponsor approval has been obtained, OSP will approve the MOD in SAGE and send it to GCA for entry into Workday. Review more information about Cost Share from GCA.

Deobligation

Deobligations may also be known as funding decreases on an award. Sponsors typically issue a deobligation to reduce award amounts for the following situations:

  • Award will end early (e.g. early termination)
  • UW did not spend & draw down / invoice for the full award amount by end of project period
  • Sponsor decides to reduce award amount related to project needs

When a deobligation to an award needs to occur, you must create & submit an OSP & GCA Modification in SAGE and connect a SAGE Budget to the MOD.

What to do:

  1. Create an OSP & GCA Modification (MOD) request in SAGE.
  2. Navigate to the Funding and Budgeting heading and select the Deobligation subcategory.
  3. Add comments to explain special situations, or explain what you are requesting.
  4. Attach the deobligation or revised award notification from the sponsor indicating the reduced award amount.
  5. Include PI confirmation accepting award amount reduction.
  6. Connect a SAGE Budget to the MOD request.
    • Select the period(s) in which the award amount has been reduced.
    • The SAGE budget should reflect the reduced award (if not provided as part of the award modification).
    • GCA needs to know line items being impacted by reduction to complete the changes to the award in WD Finance.
    • Include the Workday Grant ID (GR######) along with the request so GCA will know which Grant ID changes should be applied to
  7. Include all relevant Supporting Attachments.

If an active subaward is affected, you will also need to submit a request to change a subaward in the SAGE Subaward Module.

If the deobligation is accompanied by early termination, also select the Early Termination subcategory found under Schedule Changes and attach a completed End of Award form to your SAGE Modification request.

Equipment Addition

The purchase of equipment typically results in rebudgeting and may also result in a change of scope for the project.

Many sponsors require  prior approval before making this significant purchase, if not included in the approved budget.

  1. Create a OSP & GCA Modification (MOD) Request in SAGE.
  2. Navigate to the Funding and Budgeting heading and select Equipment Addition subcategory as well as any other MOD categories being requested.
  3. Include Supporting Attachments such as  a completed concurrence letter, and supporting sponsor required documentation.
    • Such as a copy of the quote from the equipment vendor/manufacturer.
  4. If adding equipment creates a need to rebudget, a SAGE Budget must be connected.
    • Select both the Rebudgeting subcategory as well as the Equipment Addition subcategory.
  5. Add comments to explain special situations, or explain what you are requesting

Rebudgeting

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.

Rebudgeting – Sponsor Approval Required

  1. Create a OSP & GCA Modification (MOD) Request in SAGE
  2. Navigate to the Funding and Budgeting heading and select Rebudgeting – Sponsor Approval Required subcategory as well as any other MOD categories being requested
  3. If a sponsor uses an electronic system for submission of the request, use that system to prepare and forward your request to OSP (AOR)
  4. If no sponsor system of submission is involved, attach a completed concurrence letter to the MOD along with any other supporting sponsor required documentation.
    • MOD Requests for concurrence will be returned to the campus unit preparer while the UW waits for the sponsor to approve the request.
  5. Connect a SAGE Budget.
    • Select the period(s) which have changes to the budgeted funding.
  6. Add comments to provide updates, explain special situations, or explain what you are requesting
    • Detail the need for the rebudget request and reflect how the rebudgeting will support the project.
    • Include the Workday Grant ID (GR######) along with the request so GCA will know which Grant ID changes should be applied to.
  7. Include all relevant Supporting Attachments.

Rebudgeting when Prior Sponsor Approval NOT Required

This request includes rebudgeting to transfer funds between award lines, including supplementing an existing award line for a subaward when sponsor approval is not required. This type of Modification request can be found in the GCA Only Modifications section. Review GCA guidance on Modifications.

Related Resources:

Relinquishments and Award Transfers

Relinquishments and award transfers mean returning funds back to the sponsor and giving up the UW’s 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.

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.

How to Request:

  1. Complete the relevant portions of the End of Award request form and attach it to an OSP & GCA Modification Request (MOD) in SAGE.
  2. Navigate to the Funding and Budgeting heading and select Relinquishments category.
  3. Add comments to explain special situations, or explain what you are requesting.
  4. If there are active subawards, you will also need to request a subaward modification request in SAGE Subawards to terminate subawards.
  5. If the sponsor initiates a Relinquishment or Award Transfer and you received an amendment to your award, attach the amendment along with a completed End of Award request form to the MOD.
  6. If animals are also being transferred with the transfer of an award: Contact OAW
  7. Review the following section on NIH relinquishments for additional instructions

NIH Relinquishments

  1. 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.
  2. Contact GCA Help via Award Portal for more information or for help completing the relinquishment form before submitting to the Office of Sponsored Programs (OSP).
  3. Attach completed NIH relinquishment form to the OSP & 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).
  4. OSP will submit the request to NIH in eRA Commons.

Subaward – Prior Approval

  1. Create an OSP & GCA Modification Request (MOD) in SAGE.
  2. Navigate to the Funding and Budgeting Changes heading and select Subaward – Prior Approval Required subcategory as well as any other MOD categories being requested.
  3. Add comments to explain special situations, or explain what you are requesting.
  4. Attach subaward documentation consistent with GIM 7 to the OSP & GCA Modification Request.
  5. If sponsor approval is required, attach a concurrence letter for submission to the sponsor along with any other sponsor required documentation.
    • MOD Requests for concurrence will be returned to the campus unit preparer while the UW waits for the sponsor to approve the request.
  6. Attach a budget in sponsor format, if required by sponsor.
  7. Update your awarded SAGE Budget & create a SAGE Budget worksheet for the new subaward on the Awarded SAGE Budget.
    • Connect this SAGE Budget to the MOD.
  8. Review the Checklist: Subawards from Proposal to Closeout for more information on the Subaward process.

Award Line Addition

This request is similar to requesting rebudgeting when sponsor prior approval is not required and is requested via a GCA Only Modifications request. A SAGE Budget will need to be connected to the MOD.

Supplement

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.

Steps to follow:

  1. Navigate to the Funding and Budgeting Changes heading and select the Supplement subcategory as well as any other MOD subcategories being requested.
    • If the supplement is also an extension, you must select both the Supplement and Extension subcategories.
  2. Add comments to explain special situations, or explain what you are requesting Supplemental funding requires a SAGE Budget.
  3. Connect a SAGE Budget.
    • Select the period(s) where funds are being added. Supplementing requires a new SAGE Budget worksheet or updates to an existing one.
    • For budget changes to an existing award line, include the Workday Grant ID (GR######) along with the request for budgetary changes so GCA will know which Grant ID changes should be applied to.
  4. Non-fiscal compliance changes?
    • Provide information about the changes and include relevant approval dates and protocol numbers.
    • Attach any relevant compliance documentation to the Modification Request.
    • The PI, Personnel & Organizations page of the original eGC1 should be updated as necessary.
  5. Include all relevant Supporting Attachments

Applying for supplemental funding? When supplemental funding requests to a sponsor require a proposal application, complete an eGC1. Note: MODs are used if these supplemental funding applications are later funded by a sponsor. Do not use an Award Setup Request (ASR).

FAQ: When will I need an eGC1 vs. create a Modification request?

Schedule Changes

This list reflects which SAGE Modification categories fall within the Schedule Changes section.
Make sure to select any other related categories and include the type of change in the comments field along with a basic description of what you are looking to do.

Early Terminations

Early termination is shortening the life of the project prior to completion. Some reasons might include:

  • Sponsor and/or Principal Investigator (PI) decide to end the project earlier than planned
  • PI is leaving the University
  • Programmatic or financial reasons to end a project earlier than planned
    Receipt of a competing renewal that overlaps a previous competing segment
  • Early terminations may also involve a deobligation or revision to the award amount

How to Request:

  1. Complete the relevant portions of the End of Award request form and attach to a OSP & GCA Modification Request (MOD) in SAGE.
    • NOTE: As of 4/09/2025, this form is not required for early terminations initiated by federal agencies or federal flow-through entities.
  2. Navigate to the Schedule Change heading and select Early Termination subcategory.
  3. Add comments to explain special situations, or explain what you are requesting.
  4. If there are active subawards, you will also need to request a subaward modification request in SAGE Subawards to terminate subawards.
  5. If the sponsor initiates an early termination and you received an amendment to your award, attach the amendment along with a completed End of Award request form to the MOD.
  6. Include all Supporting Attachments.

For early terminations for federal and federal flow-through, please review more information on Guidance on Federal Administration Research Policy.

If the early termination is accompanied by a Deobligation, also select the Deobligation category for your SAGE Modification request.

Extension

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.

Sponsors may have limitations on the timing and notification of an extension. Review the award and sponsor regulations.

All extensions for awarded projects (even those already approved by the sponsor) require compliance review and approval by OSP.

If your award has annual reporting requirements, you may need to request an advance instead of an extension.

If an award has not been made, and you want to extend a pre-existing Advance, review guidance from Grant & Contract Accounting on Advance Set Up & Extension.

End of project extension requests should be submitted 45 business days before the award end date.

For federal and federal flow-through – review updated guidance before making requests.

How to request:

  1. Create an OSP & GCA Modification Request (MOD) in SAGE.
  2. Navigate to the Schedule Change heading and select the Extension subcategory.
  3. Add comments to explain special situations, or explain what you are requesting.
  4. Attach a copy of your completed Extension Request form.
  5. If no sponsor system of submission is involved, or this is a second no-cost extension, also attach a concurrence letter requesting additional time and a scientific justification for the additional time (e.g. remaining funds to expend is not a justification).
    • MOD Requests for concurrence will be returned to the campus unit preparer while the UW waits for the sponsor to approve the request.
  6. If a sponsor uses an electronic system for submission of the request, use that system to prepare and forward your request to OSP (AOR).
  7. An updated SAGE Budget Worksheet is not needed.
  8. The PI, Personnel, & Organizations page of the original eGC1 should be updated, if necessary.
  9. Investigators should update their SFI disclosure if they have not renewed their SFI or if there is new or updated SFI to disclose.

Sponsor Specific Extension Request/Notification Processes

In addition to using the Extension Request form 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.

In all cases, OSP compliance review & approval must be requested via an OSP & GCA Modification Request in SAGE.

Sponsor System PI Instructions
NIH eRA Commons OSP submits after PI requests via SAGE MOD
NSF Research.gov OSP submits after PI requests via SAGE MOD
NOAA eRA Commons OSP submits after PI requests via SAGE MOD
NASA Shared Services Center Submit notification or request and get sponsor confirmation
HRSA E-Handbook Submit concurrence letter (signed by OSP) within system
USGS Submit concurrence letter (signed by OSP) within system

Extension FAQs:

Temporary Internal Extension

For federal and federal flow-through – review updated guidance before making requests.

A Temporary Internal Extension allows you to extend an award so you can continue posting expenses while awaiting additional funding or formal extension processing.

  1. Create an OSP & GCA Modification Request (MOD) in SAGE
  2. Navigate to the Schedule Change heading and select the Extension: Temporary Internal subcategory.
  3. Add comments to explain special situations, or explain what you are requesting.
  4. Attach a copy of your completed Extension Request form.
  5. You must provide an alternative departmental non-sponsored project worktag on the extension form.

If the sponsor does not approve the extension, the department worktag will be used to cover those expenses.

GCA cannot invoice sponsors for expenses accrued past the current approved end date.

FAQ: What is a Temporary Internal Extension?

Automatic Carryover & Temporary Internal Extensions

If you are waiting for an award modification from the sponsor to be fully executed and the terms & conditions of the award indicate Automatic Carryover, 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.

Payment Schedule Change

For instances where the sponsor has revised payment terms. This typically involves a change to the payment dates/frequency/amounts (still same total).

  1. Create an OSP & GCA Modification Request in SAGE.
  2. Navigate to the Schedule Change heading and select the Payment Schedule Change subcategory.
  3. Attach correspondence from sponsor detailing the change to the payment terms.
  4. Add comments to explain special situations, or explain what you are requesting.

Pre-award Spending Period Change

For requesting prior sponsor approval to update the period of advance spending.

  1. Create an OSP & GCA Modification Request in SAGE.
  2. Navigate to the Schedule Change heading and select the Pre-Award Spending Period Change subcategory.
  3. Attach sponsor approval allowing an updated pre-award spend period.
  4. Add comments to explain special situations, or explain what you are requesting.

Start Date Changes

Use when there are start date changes to an award and prior sponsor approval is required:

  1. Create an OSP & GCA Modification Request.
  2. Navigate to the Schedule Changes heading and select the Start Date subcategory.
  3. Add comments to explain special situations, or explain what you are requesting.

When start date changes do not require sponsor approval, create a GCA Only Modification Request. GCA encourages including their optional GCA Modification Checklist along with your Award Modification Request (GCA Only).

Other Changes

This list reflects which SAGE Modification categories fall within the Other Changes section.
Make sure to select any other related categories and include the type of change in the comments field along with a basic description of what you are looking to do.

It includes:

Stop Work Order, Resume Work Order, Executive Branch Directive Order

Select these three OSP & GCA MOD subcategories according to Guidance on Federal Administration Research Policy:

Clinical Trials Agreement Changes

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.

Provide responses to these questions in the comments section:

  • What is the primary purpose of the Amendment (e.g. protocol changes)?
  • Provide the best, current sponsor contact information.
  • Does this Amendment cause a budget change of more than 10% or are there new charges?

Include required attachments as applicable:

  • Draft CTA amendment
  • Current Protocol
  • Current IRB approval
    • IRB reliance letter, if applicable
  • Sponsor/CRO correspondence
  • Budget Attachments
    • CTO summary review; if the CTO summary review/PI approval is still pending, state this in the comments.
    • All summary review attachments, including:
      • Billing Grid
      • Final agreed upon draft budget
      • Final agreed upon payment terms
    • PI approval of the budget and attachments as reviewed by CTO
  • For a Change of PI on a CTA, also follow MOD instructions for Change of PI and attach a completed Change of PI form
    • Updated Biographical sketch for new PI, the UW recommends using SciENcv and federal Common Forms

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’s 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.

Effort Changes- Key Personnel – Includes PI

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.

Review your notice of award and other sponsor guidelines before sending Modification Requests to OSP for review and submission to the sponsor.

  1. Create a OSP & GCA Modification Request in SAGE.
  2. Navigate to Other Changes heading and select Effort Changes -Key Personnel subcategory along with any other subcategories for all changes being requested (and follow those instructions too)
  3. Include explanation of necessary change in the comments.
  4. Attach and indicate any scope of work change as a result.
  5. If effort changes mean there will be budgetary changes, update the Awarded SAGE Budget Worksheet(s) and connect to the MOD.
    • For budget changes to an existing award line, include the Workday Grant ID (GRXXXXXX)# along with the request for budgetary changes so GCA will know which Grant ID changes should be applied to.
    • Select Rebudgeting category (found under Funding & Budgeting heading) in addition to Effort Changes.
  6. Attach sponsor approval for named key personnel, if you already have it.
  7. Attach updated Cost Share Addendum attached to MOD if cost shared effort involved and will change.

Federal Data Repository Access & Submission

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.

  1. Create OSP & GCA Modification request in SAGE
  2. Navigate to Other Changes heading & select Federal Data Repository Access & Submission subcategory.
  3. Attach the completed Federal Repository form.
  4. Add comments to explain special situations, or explain what you are requesting.

NOTE: Before submitting human subjects datasets to repositories, consult with the Human Subjects Division hsdinfo@uw.edu

NIH Controlled-Access Genomic Data:

If you will be accessing controlled-access genomic data, as defined by NIH, compliance with the “NIH Security Best Practices for Users of Controlled-Access Data” requires such data on institutional IT systems and third-party computing infrastructures meet certain standards in NIST SP 800-171 “Protecting Controlled Unclassified Information in Nonfederal Information Systems and Organizations”.

Review steps in How to request dbGaP datasets.

Key Personnel Changes – Includes PI

There are two sets of instructions for Key Personnel Changes. One for Change of PI and another for Key Personnel Changes.

Change of PI – Campus Steps

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 approva

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